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Performance Analysis between Different

Channel Models in WiMAX (802.16e)


Registration No: 023081005

Session: 2008-2009

A Thesis submitted in partial fulfillment of the requirements for the degree of

Master of Science in Communication Engineering



December 2009
This thesis is submitted to the Department of Electrical and Electronics Engineering at United International

University Institute of Technology in partial fulfillment of the requirements for the degree of Master of

Science in Communication Engineering.

Contact Information:


Nargis Begam

E-mail: takiadnan


Dr. Khawza I Ahmed

E- mail-

Dept. of EEE, UIU

Nowadays the Worldwide Interoperability of Microwave Access (WiMAX) technology becomes popular
and receives growing acceptance as a Broadband Wireless Access (BWA) system. WiMAX has potential
success in its line-of-sight (LOS) and non line-of-sight (NLOS) conditions which operating below 11 GHz
frequency. There are going to be a surge all over the world for the deployment of WiMAX networks.
Estimation of channel model is very important in initial deployment of wireless network and cell planning.
In this thesis we compare and analyze of working performance of five channel models (i.e. COST 231 Hata
model, ECC-33 model, Egli_Urban_Rural model, Ad_Hoc_Los model, Okumara_Hata_Open_areas
model). The main concentration in this thesis is to find out a suitable model to provide guidelines for cell
planning of WiMAX at cellular frequency of 3.5 GHz. In this thesis work NCTUns network simulator has
been chosen because it is open sources, which enable to modify modules codes of software. This software
has a well developed graphical user interface, that others open source network simulators doesn't have.
WiMAX standard (IEEE 802.16) has been chosen because it is new compared to other wireless standards
of 802 family. With help of NCTUns the features of WiMAX was experimentally explored, collectively
reviewed NCTUns modeling vista.

Keywords: NCTUns, WiMAX, IEEE 802.16, Channel model.


All admires to Almighty ALLAH, the most gracious and the most merciful, who bequeathed me with

wellbeing and abilities to complete this project successfully.

I wish to express my deep gratefulness to my project supervisor Dr. Khawza I Ahmed for his continuous

heart and soul support to complete the project in the best possible way. He is always a source of inspiration

and motivation for me. His encouragement and support never faltered.

I give my especial thanks to the Faculty and Staff of the United International University (UIU), Dhaka,

Bangladesh, who have been supported me immensely during this research.

Finally, I am wildly grateful to my parent for their everlasting moral support and encouragements. It is to

them I dedicated this project.

Nargis Begam, December, 2009

List of Figures iii

List of Tables iv

Abbreviations v

1 Introduction 1

1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.2 Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

1.3 Aims and Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . 5

1.4 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

1.5 Thesis Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

1.6 Chapter Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2 Background Studies 9

2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2.2 Introduction to Wireless Networks . . . . . . . . . . . . . . . . . . . 9

2.2.1 Infrastructure Dependent Wireless Networks . . . . . . . . . 10

2.2.2 Ad hoc Wireless Networks . . . . . . . . . . . . . . . . . . . 11

2.3 Applications of Ad Hoc Networks . . . . . . . . . . . . . . . . . . . 12

2.3.1 Military Applications . . . . . . . . . . . . . . . . . . . . . . 13

2.3.2 Collaborative and Distributed Computing . . . . . . . . . . 13

2.3.3 Emergency Operations . . . . . . . . . . . . . . . . . . . . . 13

2.3.4 Wireless Mesh Networks . . . . . . . . . . . . . . . . . . . . 13

2.3.5 Wireless Sensor Networks . . . . . . . . . . . . . . . . . . . 14

2.4 Issues in Mobile Ad Hoc Networks . . . . . . . . . . . . . . . . . . . 14

2.4.1 Routing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

2.4.2 Topology Control . . . . . . . . . . . . . . . . . . . . . . . . 16

2.4.3 Self Organization . . . . . . . . . . . . . . . . . . . . . . . . 16

2.4.4 Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Chapter 1


1.1 Introduction

Nowadays people are enjoying wireless internet access for telephony, radio and television services when
they are in fixed, mobile or nomadic conditions. The rapid growth of wireless internet causes a demand for
high-speed access to the World Wide Web. The IEEE 802.16 working group brought out a new broadband
wireless access technology called WiMAX meaning Worldwide Interoperability for Microwave Access.
Broadband Wireless Access (BWA) systems have potential operation benefits in Line-of-sight (LOS) and
Non-line-of-sight (NLOS) conditions, operating below 11 GHz frequency. During the initial phase of
network planning, propagation models are extensively used for conducting feasibility studies. There are
numerous propagation models available to predict the path loss (e.g. Okumura Model, Hata Model), but
they are inclined to be limited to the lower frequency bands (up to 2 GHz). In this thesis we compare and
analyze five channel models (i.e. COST 231 Hata model, ECC-33 model, Egli_Urban_Rural model,
Ad_Hoc_Los model, Okumara_Hata_Open_areas model Okumara_Hata_Medium_Urban Areas model,)
which have been proposed for frequency at 3.5 GHz in urban and suburban and rural environments. in
different receiver antenna heights.
1.5 Thesis Organization
This introductory chapter presents the motivation behind this thesis. It also gives
a brief overview and goal of the thesis. It considers some general topics that pro-
vide the context for the rest of the chapters in this dissertation.
Chapter 2 discusses the fundamental concepts of wireless ad hoc networks, their
application areas and design issues. It also gives a brief introduction to clustering
and mentions its importance in mobile ad hoc networks.
Chapter 3 studies the existing MANET clustering protocols. It categorizes the
clustering algorithms and discusses several algorithms from each category with
their relative advantages and disadvantages. It also gives a detailed description of
the existing clustering protocol Distributed Score Based Clustering Algorithm and
recognizes its deciencies along with some proposed solutions. The performance
of the proposed protocol will be compared against that of DSBCA.
Chapter 4 presents the new proposed protocol \Associativity Based Energy
Aware Stable Clustering Technique for Mobile Ad Hoc Networks" in
detail. The subsections of the chapter describe the basic idea of the protocol and
the various phases of the protocol.
Chapter 5 is the performance analysis of the proposed protocol. The chapter
starts by giving a detailed description of the simulation environment used to run
the protocol. Then in subsequent sections the protocol's performance evaluation
results and comparative analysis against DSBCA are presented. It was found
that the proposed algorithm performed better than DSBCA in terms of number
of clusterheads generated, number of realiations, average lifespan of clusters and
Introduction 8
message passing overhead.
Chapter 6 is the conclusion of this thesis report along with some words on future
1.6 Chapter Summary
This introductory chapter presents the motivation of this thesis. It also mentions
the aims and objectives of the thesis. The chapter ends by giving an organizational
overview of how the thesis is organized.

WiMAX Technology

2.1 Introduction
WiMAX is a telecommunication technology which means Worldwide Interoperability for Microwave
Access is defined by the WiMAX Forum [1]. It was formed in June 2001 to promote conformance and
interoperability of the IEEE 802.16 standard [2]. The Forum describes WiMAX as a standards-based
technology enabling the delivery of wireless broadband as an alternative to cable and DSL [5]. The
technology commonly named as WiMAX is a BFWA system with the goal of delivering last mile fixed,
nomadic, portable and mobile wireless connections on a metropolitan scale. The Physical (PHY) and
MAC-layers has been developed by the IEEE 802.16 Working Group for Broadband Wireless Access to
enable standardized development and deployment of broadband wireless networks in metropolitan areas.
This standard has been evolved beyond the PHY and MAC-layer to include an end-to-end network
architecture. The Mobile WiMAX Air Interface adopts Orthogonal Frequency Division Multiple Access
(OFDMA) for improved multi-path performance in non-line-of-sight environments. Scalable OFDMA (S-
OFDMA) has been introduced in the IEEE 802.16e [3] modification to support scalable channel
bandwidths from 1.25 MHz to 20 MHz. In December, 2005 the IEEE ratified the 802.16e improvement to
the 802.16 standard. This modification adds the features and attributes to the standard necessary to support
The IEEE 802.16 standard [7] or WiMAX defines the PHY and MAC layers to maintain multiple services
with point-to-multipoint and mesh broadband wireless access. The point-to-multipoint mode defines one-
hop communication between a base station (BS) and a subscriber station (SS), while the mesh mode allows
traffic to be directly exchanged and forwarded among neighboring SSs. IEEE 802.16 is initially designed
as an access technology for wireless metropolitan area network (WMAN). The first specification IEEE
802.16-2004 targets on fixed and nomadic accesses. In IEEE 802.16e-2005 amendment, the IEEE 802.16e
system (also is called Mobile WiMAX) further provides functions to facilitate mobile accesses.
In its original release the 802.16 standard addressed applications in licensed bands in the 10 to 66 GHz
frequency range. Subsequent amendments have extended the 802.16 air interface standard to cover non-line
of sight (NLOS) applications in licensed and unlicensed bands from 2 to 11 GHz bands. WiMAX-
compliant systems will provide a cost-effective fixed wireless alternative to conventional wire-line DSL
and cable in areas where those technologies are readily available. The ongoing evolution of IEEE 802.16
will expand the standard to address mobile applications thus enabling broadband access directly to
WiMAX-enabled portable devices ranging from smart phones and PDAs to notebook and laptop computers
the latest 802.16e amendment is supporting for mobility in WiMAX system.

2.1.2 802.16
Forming the base of the WiMAX technology is the IEEE Std. 802.16. Though originally intended as a
BFWA system serving as backhaul in PMP network architecture, it is undergoing revisions for the standard
to support different forms of mobility.
The current active standard 802.16-2004, for fixed installations [8], promote bandwidths of 70 Mbps or 2-
10 Mbps/user covering up to 10 Km2 [10].
The upcoming mobility amendment, 802.16e [9] adds support for nomadic roaming at vehicular speeds.
Data rates are envisioned at 2-3 Mbps/user for portable and 1-2 Mbps/user when mobile, covering an area
of 5 Km. Figure 2.1 on the page shows the layer coverage [11] of the 802.16 Standard and appendix B
contains a more detailed study of the MAC-layer. 802.16 were originally set to operate between a
frequency range of 10-66 GHz, thus sporting high capacity but requiring LOS. Amendments to this have
come in the form of support for frequencies below between 2-11 GHz and different physical layers.
The Orthogonal Frequency Division Multiplexing (OFDM)[12,Page-53] physical layer is one of the
physical formats supported in the standard and it enables better NLOS performance compared to single-
carrier and Code Division Multiple Access (CDMA). The 256 carrier ODFM format was chosen by
WiMAX Forum for the 802.16-2004 revision of the standard.
MAC Convergence Sub layer (Protocol Specific, i.e. ATM, Ethernet Internet Protocol)

(Packing, Fragmentation, ARQ, QoS)

MAC Privacy Sub layer

(Authentication, Key Exchange, Encryption)

Physical Layer

(OFDM, Ranging, Power Control, Tx, Rx)

Figure 2.1: Layering of IEEE Std. 802.16

The upcoming 802.16e standard goes a step further with Orthogonal Frequency Division Multiple Access

(OFDMA) [14], a variant of OFDM, which has the ability to assign a subset of the carriers to specific users.

This part of the standard is expected to be ratified during the fourth quarter of 2005, with commercial

networks available 2007 [13]. The MAC-layer is built to support IP, ATM3 [12,Page-269]and Ethernet

traffic through its convergence layer, with five levels of QoS at MAC level in the form of constant bit rate

grant, real time polling, enhanced real-time polling, non-real-time polling, and best effort. Up and downlink

can be allocated resources dynamically and has support for TDD and full/half FDD. MAC Packet Data

Units (PDU) can be of variable length, with support for concatenation and fragmentation, which is also

available to internal MAC-layer Service Data Units (SDU). This helps save overhead in headers as well as

utilizes bandwidth and meet QoS demands through packet resizing. Redundant header information can also

be omitted with use of Package Header Suppression (PHS) [8, Page23]. Terminals request QoS according

to their needs through a request/grant scheme, with the base station allocating bandwidth dynamically for

either user or services. Data traffic over the MAC-layer is programmed, rather than contention based such

as in the case of 802.11. However, ranging and certain types of bandwidth requests can be transmitted over

contention periods for increased flexibility and reduced latency. The MAC-layer also has a security sub

layer, performing encryption of MAC PDUs, authentication and encryption key exchange. Standard comes

in different flavors that resembles the 802.11 alphabet soup.

Table 2.1 on the facing page contains some of the variations of the 802.16 standard.

802.16 Ratified 2001. Core system in 10-66 GHz

802.16a January 2003. For systems using 11 GHz and below

802.16-2004 June 2003. Also known as 802.16d and contains 802.16a

and WiMAX Forum procedures/ profiles

802.16e Q4 2005. Support for nomadic roaming and

contains hand off procedures between 802.16
base stations

Table 2.2: The 802.16 Alphabet Soup

2.1.3 802.16e

The official date for standard ratification of the 802.16e Std. was set to October 2005 but

this has been belated and expected to take place sometime before the end of 2005. This

standard specifies roaming of subscriber stations between WiMAX base stations.

The current specification draft [9] adds a new scheduling service called extended real

time Polling Service (ertPS), which combines the efficiency of Unsolicited Grant Service

(UGS) and real time Polling Service (rtPS). It allows unsolicited bandwidth grants like

UGS, but with dynamic size like rtPS. This yields a services class supporting real-time

service flows with variable size data packets, suitable for Voice over IP (VoIP) with

silence suppression. The draft defines some previously reserved values in the 802.16-
2004 Std. and adds MAC-support for sleep/idle-mode for mobile subscriber stations,

paging, locating, and power saving classes and defines messages for handover

procedures. Besides a specified handover process the draft also adds two optional

handover modes, soft handover and fast base station switching, and defines procedures

such as neighbor scanning and topology advertisements. An issue troubling the 802.16e

Std. is the discussion of physical profiles. If the standard will use Scalable OFDMA

instead of the OFDM 256 FFT4 of the fixed version, there is a possibility that hardware

updates will be needed for base stations to handle both mobile and stationary subscribers.

However some equipment vendors do claim to support software upgrades from fixed to

802.16e [15, Page1]. The possibility of incompatibility could lead to caution of fixed

WiMAX deployment by operators to avoid the risk of costly upgrades between fixed and

mobile WiMAX deployments [15, Page2].

2.1.4 Network Architecture

With the IEEE Std. 802.16 limiting itself to PHY and MAC-layer, the WiMAX Forum is

developing an end-to-end network architecture [16, Page33], specifying the access/core

systems and its functionalities. It contains procedures and protocols for how the network

will support e.g. mobility, security, internetworking and authentication to a WiMAX

subscriber station.

A description of the network architecture is presented in the network reference model in

figure 2.2 is shown in this page. It contains entities such as (Mobile) Subscriber Stations

((M) SS), Access Aerie Network (ASN) and Connectivity Service Network (CSN). This

reference model also contains interfaces between the different entities. These interfaces
define procedures and protocols and serve as logical, rather than physical, links across the


Figure 2.2 illustrates the Network Reference Model (NRM), clearly identified reference

points for interconnection of the logical entities [4]. The figure depicts the key normative

reference points R1-R5. Each of the entities, MS, ASN and CSN represent a grouping of

functional entities. Each of these functions may be realized in a single physical device or

may be distributed over multiple physical devices.

Figure 2.2 the WiMAX Network Reference model

The grouping and distribution of functions into physical devices within a functional entity

(such as SN) is an implementation choice; a manufacturer may choose any physical

implementation of functions, either individually or in combination, as long as the

implementation meets the functional and interoperability requirements. The intent of the

NRM is to allow multiple implementation options for a given functional entity, and yet

achieve interoperability among different realizations of functional entities.

Interoperability is based on the definition of communication protocols and data plane

treatment between functional entities to achieve an overall end-to-end function, for

example, security or ability management. Thus, the functional entities on either side of a

reference point represent a collection of control and bearer plane end-points.

Figure 2.3 provides a more basic view of the many entities within the functional

groupings of ASN and CSN.

Figure 2.3: WiMAX Network IP-Based Architecture

The ASN is a logical boundary and represents a convenient way to describe aggregation
of functional entities and corresponding message flows associated with the access
services. The ASN represents a boundary for functional interoperability with WiMAX
clients, WiMAX connectivity service functions and aggregation of functions embodied
by different vendors. Mapping of functional entities to logical entities within ASNs as
depicted in the NRM may be performed in different ways. The WiMAX Forum is in the
process of network specifications in a manner that would allow a variety of vendor
implementations that are interoperable and suited for a wide diversity of deployment
Connectivity Service Network (CSN) is defined as a set of network functions that provide
IP connectivity services to the WiMAX subscriber(s). A CSN may comprise network elements such as
routers, AAA proxy/servers, user databases and Interworking gateway devices. A CSN may be deployed as
part of a Greenfield WiMAX Network Service Provider (NSP) or as part of an incumbent WiMAX NSP.

2.1.5 Topology Support

The WiMAX technology supports both 2-way PMP networks and a form of decentralized

network topology called mesh [8]. Mesh mode differs from PMP as in PMP mode the

SSs only talk to the BS and all traffic goes through the BS while in mesh mode all nodes

can communicate with each other either directly or by multi-hop routing through other

SSs. A system with access to a backhaul connection is called Mesh BS, while the

remaining systems are called Mesh SS. Even though the mesh has a system entitled the

Mesh BS, this system also has to coordinate broadcasts with other nodes.

A mesh can utilize two types of broadcast scheduling. With distributed scheduling,

systems within 2-hop radius of each other share schedules and cooperate to ensure

collision avoidance and resource grants

A centralized scheduling mesh relies on the Mesh BS to gather resource requests from

Mesh SSs within a certain range and allocate these with individual capacity. This
capacity is shared with other Mesh SSs whose data is relayed through the Mesh SSs

corresponding with the Mesh BS.

In mesh mode, QoS classification is done on a packet-by-packet basis rather than

associated with links as in the case of PMP mode. There exists thus only one link

between two communicating mesh nodes.

2.1.5 Access Service Network

The ASN consist of one or several ASN Gateways and base stations, supplying WiMAX radio coverage to

a geographical area. An ASN manages MAC access functionality such as paging, locating, Radio Resource

Management (RRM) and mobility between base stations.

The ASN thus serves as management of the WiMAX radio links only, leaving much of the high level

management to the CSN. The ASN can also be used as a proxy, as in the case of proxy Mobile IP (MIP).

The ASN is deployed by a business entity called Network Access Provider (NAP) which provides a

SS/MSS with L2 connectivity to a WiMAX radio network and connect users to Network Service Providers

(NSP) managing a CSN. The ASN Gateway serves as the interconnection between ASN and CSN. This

logical partition of the access network from the service network enables individual access networks to be

deployed, e.g. in the case of where several NAP can form cooperation or contractual roaming agreements

with each other or one or several NSP.

2.1.6 WiMAX Forum

WiMAX Forum is a non-profit organization that was founded in 2001 and has more than 290 members [13]

.The members of WIMAX Forum are a mixture of big and small companies all eager to take part of the

standardization and certification attempt.

See picture 2.3 for a map over layer harmonization and WiMAXs role.
IEEE 802.16 -2004 ETSI Hiperman WIMAX

H a r m o n i z e d
M A C l a y e r S y s t e m P r o f i l e s
D C LL a y e r

L a ry e H a r m o n i z e d C o n f o r m a n c e a n d
I n t e r o p r e t a b i l i t y

S C Pa H Y
P H LY a y e r r e q u i r e m e n t s

L a y e r
E T HS Ii p e r M A N
C o n f o r m a n c e S p e c s
L a y e r

L a y e r

C o n f o r m a n c e
S p e r c e s f e r e t no c e
E T HS iI p e r MP IA C N S
R e f e r et oEn c T e HS Ii p e r MP IA C N S

Figure 2.3 -Layer Harmonization and WiMAXs role.

The work of WiMAX Forum is to assure the interoperability and conformance among broadband wireless

access equipment based on the IEEE 802.16 and ETSI (European Telecommunications Standards Institute)

[17] Hiper-MAN standards. They strive towards combining the two standards and create a certification

process for products that are interoperable with the WiMAX technology.

To accomplish this forum works closely with the development team of 802.16 and people from companies

within areas such as system integration, equipment manufacturing and applications [18]. WiMAX Forum

completed their work on test scripts used for examining the interoperability with the WIMAX technology

in May 2005 and their certification lab opened in July 2005. During August 2005 the first product tests with

hardware were performed and they count on having the first certified product at the end of 2005 [13]. The

IEEE 802.16e standard is assumed to be approved in the last quarter of 2005 and the WiMAX Forum aims

for certification testing to start in the third quarter of 2006 [13].

WiMAX is a wireless broadband solution that offers a prosperous set of features with a lot of suppleness in

terms of deployment options and potential service offerings. Some of the more significant features [6]

supported by WiMAX are:

a) Quality of Service (QoS): The basic foundation of the IEEE 802.16 MAC architecture is QoS.
The WiMAX MAC layer has a connection-oriented architecture that is designed to support a

variety of applications, including voice and multimedia services. The system offers support for

constant bit rate, variable bit rate, real-time, and non-real-time traffic flows, in addition to best-

effort data traffic. WiMAX MAC is designed to support a large number of users, with multiple

connections per terminal additionally, sub channelization and MAP-based signaling schemes

provide a flexible mechanism for optimal scheduling of space, frequency and time resources over

the air interface on a frame-by-frame basis.

b) Scalability: Mobile WiMAX technology is designed to be able to scale to work in different

channelization from 1.25 to 20 MHz to comply with varied worldwide requirements. WiMAX has

a scalable physical-layer architecture that allows for the data rate to scale easily with available

channel bandwidth. This scalability is supported in the OFDMA mode, where the FFT (fast fourier

transform) size may be scaled based on the available channel bandwidth. For example, a WiMAX

system may use 128-bit, 512- bit, or 1,048-bit FFTs based on whether the channel bandwidth is

1.25MHz, 5MHz, or 10M Hz, correspondingly. This scaling may be done vigorously to support

user roaming across different networks that may have different bandwidth allocations.

c) High Data Rates: The inclusion of MIMO antenna techniques along with flexible sub-
channelization schemes, advanced coding and modulation all enable the Mobile WiMAX

technology to support peak downlink (DL) data rates up to 63 Mbps per sector and peak uplink

(UL) data rates up It is initiated the functions of MAC and PHY layers in the next subsections.

WiMAX is capable of supporting very high peak data rates. In fact, the peak PHY data rate can be

as high as 74Mbps when operating using a 20MHz wide spectrum. More typically, using a 10MHz

spectrum operating using TDD scheme with a 3:1 downlink-to-uplink ratio, the peak PHY data
rate is about 25Mbps and 6.7Mbps for the downlink and the uplink, respectively. These peak PHY

data rates are achieved when using 64 QAM modulation with rate 5/6 error-correction coding.

Under very good signal conditions, even higher peak rates may be achieved using multiple

antennas and spatial multiplexing.

d) Orthogonal frequency division multiple access (OFDMA): Mobile WiMAX uses OFDM as a
multiple-access technique, whereby different users can be allocated different subsets of the OFDM

tones. As discussed in detail in Chapter 6, OFDMA facilitates the exploitation of frequency

diversity and multi-user diversity to significantly improve the system capacity.

e) Support for mobility: The mobile WiMAX variant of the system has mechanisms to support
secure seamless handovers for delay-tolerant full-mobility applications, such as VoIP. The system

also has built-in support for power-saving mechanisms that extend the battery life of handheld

subscriber devices. Physical-layer enhancements, such as more frequent channel estimation,

uplink sub channelization, and power control, are also specified in support of mobile applications.

f) Support for FDD and TDD: IEEE 802.16-2004 and IEEE 802.16e-2005 supports both time
division duplexing and frequency division duplexing, as well as a half-duplex FDD, which allows

for a low-cost system implementation. TDD is favored by a majority of implementations because

of its advantages: (1) flexibility in choosing uplink-to-downlink data rate ratios, (2) ability to

exploit channel reciprocity, (3) ability to implement in non paired spectrum, and (4) less complex

transceiver design. All the initial WiMAX profiles are based on TDD, except for two fixed

WiMAX profiles in 3.5GHz.

g) OFDM-based physical layer: The WiMAX physical layer (PHY) is based on orthogonal
frequency division multiplexing, a scheme that offers good resistance to multipath, and allows

WiMAX to operate in NLOS conditions. OFDM is now widely recognized as the method of

choice for mitigating multipath for broadband wireless.

h) Support for advanced antenna techniques: The WiMAX solution has a number of hooks built
into the physical-layer design, which allows for the use of multiple-antenna techniques, such as

beam forming, space-time coding, and spatial multiplexing. These schemes can be used to
improve the overall system capacity and spectral efficiency by deploying multiple antennas at the

transmitter and/or the receiver.

i) Security: WiMAX supports strong encryption, using Advanced Encryption Standard (AES), and
has a robust privacy and key-management protocol. The system also offers a 2.3 WiMAX

Physical Layer 39 very flexible authentication architecture based on Extensible Authentication

Protocol (EAP), which allows for a variety of user credentials, including username/password,

digital certificates, The features provided for Mobile WiMAX security aspects are best in class

with EAP-based authentication, AES-CCM-based authenticated encryption, and CMAC and

HMAC based control message protection schemes. Support for a diverse set of user credentials

exists including; SIM/USIM cards, Smart Cards, Digital Certificates, and Username/Password

schemes based on the relevant EAP methods for the credential type.

j) IP-based architecture: The WiMAX Forum has defined reference network architecture that is
based on an all-IP platform. All end-to-end services are delivered over IP architecture relying on

IP-based protocols for end-to-end transport, QoS, session management, security, and mobility.

Reliance on IP allows WiMAX to ride the declining cost curves of IP processing, facilitate easy

convergence with other networks, and exploit the rich ecosystem for application development that

exists for IP and smart cards.

k) Link-layer retransmissions: For connections that require enhanced reliability, WiMAX supports
automatic retransmission requests (ARQ) at the link layer. ARQ-enabled connections require each

transmitted packet to be acknowledged by the receiver; unacknowledged packets are assumed to

be lost and are retransmitted. WiMAX also optionally supports hybrid-ARQ, which is an effective

hybrid between FEC and ARQ.

l) Adaptive modulation and coding (AMC): WiMAX supports a number of modulation and
forward error correction (FEC) coding schemes and allows the scheme to be changed on per user

and per frame basis, based on channel conditions. AMC is an effective mechanism to maximize

throughput in a time-varying channel. Initial WiMAX profiles do not include 20MHz support;

74Mbps is combined uplink/downlink PHY throughput.

m) Flexible user resource allocation: Both uplink and downlink resource allocation are controlled
by a scheduler in the base station. Capacity is shared among multiple users on a demand basis,

using a burst TDM scheme. When using the OFDMA-PHY mode, multiplexing is additionally

done in the frequency dimension, by allocating different subsets of OFDM sub carriers to different

users. Resources may be allocated in the spatial domain as well when using the optional advanced

antenna systems (AAS). The standard allows for bandwidth resources to be allocated in time,

frequency, and space and has a flexible mechanism to convey the resource allocation information

on a frame-by-frame basis.


The WiMAX physical layer is based on orthogonal frequency division multiplexing. Physical layer was

defined for a wide range of frequency from 2 up to 66 GHz. In sub-range 10-66 GHz system is an

assumption of Line-Of-Sight propagation. In this scheme single carrier modulation was chosen, because of

low complexity of system. Downlink channel is shared among users with TDM signals. Subscriber unit are

being allocated individual time slots. Access in uplink is being realized with TDMA. Channel bandwidths

are 20 or 25 MHz in USA and 28MHz (Europe). Duplex can be realized with either TDD or FDD scheme.

In the 2-11 GHz bands communication can be achieved for licensed and non-licensed bands. The

communication is also available in NLOS conditions. The 802.16a Draft3 air interface specification

describes three formats:

a) Single Carrier modulation (SC)

b) OFDM with 256 point transforms

c) OFDMA with 2048 point transforms

The Forward Error Correction (FEC) is used with Reed-Salomon Codes GF (256). It is also parried inner

block convolution code to robustly transmit critical data, like Frame Control or Initial Access. When a

CSMA/CA based wireless LAN has fewer than 10 users per access point, the network experiences little

contention for use of airtime. Occasional packet collisions occur, and they require back-off and
retransmissions, but the resulting overhead does not waste a significant amount of bandwidth. If the number

of CSMA/CA access point users goes up to dozens or hundreds of users, many more users tend to collide,

back-off and retransmit data. In such an environment, average network loading factors can easily raise past

20 to 30 percent and users notice delaysespecially in streaming-media services. WiMAX avoids such

issues by using a grant-request mechanism that allocates a small portion of each transmitted frame as a

contention slot. With this contention slot, a subscriber station can enter the network by asking the base

station to allocate an uplink (UL) slot. The base station evaluates the subscriber stations request in the

context of the subscribers service-level agreement and allocates a slot in which the subscriber station can

transmit (send UL packets).

Adaptive modulation allows WiMAX system to adjust channel modulation scheme, according to SNR ratio

in radio link. If good SNR is achieved, system can switch to the highest throughput modulation (64QAM).

If fading accord system can shift to other low-throughput modulation, but still not dropping connection.

Figure 2.4 shows the various functional stages of a WiMAX PHY layer. The first set of functional stages is

related to forward error correction (FEC), and includes channel encoding, rate matching (puncturing or

repeating), interleaving, and symbol mapping. The next set of functional stages is related to the

construction of the OFDM symbol in the frequency domain. During this stage, data is mapped onto the

appropriate sub channels and sub carriers. Pilot symbols are inserted into the pilot sub carrier, which allows

the receiver to estimate and track the channel state information (CSI). This stage is also responsible for any

space/time encoding for transmit diversity or MIMO, if implemented. The final set of functions is related to

the conversion of the OFDM symbol from the frequency domain to the time domain and eventually to an

analog signal that can be transmitted over the air.

D i g i t a l
A n a l o g
D o m a i n
D o m a i n

S u
b c a r r i e r
A l l o c a t i o n
+ P i l oI Ft F TD / A
A n t e n n a 1
I n s e r t i o n

C h a n n e l
S y m S b po al c e / T i m e
E n c o d I e n r t +e Rr l ae a v e r
M a p pE e n r c o d e r
t e M a t c h i n g

S u b c a r r i e r
A l l o c a t i o n
+ P i l Io Ft F TD / A
I n s e r t i o n A n t e n n a 2

F r e q u T e i n m c ey
D o m a Di no m a i n

Figure 2.4 Functional stages of WiMAX Physical Layer

Although Figure 2.4 shows only the logical components of a transmitter, similar components also exist at

the receiver, in reverse order, to reconstruct the transmitted information sequence. Like all other standards,

only the components of the transmitter are specified; the components of the receiver are left up to the

equipment manufacturer to implement.

2.2.1 Physical layer of 802.16

IEEE 802.16 defines several Physical (PHY) layer specifications for deferent frequency ranges and

applications. For example, Orthogonal frequency division modulation (OFDM) is used for non-line-of-sight

(NLOS) operations in the frequency bands below 11 GHz. By extending the OFDM technology, orthogonal

frequency division multiple access (OFDMA) allows one channel to be shared by multiple users. The IEEE

802.16 standard defines a set of adaptive modulation and coding rate configurations that can be used to

operate of data rate against system strength under various wireless propagation and interference conditions.
The allowed modulation types are binary phase shift keying (BPSK), quadrature phase shift keying

(QPSK), 16-quadrature amplitude modulation (16QAM), and 64QAM [11].

Several duplexing technologies are provided in IEEE 802.16. In time division duplex (TDD), a WiMAX

frame consists of a downlink (DL) sub frame and an uplink (UL) sub frame and a short transition gap is

placed between the DL and UL sub frames for receive and transmission transitions in the radio. The gap

between the downlink burst and the subsequent uplink burst is called transmit/receive transition gap (TTG).

The gap between the uplink and the subsequent downlink is called receive/transmit transition gap (RTG).

The duration of OFDM symbol includes the useful symbol time and a prefix. In OFDM, all users within the

same cell or sector use orthogonal sub carriers to carry the OFDM symbols. The OFDM symbol uses a

fixed-length cyclic prefix (CP) to counteract the intersymbol interference. The ratio of the CP length to the

useful symbol time is defined as the guard interval, which is used by the receiver to collect signals from

multiple paths and improve system performance.

The WiMAX physical layer is based on orthogonal frequency division multiplexing (OFDM). OFDM is the

transmission scheme of choice to enable high-speed data, video, and multimedia communications and is

used by a variety of commercial broadband systems, including DSL, Wi- Fi, Digital Video Broadcast-

Handheld (DVBH), and MediaFLO, besides WiMAX. OFDM is an elegant and efficient scheme for high

data rate transmission in a non-line-of-sight or multipath radio environment.

OFDM enjoys several advantages over other solutions for high-speed transmission

a) Reduced computational complexity: OFDM can be easily implemented using Fast Fourier Transform

(FFT) / Inverse Fast Fourier Transform (IFFT), and the computational complexity of OFDM can be shown

to be O (BlogBTm), where B is the bandwidth and Tm is the delay spread. This complexity is much lower

than that of a standard equalizer-based system, which has a complexity O (B2 Tm).

b) Graceful degradation of performance under excess delay: The performance of an OFDM system

degrades gracefully as the delay spread exceeds the value designed for. Greater coding and low

constellation sizes can be used to provide fall-back rates that are significantly more robust against delay

spread. Adaptive modulation and coding, which allows the system to make the best of the available channel

c) Use as a multi-access scheme: OFDM can be used as a multi-access scheme, where different tones are

partitioned among multiple users. This scheme is referred to as OFDMA and is exploited in mobile

WiMAX. This scheme also offers the ability to provide fine granularity in channel allocation. In relatively

slow time-varying channels, it is possible to significantly enhance the capacity by adapting the data rate per

subscriber according to the signal-to-noise ratio of that particular sub carrier.

2.2.2 Physical Layer of 802.16e

In Mobile WiMAX, the FFT size is scalable from 128 to 2,048. Here, when the available bandwidth

increases, the FFT size is also increased such that the sub carrier spacing is always 10.94 kHz. This keeps

the OFDM symbol duration, which is the basic resource unit, fixed and therefore makes scaling have

minimal impact on higher layers. A scalable design also keeps the costs low. The sub carrier spacing of

10.94 kHz was chosen as a good balance between satisfying the delay spread and Doppler spread

requirements for operating in mixed fixed and mobile environments. This sub carrier spacing can support

delay-spread values up to 20s and vehicular mobility up to 125 kmph when operating in 3.5GHz. A sub

carrier spacing of 10.94 kHz implies that 128, 512, 1,024, and 2,048 FFT are used when the channel

bandwidth is 1.25MHz, 5MHz, 10MHz, and 20MHz, respectively.

2.2.3 OFDMA Basics

Orthogonal Frequency Division Multiplexing (OFDM) is a multiplexing technique that subdivides the

bandwidth into multiple frequency sub-carriers as shown in Figure 2.5 in an OFDM system, the input data

stream is divided into several parallel sub-streams of reduced data rate (thus increased symbol duration)

and each sub-stream is modulated and transmitted on a separate orthogonal sub-carrier.

R e c pe iu v l e s e
T r a n s m i t P u l s e S h a p e i- j n w 0 t g
M a t c h e d F i l t e
ej w0 t

g * (t ) - 0(t)
a 0(t) g (t) M u l t i p a t h
- j w1 t
C h a n n e el
ej w1 t

g * (t ) -
a 1(t) g (t) + h t )( 1(t)

e -j wN - 1 t
ej wN -1 t

a N - 1( t ) g * (t ) - N - 1( t )
g (t)
Figure 2.5: Basic Architecture of an OFDM System

The increased symbol duration improves the robustness of OFDM to delay spread. Furthermore, the

introduction of the cyclic prefix (CP) can completely eliminate Inter-Symbol Interference (ISI) as long as

the CP duration is longer than the channel delay spread. The CP is typically a repetition of the last samples

of data portion of the block that is appended to the beginning of the data payload as shown in the next page

in Figure 2.6.

Figure 2.6: Basic Architecture of an OFDM System

The CP prevents inter-block interference and makes the channel appear circular and permits low-

complexity frequency domain equalization. A perceived drawback of CP is that it introduces overhead,

which effectively reduces bandwidth efficiency. While the CP does reduce bandwidth efficiency somewhat,
the impact of the CP is similar to the roll-off factor in raised-cosine filtered single-carrier systems. Since

OFDM has a very sharp, almost brick-wall spectrum, a large fraction of the allocated channel bandwidth

can be utilized for data transmission, which helps to moderate the loss in efficiency due to the cyclic prefix.

OFDM exploits the frequency diversity of the multipath channel by coding and interleaving the information

across the sub-carriers prior to transmissions. OFDM modulation can be realized with efficient Inverse Fast

Fourier Transform (IFFT), which enables a large number of sub-carriers (up to 2048) with low complexity.

In an OFDM system, resources are available in the time domain by means of OFDM symbols and in the

frequency domain by means of sub-carriers. The time and frequency resources can be organized into sub-

channels for allocation to individual users. Orthogonal Frequency Division Multiple Access (OFDMA) is a

multiple-access/multiplexing scheme that provides multiplexing operation of data streams from multiple

users onto the downlink sub-channels and uplink multiple access by means of uplink sub-channels.

The available sub-carrier space is split into tiles and six (6) tiles, chosen from across the entire spectrum by

means of a re-arranging/permutation scheme, are grouped together to form a slot. The slot comprises 48

data sub-carriers and 24 pilot sub-carriers in 3 OFDM symbols.

The contiguous permutation groups a block of contiguous sub-carriers to form a sub channel. The

contiguous permutations include DL AMC and UL AMC, and have the same structure. A bin consists of 9

contiguous sub-carriers in a symbol, with 8 assigned for data and one assigned for a pilot. A slot in AMC is

defined as a collection of bins of the type (N x M = 6), where N is the number of contiguous bins and M is

the number of contiguous symbols. Thus the allowed combinations are [(6 bins, 1 symbol), (3 bins, 2

symbols), (2 bins, 3 symbols), (1 bin, 6 symbols)]. AMC permutation enables multi-user diversity by

choosing the sub-channel with the best frequency response. al, diversity sub-carrier permutations perform

well in mobile applications while contiguous sub-carrier permutations are well suited for fixed, portable, or

low mobility environments. These options enable the system designer to trade-off mobility for throughput. OFDMA Symbol Structure

The OFDMA symbol structure consists of three types of sub-carriers [4] as shown in Figure 2.7 [6]:
Data sub-carriers for data transmission

Pilot sub-carriers for estimation and synchronization purposes. The magnitude and phase of these

Pilot carriers are known to the receiver and they are used for channel estimation.

Null sub-carriers for no transmission; used for guard bands and DC carriers. There is no

transmitted energy on these Null carriers to enable the signal to naturally decompose and prevent

leakage of energy into adjacent channels

An OFDMA symbol consists of a number of carriers equal to the size of the Fourier transform [19].

To support multiple accesses, the data sub carriers are divided into groups that make up sub channels. The

sub carriers that make up a sub channel are distributed across all of the available carriers. Particular users

are allocated a number of different sub channels to send and receive data (see Figure 2.7).

Figure: 2.7 Frequency-domain representation of OFDM symbol Sub-Channelization
The subchannelization and desubchannelization modules map and demap the raw constellation data to

particular sub carriers within sub channels. A permutation formula maps the sub channels to physical sub

carriers in the OFDMA symbol. The formula varies for the uplink and downlink and for the FUSC and

PUSC modes.
The data and pilot sub carrier indexes are generated differently for the FUSC and PUSC modes:

Downlink FUSC:

Fixed and Variable pilot tones are added for each OFDMA symbol independently.

Remaining sub carriers are divided into sub channels that are used exclusively for data

Downlink PUSC and uplink PUSC:

the set of used sub carriers is partitioned into sub channels.

. Pilot sub carriers are allocated from within each sub channel.

In FUSC, there is one set of common pilot sub carriers; in PUSC, each sub channel contains its own set of

pilot sub carriers.

Users are allocated slots for data transfer and these slots represent the smallest possible data unit. A slot is

defined by a time and sub channel dimension and it varies depending on the following operating modes:

for downlink FUSC, one slot is a single sub channel by one OFDMA symbol

for downlink PUSC, one slot is a single sub channel by two OFDMA symbols.

for uplink PUSC, one slot is a single sub channel by three OFDMA symbols.

It is important to realize that in WiMAX, the sub carriers that constitute a sub channel can either be

adjacent to each other or distributed all over the frequency band, depending on the sub carrier

transformation mode [6]. A distributed sub carrier permutation provides better frequency diversity, whereas

an adjacent sub carrier distribution is more desirable for beam forming and allows the system to exploit

multi-user diversity. The various sub carrier permutation schemes allowed in IEEE 802.16e-2005.

There are two types of sub-carrier permutations for sub-channelization; diversity and contiguous [4]. The

diversity permutation draws sub-carriers pseudo-randomly to form a sub-channel. It provides frequency

diversity and inter-cell interference averaging. The diversity permutations include DL FUSC (Fully Used

Sub-Carrier), DL PUSC (Partially Used Sub-Carrier) and UL PUSC and additional optional permutations.

With DL PUSC, for each pair of OFDM symbols, the available or usable sub-carriers are grouped into

clusters containing 14 contiguous sub-carriers per symbol period, with pilot and data allocations in each

cluster in the even and odd symbols as shown in Figure 2.8.

Figure 2.8: DL Frequency Diverse Sub-Channel

A re-arranging scheme is used to form groups of clusters such that each group is made up of clusters that

are distributed throughout the sub-carrier space. A sub-channel in a group contains two (2) clusters and is

made up of 48 data sub-carriers and eight (8) pilot sub carriers. The data sub-carriers in each group are

further permutated to generate sub channels within the group. Therefore, only the pilot positions in the

cluster are shown in Figure [2.8]. The data sub-carriers in the cluster are distributed to multiple sub-

channels. Analogous to the cluster structure for DL, a tile structure is defined for the UL PUSC whose

format is shown in Figure [2.9].

Figure 2.9: Tile Structure for UL PUSC

The available sub-carrier space is split into tiles and six (6) tiles, chosen from across the entire spectrum by

means of a re-arranging/permutation scheme, are grouped together to form a slot. The slot comprises 48

data sub-carriers and 24 pilot sub-carriers in 3 OFDM symbols.

The contiguous permutation groups a block of contiguous sub-carriers to form a sub channel. The

contiguous permutations include DL AMC and UL AMC, and have the same structure. A bin consists of 9
contiguous sub-carriers in a symbol, with 8 assigned for data and one assigned for a pilot. A slot in AMC is

defined as a collection of bins of the type (N x M = 6), where N is the number of contiguous bins and M is

the number of contiguous symbols. Thus the allowed combinations are [(6 bins, 1 symbol), (3 bins, 2

symbols), (2 bins, 3 symbols), (1 bin, 6 symbols)]. AMC permutation enables multi-user diversity by

choosing the sub-channel with the best frequency response. In general, diversity sub-carrier permutations

perform well in mobile applications while contiguous sub-carrier permutations are well suited for fixed,

portable, or low mobility environments. These options enable the system designer to trade-off mobility for

throughput. Scalable OFDMA

The IEEE 802.16e-2005 Wireless MAN OFDMA mode is based on the concept of scalable OFDMA (S-

OFDMA). S-OFDMA supports a wide range of bandwidths to flexibly address the need for various

spectrum allocation and usage model requirements. The scalability is supported by adjusting the FFT size

while fixing the sub-carrier frequency spacing at 10.94 kHz. Since the resource unit sub-carrier bandwidth

and symbol duration is fixed, the impact to higher layers is minimal when scaling the bandwidth. The S-

OFDMA parameters are listed in Table 1. The system bandwidths for two of the initial planned profiles

being developed by the WiMAX Forum Technical Working Group for Release-1 are 5 and 10 MHz3

(highlighted in the table).

Table 2.10: OFDMA Scalability Parameters

2.2.4 TDD Frame Structure

The 802.16e PHY [3] supports TDD and Full and Half-Duplex FDD operation; however the initial release

of Mobile WiMAX certification profiles will only include TDD. With ongoing releases, FDD profiles will

be considered by the WiMAX Forum to address specific market opportunities where local spectrum

regulatory requirements either prohibit TDD or are more suitable for FDD deployments. To counter

interference issues, TDD does require system-wide synchronization; nevertheless, TDD is the preferred

duplexing mode for the following reasons:

TDD enables adjustment of the downlink/uplink ratio to efficiently support asymmetric

downlink/uplink traffic, while with FDD, downlink and uplink always have fixed and

generally, equal DL and UL bandwidths.

DD assures channel reciprocity for better support of link adaptation, MIMO and other closed loop

advanced antenna technologies.

Unlike FDD, which requires a pair of channels, TDD only requires a single channel for both

downlink and uplink providing greater flexibility for adaptation to different global spectrum


Transceiver designs for TDD implementations are less complex and therefore less expensive.
Figure [2.11] illustrates the OFDM frame structure for a Time Division Duplex (TDD) implementation.

Figure 2.11: WiMAX OFDMA Frame Structure

Each frame is divided into DL and UL sub-frames separated by Transmit/Receive and Receive/Transmit

Transition Gaps (TTG and RTG, respectively) to prevent DL and UL transmission collisions. In a frame,

the following control information is used to ensure optimal system operation:

Preamble: The preamble, used for synchronization, is the first OFDM symbol of the frame.

Frame Control Header (FCH): The FCH follows the preamble. It provides the frame configuration

information such as MAP message length and coding scheme and usable sub-channels.

DL-MAP and UL-MAP: The DL-MAP and UL-MAP provide sub-channel allocation and other

control information for the DL and UL sub-frames respectively.

UL Ranging: The UL ranging sub-channel is allocated for mobile stations (MS) to perform closed-

loop time, frequency, and power adjustment as well as bandwidth requests.

UL CQICH: The UL CQICH channel is allocated for the MS to feedback channel state


UL ACK: The UL ACK is allocated for the MS to feedback DL HARQ acknowledge.

2.2.5 Adaptive Modulation and Coding in WiMAX
WiMAX supports a variety of modulation and coding schemes and allows for the scheme to change on a

burst-by-burst basis per link, depending on channel conditions. Using the channel quality feedback

indicator, the mobile can provide the base station with feedback on the downlink channel quality. For the

uplink, the base station can estimate the channel quality, based on the received signal quality. The base

station scheduler can take into account the channel quality of each users uplink and downlink and assign a

modulation and coding scheme that maximizes the throughput for the available signal-to-noise ratio.

Adaptive modulation and coding radically increases the overall system capacity, as it allows real-time

trade-off between throughput and robustness on each link.

In this sub carrier permutation, nine adjacent sub carriers with eight data sub carriers and one pilot sub

carrier are used to form a bin, as shown in Figure 2.12.

Figure 2.12 Band AMC sub carrier permutation

Four adjacent bins in the frequency domain constitute a band. An AMC sub channel consists of six

contiguous bins from within the same band. Thus, an AMC sub channel can consist of one bin over six
consecutive symbols, two consecutive bins over three consecutive symbols or three consecutive bins over

two consecutive symbols.

2.2.6 Transmit Diversity and MIMO

Support for AAS (advanced antenna systems) is an integral part of the IEEE 802.16e-2005 and is intended

to provide significant improvement in the overall system capacity and spectral efficiency of the network.

Expected performance improvements in a WiMAX network owing to multiantenna technology, based on

link- and system-level simulations. In IEEE 802.16e-2005, AAS encompasses the use of multiple antennas

at the transmitter and the receiver for different purposes, such as diversity, beam forming, and spatial

multiplexing (SM). When AAS is used in the open-loop modethe transmitter does not know the CSI as

seen by the specific receiverthe multiple antennas can be used for diversity (space/time block coding),

spatial multiplexing, or any combination thereof. When AAS is used in closed-loop mode, the transmitter

knows the CSI, either due to channel reciprocity, in case of TDD, or to explicit feedback from the receiver,

in the case of FDD, the multiple antennas can be used for either beam forming or closed-loop MIMO, The

various transmit diversity and spatial-multiplexing schemes of IEEE 802.16e-2005 described in the

previous section do not require the transmitter to know the CSI for the receiver of interest. MIMO and

diversity schemes can benefit extensively if the CSI is known at the transmitter. CSI information at the

transmitter can be used to select the appropriate MIMO modenumber of transmit antennas, number of

simultaneous streams, and space/time encoding matrixas well as to calculate an optimum previous matrix

that maximizes system capacity. The CSI can be known at the transmitter due to channel reciprocity, in the

case of TDD, or by having a feedback channel, in the case of FDD. The uplink bandwidth required

providing the full CSI to the transmitterthe MIMO channel matrix for each sub carrier in a multi-user

FDD MIMO-OFDM systemis too large and thus impractical for a closed-loop FDD MIMO system. For

practical systems, it is possible only to send some form of quantized information in the uplink. The

framework for closed-loop MIMO in IEEE 802.16e-2005, as shown in Figure 2.12, consists of a space/time

encoding stage identical to an open-loop system and a MIMO previous stage. The MIMO previous matrix

in general is a complex matrix, with the number of rows equal to the number of transmit antennas and the
number of columns equal to the output of the space/time encoding block. The linear previous matrix

spatially mixes the various parallel streams among the various antennas, with appropriate amplitude and

phase adjustment.

In order to determine the appropriate amplitude and phases of the various weights, the transmitter requires

some feedback from the MS. In the case of closed-loop MIMO, the feedback falls broadly into two

categories: long-term feedback and short-term feedback. The long-term feedback provides information

related to the maximum number of parallel streams: the rank of the previous matrix to be used for DL


Figure 2.13 Closed-loop MIMO framework in IEEE 802.16e-2005

The short-term feedback provides information about the precoding matrix weights to be used. The IEEE

802.16e-2005 standard defines the following five mechanisms so that the BS can estimate the optimum

precoding matrix for closed-loop MIMO operations:

a) Codebook based feedback. The MS indicates to the BS the optimum precoding matrix to be
used, based on the entries of a predefined codebook.

b) . Antenna grouping. The MS indicates to the BS the optimum permutation of the order of the
various antennas to be used with the current space/time encoding matrix.

c) Antenna selection. The MS indicates to the BS which transmits antenna(s) should be used for
transmission in order to maximize the channel capacity and/or improve the link reliability.
d) Quantized channel feedback. The MS quantizes the MIMO channel and sends this information
to the BS, using the MIMO_FEEDBACK message. The BS can use the quantized MIMO channel

to calculate an optimum precoding matrix.

e) Channel sounding. The BS obtains exact information about the CSI of the MS by using a
dedicated and predetermined signal intended for channel sounding.

2.2.7 Ranging
In IEEE 802.16e-2005, ranging is an uplink physical layer procedure that maintains the quality and

reliability of the radio-link communication between the BS and the MS. When it receives the ranging

transmission from a MS, the BS processes the received signal to estimate various radio-link parameters,

such as channel impulse response, SINR, and time of arrival, which allows the BS to indicate to the MS

any adjustments in the transmit power level or the timing offset that it might need relative to the BS. Initial

and periodic ranging processes that allow the BS and the MS to perform time and power synchronization

with respect to each other during the initial network reentry and periodically, respectively are supported.

The ranging procedure involves the transmission of a predermined sequence, known as the ranging code,

repeated over two OFDM symbols using the ranging channel, as shown in Figure 2.13. For the purposes of

ranging, it is critical that no phase discontinuity6 occur at the OFDM symbol boundaries, even without

windowing, which is guaranteed by constructing the OFDM symbols in the manner shown in Figure 8.20.

The first OFDM symbol of the ranging sub channels is created like any normal OFDM symbol: performing

an IFFT operation on the ranging code and then appending, at the beginning, a segment of length Tg from

the end. The second OFDM symbol is created by performing an IFFT on the same ranging code and by

then appending, at the end, a segment of length Tg from the beginning of the symbol. Creating the second

OFDM symbol of the ranging sub channels in this manner guarantees that there is no phase discontinuity at

the boundary between the two consecutive symbols. During a ranging process, the BS determines the
parameters of ranging by correlating the received signal with an expected copy of the signal, which is

known by the BS a priori. In order for the correlation process to work over the entire ranging signal, which

spans multiple OFDM symbols, there must be no discontinuity of the signal across OFDM symbols.

Figure 2.14 Ranging Symbol Construction

The MS can optionally use two consecutive ranging codes transmitted over four OFDM symbol periods.

This option decreases the probability of failure and increases the ranging capacity to support larger

numbers of simultaneously ranging MSs. The four-symbol ranging also allows for a larger timing mismatch

between the BS and the SS, which might be useful when cell radii are very large. Typically, the ranging

channel comprises of six sub channels and up to five consecutive OFDM symbols, the indices of which in

the time and frequency domain are provided in the FCH (Frame Control Header) message. The ranging

channel may not be allocated in all uplink sub frames and is accordingly indicated in the FCH message.

To process an initial ranging request, a ranging code is repeated twice and transmitted in two repeated

OFDM symbols with no phase discontinuity between them. The ranging codes in IEEE 802.16e-2005 are

PN sequences of length 144 chosen from a set of 256 codes. Of the available codes the first N are for initial
ranging, the next M are for periodic ranging, the next O are for bandwidth request, and the last S are for

handover ranging. The values N, M, O, and S are decided by the BS and conveyed over the control

channels. During a specific ranging procedure, an MS randomly chooses one of the PN sequences allowed

by the BS. This ensures that even if two SSs collide during a ranging procedure they can be detected

separately by the MS owing to the pseudorandom nature of the ranging codes. The chosen PN sequence is

BPSK modulated and transmitted over the sub channels and OFDM symbols allocated for the ranging


2.2.8 Power Control

In order to maintain the quality of the radio link between the MS and the BS and to control the overall

system interference, a power-control mechanism is supported for the uplink with both initial calibration and

periodic adjustment procedure, without the loss of data. The BS uses the UL ranging channel transmissions

from various MSs to estimate the initial and periodic adjustments for power control. The BS uses dedicated

MAC managements messages to indicate to the MS the necessary power-level adjustments. Basic

requirements of the power-control mechanism are shown as follows.

Power control must be able to support power fluctuations at 30dB/s with depths of at least 10dB.

The BS accounts for the effect of various burst profiles on the amplifier saturation while issuing

the power-control commands. This is important, since the peak-to-average ratio (PAR) depends on

the burst profile, particularly the modulation.

The MS maintains the same transmitted power density, regardless of the number of active sub

channels assigned. Thus, when the number of allocated sub channels to a given MS is decreased or

increased, the transmit power level is proportionally decreased or increased without additional

power-control messages.

In order to maintain a power-spectral density and SINR at the receiver consistent with the modulation and

code rate in use, the BS can adjust the power level and/or the modulation and code rate of the

transmissions. In some situations, however, the MS can temporarily adjust its power level and modulation

and code rate without being instructed by the BS.

The MS reports to the BS the maximum available power and the transmitted power that may be used by the

BS for optimal assignment of the burst profile and the sub channels for UL transmissions.

The maximum available power reported for QPSK, 16 QAM and 64 QAM constellations must account for

any required back off owing to the PAR of these modulation constellations. On the downlink, there is no

explicit support provided for a closed-loop power control, and it is left up to the manufacturer to implement

a power-control mechanism, if so desired, based on the DL channel-quality feedback provided by the SS.

2.2.9 Channel-Quality Measurements

The downlink power-control process and modulation and code rate adaptation are based on such channel-

quality measurements as RSSI (received signal strength indicator) and SINR (signal-to interference- plus-

noise ratio) that the MS is required to provide to the BS on request. The MS uses the channel quality

feedback (CQI) to provide the BS with this information. Based on the CQI, the BS can either and/or:

Change modulation and/or coding rate for the transmissions: change the burst profile

Change the power level of the associated DL transmissions

Owing to the dynamic nature of the wireless channel, both the mean and the standard deviation of the RSSI

and SINR are included in the definition of CQI. The RSSI measurement as defined by the IEEE 802.16e-

2005 standard does not require the receiver to actively demodulate the signal, thus reducing the amount of

processing power required. When requested by the BS, the MS measures the instantaneous RSSI. A series

of measured instantaneous RSSI values are used to derive the mean and standard deviation of the RSSI.

The SINR measurements, unlike the RSSI measurement, require active demodulation of the signal and are

usually a better indicator of the true channel quality. Similar to the RSSI measurement

2.2.10 Summary for WiMAX Physical layer

Here it has been described the WiMAX Physical layer, based on the IEEE 802.16-2004 and IEEE 802.16e-

2005 standards. The level of detail provided should be sufficient to fully comprehend the nature of the
WiMAX physical layer and understand the various benefits and trade-offs associated with the various

options/modes of the WiMAX PHY layer.

The PHY layer of WiMAX can adapt seamlessly, depending on the channel, available spectrum,

and the application of the technology. Although the standard provides some guidance, the overall

choice of various PHY-level parameters is left to the discretion of the system designer. It is very

important for an equipment manufacturer and the service provider to understand the basic trade-

off associated with the choice of these parameters.

A unique feature of the WiMAX PHY layer is the choice of various sub carrier permutation

schemes which are summarized in Table 8.7. The system allows for both distributed and adjacent

sub carrier permutations for creating a sub channel. The distributed sub carrier mode provides

frequency diversity; the adjacent sub carrier mode provides multi-user diversity and is better

suited for beam forming.

The WiMAX PHY layer has been designed from the ground up for multiantenna support. The

multiple antennas can be used for diversity, beam forming, spatial multiplexing and various

combinations thereof. This key feature can enable WiMAX-based networks to have very high

capacity and high degree of reliability, both of which are shortcoming of current generations of

cellular wireless networks.

2.3 MAC (Media Access Control) LAYER

There are three sub layers in IEEE 802.16 [1] Media Access Control (MAC) layer: service-specific

convergence sub layer (CS), the MAC common part sub layer, and the security sub layer. The primary task

of the WiMAX MAC layer is to provide an interface between the higher transport layers and the physical

layer. The MAC layer takes packets from the upper layer. These packets are called MAC service data units

(MSDUs) and organize them into MAC protocol data units (MPDUs) for transmission over the air. The

IEEE 802.16-2004 and IEEE 802.16e-2005 MAC design includes a convergence sub layer that can

interface with a variety of higher-layer protocols, such as ATM, TDM Voice, Ethernet, IP, and any future

protocol. The convergence sub layer also supports MSDU header suppression to reduce the higher layer
overheads on each packet. The WiMAX MAC is designed from the ground up to support very high peak bit

rates while delivering quality of service similar to that of ATM and DOCSIS. The WiMAX MAC uses a

variable-length MPDU and offers a lot of flexibility to allow for their efficient transmission. For example,

multiple MPDUs of same or different lengths may be aggregated into a single burst to save PHY overhead.

Similarly, multiple MSDUs from the same higher-layer service may be concatenated into a single MPDU

to save MAC header overhead.

The service-specific CS performs packet classification, header suppression, and converts packets between

the upper layer and the MAC layer. The IEEE 802.16 currently supports packet CS and ATM CS to

interface with IP and ATM protocol layers, respectively. In IEEE 802.16, the connections between the SSs

and the BSs can be identified with unique connection identifications (CIDs). The packet CS may check the

IP or TCP/UDP header of a packet to determine its CID. Besides the CID mapping, the CS may perform

the optional payload header suppression to eliminate the unnecessary parts of the packets during the

transmission over the air interface.

The MAC common part sub layer provides the medium access, connection management, and QoS

functions that are independent of specific CSs. After the packets are processed by the CS, the MAC

common part may perform automatic repeat request (ARQ) for retransmitting lost packets.

ARQ is optional in IEEE 802.16 but is mandatory for IEEE 802.16e. In IEEE 802.16, QoS functions are

implemented in the MAC common part sub layer. Several service classes are defined to satisfy various QoS

requirements. For example, a VoIP connection is often associated with \unsolicited grant service" (UGS) to

support constant bit-rate (CBR) or CBR like owes with constant bandwidth allocation. According to the

QoS associated, the BS schedules radio resources with various scheduling disciplines, such as Round Robin

and First-in, First-out (FIFO).

The security sub layer provides privacy and protections .through encryption, decryption, and

authentication. In IEEE .802.16, an SS is requested to perform the authentication and authorization before

attaching to a WiMAX network. During the authorization procedure, the SS negotiates with the BS to

generate the session key. To perform packet encryption and decryption, each connection is linked with a

security association (SA), which contains the security information and settings such as encryption keys.

Packet encryption and decryption are exercised based on the information in the SA. Before accessing the
WiMAX network, an SS should perform a complete spectrum search and synchronize the time and

frequency with a BS through the ranging procedure. Then the SS starts the network entry procedure to

negotiate the capabilities with the BS and performs authorization process to generate the keys used between

the SS and the BS. Finally, the SS obtains an IP address from the BS, and establishes data connections with

the BS.

The 802.16 MAC protocol was designed for point-multi-point broadband wireless access. Access and

bandwidth allocation algorithms accommodate hundreds of user terminals per single channel. User

terminals may also be shared among much end-user equipment like phones or PCs. To support variety of

services, 802.16 needs to accommodate bursty and continuous traffic, with required QoS of every service.

All services, even those inherently connectionless, are mapped to co a connection. It provides mechanism

for required bandwidth, associating Grade of Service (GoS) and traffic parameters, transporting and routing

data to the appropriate sub layer. Connections are referred with 16-bit Connection Identifiers (CID) and

may require continuously bandwidth or band-on-demand.

Upon entering the network, three management connections are established, in both directions.

Every connection is used for different QoS connection type:

Basic connection used to transfer of short, time critical MAC and RLC messages

secondary management Connection used for transfer of standard-based protocols such as


Other types of connection, like connection reserved for broadcasting.

2.3.1 Adaptive modulation

Adaptive modulation allows WiMAX system to adjust channel modulation scheme, according to SNR ratio

in radio link [20]. If good SNR is achieved, system can switch to the highest throughput modulation

(64QAM). If fading accrue system can shift to other low-throughput modulation, but still not dropping

S N =R 6 d B

S N =R 9 d B
Figure 2.15. Adaptive modulation

1 6Q A M
S N =R 1 6 d B

2.3.2 Quality of

A service flow is a unidirectional

6 4Q A M flow of packets with a particular set

S N =R 2 2 d B
of QoS parameters and is identified

by a service flow identifier (SFID) [4]. By means of these and other auxiliary techniques of differentiating

between the application traffic requirements WiMAX provides provisions to deliver Quality of Service


With fast air link, asymmetric downlink/uplink capability, fine resource granularity and a flexible resource

allocation mechanism, Mobile WiMAX can meet QoS requirements for a wide range of data services and

applications. In the Mobile WiMAX MAC layer, QoS is provided via service flows as illustrated in Figure

2.16. This is a unidirectional flow of packets that is provided with a particular set of QoS parameters.
Figure 2.16: Mobile WiMAX QoS Support

Reliable QoS control is achieved by using a connection-oriented MAC architecture, where all downlink and

uplink connections are controlled by the serving BS. Before any data transmission happens, the BS and the

mobile station (MS) establish a unidirectional logical link, called a connection, between the two MAC-

layer peers. Each connection is identified by a connection identifier (CID), which serves as a temporary

address for data transmissions over the particular link. WiMAX also defines a concept of a service flow.

Before providing a certain type of data service, the base station and user-terminal first establish a

unidirectional logical link between the peer MACs called a connection. The outbound MAC then associates

packets traversing the MAC interface into a service flow to be delivered over the connection. The QoS

parameters associated with the service flow define the transmission ordering and scheduling on the air

The connection-oriented QoS therefore, can provide accurate control over the air interface. Since the air

interface is usually the bottleneck, the connection-oriented QoS can effectively enable the end-to-end QoS

control. The service flow parameters can be dynamically managed through MAC messages to

accommodate the dynamic service demand. The service flow based QoS mechanism applies to both DL

and UL to provide improved QoS in both directions.

2.3.3 MAC Scheduling Service

The Mobile WiMAX MAC scheduling service is designed to efficiently deliver broadband data services

including voice, data, and video over time varying broadband wireless channel. The MAC scheduling

service has the following properties that enable the broadband data service:

Dynamic Resource Allocation: The MAC supports frequency-time resource allocation in both DL

and UL on a per-frame basis. The resource allocation is delivered in MAP messages at the

beginning of each frame. Therefore, the resource allocation can be changed frame-by-frame in

response to traffic and channel conditions. Additionally, the amount of resource in each allocation

can range from one slot to the entire frame. The fast and fine granular resource allocation allows

superior QoS for data traffic.

Frequency Selective Scheduling: The scheduler can operate on different types of sub-channels.

For frequency-diverse sub-channels such as PUSC permutation, where sub-carriers in the sub-

channels are pseudo-randomly distributed across the bandwidth, sub-channels are of similar

quality. Frequency-diversity scheduling can support a QoS with fine granularity and flexible time-

frequency resource scheduling. With contiguous permutation such as AMC permutation, the sub-

channels may experience different attenuation. The frequency-selective scheduling can allocate

mobile users to their corresponding strongest sub-channels. The frequency-selective scheduling

can enhance system capacity with a moderate increase in CQI overhead in the UL [23].
Fast Data Scheduler: The MAC scheduler must efficiently allocate available resources in response

to bursty data traffic and time-varying channel conditions. The scheduler is located at each base

station to enable rapid response to traffic requirements and channel conditions. The data packets

are associated to service flows with well defined QoS parameters in the MAC layer so that the

scheduler can correctly determine the packet transmission ordering over the air interface. The

CQICH channel provides fast channel information feedback to enable the scheduler to choose the

appropriate coding and modulation for each allocation. The adaptive modulation/coding combined

with HARQ provide robust transmission over the time varying channel.

Scheduling for both DL and UL: The scheduling service is provided for both DL and UL traffic.

In order for the MAC scheduler to make an efficient resource allocation and provide the desired

QoS in the UL, the UL must feedback accurate and timely information as to the traffic conditions

and QoS requirements. Multiple uplink bandwidth request mechanisms, such as bandwidth request

through ranging channel, piggyback request and polling are designed to support UL bandwidth

requests. The UL service flow defines the feedback mechanism for each uplink connection to

ensure predictable UL scheduler behavior. Furthermore, with orthogonal UL sub-channels, there is

no intra-cell interference. UL scheduling can allocate resource more efficiently and better enforce


QoS Oriented: The MAC scheduler handles data transport on a connection-by connection basis.

Each connection is associated with a single data service with a set of QoS parameters that quantify

the aspects of its behavior. With the ability to dynamically allocate resources in both DL and UL,

the scheduler can provide superior QoS for both DL and UL traffic. Particularly with uplink

scheduling the uplink resource is more efficiently allocated, performance is more predictable,

and QoS is better enforced.

2.3.4 Power Management

Mobile WiMAX supports two modes for power efficient operation Sleep Mode and Idle Mode. Sleep

Mode is a state in which the MS conducts pre-negotiated periods of absence from the Serving Base Station

air interface. These periods are characterized by the unavailability of the MS, as observed from the Serving

Base Station, to DL or UL traffic. Sleep Mode is intended to minimize MS power usage and minimize the

usage of the Serving Base Station air interface resources. The Sleep Mode also provides flexibility for the

MS to scan other base stations to collect information to assist handoff during the Sleep Mode.

Idle Mode provides a mechanism for the MS to become periodically available for DL broadcast traffic

messaging without registration at a specific base station as the MS traverses an air link environment

populated by multiple base stations. Idle Mode benefits the MS by removing the requirement for handoff

and other normal operations and benefits the network and base station by eliminating air interface and

network handoff traffic from essentially inactive MSs while still providing a simple and timely method

(paging) for alerting the MS about pending DL traffic.

2.3.5 Mobility support [21]

Mobility support is the feature which is defined in 802.16e amendment for MAC layer. The basic handover

type is an inter-sector handover for multisector AP. Amendment describes flags that represent level of

handover information context that is shared. After [21], Optimization flags consequently enable modeling

of all possible handover scenarios from the most basic nomadic access scenario (where no network entry

context is shared between APs across a handover) to scenarios involving inter-subnet, inter-frequency

assignment, Idle mode, and interphysical AP handovers. The goal is to achieve more demanding features

like, Soft handover (with PHY layer macro diversity) and Fast Base Station Switchin, Figure 2.17. Mobility
scenarios for 802.16e currently being defined to support zero packet loss, low latency inter-sector


Figure 2.17 Mobility scenarios for 802.16e

Full mobility requires zero-low packet loss and low latency handovers that are acceptable to real-time

applications such as VoIP. Mobility management refers to micro-mobility and macro-mobility scenario.

Within the RAN, Intel recommends [22] the use of Multiprotocol Label Switching (MPLS). For macro

mobility they recommend the use of SIP mobility for real-time low-latency interactive applications such as

VoIP, and Mobile IP Battery life and handoff are two critical issues for mobile applications. Mobile
WiMAX supports Sleep Mode and Idle Mode to enable power-efficient MS operation. Mobile WiMAX

also supports seamless handoff to enable the MS to switch from one base station to another at vehicular

speeds without interrupting the connection.

2.3.6 Handoff
There are three handoff methods supported within the 802.16e standard Hard Handoff (HHO), Fast Base

Station Switching (FBSS) and Macro Diversity Handover (MDHO). Of these, the HHO is mandatory while

FBSS and MDHO are two optional modes. The WiMAX Forum has developed several techniques for

optimizing hard handoff within the framework of the 802.16e standard. These improvements have been

developed with the goal of keeping Layer 2 handoff delays to less than 50 milliseconds. When FBSS is

supported, the MS and BS maintain a list of BSs that are involved in FBSS with the MS. This set is called

an Active Set. In FBSS, the MS continuously monitors the base stations in the Active Set. Among the BSs

in the Active Set, an Anchor BS is defined. When operating in FBSS, the MS only communicates with the

Anchor BS for uplink and downlink messages including management and traffic connections. Transition

from one Anchor BS to another (i.e. BS switching) is performed without invocation of explicit HO

signaling messages. Anchor update procedures are enabled by communicating signal strength of the serving

BS via the CQI channel. A FBSS handover begins with a decision by an MS to receive or transmit data

from the Anchor BS that may change within the active set. The MS scans the neighbor BSs and selects

those that are suitable to be included in the active set. The MS reports the selected BSs and the active set

update procedure is performed by the BS and MS. The MS continuously monitors the signal strength of the

BSs that are in the active set and selects one BS from the set to be the Anchor BS. The MS reports the

selected Anchor BS on CQICH or MS initiated HO request message. An important requirement of FBSS is

that the data is simultaneously transmitted to all members of an active set of BSs that are able to serve the


For MSs and BSs that support MDHO, the MS and BS maintain an active set of BSs that are involved in

MDHO with the MS. Among the BSs in the active set, an Anchor BS is defined. The regular mode of

operation refers to a particular case of MDHO with the active set consisting of a single BS. When operating

in MDHO, the MS communicates with all BSs in the active set of uplink and downlink unicast messages
and traffic. A MDHO begins when a MS decides to transmit or receive unicast messages and traffic from

multiple BSs in the same time interval. For downlink MDHO, two or more BSs provide synchronized

transmission of MS downlink data such that diversity combining is performed at the MS. For uplink

MDHO, the transmission from a MS is received by multiple BSs where selection diversity of the

information received is performed.

2.3.7 Summary and Conclusions of MAC layer of WiMAX

Here it is described the MAC layer of WiMAX. Various features and functions of the MAC layer, such as

construction of PDUs, ARQ, the bandwidth-request mechanism, QoS control, mobility management, and

power saving were described.

The WiMAX MAC layer has been designed from ground up to provide a flexible and powerful

architecture that can efficiently support a variety of QoS requirements. WiMAX defines several

scheduling services, which handle and schedule data packets differently, based on their QoS


WiMAX has several optional features, such as sleep mode, idle mode, and a handover mechanism,

that can support mobility. The mobility-related features can be used to provide various levels of

handoff capability, starting from simple network-reentry-based handoff to full mobility as

supported by current cellular networks. These features can also be turned off or not implemented

if the network is to be optimized for fixed applications.

WiMAX also defines several powerful encryption and authentication schemes that allow for a

level of security comparable with that of wire line networks.



3.1 Introduction
NCTUns is a simulation tool which is very significant for communication engineering. It is a real-life

application program by which we can study of network behaviors and performance analysis. It is a method
that can be used to describe or predict how a system will operate given certain choices for the controllable

inputs and randomly generated values for the probabilistic inputs [1].

This network simulator is an open source that enables to modify modules codes of software for

communication engineering. This software has a well developed graphical user interface. Here, external

host (e.g., hubs or switches) has been used for data transmission. In this case real external data flows are

obtainable, which are directed to various types of networks in communication engineering. Regarding to

simulation results conclusions has been made.


NCTUns is developed by National ChiaoTung University [25]. NCTUns simulates the hardware

characteristics of network devices, the protocol stacks employed in these devices (e.g., the bridge learning

protocol used in a switch), and the implementation of application programs on these devices. This tool

provides network utility programs for communication engineering to make digital or hard copies for

personal or classroom. These topologies specify network parameters, monitoring traffic flows, gathering

statistics about a simulated network, etc.

Simulation is one of the most commonly used quantitative approaches to decision making. It is a method

for learning about a real system by experimenting with a model that represents the system. The simulation

model contains the mathematical expressions and logical relationships that describe how to compute the

value of the outputs given the values of the inputs. Any simulation model has two inputs: controllable

inputs and probabilistic inputs.

Simulation is not an optimization technique. It is a method that can be used to describe or predict how a

system will operate given certain choices for the controllable inputs and randomly generated values for the

probabilistic inputs [24].

NCTUns is a technique where a program simulates the behavior of a network. The program performs this

simulation either by calculating the interaction between the different virtual network entities (hosts/routers,
data links, packets, etc) using mathematical formulas, or actually capturing and playing back network

parameters from a real production network. Using this input, the behavior of the network and the various

applications and services it supports can be observed in a test lab. Various attributes of the environment can

also be modified in a controlled manner to asses these behaviors under different conditions. When a

simulation program is used in conjunction with live applications and services in order to observe end-to-

end performance to the user desktop, this technique is also referred to as network emulation.

Network simulators are used to predict the behavior of networks and applications under different situations.

Researchers use network simulators to see how their protocols would behave if deployed. It is typical to use

a network simulator to test routing protocols, MAC (Medium Access Control) protocols, transport

protocols, applications etc. Companies use simulators to design their networks or applications to get a feel

for how they will perform under current or projected real-world conditions.

3.3 Capabilities and Features of NCTUns

The NCTUns is a high-fidelity and extensible network simulator and emulator capable of simulating

various protocols used in both wired and wireless IP networks. Its core technology is based on the novel

kernel re-entering methodology invented by Prof. S.Y. Wang when he was pursuing his Ph.D. degree at

Harvard University. Due to this novel methodology, NCTUns provides many unique advantages that

cannot be easily achieved by traditional network [26]. In the following, we briefly explain its capabilities

and features.

It directly uses the real-life Linuxs TCP/IP protocol stack to generate recording method

simulation results. By using a novel kernel re-entering simulation methodology, a real-life UNIX

(e.g., Linux) kernels protocol stack can be directly used to generate high-fidelity simulation results.

It can use any real-life presented or to-be-developed UNIX application program as a traffic

generator program without any adjustment. Any real-life program can be run on a simulated

network to generate network traffic. This enables a researcher to test the functionality and

performance of a distributed application or system under various network conditions. Another

important advantage of this feature is that application programs developed during simulation studies
can be directly moved to and used on real-world UNIX machines after simulation studies are

finished. This eliminates the time and effort required to port a simulation prototype to a real-world

implementation if traditional network simulators are used.

It can use any real-life UNIX network configuration and monitoring tools. For example, the

UNIX route, ifconfig, netstat, tcpdump, traceroute commands can be run on a simulated network to

configure or monitor the simulated network.

Its setup and procedure of a simulated network and application programs are exactly the

same as those used in real-world IP networks. For example, each layer-3 interface has an IP

address assigned to it and application programs directly use these IP addresses to communicate with

each other. For this reason, any person who is familiar with real-world IP networks can easily learn

and operate NCTUns in a few minutes. For the same reason, NCTUns can be used as an educational

tool to teach students how to configure and operate a real-world network.

It simulates many special and new types of networks. The supported types include Ethernet-

based fixed Internet, IEEE 802.11(b) wireless LANs, mobile ad hoc (sensor) networks, GPRS

cellular networks, optical networks (including both circuit-switching and busrt-switching networks),

IEEE 802.11(b) dual-radio wireless mesh networks, IEEE 802.11(e) QoS wireless LANs, Planned

and active mobile ad hoc networks, and 3dB beam width 60-degree and 90-degree directional


It simulates different networking devices. For example, Ethernet hubs, switches, routers, hosts,

IEEE 802.11 (b) wireless stations and access points, WAN (for purposely

delaying/dropping/reordering packets), obstacle (block/attenuate wireless signal, block mobile

nodes movement, block mobile nodes views), GPRS base station, GPRS phone, GPRS GGSN,

GPRS SGSN, optical circuit switch, optical burst switch and boundary routers, IEEE 802.11(b) dual-

radio wireless mesh access point, IEEE 802.11(e) QoS access points and mobile stations, etc.

It can be used as an emulator. An external host in the real world can exchange packets (e.g., set

up a TCP connection) with nodes (e.g., host, router, or mobile station) in a network simulated by

NCTUns. Two external hosts in the real world can also replace their packets via a network simulated
by NCTUns. This feature is very useful as the function and performance of real-world devices can

be experienced under various simulated network conditions.

It simulates different protocols. For example, IEEE 802.3 CSMA/CD MAC, IEEE 802.11 (b)

CSMA/CA MAC, IEEE 802.11(e) QoS MAC, IEEE 802.11(b) wireless mesh network routing

protocol, learning bridge protocol, spanning tree protocol, IP, Mobile IP, RIP, OSPF, UDP, TCP,

RTP/RTCP/SDP, HTTP, FTP, Telnet, etc.

It simulates a network swiftly. By combining the kernel re-entering methodology with the

discrete-event simulation methodology, a simulation job can be finished quickly. It generates

repeatable simulation results. If the user fixes the random number seed for a simulation case, the

simulation results of a case are the same across different simulation runs even if there are some other

behavior (e.g., disk I/O) occurring on the simulation machine.

It provides a highly-integrated and specialized GUI environment. This GUI can help a user (1)

sketch network topologies, (2) construct the protocol modules used inside a node, (3) specify the

moving paths of mobile nodes, (4) plot network performance graphs, (5) playing back the animation

of a logged packet transfer trace, etc. All these operations can be easily and spontaneously done with

the GUI.

Its simulation engine adopts open-system architecture and is open source. By

using a set of module APIs provided by the simulation engine, a protocol developer

can easily implement his (her) protocol and integrate it into the simulation engine.

NCTUns uses a simple but effective syntax to describe the settings and

configurations of a simulation job. These descriptions are generated by the GUI and

stored in a suite of files. Normally the GUI will automatically transfer these files to

the simulation engine for execution. However, if a researcher wants to try his (her)

novel device or network configurations that the current GUI does not support, he

(she) can totally avoid the GUI and generate the suite of report files by himself
(herself) using any text editor (or script program). The non-GUI-generated suite of

files can then be manually fed to the simulation engine for execution.

It supports remote and concurrent simulations. NCTUns adopts a distributed

architecture. The GUI and simulation engine are separately implemented and use

the client-server model to communicate. Therefore, a remote user using the GUI

program can remotely submit his (her) simulation job to a server running the

simulation engine. The server will run the submitted simulation job and later return

the results back to the remote GUI program for analyses. This scheme can easily

support the cluster computing model in which multiple simulation jobs are

performed in parallel on different server machines. This can increase the total

simulation throughput.

The choice to use NCTUns has been made considering an assessment study of network simulators [40].

The main characteristics of the simulator that deserve to be mentioned are [33]:

Availability of a highly integrated GUI (Graphical User Interface).

Open source code.

The possibility of execute real world applications without modification.

The kernel re-entering method to use some real world protocol stack on the simulation/emulation,

such as TCP/IP and

Its discrete-event based simulation engine.

The availability of the source code was a crucial point to make a smooth integration, since the version of

the simulator/emulator without the proposed extension does not meet the requirements of emulating an

external and an internal network subsystem. The NCTUns network simulator is an open-source
simulator/emulator implemented mainly using C++. It is designed to run on Fedora Linux. The version

used in this study, NCTUns 5.0, runs on Fedora 9. The only proprietary part of the simulator is its GUI.

Despite of the fact that the GUI is not open to change, it was possible to create a successful solution. In the

next subsections we present some considerations, the general NCTUns architecture, and the extensions

necessary to achieve the proposed goal.

3.4 Mechanism and Design of NCTUns

NCTUns adopts a distributed architecture. For understanding the mechanism and design of NCTUns, need

to discuss many things. Here, briefly discuss the components which are helping to accepting the method

and propose of NCTUns [11].

Network topology. The GUI program is one of the component by which a user edits a network

topology, configures the protocol modules used inside a network node, specifies mobile nodes

initial location and moving paths, plots performance graphs, plays back the animation of a packet

transfer trace, etc.

Simulation engine program. The second component is the simulation engine program, which

provides basic and useful simulation services (e.g. event scheduling, timer organization, and

packet manipulation, etc.) to protocol modules a machine on which a simulation engine program.

Various protocol modules. The third component is the set of various protocol modules, each of

which implements a specific protocol or function (e.g., packet scheduling or buffer management).

All protocol modules are C++ classes and are compiled and linked with the simulation engine


Dispatcher program. The fourth component is the simulation job dispatcher program that can

simultaneously manage and use multiple simulation servers to increase the aggregate simulation

throughput. It can be run on a separate machine or on a simulation server.

Coordinator program. The fifth component is the coordinator program. On every simulation

server, the coordinator program must be run up. The coordinator should be alive as long as the

simulation server is alive. When a simulation server is powered on and brought up, the coordinator
must be run up. It will register itself with the dispatcher to join in the dispatchers simulation

server farm. When the status (idle or busy) of the simulation server changes, it will notify the

dispatcher of the new status.. During a simulation, the GUI user can also on-line set or get an

objects value (e.g., to query or set a switchs current switch table). Message exchanges that occur

between the simulation engine process and the GUI program are all relayed via the coordinator.

Kernel patches. The sixth component is the kernel patches that need to be made to the kernel

source code so that a simulation engine process can run on a UNIX machine correctly. Currently

NCTUns 5.0 runs on Red-Hats Fedora Core 9, whose kernel is Linux 2.6.25.

Real-life user-level application programs. The seventh component is the various real-life user-

level application programs. Due to the novel kernel-reentering simulation methodology, any real-

life existing or to-be developed application program can be directly run up on a simulated network

to generate realistic network traffic.

User-level daemons. The eighth component is the various user-level daemons that are run up for

the whole simulation case.

In this distributed design, a user can submit his (her) simulation job to a job dispatcher, and the dispatcher

will then forward the job to an available simulation server for completing. The server will process

(simulate) the job and later return the results back to the remote GUI program for further analyses. This

scheme can easily support the server farm model in which multiple simulation jobs are performed

concomitantly on different simulation servers.

In addition to the above multi-machine mode, another mode called the single machine mode is

supported. In such a mode, all of these components are installed and run on a single machine. Although in

this mode different simulation jobs cannot be run concurrently on different machines, since most users have

only one machine to run their simulations, this mode may be more appropriate for them. In fact, it is the

default mode after the NCTUns package is installed.

3.4.1 Considerations
The NCTUns network simulator is composed of several different modules as illustrated in Figure1. The

simulation engine is a user-level program and has complex functions. It functions like a small operating

system. Through a defined API (application programming interface), it provides useful and basic

simulation services for protocol modules. The services include virtual clock maintenance, timer

management, event scheduling, variable registration, script interpreter, and IPC (Inter-Process

Communication) interface. The simulation engine also manages all of the tools and daemons that are used

in a simulation case and decides when to start the programs, when to finish them, and when to run them.
Figure 3.1 shows an architecture diagram of NCTUns.
Figure 3.1 NCTUns architecture [6].

The most relevant parts of NCTUns are the virtual tunnel interfaces and the kernel modifications. A

detailed view of the mechanism of data exchange between two hosts is presented in Figure 3.2. It shows the

flow path that a packet takes when it is exchanged between two traffic generators via the module-based

platform. When the packet is read by the simulation engine from tunnel interface 1 (tun1), the packet

follows the trace of Figure 2 and then the simulation engine inserts it into tunnel interface 2 (tun2). Finally,

the kernel sends it to the traffic generator.

Figure 2 - Data exchange between two hosts [6].

NCTUns can act in simulation or emulation mode. To change between the two modes, it is necessary to

modify the speed setting. In the simulation settings menu, it is possible to choose between two speed

modes: As fast as possible or As fast as the real-world clock. Emulation cases work using the speed set

to As fast as real-world clock.

To add support for the simultaneous emulation of an internal and an external network, basically, we must

tunnel the packet coming from one network to another using the interfaces on the two networks to act as
interfaces of a router. In this way, only one interface of that new router is visible in each emulation case.

In the next subsection we present the modification of the architecture as well as the changes to the files on

the simulation cases.

3.4.2 Detailed design

When executing a simulation/emulation case, the NCTUns software generates some files that are used to

pass information to its modules/processes, such as the simulation engine and the modified kernel. As far as

this study is concerned, the most important files are the ones that describe the routes added to the routing

table and the IP addresses of real hosts and its corresponding simulated hosts in NCTUns. The bases of the

planned modifications are the already implemented features for using two classes of real equipments: hosts

and routers.

These features uses the concept of divert sockets [38]. The divert sockets enable IP packet interception and

injection on end systems as well as on routers. Packets are intercepted on an IP layer and can be made

available for user processes outside the kernel via a modified version of raw sockets. The most used

implementation of divert sockets [38][39][40] rely on the IP firewall mechanism for packet filtering, but

NCTUns has its own implementation.

In the version 5.0 of NCTUns, the packets are intercepted by a module in the kernel and are not forwarded

to user-space. The module itself handles the situation based on a configuration file present in each

emulation case, doing the network address translations.

3.5 Channel Model

Channel model is important to wireless network simulation. To model the physical characteristics of a

wireless channel more realistically, one should adopt a channel model suitable for the designed simulation

scenario, e.g., an open-space environment, a metropolitan road segment, or a mountainous area. NCTUns

supports plenty of channel models for more realistic wireless network simulations and provides a

convenient user interface to specify the parameters needed by a channel model.

In NCTUns, one has two approaches to choose and configure a channel model. The first approach is using

the Specify physical-layer and channel model parameters ( ) tool and has been introduced in the last

chapter. In this chapter,

we will explain the second approach: Using Node Editor to

choose a channel model to be used in simulation and specify

the parameters needed by the chosen channel model.

Choosing and Setting the Used Channel Model via Node


As one knows, the Node Editor can show all the protocol

modules of a node. In NCTUns 5, every wireless node is

forced to use the channel model (CM) module to simulate a

wireless channel. The CM module provides plenty of

wireless channel models that have been published and

validated in the literature, which are helpful to increase

simulation fidelity. In addition, it provides a unified and clear

interface to service physical-layer modules of different

wireless networks. As such, one can easily add a new

channel model for a specific network type and hook up a

channel model to a new network type.

The following figure shows the protocol stack of 802.11(b)

infrastructure-mode node. The circled module is the CM

module of this node.

One can double-click the icon of the CM module to invoke

the channel model setting dialog box shown as follows. On

the left of the dialog box is the parameter setting generic to

all of the channel models, such as fading variance, average

building height, average building distance, street width, path

loss exponent, shadowing standard deviation, close-in

reference distance, system loss, antenna height, and ricean


On the right of the dialog box is the channel model selection

column. One can choose the signal propagation channel

model that will be used in the simulation in this column.

NCTUns 5 categorizes the supported channel models into

two classes. One is the Theoretical Channel Model class,

which collects the channel models that are developed using

theoretical formulas. In this class, one should first select the

path-loss model that is intended to be used in the simulation

and then can optionally select a collaborative fading model

to more realistically simulate the fading effect. Currently,

NCTUns 5 supports three theoretical path-loss models,

which are listed as follows in sequence: Free_Space,

Two_Ray_Ground, and Free_Space_and_Shadowing

and three different fading models: no-fading (None),

Rayleigh Fading, and Ricean Fading.

The other model class is the Empircal Channel Model

class, which collects channel models that are developed

based on real-life measurement results. So far, NCTUns 5

supports 23 empirical channel models, e.g.,

LEE_Microcell, Okumura, COST_231_Hata, and so

forth. Users can choose one of them to simulate wireless

channels by choosing the items shown in the list.


In this chapter, we explain the importance of a wireless

channel and how these models are supported by NCTUns. In

addition, we illustrate how to choose and configure a

wireless channel via Node Editor.

A.1 Basic Concepts

A.1.1 Channel

The term channel refers to the medium between the transmitting antenna and the receiving antenna as

shown in Figure A.1.1

Base Station Subscriber Station

Figure A.1.1: Channel

The characteristics of wireless signal changes as it travels from the transmitter antenna to the receiver

antenna. These characteristics depend upon the distance between the two antennas, the path(s) taken

by the signal, and the environment (buildings and other objects) around the path. The profile of

received signal can be obtained from that of the transmitted signal if we have a model of the medium

between the two. This model of the medium is called channel model.

22. IEEE 802.16(e)

WiMAX Networks

The IEEE 802.16(e) specification defines a novel nextgeneration

broadband mobile wireless access network,

which amends the IEEE 802.16(d) standard released in year

2004. The 802.16(e) differs from the 802.16(d) in two

aspects. First, the 802.16(e) adopts the Orthogonal

Frequency Division Multiple Access (OFDMA) technology

to manage link bandwidth while the 802.16(d) uses the

Orthogonal Frequency Division Multiplexing (OFDM) to do

it. Second, the 802.16(e) adds several mechanisms, such as,

timing adjustment, continuous ranging, Mobile Station (MS)

handoff, etc., to support user mobility. NCTUns 5.0 supports

the IEEE 802.16(e) network. In this chapter, we present how

to conduct a simulation of an IEEE 802.16(e) network using

the GUI program.

IEEE 802.16(e) PMP Mode Concept

An IEEE 802.16(e) PMP-mode network is composed of two

types of nodes. The first is the Base Station (BS) ( ),

which is responsible for allocating network resources and

coordinating uplink transmissions, while the second is the

Mobile Station ( ), which is a mobile node that is

equipped with an 802.16(e) radio and can run application on

it. Since the IEEE 802.16(e) network is an All IP network,

to support user mobility, it employs the mobile IP scheme to

deal with the issues of user mobility at the network layer. The

following two figures show the dialog boxes of an 802.16(e)

BS node and an 802.16(e) MS node, respectively. The

detailed instructions for configuring Mobile IP for this

network can be found in the Mobile IP chapter.

The following figure illustrates an example of the IEEE

802.16(e) PMP network, which comprises three PMP BS

nodes and one PMP MS node. The three BS nodes manage

IEEE 802.16(e) PMP-mode Base Station

IEEE 802.16(e) PMP-mode Mobile Station

three different subnets, respectively. As such, they are interconnected

with routers. In this simulation case, the MS node

periodically transmits data packets to a host, which is

connected to this 802.16(e) network via a fixed line, and

moves towards the right at a constant speed.

Setting IEEE 802.16(e) PMP Networks

In the following, we show how to use the GUI program to

generate an IEEE 802.16(e) PMP network simulation case.

Insert PMP Nodes

To deploy an IEEE 802.16(e) PMP network, one can either

insert IEEE 802.16(e) PMP nodes one at a time or insert a

number of nodes in one single step by using the Insert

802.16(e) PMP Mode Nodes command. The path for

launching this command is Menu -> N_Tools -> 802.16(d)

Network -> 802.16(e) PMP Mode Nodes -> Insert

802.16(e) PMP Mode Nodes.

The following dialog box shows the layout of the Insert

802.16(e) PMP Mode Nodes command. As can be seen,

one can specify (1) the type and the number of the inserted

nodes, (2) the positions where the nodes will be placed, and

(3) the protocol-specific settings that are to be applied to

each node.

Specify and Manage IEEE 802.16(e) PMP Subnets

Like in the IEEE 802.16(d) mesh network, the GUI user

must use the form subnet tool ( ) to group a PMP BS

node and a number of PMP SS nodes together to form a

subnet. Doing so allows the GUI program to automatically

generate IP addresses of these nodes, saving the user much

time and effort. The created subnets can be managed via the

Subnet Management command, which is located at

Menu -> N_Tools -> 802.16(e) Network -> 802.16(e)

Subnets -> Manage 802.16(e) Subnets.

Set QoS Provision for Mobile Stations

The IEEE 802.16(e) network is QoS-aware. As such, before

starting simulation, one ought to specify the QoS provision

setting for each simulated MS node using the Set Qos

Provision for Mobile Stations command. The path of this

command is shown as follows: Menu -> N_Setting ->

802.16(e) Network -> Set Qos Provision for Mobile


The following figure shows the format of the MS node QoS

provision table. Note that the current IEEE 802.16(e) implementation

in NCTUns only supports the best-effort traffic

(Un-granted service). As such, the only parameter required

for each MS nodes QoS provision is the sustained rate (in

Kbps), which denotes the maximum link bandwidth that

this MS node is allowed to use.

IEEE 802.16(e) PMP Network Protocol Stack

The settings of IEEE 802.16(e)-related protocol modules can

be specified via the Node Editor. The following figure

shows the default protocol stack of an 802.16(e) BS node.

By double-clicking an icon of a module inside the protocol

stack, the dialog box for the module will be popped up. For

example, to specify the physical-layer parameters, such as

the channel ID, operating frequency, transmission power,

and the sensitivity for received signals, one can double-click

the OFDMA_PMPBS_WIMAX module icon to invoke its

dialog box, which is shown as follows.

The protocol stack of an IEEE 802.16(e) BS Node

The dialog box of the OFDMA_PMPBS_WIMAX module


In this chapter, we conceptually introduce the IEEE

802.16(e) network and present the steps required to

configure a network case of this new network type over

NCTUns. In addition, several useful commands and

important dialog boxes for this network type are also


3.6 Several Screenshots of NCTUns

Some screenshots of NCTUns are given in the next page to give readers a quick idea about NCTUns in

several cases of communication engineering.

Opening Screen

All time when a client launches the GUI program, the next starting screen in the next page will detonate up.

(a) (b)
Fig 4.1(a).The opening screen of NCTUns. (b) The blow up the network

Topology Editor

The topology editor provides a suitable and spontaneous way to graphically create a network topology.

This constructed network is a fixed wired network. For ITS applications, a road network can also be

(a) (b)

Fig 4.2: The screen of topology editor.

Characteristic Dialog Box

A network tool (node) has many attributes. Setting and modifying the attributes of a network node can be

easily done by double-clicking the icon of a network node. A characteristic dialog box can be explaining its


(a) (b)

Fig 4.3: The screen of characteristic dialog box.

Packet Animation Player

By using this packet moving picture, a packet transfer trace logged during a simulation can be replayed at a

particular speed. Both wired and wireless networks are supported. Here is shown for wired network. This

capability is very useful because it helps a researcher visually see and sort out the performance of a

network protocol. It is very useful for educational purposes because students can see the behavior of a


Fig 4.4: The packet animation player of NCTUns

Performance Monitor

This performance monitor can simply and graphically produce and present plots of some monitored

performance metrics over time. Because the format of its input data log file uses the general two-column (x,

y) format and the data is in plain text, the performance monitor can be used as an independent plotting tool.
Fig: The performance monitor of NCTUns


In this paper we propose extensions to NCTUns network simulator to allow the consistent
emulation for fixed wired network. The approach used to achieve such a goal can also
benefit other emulation cases, allowing large emulations to be divided into
smaller cases running on interconnected hosts, each one running an instance of NCTUns.
The important study is to test and discover the best traffic classifications and bandwidth
allocations for different types of system or scenario using the routers and the performance
A wireless ad hoc network consists of nodes that move freely and communicate with
each other using wireless links. Ad-hoc networks do not use specialized routers
for path discovery and trac routing. Instead intermediate nodes are required to
route packets between the source and the destination if they (the source and the
destination) are not directly connected. These intermediate nodes are mobile in
a mobile ad hoc network. One way to support ecient communication between
nodes is to develop a wireless backbone architecture; this means that certain nodes
must be selected to form the backbone. Over time, the backbone must change to
reect the changes in the network topology as nodes move around. The algorithm
that selects the members of the backbone should naturally be fast, but also should
require as little communication between nodes as possible, since mobile nodes are
often powered by batteries. One way to solve this problem is to group the nodes
into clusters, where one node in each cluster functions as a clusterhead, responsible
for ecient routing, resource management and other tasks.
each other using wireless links. Ad-hoc networks do not use specialized routers
for path discovery and trac routing. Instead intermediate nodes are required to
route packets between the source and the destination if they (the source and the
destination) are not directly connected. These