IEEE Standard 802.

16: A Technical Overview of the Mobile WiMAX Air Interface and Beyond

Eyal Verbin

Contents
1.

Overview of WiMAX

Background on IEEE 802.16 and WiMAX Salient Features of WiMAX

The Broadband Wireless Channel OFDM Principles Channel Coding Hybrid-ARQ OFDM Symbol Structure Frame Structure Fractional Frequency Reuse Transmit Diversity and MIMO Ranging Power Control Channel Quality Measurements Convergence Sublayer MAC PDU Construction and Transmission Bandwidth Request and Allocation ARQ

2.

Physical Layer

Quality of Service Scheduling Adaptive Modulation and Coding Security Network Entry Procedures Power saving Modes Mobility Management Network Reference Model Protocol Layering IP Address Assignment Authentication and Security Architecture Quality of Service Architecture Mobility Management Paging

4.

WiMAX Network Architecture

3.

Medium Access Control Layer

Background on IEEE 802.16 and WiMAX

Air interface is based on IEEE 802.16-2009

IEEE 802.16 was formed in 1998 to develop LOS point to multipoint for operation in the 10GHz 66GHz band The original 802.16 standard was based on single carrier Many of the MAC concepts were adopted from the cable modem DOCSIS In December 2005 IEEE 802.16e-2005 was approved as a standard for mobile wireless system, which forms the basis for Mobile WiMAX and adopts multi carrier technology For practical reasons a smaller set of design choices (profiles) were selected System profile defines the subset of mandatory and optional PHY and MAC features WiMAX forum also defines higher layers networking specifications

WiMAX forum used IEEE work to develop interoperable standard

Salient Features of WiMAX (1)

OFDM based physical layer

Enables good resistance to multipath and allows operation in NLOS conditions Typically, using 10MHz spectrum using TDD scheme with 3:1 DL/UL split, the peak PHY data rate is about 25Mbps (DL) and 7Mbps (UL) FFT size may scale from 128 bit to 1024 bit FFT allowing channel bandwidths of 1.25MHz to 10MHz. WiMAX supports a number of modulation and channel coding schemes and allows the scheme to be changed on a per user and per frame basis Auto retransmission requests (ARQ) are supported on top of physical layer error correction schemes to enable reliable data transmission Different users can be allocated with different subsets of the OFDM tones

High peak data rates

Scalable bandwidth

Adaptive modulation and coding

Link layer retransmission

Orthogonal frequency division multiple access (OFDMA)

Salient Features of WiMAX (2)

Flexible and dynamic per user resource allocation

DL and UL resources and transmission schemes are controlled by the scheduler in the base station. Beamforming, space time coding and spatial multiplexing may be used to improve system capacity and spectral efficiency Connection oriented architecture to support variety of applications, each with its own characteristics. Strong encryption using Advance Encryption Standard (AES) and flexible authentication architecture based on Extensible Authentication Protocol (EAP) Secure seamless handover for full mobility applications and various power saving mechanisms Network architecture is based on an all IP platform. All end to end services are delivered over an IP architecture

Advance antenna techniques

Quality of service support

Robust security

Support for mobility

IP based architecture

Part I WiMAX Physical Layer

The Broadband Wireless Channel (1)

The main challenge of broadband wireless system is the multipath propagation

Fast Fading: different reflection arrive at the receiver with different phases. The combined effect can be constructive or destructive, which causes very large observed difference in amplitude of the receive signal Different symbols arrive at different time to the receiver, resulting in Inter Symbol Interference (ISI) Spread spectrum and rake receivers Equalization Multicarrier transmission

Different approached for mitigation of fading:

The Broadband Wireless Channel (2)

Open Loop MIMO in WiMAX (2)

Spatial Multiplexing

Used to increase system capacity by exploiting the dispersive nature of the wireless channel System capacity grows linearly with Min{NTx, NRx} Spatial Multiplexing (MIMO Matrix B)

Multiple data streams are transmitted at the same time and in the same frequency from different BS antennas Mandates multiple receive antennas at the MS Assuming channels are uncorrelated, receiver can retrieve the data using decoding algorithm known as VBLAST Multiple data streams are transmitted at the same time and in the same frequency from different MS Assuming channels are uncorrelated, BS can retrieve the data using the same Matrix B technique

Collaborative Spatial Multiplexing (CSM)

OFDM Principles (1)

Multicarrier transmission

Dividing high bit rate data stream into several parallel lower bit rate streams (subcarriers) Minimize intersymbol interference (ISI) by making the symbol time substantial larger than the channel delay spread Subcarriers are orthogonal, so that guard bands between subcarriers is not required Created using inverse discrete Fourier transform (IDFT)

OFDM is a spectrally efficient version of multicarrier scheme

To completely eliminate ISI, guard intervals are inserted between consecutive OFDM symbols

The duration of the guard interval is a tradeoff between the delay spread that can be handled and the power loss associated with it.

Size of FFT is chosen as a balance between protection against multipath, Doppler shift and design complexity.

OFDM Principles (2)

Advantages

Robustness to channel delay spread Reduced computational complexity Exploitation of frequency diversity

Coding and interleaving the information across the subcarriers

Provides a flexible multiple access scheme

Resources are allocated in a frequency-time grid

Robustness against narrowband interference Suitable for coherent demodulation using pilot based channel estimation High peak to average ratio that causes non linearities and clipping distortion

Drawbacks

Can be mitigated using digital pre-distortion techniques

Sensitivity to phase noise and frequency dispersion

Requires accurate frequency synchronization

Channel Coding

Subcarrier Mapping and Pilot Insertion From MAC Randomizer Channel Encoder Interleaver Symbol Mapping Space Time Encoder Subcarrier Mapping and Pilot Insertion

Antenna #0 IFFT D/A

Antenna #1 IFFT D/A

Channel Coding
Randomizer
Improves FEC performance and synchronization capabilities

Channel Encoder
Convolution Code (CC)

Used for encoding of Frame Control Header (FCH) Used for all transport and management connections

Convolution Turbo Code (CTC)

Repetition Code

Further increase signal margin over the modulation and FEC mechanisms Applies only to QPSK modulation

Interleaver
Improves FEC performance by ensuring that adjacent coded bits are mapped onto non

adjacent subcarriers (frequency diversity) and that adjacent bits are alternately mapped to less and more significant bits of modulation constellation
Symbol Mapping
QPSK 16QAM 64QAM (optional for UL)

Hybrid ARQ (1)

HARQ is an optional part of the PHY and can be enabled on a per connection basis.
HARQ renders performance improvements due to SNR gain and time diversity

achieved by combining previously erroneously decoded sub packets and retransmitted sub packet. Based on N Stop and Wait mechanism
Transmitter waits for ACK/NACK before transmitting again
Multiple HARQ processes (channels) may be activated per connection to increase the rate

Operates at the FEC block level and combines PHY and MAC (Hybrid) The FEC encoder is responsible for generating HARQ sub packets. The sub packets are combined by the receiver FEC decoder as part of the decoding process.

The receiver combines the newly received burst with the formerly received bursts to enhance decoding performance.

Based on 16 bit CRC, the receiver replies with an ACK if the sub packet decoding

succeeded and with a NACK if the decoding failed.

Hybrid ARQ (2)

ACK/NACK signaling DL: Dedicated PHY layer ACK/NACK UL channel
Feedback is synchronized with the transmission, i.e. receiver provides feedback in a fixed delay

relative to the transmission (default is one frame)

UL: ARQ ACK message. Feedback is implicitly indicated through the UL allocation Feedback is unsynchronized, i.e. receiver may provide feedback any time following the HARQ transmission

In order delivery Due to the N Stop and Wait scheme, out of order delivery of HARQ packets is possible. Since some applications are sensitive to the delivery order, e.g. TCP, there is an option to guarantee in order delivery by using PDU SN subheaders.

Symbol Structure

Frequency Domain Representation

Mobile WiMAX Profile includes support of 512 and 1024 FFT, depending on channel BW

512FFT: 3.5MHz, 5MHz 1024FFT: 7MHz, 8.75MHz, 10MHz

The guard interval used to prevent ISI is a cyclic prefix. This structure is needed to prevent Inter Carrier Interference (ICI)

Time Domain Representation

OFDM Symbol Parameters

Primitive parameter definitions
BW: Nominal channel bandwidth Nused : Number of used subcarriers

Ndata: Number of data subcarriers

n: Over sampling factor CP: Cyclic prefix, i.e. Tg/Tu

(e.g. 10MHz) (e.g. 840 for 10MHz) (e.g. 720 for 10MHz) (e.g. 28/25 for 10MHz) (1/8)

Derived parameter definitions

NFFT : Smallest power of two greater than Nused (e.g. 1024 for 10MHz)
Sampling Frequency Fs = nBW: Subcarrier spacing f=Fs/NFFT: Useful symbol time Tu = 1/f:

CP time Tg = CPTu:
OFDMA symbol time Ts = Tg + Tu:

(e.g. 11.2 MHz for 10MHz) (e.g. 10.9 KHz for 10MHz) (e.g. 91.4 Sec 10MHz) (e.g. 11.4 Sec for 10MHz) (e.g. 102.9 Sec for 10MHz)

OFDM Spectral Efficiency

Data Rate

R N data bm cr / Ts
N data bm cr n R Efficiency BW (1 CP ) N FFT

Spectral Efficiency

DL Example (10 MHz, 64QAM 5/6)

Spectral efficiency = 3.5 bit/sec/Hz

5 35Mbps 720 6 /102.9 6

OFDM Symbol Structure: Terminology

Slot: Smallest allocation unit in the time-frequency domain. Consists of a single subchannel and of one to three OFDM symbols. Contains 48 data subcarriers Data Region: A contiguous allocation of slots in the timefrequency domain
Subchannel Group: A single set of contiguous logical subchannels. Each logical subchannel is mapped to a set of physical subcarriers Segment: One or more subchannel groups that are controlled by a single instance of BS MAC

Symbol Structure & Permutation

Permutation: The mapping of physical subcarriers to logical subchannels
Permutation Zone: A set of OFDM symbols over which the same permutation is used.

A frame may contain one or more permutation zones

Two categories of permutations: Distributed Permutation: Draws subcarriers pseudo randomly to form subchannel.

Provides frequency diversity and inter cell interference averaging. Includes two permutations: Contiguous Permutation: Groups a block of contiguous subcarriers to form a subchannel. Enables multi user diversity by choosing the subchannel with the best frequency response.
In general, distributed permutation perform well in mobile applications, while

contiguous permutation are well suited for fixed or low mobility environments.

DL Partial Use of Subcarriers (PUSC) Symbol Structure

Used subcarriers are split into clusters of fourteen contiguous subcarriers.

Clusters are mapped to six major groups as a function of Cell ID and DL Permutation Base parameters Three segments are created from the groups Logical subchannels are created from a permutation of cluster pairs such that each group is made up of clusters that are distributed throughout the subcarriers space

Slot is one subchannel by two OFDM symbols. It contains 48 data subcarriers and eight pilot subcarriers

DL PUSC Symbol Structure

Parameter DC subcarriers Guard subcarriers 1024 FFT 1 183 512 FFT 1 91

Data subcarriers
Pilot subcarriers Subcarriers per cluster Clusters Data subcarriers per slot Subchannels

720
120 14 60 48 30

360
60 14 30 48 15

UL PUSC Symbol Structure

Subcarriers are split into groups of four consecutive physical subcarriers over three

OFDM symbols. Each group is termed a tile

Six tiles generate a subchannel. Tiles are mapped to logical subchannels based on UL

Permutation Base parameter

Slot is one subchannel by three OFDM symbols. It is comprised of 48 data

subcarriers and 24 pilot subcarriers in 3 OFDM symbols Pilot density is higher than DL since no preamble is available on the UL

OFDMA PHY: UL PUSC Symbol Structure

Parameter DC subcarriers Guard subcarriers Used subcarriers Tiles Subcarriers per tile Data subcarriers per slot Subchannels Tiles per subchannels

1024 FFT 1 183 840 210 4 48 35 6

512 FFT 1 103 408 102 4 48 17 6

Frame Structure (Time Division Duplex)

IEEE 802.16e PHY supports both FDD and TDD. Mobile WiMAX profiles currently

available for TDD only Each frame is divided into DL and UL sub frames separated by Transmit To receive Gap (TTG) and Receive to Transmit Gap (RTG) Profiles define a finite set of possible DL/UL splits (UL varies between 25% and 45% of the frame) Frame duration: 5msec Subframe may be divided into multiple zones on OFDM symbol boundaries. Each Zone is characterized by a specific permutation mode and multiple antenna scheme

Preambles & Pilots

The first symbol in the DL transmission used for synchronization and channel

estimation.
Preamble subcarriers are boosted BPSK modulated with a specific PN code To generate the preamble the PHY uses a series of 114 binary PN sequences. The

sequence to be used is determined by the segment number and the Cell ID. It is mapped to every third subcarrier except the DC carrier.
Enables MS to obtain signal measurements and extract Cell ID for multiple co-

channel cells with a single reception of preamble

No preambles are available on the UL (except for AAS zone). Channel estimation on

the UL is derived from the pilots

DL Subframe (1)
Multiplexing: OFDMA Preamble
First symbol of the DL subframe
FCH DL Burst #2 DL Burst #9 DL MAP (Contd) DL MAP DL Burst #3 DL Burst #11 DL Burst #1 (UL MAP) DL Burst #10 DL Burst #13
Frequency

Time

DL Burst #8

DL Burst #12

Used for time and frequency

synchronization, initial channel estimation, noise and interference estimation Carries BS information (Cell ID and segment)
Frame Control Header (FCH)
Transmitted with QPSK and

DL Burst #14

Preamble

Not Allocated

DL Burst #15

DL Burst #16

repetition of four and occupies the first four subchannels of the segment
Indicates used subchannel groups (PUSC zone)

Zone #1: PUSC 1/3 SISO

Zone #2: PUSC 1/3 MIMO

Zone #3: PUSC All MIMO

FEC scheme for the MAPS

MAPS are transmitted at QPSK with

FEC and repetition as indicated by FCH Indicates MAP length

DL Subframe (2)
DL MAP and UL MAP are broadcast

messages carrying information elements (IE)

IE defines the DL and UL bursts The scope of the DL MAP is the current frame The scope of the UL MAP is the next frame
FCH
Frequency

Time

DL Burst #8 DL Burst #2 DL Burst #9 DL MAP (Contd) DL Burst #1 (UL MAP) DL Burst #10

DL Burst #12

DL MAP DL Burst #3 DL Burst #11

DL Burst #13

Standard DL IE includes: Connection Identifier (CID) Downlink Interval Usage Code (DIUC), which defines the MCS and the FEC used for the burst Repetition coding indication Burst boundaries

DL Burst #14

Preamble

Not Allocated

DL Burst #15

DL Burst #16

Symbol offset (start of burst in time domain) Subchannel offset (start of burst in frequency domain) Number of symbols (burst duration in time domain) Number of subchannels (burst duration in frequency domain)

Zone #1: PUSC 1/3 SISO

Zone #2: PUSC 1/3 MIMO

Zone #3: PUSC All MIMO

Boosting (power boosting for the burst +6 dB to -

12 dB to provide DL power control)

UL Subframe
Multiple Access: OFDMA
Time

No Preambles Standard UL IE includes:

Connection Identifier (CID)
Uplink Interval Usage Code Duration (in OFDMA slots) Repetition coding indication
Frequency
6 SC

3 Symbols

3 Symbols

Initial Ranging/HO Ranging

Perio dic Rang ing/ BWR CQICH 12 SC

UL Burst #1

6 SC

ACK UL Burst #2

UL Burst #3

Dedicated Control Zones

UL Ranging
Dedicated UL ranging subchannel Used for BW requests as well

Not Allocated

Not Allocated

Noise Burst

10 SC

Zone #1 Segmented PUSC

Zone #2 Un-Segmented PUSC

Quality Information Channel

UL CQICH is allocated for the MS to feedback

channel state information

UL ACK Channel
Allocated to feedback DL HARQ acknowledgement

Fractional Frequency Reuse (1)

Frequency reuse is defined as (CNS):

F1 F3 F1 F3 F2 F3
(1x3x3)

C - number of BS in the reuse cluster N - number of the channels (or channel group) S - number of the sectors of each BS Reuse 3: Marked as (133) and requires 3 frequency assignment Reuse 1: Marked as (113) and requires one frequency assignment

F2

F1

Examples of classical frequency reuse schemes:

F2

F1 F1 F1 F1 F1 F1
(1x1x3)

F1

Segmentation

F1

PUSC symbol structure enables division of the subcarriers into three segments and allows a reuse 3 scheme with a single channel assignment

F1

Reuse 1 scheme has higher capacity at the center of the cell but is susceptible to interference at the cell edge. Reuse 3 scheme has lower capacity but provides a more reliable link at the cell edge

F1 {Seg. 0} F1 {Seg. 0} F1 {Seg. 2} F1 {Seg. 1} F1 {Seg. 2}

(1x3x3)

F1 {Seg. 2}

F1 {Seg. 1} F1 {Seg. 0} F1 {Seg. 1}

Fractional Frequency Reuse (2)

Fractional Frequency Reuse (FFR): By exploiting the frequency time grid structure of the OFDM frame it is possible to combine Reuse 1 and Reuse 3 FFR can be implemented in both time and frequency domain Time domain FFR Subframe is divided into two zones R3 zone in which a single segment is allocated and subcarriers are boosted by 5dB R1 zone in which all subcarriers are allocated The zones boundary is static across the whole coverage area Users are allocated dynamically to one of the zones based on their CINR reports

Frequency Reuse Parameters Selection

Cell ID

Each three sector BS is assigned with Cell ID (range: 0..31)

Should be unique among neighbors

Each sector in the BS is assigned with unique segment (range: 0..2) The preamble index is calculated as 32*Segment + Cell ID Used to randomize pilot modulation and subcarrier permutation If R1 is used, DL Permutation Base should be set to a unique value among neighbors (range: 0..31)

DL Permutation Base

UL Permutation Base

Used to randomize pilot modulation and subcarrier permutation

If R1 is used, UL Permutation Base should be set to a unique value among neighbors (range: 0..127) If R1 is not used

UL Permutation Base for neighbor BS with the same FA should be set with an offset of 35 (e.g. 0, 35, 70, 115) UL Permutation Base the three sectors in the same BS should be set to the same value (to maintain orthogonality)

Multiple Antenna Techniques

Open Loop MIMO (IO-MIMO)

Channel State Information (CSI) is not available at the

transmitter
Space Time Block Coding (STBC) Matrix A

Spatial Multiplexing Matrix B

Collaborative UL MIMO (CSM)

Closed Loop MIMO (IO-BF)

CSI is required at the transmitter, through feedback

channels or reciprocity in TDD

Beamforming techniques

Open Loop MIMO (1)

Diversity

Improves probability of the receiver to overcome fades. Diversity order (d) = NTx x NRx BER is proportional to CINR-d Maximum Receive Ratio Combining (MRC)

Multiple receive paths are combined coherently

Space Time Block Code (STBC or Matrix A)

A single data stream is replicated and transmitted over two antennas Redundant data is encoded using a mathematical algorithms known as STBC. Receiver may combine this with MRC to increase diversity order

Open Loop MIMO (2)

Spatial Multiplexing

Used to increase system capacity by exploiting the dispersive nature of the wireless channel System capacity grows linearly with Min{NTx, NRx} Spatial Multiplexing (MIMO Matrix B)

Multiple data streams are transmitted at the same time and in the same frequency from different BS antennas Mandates multiple receive antennas at the MS Assuming channels are uncorrelated, receiver can retrieve the data using decoding algorithm known as VBLAST Multiple data streams are transmitted at the same time and in the same frequency from different MS Assuming channels are uncorrelated, BS can retrieve the data using the same Matrix B technique

Collaborative Spatial Multiplexing (CSM)

Closed Loop MIMO

Beamforming

Leverage arrays of transmit and receive antennas to control the directionality and shape of the radiation pattern. Channel information is communicated from the MS to the BS using Uplink Sounding. Based on CSI, the BS utilizes signal processing techniques to calculate weights to be assigned to each transmitter controlling the phase and relative amplitude of the signal Can be used for interference cancellation. Can be used for both coverage and capacity enhancements

Dynamic Selection of MIMO Mode

Adaptive Mode Selection

Dynamic adaptation algorithms are required to optimize system performance and select the appropriate mode based on DL SNR and channel conditions

Ranging

Ranging is an UL PHY procedure that maintains the quality of the radio link communication between BS and MS. BS estimates CINR, time of arrival and frequency error of MS transmission and provides power, timing and frequency adjustment commands Initial and periodic ranging procedures are defined Both regular transmission and contention transmission can be used Contention transmission is done in special UL regions using ranging (CDMA code) Codes are created using PRBS generator and are BPSK modulated Each MS randomly chooses one ranging code from a bank of specified binary codes.

256 distinct codes are available and are divided by configuration into four groups:
IR codes PR codes BR codes HO codes

Since codes are orthogonal, BS can process multiple codes transmitted simultaneously by different MS

Power Control (1)

Power control mechanisms are supported in the UL to maintain the quality of the link. Basic requirements of the power control mechanism are:

Power control is designed to support fluctuations of 30dB/sec BS accounts for the effect of various bust profiles on amplifier saturation while issuing power control commands

MS reports maximum transmission power for each modulation

MS maintains the same transmitted power spectral density (PSD), regardless of the number of assigned subchannels. Therefore, transmission power level is proportionally decrease or increased with the subchannel assignment without specific power control messages

The requirements calls for a complex link adaptation algorithm that makes a joint decision regarding MCS, resource allocation and power adjustment MS reports available power headroom periodically and on a per demand basis

Power Control (2)

Closed Loop Power Control

MS adjust its PSD based on BS commands only.

BS command may be explicit or implicit (by modifying the MCS)

Open Loop Power Control

MS adjust its PSD independently, based on changes in the DL signal level according the following formula

P(dBm)= L+CN+NI 10log10(R)+Offset_SSperSS+Offset_BSperSS

L: Estimated propagation loss C/N: Carrier to noise for the burst profile in the current transmission NI: Estimated average power level of noise an interference R: repetition rate Offset SS per SS: Correction factor employed by the SS (set to zero for passive mode) Offset BS per SS: Correction factor employed by the BS

Closed loop power control may be combined with open loop as an outer mechanism, using the Offset BS per SS parameter

Channel Quality Measurements

MS provides BS with feedback on the quality of the DL signal. This feedback drives the link adaptation algorithm. Reported metrics include:

Received Signal Level (RSSI) Carrier to Interference and Noise Ratio (CINR)

Based on preamble for R3 and R1 frequency reuse schemes Based on pilots in specific zone

Preferred MIMO mode

Feedback can be carried over the Channel Quality Indication Channel (CQICH) in a special UL region or over MAC control message

Throughput Calculation Example

1.

Calculate number of OFDM symbols in frame

47 symbols for 10MHz channel

2.

Determine DL/UL split based on profile

26/21

3. 4.

Deduce one symbol from DL subframe for preamble Deduce overhead

DL: 4 symbols for the MAPs UL 3 symbols for ranging, HARQ feedback and CQICH zones

5.

Calculate number of slots available for data

DL: PUSC 30 x (20/2)=300 UL: PUSC 35 x (18/3)=210

6.

Determine burst profile and MIMO mode

DL: 64QAM 5/6 Matrix B UL: 16QAM 1/2

7.

Calculate bits per frame

DL: 300 x 48 x 6 x (5/6) x 2=144,000 UL: 210 x 48 x 4 x (1/2)=20,160)

8.

Calculate bits per second by dividing by frame duration

DL: 28.8Mbps UL: 4Mbps

Part II Medium Access Control Layer

MAC Functions
Segment or concatenate service data units (SDU) received from higher layers

into the MAC protocol data unit (PDU)

Select the appropriate burst profile and power level to be used for

transmission (link adaptation)

Retransmission of MAC PDU (ARQ) Provide QoS control and priority handling of MAC PDU associated with

different data and signaling bearers (Packet Scheduling)

Schedule MAC PDU over PHY resources (frame building)

Mobility management (handover)

Security and key management Provide power saving modes (Idle/Sleep)

MAC: Protocol Layers

Network Network Interface Received SDUs MAC-CS Con #1 Con #2 Con #n

MAC-CPS Fragmentation Link Maintenance Radio Resource Control

BW Request ARQ Manager Scheduler AMC

Security Data Encryption

PHY and RF ACK Feedback PHY module Link Quality Feedback (e.g. CINR)

UL ACK channel

DL burst

Ranging channel

CQICH channel

Convergence Sublayer (CS)

Convergence sublayer is an adaptation layer that masks the higher layer protocol

and its requirements from the MAC layer

Several convergence sublayers are supported

IPv4/IPv6 with and without ROHC

802.3 (Ethernet)
802.1/Q VLAN
Upper Layer Entity (e.g. bridge, router) Upper Layer Entity (e.g. bridge, router)

IPv4/IPv6 over 802.3 IPv4/IPv6 over 802.1/Q VLAN

SDU

SAP CID 1 CID 2 Classification text CID n {SDU, CID,...} SAP 802.16 MAC CPS

SAP

Reconstruction (e.g. undo text PHS)

{SDU, CID,...} SAP 802.16 MAC CPS

Convergence Sublayer Functions

Classification

WiMAX MAC is connection oriented. Each unidirectional logical connection between MS and BS is identified by a Connection Identifier (CID). Connection can carry user plane data and control plane information CS performs many-to-one mapping between higher layer applications and a specific connection. Applications with different QoS requirements are mapped to different connections. The mapping is performed on the basis of the header fields of the higher layer protocol, e.g. VLAN, IP source address. Classification may be performed at the BS or at the ASN-GW

Packet Header Suppression (PHS):

Repetitive portion of the packet header may be suppressed by the transmitter and restored by the receiver Improves efficiency of the network, especially for applications with small packet size (e.g. VoIP) PHS rules at the transmitter and the receiver are synchronized during service flow initiation and modification PHS may be performed at the BS or at the ASN-GW Robust Header Compression (ROHC) is an alternative to PHS, which is transparent to the MAC operation. Defined by RFC 3095, ROHC compress the IP, UDP, RTP and TCP headers of IP packets (can compress 60 bytes of overhead into 3 bytes)

MAC PDU Construction and Transmission

SDU arriving from higher layer are assembled to create MAC PDU. Depending on the size of allocation, multiple SDU can be packed on a single

PDU, or a single SDU can be fragmented over multiple PDUs.

Multiple MAC PDUs intended for the same receiver can be concatenated onto a

single transmission burst

SDU 1 ARQ Block SDU 2

10

11

12

13

14

15 Fragment 2

16

17

Fragment 1

Fragment 2

Fragment 1

Header PDU 1

Fragment 1

Header

Fragment 2 PDU 2

Fragment 1

Header

Fragment 2 PDU 3

DL/UL Burst

ARQ
For application sensitive to packet error (TCP), ARQ can be used on top of

HARQ to eliminate residual error rate.

ARQ can be enabled on a per connection basis. For ARQ-enabled connection, SDU is first partitioned into fixed length ARQ

blocks and a block sequence number (BSN) is assigned to each block.

The length of the ARQ blocks and the ARQ window size (number of blocks managed by the transmitter and receiver at an given time) are set during connection establishment. Once SDU is partitioned into ARQ blocks, the partition remains in effect until all the blocks have been received and acknowledged by the receiver

ARQ enable connection are limited in throughput by Block Size x Window Size / ACK Latency

For ARQ enabled connection, fragmentation and packing subheader contains the

BSN of the first ARQ block following the subheader.

Receiver feedback (ACK) can be sent as a stand alone MAC PDU or piggybacked

on the payload of a regular MAC PDU

ARQ feedback can be selective or accumulative

MAC PDU Structure (1)

Each MAC PDU consists of a header which may followed by a payload and a

cyclic redundancy check (CRC)

MSB
Generic MAC Header 6 bytes Payload: SDUs & Subheaders (Optional) 0-2038 bytes CRC (Optional) 4 bytes

Generic MAC Header (GMH) is used for carrying user plane data and MAC

control messages

HT: Header type (HT = 0 for GMH)

HT=0 (1) Rsv (1) CI (1)

EC: Encryption control Type: Indicates subheaders included in the payload CI: CRC indicator EKS: Encryption key sequence LEN: Length of MAC PDU in bytes CID: Connection ID associated with the PDU HCS: Header check sequence

Type (6)

EKS (2)

Rsv (1)

EC (1)

LEN MSB (3)

LEN LSB (8)

CID MSB (8)

CID LSB (8)

HCS (8)

LSB

MAC PDU Structure (2)

Signaling MAC header is defined used for the UL

(this header is not followed by payload)

Signaling header type I

BW request header (aggregate/incremental)

BW request and UL TX power report header

BW request and CINR report header CQICH allocation request header PHY channel report header (DIUC, TX power, TX power headroom)

BW request and UL sleep control header

SN report header (ARQ)

Signaling header type II

Used for MS feedback report 14 feedback permutations are defined: CINR, TX power, DIUC, AMC band indication bitmap, MIMO feedback, etc.

Bandwidth Request and Allocation

All decisions related to DL resource allocation to various MS are made by the BS on a

per CID basis. BS schedules MAC PDUs based on the connection QoS requirements. The allocation is indicated in the DL MAP.
MS requests UL BW in bytes on a per connection basis by using either stand alone

BW requests or piggybacking BW requests on generic MAC PDU.

BW request can be incremental or aggregate

UL grants are done on a per MS basis and indicated in the UL MAP. MS UL scheduler

distribute the granted allocation among its various connections.

BS supports BW polling, whereby dedicated (unicast polling) or shared (multicast

polling) UL resources are provided to the MS to make BW requests.

Multicast polling is based on contention mechanism, in which MS sends a randomly selected code in a dedicated UL region. Contention is resolved using an exponential backoff window mechanism

Quality of Service
Each service flow is associated with QoS parameters: maximum traffic rate,

guaranteed traffic rate, maximum latency and Priority. MAC layer is responsible to ensure QoS requirements subject to loading conditions.
Each service flow is mapped to a certain transport connection with its own QoS

parameters. Transport connections may be Unicast, Multicast or Broadcast

Two Management connections are established for each MS to reflect different

levels of QoS requirements

Basic management connection: Used to transfer short, time-critical MAC and radio control messages Primary management connection: Used to transfer longer, more delay-tolerant messages such as authentication and connection setup

QoS Architecture

Data Packet (SDU)

Classification

Scheduler

Classification IP Protocol Source/Dest IP Address ToS Source/Dest MAC Address VLAN

Service Flow Attributes Maximum traffic rate Minimum reserved traffic rate Latency Priority Grant/polling interval

Scheduler

Select PDU based on SF attributes and subject to available resources

Service Flows: Three Phase Activation

SF defined in BS/MS QoS parameters known to BS/MS. Usually defined by higher layer entity SFID assigned Traffic disabled Transient stage QoS parameters are a subset of the provisioned set, following BS admission control Resources are allocated CID assigned Traffic disabled

Provisioned

Admitted

Active

Traffic enabled

Data Services & Scheduling Types

Five scheduling services used to collect BW requirements from MSs: Unsolicited Grant Service (UGS)

Real time applications generating fixed rate data Provides fixed size grants on periodic basis and does not need the MS to explicitly request BW.

Extended Real Time Polling Service (ertPS)

Real time applications with variable rate, guaranteed rate and latency, e.g. VoIP with silence suppression Similar to UGS, but allows dynamic adaptation of grant size based on MS feedback

Real Time Polling Service (rtPS)

Real time applications generating variable rate data BS provides unicast polling opportunities for the MS to request BW

Non Real Time Polling Service (nrtPS)

Delay tolerant applications with guaranteed data rate Similar to nrtPS, except that MS is allowed to use contention BW requests in addition to the polling

Best Effort (BE)

Applications with no rate or delay requirements Based on contention based polling opportunities

Scheduling Algorithms

The scheduler prioritizes the backlogged SDUs in the DL and the pending BWR in the UL. Prioritization is done on a per SF basis based on the various attributes associated with the service flow.
Scheduler target: Maximize system capacity subject to service requirements of each flow. Scheduling procedure is outside the scope of the WiMAX standard and has been left to the equipment manufacturers to implement. It has a profound impact on the overall capacity and performance of the system, thus it serves as a key differentiator among vendors. Classical scheduling algorithm

Strict Priority (SP) Proportional Fairness (PF)

SFi = argmax(iPi) SFi = argmin(iri /Ri)

Adaptive PFS takes into account link condition (spectral efficiency) in order to maximize system capacity

APFS metric

SFi = argmin(iwiri /Ri)

Combination of different algorithms is possible, e.g. SP for the guaranteed rate and APFS for the excess bandwidth

Adaptive Modulation and Coding Algorithms (1)

WiMAX supports dynamic adaptation of modulation and coding scheme as well as MIMO mode on a per connection and per frame basis.
Link adaption algorithms aim to maximize spectral efficiency while maintaining link quality metric (typically target packet error rate) DL adaptation

Input:

DL CINR feedback from the MS based on DL preamble and/or DL pilots Preferred MIMO mode based on channel conditions as perceived by the MS HARQ error rate based on MS feedback received on the HARQ ACK UL channel MCS MIMO Mode (Matrix A/Matrix B) Zone (e.g. R1 zone or R3 zone)

Output:

Adaptive Modulation and Coding Algorithms (2)

UL adaptation

Input:

UL CINR as measured by the BS PHY MS transmission power headroom as reported by the MS HARQ error rate as indicated by BS PHY

Output:

MCS Power adjustment Maximum number of subchannels that may be allocated MIMO mode

Two modes of operation are supported: The first selects a solution that maximize the spectral efficiency (highest order possible MCS) and the second selects a solution that maximizes the user throughput, i.e. the spectral efficiency multiplied by the maximum number of subchannels

Security
Security architecture of mobile WiMAX support the following requirements:

Privacy: Provide protection from eavesdropping as the user data traverse the network Data integrity: Ensure the user data and control messages are protected from being modified while in transit

Authentication: A mechanism to ensure that a given user/device is the one it claims to be. Conversely, the user/device should be able to verify the authenticity of the network that it is connecting to (mutual authentication)
Authorization: Mechanism to verify that a given user is authorized to receive a particular service Access control: Ensure that only authorized users are allowed to get access to the offered services

Public Key Infrastructure (PKI)

On way to enable secure symmetric key encryption is to establish a shared secret

between transmitter and receiver.

Asymmetric key encryption is a solution to the key distribution problem.

Based on a public key and a private key that are generated simultaneously using the same algorithm, RSA Ciphertext that is encrypted with one key can be decrypted by the other key

Public key infrastructure can be used for variety of security applications:

Authentication (see example in next slide) Shared secret key distribution Message integrity Digital certificates

PKI Mutual Authentication

User A Send (Random Number A, My Name) encrypted with public key of B Send (Random Number A, Random Number B, Session Key) encrypted with public key of A Send (Random Number B) encrypted with session key Begin transferring data encrypted with session key

User B

Authentication and Access Control

In general, access control system has three elements:

Supplicant: an entity that desired to get access Authenticator: an entity that controls the access gate Authentication server: an entity that decides whether the supplicant should be admitted

Extensible Authentication Protocol (EAP)

A simple encapsulation protocol that can run on any L2 protocol Based on a set of negotiated messages that are exchanged between the supplicant and the authentication server EAP includes a number of EAP methods, which define the rules for authenticating a user and/or a device and the set of credentials.

EAP Transport Layer Security (TLS) defines a certificate based strong mutual authentication.

In WiMAX, EAP runs from the MS to the BS over PKMv2 (Privacy Key Management) security protocol. The BS relays the authentication protocol to the authenticator in the ASN-GW. From the authenticator to the authentication server, EAP is carried over RADIUS or DIAMETER.

Encryption
Mobile WiMAX encryption is based on Advanced Encryption Standard (AES)

which is a symmetric key encryption system.

AES algorithm operates on a 128 bit block size of data. The encryption key size

in the case of WiMAX is 128 bits long.

The AES Traffic Encryption Key (TEK) is also AES encrypted using the Key

Encryption Key (KEK)

The KEK is a derivative of the Authorization Key (AK) which is a shared

secret between the MS and the BS.

Cipher based MAC (CMAC) is used as the mandatory mode for message

authentication
AES data encryption provides a built in data authentication capability AES encryption adds 12 bytes of overhead.

Network Entry

Frequency Scanning

Authentication

DL & UL Synchronization

Registration

Initial Ranging

Service Provisioning

Negotiate Basic Capabilities

Network Entry: Frequency Scanning

MS scans frequency bands in search for the DL preamble Scanning is performed on a predefined list of frequencies
Frequency Scanning Authentication

DL & UL Synchronization

Registration

Initial Ranging

Service Provisioning

MS selects best carrier frequency base on signal strength or CINR

MS scans for all preamble indexes in the selected carrier (114 indexes) and selects the best based on RSSI or CINR

Negotiate Basic Capabilities

Network Entry: Downlink and Uplink Acquisition

BS regularly broadcasts control messages:
Downlink Channel Descriptor (DCD) Uplink Channel Descriptor (UCD) DL-MAP UL MAP
Frequency Scanning Authentication

DL & UL Synchronization

Registration

Initial Ranging

Service Provisioning

Negotiate Basic Capabilities

MS acquires DL once valid DCD and DL-MAP are decoded

To make a valid DCD and DL-MAP BSID and NAI should match MS configuration and DCD and DL MAP should indicate the same DCD change counter To maintain DL SYNC MS should periodically receive DL-MAP and DCD

MS acquires UL once valid UCD and UL-MAP are decoded

To make a valid UCD and UL-MAP UCD and UL MAP should indicate the same UCD change counter To maintain UL SYNC MS should periodically receive UL-MAP and UCD

Network Entry: Ranging

Ranging is required to align BS and MS in terms of power, frequency and timing BS measure MS offsets from the UL transmission and provides appropriate adjustments
MS BS
Frequency Scanning Authentication

DL & UL Synchronization

Registration

Initial Ranging

Service Provisioning

Negotiate Basic Capabilities

CDM ( IR C A ode)

(A
MS makes adjustments

-RSP e) RNG Continu nt , e m t djus

CDM ( IR C A ode)

BS measures arrival time and signal power and determines required adjustments

-RSP RNG ess) c c (Su on I E ocati l l A A CDM

R (MS NG-REQ MAC A ddr ess)

-RSP D) RNG imary CI r P d ic an (Bas

Network Entry: Negotiation of Basic Capabilities

Basic capabilities include supported modulations, FEC, MIMO modes, HARQ, Privacy, etc.
Frequency Scanning Authentication

DL & UL Synchronization

Registration

Initial Ranging

Service Provisioning

MS

BS

Negotiate Basic Capabilities

SBC-R EQ

-RSP C B S

Network Entry: Authentication

Based on PKMv2 which uses EAP as the underlying authentication mechanism
MS SBC-REQ SBC-RSP BS
MS Status Update
Initial Ranging Service Provisioning Frequency Scanning Authentication

Authenticator (ASN)

DL & UL Synchronization

Registration

AAA Server

EAP Request/Identity
Negotiate Basic Capabilities

EAP Response/Identity (my ID, e.g. MS MAC address) EAP Request/EAP TLS (TLS Start) EAP Response/EAP TLS (TLS Client Hello) EAP Request/EAP TLS (TLS Server Hello, TLS Certificate) EAP Response/EAP TLS (TLS Certificate) EAP Request/EAP TLS (TLS Finished) EAP Response/EAP TLS EAP Success MSK, PMK, AK Established PMK, AK Established AK Transferred to BS SA-TEK Challenge
SA-TEK Request

EAP over RADIUS

MSK Established MSK

SA-TEK Response
Key Request

Key Reply

Network Entry: Registration

Registration capabilities include management mode, IP version supported, ARQ support, supported CS, etc.
Frequency Scanning Authentication

DL & UL Synchronization

Registration

Initial Ranging

Service Provisioning

Negotiate Basic Capabilities

MS

BS

REG-R EQ

-RSP REG

Network Entry: Service Provisioning

Creation of service flows can be initiated by either the MS or the BS
Frequency Scanning Authentication

DL & UL Synchronization

Registration

Initial Ranging

Service Provisioning

MS

BS

Negotiate Basic Capabilities

DSA

-REQ

DSA-R SP

-A DSA

CK

Power Saving Modes

Power saving modes enable the MS to conserve its battery resources a critical

feature required for handheld devices.

Two power saving modes are defined:

Sleep Mode Idle Mode

Sleep Mode

Sleep Mode is a state in which an MS conducts pre-negotiated periods of absence from the Serving BS air interface. These periods are characterized by the unavailability of the MS, as observed from the Serving BS, to DL or UL traffic. Sleep Mode is intended to minimize MS power usage.

Power Saving class may be activated per connection basis. Activation of certain Power Saving Class means starting sleep/listening windows sequence associated with this class. There are three types of Power Saving Classes, which differ by their parameter sets, procedures of activation/deactivation and policies of MS availability for data transmission.

Example: Sleep mode operation

Idle (Paging) Mode

Idle Mode is a mechanism that allows MS to become periodically available for DL broadcast traffic messaging without registration at specific BS. Idle Mode benefits MS by removing the active requirement for Handovers and all normal operation requirements. By restricting MS activity to scanning at discrete intervals, Idle Mode allows the MS to conserve power and operational resources. Idle Mode helps the network and BS to conserve resources by eliminating the need to perform any link maintenance activity and handover related procedures for MS in idle mode.

Idle Mode: Theory of Operation (1)

The BS are divided into logical groups called paging groups. A BS may be a member of one or more paging groups. MS in idle mode periodically monitors DL broadcast to determine the paging group of its current location. When MS detects that it has moved to a new paging group it performs location update, in which it informs the network its new location. In case of pending DL traffic, the network needs to page the MS only in all BS belonging to the current paging group of the MS

Idle Mode: Theory of Operation (2)

On a periodic basis, the MS shall scan and synchronize on the DL for the preferred BS in order to decode any BS broadcast paging message A BS Broadcast Paging message is an MS notification message indicating either the presence of DL traffic pending, through the BS or some network entity, for the specified MS or to poll the MS and request a location update without requiring a full network entry. During idle mode MS can be in one of two states: paging-unavailable or paging-listen interval.

Paging-unavailable: MS is not available for paging and can power down or scan for neighbouring BS. Paging-listen interval: MS listens to DCD and DL MAP of the serving BS to determine when the broadcast paging message is scheduled Paging broadcast message can indicate pending DL traffic and instruct the MS to perform network re-entry, request MS to perform location update or indicate to the MS to return to paging unavailable state.

Mobility Management
Handover: The migration of the MS from the air interface of one BS to the air

interface of another BS, while maintaining connection

Network topology advertisement: BS broadcasts information about the network

topology using the MOB_NBR-ADV message:

The message provides channel information for neighbouring base stations, which is normally provided by each BS own DCD/UCD message. The BS obtains that information over the backbone.

MS scanning of neighbour BS: A BS may allocate time intervals to MS for the

purpose of monitoring and measuring the radio conditions of neighbouring BS. The time during which the MS scans for available BS will be referred to as a scanning interval.
Handover may be MS initiated (typically in order to improve link quality) or BS

initiated (typically to perform load balancing)

Handover Process
Scanning and target cell selection
Based on certain triggers (e.g. CINR of target BS falls below 20dB, MS scans link quality of neighbouring BS

and select a suitable target BS.

Handover Initiation
MS initiated using MOB_MSHO-REQ BS initiated using MOB_BSHO-REQ

Network re-entry with target BS

Target BS DL SYNC and acquisition of DL/UL channel parameters Using information from NBR-ADV, this process can be shortened

Initial ranging or Handover ranging

MS RNG-REQ includes serving BS ID and target BS ID If the Target BS had previously received HO notification from Serving BS over the backbone then Target BS

may place a non-contention based Initial Ranging opportunity Negotiate Basic Capabilities, Authorization, etc. Handover optimization: target BS may request MS data from backbone to accelerate network entry. This data may be used by the target BS to skip certain NE steps.

Termination of context with previous BS

Handover Messaging - Example

MS Serving BS Target BS ASN-GW

Operational
V BR-AD

MOB_N

MOB_S

CN-REQ CN-RSP

MOB_S

Scanning & Association Association Coordination

RNG-REQ RNG-RSP

MOB_M

SHO-RE Q SHO-RS P

MOB_B

MOB_H

O-IND

Network re-entry

Obtain MS operational parameters

Operational

Part IV Network Architecture

General Design Principles of the Architecture

Functional decomposition: Required features are decomposed into functional

entities. The architecture shall specify open and well defined reference points between the functional entities. Deployment modularity and flexibility: The architecture shall support a broad range of deployment options. It shall scale from the simple case of a single operator with a single base station to a large scale deployment by multiple operators with roaming agreements Support of variety of usage models: Architecture shall support fixed, nomadic, portable and mobile usage models. Both Ethernet and IP services shall be supported. Decoupling of access and connectivity services: The architecture shall allow decoupling of the access network from the IP connectivity network and services Support for a variety of business models: The architecture shall allow for logical separation between the network access provider (NAP), the network service provider (NSP) and the application service provider (ASP) Extensive use of IETF protocols: Network layer procedures and protocols used across the reference points shall be based on appropriate IETF RFCs.

Network Reference Model

Access Service Network (ASN) Functions

Access Service Network (ASN): Owned by the NAP and includes a complete set of

network functions needed to provide radio access to a WiMAX subscriber:

WiMAX L2 connectivity with the MS

Network discovery and selection of the WiMAX subscribers preferred NSP

AAA proxy: transfer of device and/or user credentials to selected NSP AAA and temporary storage of user profiles. Relay functionality for establishing IP connectivity between MS and CSN Mobility related functions, such as handover, location management and paging within the ASN, including support for mobile IP

ASN comprises network elements such as one or more Base Stations and one or more

ASN Gateways.
BS is defined as representing one sector with one frequency assignment implementing

the R1 interface. BS functions include scheduling, service flow management, admission control, tunnelling toward the ASN-GW, DHCP proxy, authentication relaying, user plane encryption
ASN-GW functions include ASN location management and paging, temporary

caching of subscriber profiles and keying material, authenticator, service flow authorization and user plane routing

Connectivity Service Network (CSN) Functions

Connectivity Service Network (CSN): A set of network functions that provide IP

connectivity services to the WiMAX subscribers. CSN provides the following functions:

IP address allocation to the MS for user sessions

AAA proxy or server for user and/or device authentication, authorization and accounting
Policy and access control based on user subscription profiles Subscriber billing and inter-operator settlement Inter-CSN tunnelling for roaming Inter-ASN mobility and mobile IP home agent functionality Connectivity infrastructure for services such as Internet access, VPN and IP multimedia

CSN comprises network elements such as routers, AAA proxy/servers and subscribers

database.

Protocol Layering
Control plane is based on UDP/IP Data plane is based on GRE tunnelling within the ASN and IP in IP tunnelling

between ASN and CSN

WiMAX architecture is designed to support both IP packets and Ethernet packets,

using IP-CS and ETH-CS, respectively.

Within the ASN packets can be either routed or bridged

Protocol Layer Architecture: IP-CS

Example presents a routed ASN. For bridged ASN, the shaded layers (GRE, IP)

would be replaced by Ethernet layer

Protocol Layer Architecture: Ethernet-CS

Example presents a routed ASN. For bridged ASN, the shaded layers (GRE, IP)

would not be needed

GRE Tunneling

Generic Routing Encapsulation (GRE) may be used as tunnelling mechanism across R4 or R6. Allows for tunnelling of IP packets, Ethernet frames or WiMAX specific payload DSCP in the Encapsulation IP Header specifies the QoS Class. Note that it MAY differ from the DSCP in the Encapsulated Payload. Source and Destination IP Addresses specify the tunnel end points. The meaning of the GRE Key value is defined by the node that allocates the Key value. GRE Key can indicate one of the following: Specific connection, in case classification is done by ASN-GW or Specific MS, in case classification is done by BS The Sequence Number may be used for synchronization of Data Delivery during HO.

Network Discovery and Selection

In the general case, it is assumed that MS operates in an environment in which multiple

access networks are available and multiple service providers are offering services over those networks. Mobile WiMAX specifies a process for network discovery and selection

NAP discovery

MS detects available NAPs in a wireless coverage area based on information broadcasted by BS (Operator ID). Operator ID is assigned by IEEE MS discovers available NSPs associated with the discovered NAPs based on information either broadcasted by the BS using System Identity Information message (SII-ADV) or unicasted to the MS (SBC-RSP). NSP ID is assigned by IEEE MS selects preferred NSP based on dynamic information obtain through the air interface and configuration information. Selection may be automatic or manual. MS indicates its NSP selection by attaching to an ASN associated with the selected NSP, and by providing its identity and home NSP domain in the form of NAI The ASN uses the realm portion of the NAI to determine the next AAA hop to where the MSs AAA packets should be routed.

NSP discovery

NSP enumeration and selection

ASN attachment

IP Address Assignment (1)

Network Architecture supports either Mobile IP or Simple IP Mobile IP requires Home Agent Simple IP reduces scope of network and does not support mobility Mobile IP is used to provide CSN Anchored Mobility CSN Anchored Mobility Management or Macro mobility is when the MS changes to a new anchor Foreign Agent Mobile IP allows an MS to communicate with other nodes after changing its point of attachment to the network
For example, handover between BS on separate ASN-GW, or inter-technology handover Mobile IP is achieved by allocating an MS both a Home Address (HoA) and a Care-of Address (CoA) Two forms of Mobile IP are defined; Proxy Mobile IP (PMIP) and Client Mobile IP (CMIP)

CMIP is required to enable Inter-technology handover

IP Address Assignment (2)

Dynamic Host Control Protocol (DHCP) is used as the primary mechanism to

allocate IP address to the MS

The network architecture provides flexibility in allocating IP addresses to MS

ASN-GW provides a DHCP Proxy Server

Mobile IP or Simple IP
Mobile IP only

Home Agent can be configured with local pool of Mobile IP Addresses

ASN-GW can be configured with local pool of IP addresses

Simple IP only
Mobile IP or Simple IP

AAA Server can allocate IP addresses using IP Address Manager

Simple IP

IP address is either assigned from local address pool, or retrieved as RADIUS attributes from AAA Server The ASN-GW DHCP proxy is used to transfer IP address information to MS

Authentication and Security Architecture

Designed to support all IEEE 802.16 security services using EAP based AAA

framework.
Supports both user and device authentication

Supported EAP methods: EAP-TLS and EAP-TTLS

In addition, AAA framework is used for service flow authorization, QoS policy

control and secure mobility management

AAA framework basic steps:

MS sends a request to the network access server (NAS) function in the

ASN NAS forwards the request to the service provider AAA server (NAS acts as an AAA client on behalf of the user) AAA server evaluates the request and returns an appropriate response to the NAS NAS sets up a service and notifies the MS

ASN Security Architecture

Authenticator (ASN-GW or BS)

Communicates with the AAA server using RADIUS/DIAMETER

Authentication Relay (BS)

Functional entity that relays EAP packets to the authenticator via an authentication relay protocol

Key Distributor (ASN-GW or BS)

Functional entity that holds the keys (MSK and PMK) generated during the EAP exchange

The MSK is sent to the Key Distributor from the home AAA server, and the PMK is derived locally from the MSK.

Derives AK and creates AKID for an <MS, BS> pair and distributes the AK and its context to the Key Receiver in a BS via an AK Transfer protocol

Key Receiver (BS)

Holds the AK and responsible for generation of IEEE 802.16e specified keys from AK

Authentication Protocols

PKMv2 is used to perform over-the-air user/device authentication. PKMv2 transfers EAP over the IEEE 802.16 air interface between MS and BS in ASN. Depending on the Authenticator location in the ASN, a BS may forward EAP messages over authentication relay protocol (e.g. over R6 reference point) to Authenticator. The AAA client on the Authenticator encapsulates the EAP in AAA protocol packets and forwards them via one or more AAA proxies to the AAA Server in the CSN of the home NSP

Authentication Procedure
Initial network entry and

negotiation
Exchange of EAP messages Establishment of the shared

MS Network Entry

BS

Authenticator (ASN)

AAA Server

Link Activation
EAP Request/Id entity

master session key (MSK)

Generation of authentication

EAP Response/ Identity

key (AK)
Transfer of authentication
MSK and EMSK Establish
PMK derivation from MSK AK derivation from MSK

EAP over RADIUS

ement

MSK

key
Transfer of security

associations
Generation and transfer of

AK SA-TEK Challenge
SA-TEK Request

traffic encryption keys (TEK)

Service flow creation

SA-TEK Response
Key Request

Key Reply

Quality of Service Architecture

Architecture designed to support static and dynamic service flow provisioning Home Policy Function (PF)

Contains policy database of the home NSP and evaluates service requests against these policies. Requests may come from the SFA or from the AF

Application Function (AF)

An entity that can initiate service flow creation on behalf of a user, e.g. SIP proxy client

AAA server

Holds users QoS profile and associated policy rules Option 1: The information is downloaded to the SFA during NE as part of the authentication and authorization procedure Option 2: AAA server can provision the PF with subscriber related information and the PF shall determine how incoming SF are handled

Service Flow Authorization (SFA)

Evaluates SF request against user QoS profile (in case AAA information was downloaded to SFA)

Service Flow Management (SFM)

Responsible for creation, admission, activation, modification and deletion of SF

Service Flow Creation (Static)

Example assumes users associated policies were downloaded to the SFA from the AAA Based on Resource Reservation Request/Response

ASN Gateway: Mobility Function

Handover may be MS initiated (typically for link quality maintenance) or ASN initiated (typically for load balancing)

HA

ASN anchored mobility anchored Foreign Agent (FA) unchanged

No impact on IP level Data Path function (DPF): responsible for setting up and managing bearer paths needed for data packet transmission. Handover function (HO): responsible for making HO decisions and performing the signalling procedures related to HO Context function: responsible for exchange of state information among network elements impacted by HO
BS1

ASNGW1

R3

R3
ASNGW2 R4

R6

R6

CSN anchored mobility anchored FA changed

R6

BS2 R8

BS3

Involves mobility across different IP subnets and therefore requires IP layer mobility management
R1

Two types of Mobile IP implementations are defined

R1

R1

Client MIP based on mobile IP client at the MS Proxy MIP ASN-GW implements the mobile IP client on behalf of the MS. PMIP is transparent to the MS.

Handover Procedures MS Initiated preparation phase

Handover Procedures MS Initiated action phase

MS Serving BS Serving/ Target ASN-GW Target BSs Anchor ASNGW Authenticator

MOB_HO-IND HO_cnf HO_cnf HO_Ack HO_Ack

Context_Req Context_Req Context_Rpt Context_Rpt

Path_Prereg_Req Path_Prereg_Req Path_Prereg_Rsp Path_Prereg_Rsp Path_Prereg_Ack Path_Prereg_Ack

RNG-REQ Path_Reg_Req Path_Reg_Req Path_Reg_Rsp Path_Reg_Rsp RNG-RSP

CMAC_Key_Count_Update CMAC_Key_Count_Update CMAC_Key_Count_Update_Ack CMAC_Key_Count_Update_Ack

Path_Dereg_Req Path_Dereg_Req Path_Dereg_Rsp Path_Dereg_Rsp Path_Dereg_Ack Path_Dereg_Ack

HO_Complete HO_Complete

Paging and Idle Mode Operation

Paging is the method used to alert an idle MS about incoming message. Paging architecture is based on three functional entities

Paging Controller (PC)

Administrates activities of idle mode MS

Typically located at the ASN-GW

BS functional entity that handles interaction between PC and air interface related paging functionalities One or more PA can form a Paging Group (PG), which is managed by the network operator. PA may belong to more than one PG A database containing information on idle mode MS (e.g. PGID, paging cycle, paging offset, SF information)

Paging Agent (PA)

Location Register (LR)