Part Two

WiMAX Physical Layer

WiMAX: Technology for Broadband Wireless Access Lout Nuaymi 2007 John Wiley & Sons, Ltd. ISBN: 0-470-02808-4

5
Digital Modulation, OFDM and OFDMA
5.1 Digital Modulations
As for all recent communication systems, WiMAX/802.16 uses digital modulation. The now well-known principle of a digital modulation is to modulate an analogue signal with a digital sequence in order to transport this digital sequence over a given medium: bre, radio link, etc. (see Figure 5.1). This has great advantages with regard to classical analogue modulation: better resistance to noise, use of high-performance digital communication and coding algorithms, etc. Many digital modulations can be used in a telecommunication system. The variants are obtained by adjusting the physical characteristics of a sinusoidal carrier, either the frequency, phase or amplitude, or a combination of some of these. Four modulations are supported by the IEEE 802.16 standard: BPSK, QPSK, 16-QAM and 64-QAM. In this section the modulations used in the OFDM and OFDMA PHYsical layers are introduced with a short explanation for each of these modulations.

5.1.1 Binary Phase Shift Keying (BPSK)

The BPSK is a binary digital modulation; i.e. one modulation symbol is one bit. This gives high immunity against noise and interference and a very robust modulation. A digital phase modulation, which is the case for BPSK modulation, uses phase variation to encode bits: each modulation symbol is equivalent to one phase. The phase of the BPSK modulated signal is or according to the value of the data bit. An often used illustration for digital modulation is the constellation. Figure 5.2 shows the BPSK constellation; the values that the signal phase can take are 0 or .

5.1.2 Quadrature Phase Shift Keying (QPSK)

When a higher spectral efciency modulation is needed, i.e. more b/s/Hz, greater modulation symbols can be used. For example, QPSK considers two-bit modulation symbols.
WiMAX: Technology for Broadband Wireless Access Lout Nuaymi 2007 John Wiley & Sons, Ltd. ISBN: 0-470-02808-4

46

WiMAX: Technology for Broadband Wireless Access

101000 Digital Signal

Digital Modulator Analog Signal

Figure 5.1

Digital modulation principle

I
b0 = 1 b0 = 0

Figure 5.2

The BPSK constellation

b0 0

I
1 1 0 b1

Figure 5.3

Example of a QPSK constellation

Table 5.1 shows the possible phase values as a function of the modulation symbol. Many variants of QPSK can be used but QPSK always has a four-point constellation (see Figure 5.3). The decision at the receiver, e.g. between symbol 00 and symbol 01, is less easy than a decision between 0 and 1. The QPSK modulation is therefore less noiseresistant than BPSK as it has a smaller immunity against interference. A well-known
Table 5.1 Possible phase values for QPSK modulation Even bits 0 1 1 0 Odd bits 0 0 1 1 Modulation symbol 00 01 11 10
{k

/4 3/4 5/4 7/4

Digital Modulation, OFDM and OFDMA

47

b2b1 b0 011 010 000 001 101 100 110 111

111 110 100 101 001 000 010 011 b5b4b3b

Figure 5.4

A 64-QAM constellation

digital communication principle must be kept in mind: A greater data symbol modulation is more spectrum efcient but also less robust.

5.1.3 Quadrature Amplitude Modulation (QAM): 16-QAM and 64-QAM

The QAM changes the amplitudes of two sinusoidal carriers depending on the digital sequence that must be transmitted; the two carriers being out of phase of /2, this amplitude modulation is called quadrature. It should be mentioned that according to digital communication theory, QAM-4 and QPSK are the same modulation (considering complex data symbols). Both 16-QAM (4 bits/modulation symbol) and 64-QAM (6 bits/modulation symbol) modulations are included in the IEEE 802.16 standard. The 64-QAM is the most efcient modulation of 802.16 (see Figure 5.4). Indeed, 6 bits are transmitted with each modulation symbol. The 64-QAM modulation is optional in some cases:

license-exempt bands, when the OFDM PHYsical Layer is used for OFDMA PHY, yet the Mobile WiMAX proles indicates that 64-QAM is mandatory in the downlink.

5.1.4 Link Adaptation

Having more than one modulation has a great advantage: link adaptation can be used (this process is also used in almost all other recent communication systems such as GSM/EDGE, UMTS, WiFi, etc.). The principle is rather simple: when the radio link is good, use a high-level modulation; when the radio link is bad, use a low-level, but also robust, modulation. Figure 5.5 shows this principle, illustrating the fact that the radio channel is better when an SS is close to the BS. Another dimension is added to this gure when the coding rate is also changed (see below).

5.2 OFDM Transmission

In 1966, Bell Labs proposed the Orthogonal Frequency Division Multiplexing (OFDM) patent. Later, in 1985, Cimini suggested its use in mobile communications. In 1997, ETSI included OFDM in the DVB-T system. In 1999, the WiFi WLAN variant IEEE 802.11g

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WiMAX: Technology for Broadband Wireless Access

BS1
64-QAM 2/3 21.33 Mb/s

16-QAM 1/2 10.67 Mb/s QPSK 1/2 5.33 Mb/S

Figure 5.5 Illustration of link adaptation. A good radio channel corresponds to a high-efciency Modulation and Coding Scheme (MCS)

considered OFDM for its PHYsical Layer. The purpose of this chapter is not to provide a complete reference for the OFDM theory and the associated mathematical proofs. Rather, the aim is to introduce the basic results needed for a minimum understanding of WiMAX. OFDM is a very powerful transmission technique. It is based on the principle of transmitting simultaneously many narrow-band orthogonal frequencies, often also called OFDM subcarriers or subcarriers. The number of subcarriers is often noted N. These frequencies are orthogonal to each other which (in theory) eliminates the interference between channels. Each frequency channel is modulated with a possibly different digital modulation (usually the same in the rst simple versions). The frequency bandwidth associated with each of these channels is then much smaller than if the total bandwidth was occupied by a single modulation. This is known as the Single Carrier (SC) (see Figure 5.6). A data symbol time is N times longer, with OFDM providing a much better multipath resistance. Having a smaller frequency bandwidth for each channel is equivalent to greater time periods and then better resistance to multipath propagation (with regard to the SC). Better resistance to multipath and the fact that the carriers are orthogonal allows a high spectral efciency. OFDM is often presented as the best performing transmission technique used for wireless systems.

5.2.1 Basic Principle: Use the IFFT Operator

The FFT is the Fast Fourier Transform operator. This is a matrix computation that allows the discrete Fourier transform to be computed (while respecting certain conditions). The

Digital Modulation, OFDM and OFDMA

49

SC (Single Carrier)

Data Symbols

Frequency Spectrum

Time

Frequency

OFDM

Data Symbols

Frequency Spectrum: N orthogonal Subcarriers

Time

Frequency

Figure 5.6 Time and frequency representation of the SC and OFDM. In OFDM, N data symbols are transmitted simultaneously on N orthogonal subcarriers

FFT works for any number of points. The operation is simpler when applied for a number N which is a power of 2 (e.g. N 256). The IFFT is the Inverse Fast Fourier Transform operator and realises the reverse operation. OFDM theory (see, for example, Reference [12]) shows that the IFFT of magnitude N, applied on N symbols, realises an OFDM signal, where each symbol is transmitted on one of the N orthogonal frequencies. The symbols are the data symbols of the type BPSK, QPSK, QAM-16 and QAM-64 introduced in the previous section. Figure 5.7 shows an illustration of the simplied principle of the generation of an OFDM signal. In fact, generation of this signal includes more details that are not shown here for the sake of simplicity.
Td Td [X0 ,X1 ,.,XN-1 ] Serial/ Parallel Conversion XN-1 X0 X1 OFDM Signal IFFT

Each (modulation) symbol is modulated with a possibly different modulation

Figure 5.7

Generation of an OFDM signal (simplied)

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WiMAX: Technology for Broadband Wireless Access

Figure 5.8

Presentation of the OFDM subcarrier frequency

If the duration of one transmitted modulation data symbol is Td, then Td 1/f, where f is the frequency bandwidth of the orthogonal frequencies. As the modulation symbols are transmitted simultaneously, Td duration of one OFDM symbol duration of one transmitted modulation data symbol.

This duration, f, the frequency distance between the maximums of two adjacent OFDM subcarriers, can be seen in Figure 5.8. This gure shows how the neighbouring OFDM subcarriers have values equal to zero at a given OFDM subcarrier maximum, which is why they are considered to be orthogonal. In fact, duration of the real OFDM symbol is a little greater due to the addition of the Cyclic Prex (CP).

5.2.2 Time Domain OFDM Considerations

After application of the IFFT, the OFDM theory requires that a Cyclic Prex (CP) must be added at the beginning of the OFDM symbol (see Figure 5.9). Without getting into

Figure 5.9

Cyclic Prex insertion in an OFDM symbol

Digital Modulation, OFDM and OFDMA

51

mathematical details of OFDM, it can be said that the CP allows the receiver to absorb much more efciently the delay spread due to the multipath and to maintain frequency orthogonality. The CP that occupies a duration called the Guard Time (GT), often denoted TG, is a temporal redundancy that must be taken into account in data rate computations. The ratio TG /Td is very often denoted G in WiMAX/802.16 documents. The choice of G is made according to the following considerations: if the multipath effect is important (a bad radio channel), a high value of G is needed, which increases the redundancy and then decreases the useful data rate; if the multipath effect is lighter (a good radio channel), a relatively smaller value of G can be used. For OFDM and OFDMA PHY layers, 802.16 dened the following values for G: 1/4, 1/8, 1/16 and 1/32. For the mobile (OFDMA) WiMAX proles presently dened, only the value 1/8 is mandatory. The standard indicates that, for OFDM and OFDMA PHY layers, an SS searches, on initialization, for all possible values of the CP until it nds the CP being used by the BS. The SS then uses the same CP on the uplink. Once a specic CP duration has been selected by the BS for operation on the downlink, it cannot be changed. Changing the CP would force all the SSs to resynchronize to the BS [1].

5.2.3 Frequency Domain OFDM Considerations

All the subcarriers of an OFDM symbol do not carry useful data. There are four subcarrier types (see Figure 5.10):

Data subcarriers: useful data transmission. Pilot subcarriers: mainly for channel estimation and synchronisation. For OFDM PHY, there are eight pilot subcarriers. Null subcarriers: no transmission. These are frequency guard bands. Another null subcarrier is the DC (Direct Current) subcarrier. In OFDM and OFDMA PHY layers, the DC subcarrier is the subcarrier whose frequency is equal to the RF centre frequency of the transmitting station. It corresponds to frequency zero (Direct Current) if the FFT signal is not modulated. In order to simplify Digital-to-Analogue and Analogueto-Digital Converter operations, the DC subcarrier is null.

In addition, subcarriers used for PAPR reduction (see below), if present, are not used for data transmission.
Pilot subcarriers Data subcarriers

Left guard subcarriers

DC

Right guard subcarriers

N used
Figure 5.10 WiMAX OFDM subcarriers types. (Based on Reference [10].)

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WiMAX: Technology for Broadband Wireless Access

5.2.4 OFDM Symbol Parameters and Some Simple Computations

The main WiMAX OFDM symbol parameters are the following:

The total number of subcarriers or, equivalently, the IFFT magnitude. For OFDM PHY, NFFT 256, the number of lower-frequency guard subcarriers is 28 and the number of higher-frequency guard subcarriers is 27. Considering also the DC subcarrier, there remains Nused, the number of used subcarriers, excluding the null subcarriers. Hence, Nused 200 for OFDM PHY, of which 192 are used for useful data transmission, after deducing the pilot subcarriers. BW, the nominal channel bandwidth n, the sampling factor.

The sampling frequency, denoted fs, is related to the occupied channel bandwidth by the following (simplied) formula: fs n BW. This is a simplied formula because, according to the standard, fs is truncated to an 8 kHz multiple. According to the 802.16 standard, the numerical value of n depends of the channel bandwidths. Possible values are 8/7, 86/75, 144/125, 316/275 and 57/50 for OFDM PHY and 8/7 and 28/25 for OFDMA PHY. 5.2.4.1 Duration of an OFDM Symbol Based on the above-dened parameters, the time duration of an OFDM symbol can be computed: OFDM symbol duration useful symbol time guard time (CP time) 1/(one subcarrier spacing) G useful symbol time (1/f) (1 G) [1/( fs / NFFT)] (1 G) [1/( n BW / NFFT)] (1 G).

The OFDM symbol duration is a basic parameter for data rate computations (see below). 5.2.4.2 Data Rate Values In OFDM PHY, one OFDM symbol represents 192 subcarriers, each transmitting a modulation data symbol (see above). One can then compute the number of data transmitted for the duration of an OFDM symbol (which value is already known). Knowing the coding rate, the number of uncoded bits can be computed. Table 5.2 shows the data rates for different Modulation and Coding Schemes (MCSs) and G values. The occupied bandwidth considered is 7 MHz and the sampling factor is 8/7 (the value corresponding to 7 MHz according to the standard). Consider the following case in Table 5.2: 16-QAM, coding rate 3/4 and G 1/16. It can be veried that the data rate is equal to: Data rate number of uncoded bits per OFDM symbol/OFDM symbol duration 192 4 (3/4)/{[256/(7 MHz 8/7)] (1 1/16)} 16.94 Mb/s.

Digital Modulation, OFDM and OFDMA

53

Table 5.2 OFDM PHY data rates in Mb/s. (From IEEE Std 802.16-2004 [1]. Copyright IEEE 2004, IEEE. All rights reserved.) G ratio 1/32 1/16 1/8 1/4 BPSK 1/2 2.92 2.82 2.67 2.40 QPSK 1/2 5.82 5.65 5.33 4.80 QPSK 3/4 8.73 8.47 8.00 7.20 16-QAM 1/2 11.64 11.29 10.67 9.60 16-QAM 3/4 17.45 16.94 16.00 14.40 64-QAM 2/3 23.27 22.59 21.33 19.20 64-QAM 3/4 26.18 25.41 24.00 21.60

It should be noted here that these data rate values do not take into account some overheads such as preambles (of the order of one or two OFDM symbols per frame) and signalling messages present in every frame (see Chapter 9 and others in this book). Hence these data rates, known as raw data rates, are optimistic values.

5.2.5 Physical Slot (PS)

The Physical Slot (PS) is a basic unit of time in the 802.16 standard. The PS corresponds to four (modulation) symbols used on the transmission channel. For OFDM and OFDMA PHY Layers, a PS (duration) is dened as [1] PS 4/fs. Therefore the PS duration is related to the system symbol rate. This unit of time dened in the standard allows integers to be used while referring to an amount of time, e.g. the denition of transition gaps (RTG and TTG) between uplink and downlink frames in the TDD mode.

5.2.6 Peak-to-Average Power Ratio (PAPR)

A disadvantage of an OFDM transmission is that it can have a high Peak-to-Average Power Ratio (PAPR), relative to a single carrier transmission. The PAPR is the peak value of transmitted subcarriers to the average transmitted signal. A high PAPR represents a hard constraint for some devices (such as ampliers). Several solutions are proposed for OFDM PAPR reduction, often including the use of some subcarriers for that purpose. These subcarriers are then no longer used for data transmission. The 802.16 MAC provides the means to reduce the PAPR. PAPR reduction sequences are proposed in Reference [2].

5.3 OFDMA and Its Variant SOFDMA 5.3.1 Using the OFDM Principle for Multiple Access
The OFDM transmission mode was originally designed for a single signal transmission. Thus, in order to have multiple user transmissions, a multiple access scheme such as TDMA or FDMA has to be associated with OFDM. In fact, an OFDM signal can be made from many user signals, giving the OFDMA (Orthogonal Frequency Division Multiple Access) multiple access.

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WiMAX: Technology for Broadband Wireless Access

Data subcarriers

Left guard subcarriers

DC

Right guard subcarriers

N used

subchannel 1

subchannel 3

subchannel 2

subchannel 4

Figure 5.11

Illustration of the OFDMA principle. (Based on Reference [1].)

In OFDMA, the OFDMA subcarriers are divided into subsets of subcarriers, each subset representing a subchannel (see Figure 5.11). In the downlink, a subchannel may be intended for different receivers or groups of receivers; in the uplink, a transmitter may be assigned one or more subchannels. The subcarriers forming one subchannel may be adjacent or not. The standard [1] indicates that the OFDM symbol is divided into logical subchannels to support scalability, multiple access and advanced antenna array processing capabilities. The multiple access has a new dimension with OFDMA. A downlink or an uplink user will have a time and a subchannel allocation for each of its communications (see Figure 5.12). Different subchannel

User 1 User 2 User 3 User 4 User 5 Subchannels (set of subcarriers)

OFDM Symbol n

OFDM Symbol n +1

OFDM Symbol n + 2

Time OFDM Symbol n + 3

Figure 5.12

Illustration of OFDMA multiple access

Digital Modulation, OFDM and OFDMA

55

Table 5.3 Example of SOFDMA gures. (Inspired from Reference [10].) Parameters Subcarrier frequency spacing Useful symbol duration (Td 1/f ) Guard time (TG Td /8) OFDMA symbol duration (Ts Td TG) Number of OFDMA symbols in the 5 ms frame FFT size (NFFT) or number of subcarriers Channel occupied bandwidth Numerical values 10.95 kHz 91.4 s 11.4 s 102.9 s 48 512 1024 5 MHz 10 MHz

distributions and logical renumberings are dened in the 802.16 standard, as will be seen in the rest of this chapter. First, the SOFDMA concept is introduced.

5.3.2 Scalable OFDMA (SOFDMA)

OFDMA multiple access is not the only specicity of OFDMA PHY. Another major difference is the fact that its OFDM transmission is scalable. Although this word does not appear in the standard, OFDMA PHY is said to have Scalable OFDMA (SOFDMA). The scalability is the change of the FFT size and then the number of subcarriers. The supported FFT sizes are 2048, 1024, 512 and 128. FFT size 256 (of the OFDM layer) is not included in the OFDMA layer. Only 1024 and 512 are mandatory for mobile WiMAX proles. The change in the number of subcarriers, for a xed subcarrier spacing, provides for an adaptive occupied frequency bandwidth and, equivalently, an adaptive data rate, as shown in the following example. See the example shown in Table 5.3. In this example, the sampling factor is equal to 28/25, chosen according to the channel bandwidth. SOFDMA provides an additional resource allocation exibility that can be used in the framework of radio resource management policy taking into account the dynamic spectrum demand, among others.

5.3.3 OFDMA in the OFDM PHYsical Layer: Subchannelisation

As a matter of fact, the OFDM PHY includes some OFDMA access. Subchannelisation was included in 802.16-2004 for the uplink and also for the downlink in amendment 802.16e. The principle is the following. The 192 useful data OFDM subcarriers of OFDM PHY are distributed in 16 subchannels made of 12 subcarriers each. Each subchannel is made of four groups of three adjacent subchannels each (see below). A subchannelised transmission is a transmission on only part of the OFDM subcarrier space. The subchannelised transmission can take place on 1, 2, 4, 8 or 16 subchannels. A ve-bit indexation shown in Table 5.4 indicates the number of subchannels and the subcarrier indices used for each subchannel index for the uplink. As shown in this table, one or more pilot subcarrier(s) (there are eight in total) are allocated only if two or more subchannels are allocated. The subcarriers other than the ones used for subchannelised transmission are nonactive (for the transmitter). The ve-bit subchannel index is used in the uplink allocation message UL-MAP (see Chapter 9 for the UL-MAP).

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WiMAX: Technology for Broadband Wireless Access

Table 5.4 The number of subchannels and the subcarrier indices used for each (ve bits) subchannel index. (Based on Reference [1].)
Subchannel index Pilot Subchannel frequency index index (continued) 0b00001 0b00010 0b00100 0b00101 0b00110 0b01000 0b01001 0b01010 0b01100 0b01101 0b01110 0b10000 (no subchannelisation 0b10010 0b10100 0b10101 0b10110 0b11000 0b11001 0b11010 0b11100 0b11101 0b11110 88 0b11111 63 0b11011 38 0b10111 13 0b10011 63 0b01111 0b10001 88 0b01011 13 0b00111 38 0b00011 Subcarrier frequency indices 100: 98; 37: 35; 1:3; 64:66 97: 95, 34: 32, 4:6, 67:69 94: 92, 31: 29, 7:9, 70:72 91: 89, 28: 26, 10:12, 73:75 87: 85, 50: 48, 14:16, 51:53 84, 82, 47: 45, 17: 19, 54:56 81: 79, 44: 42, 20:22, 57:59 78: 76, 41: 39, 23:25, 60:62 75: 73, 12: 10, 26:28, 89:91 72: 70, 9: 7, 29:31, 92:94 69: 67, 6: 4, 32:34, 95:97 66: 64, 3: 1, 35:37, 98:100 62: 60, 25: 23, 39:41, 76:78 59: 57, 22: 20, 42:44, 79:81 56: 54, 19: 17, 45:47, 82:84 53: 51, 16: 14, 48:50, 85:87

Subchannelised transmission in the uplink is an option for an SS. It can be used only if the BS signals its capability to decode such transmissions. The BS must not assign to any given SS two or more overlapping subchannelised allocations in the same time. The standard [1] indicates that when subchannelisation is employed, the SS maintains the same transmitted power density unless the maximum power level is reached. Consequently, when the number of active subchannels allocated to an uplink user is reduced, the transmitted power is reduced proportionally, without additional power control messages. When the number of subchannels is increased the total transmitted power is also increased proportionally. The transmitted power level must not exceed the maximum levels dictated by signal integrity

Digital Modulation, OFDM and OFDMA

57

considerations and regulatory requirements. The subchannelisation can then represent transmitted power decreases and, equivalently, capacity gains. The 802.16e amendment dened an optional downlink subchannelisation zone in the OFDM PHY downlink subframe. Uplink subchannels are partly reused.

5.4 Subcarrier Permutations in WiMAX OFDMA PHY

Distributing the subcarriers over the subchannels is a very open problem with many parameters to consider: mobility, AAS support, different optimisation criterions, etc. The 802.16 standard and its amendment 802.16e provide full details for the many subcarriers permutations dened. In this section, we briey describe the subcarriers permutations dened in Mobile WiMAX OFDMA PHY and detail one of these permutations.

5.4.1 The Main Permutation Modes in OFDMA

Subtracting the guard subcarriers and the DC subcarrier from NFFT gives the set of used subcarriers Nused. For both the uplink and downlink, these subcarriers are allocated as pilot subcarriers and data subcarriers according to one or another of the dened OFDMA permutation modes. Two families of distribution modes can be distinguished:

Diversity (or distributed) permutations. The subcarriers are distributed pseudo-randomly. This family includes: FUSC (Full Usage of the SubChannels) and PUSC (Partial Usage of the SubChannels), OPUSC (Optional PUSC), OFUSC (Optional FUSC) and TUSC (Tile Usage of SubChannels). The main advantages of distributed permutations are frequency diversity and intercell interference averaging. Diversity permutations minimise the probability of using the same subcarrier in adjacent sectors or cells. On the other hand, channel estimation is not easy as the subcarriers are distributed over the available bandwidth. Contiguous (or adjacent) permutations. These consider a group of adjacent subcarriers. This family includes the AMC (Adaptive Modulation and Coding) mode. This type of permutation leaves the door open for the choice of the best-conditions part of the bandwidth. Channel estimation is easier as the subcarriers are adjacent. Mandatory permutation modes of the presently dened mobile WiMAX proles are:

for the downlink: PUSC, FUSC and AMC; for the uplink: PUSC and AMC.

5.4.2 Some OFDMA PHY Denitions

5.4.2.1 Subchannels and Pilot Subcarriers A subchannel is the minimum transmission unit in an OFDMA symbol. Each of the permutation modes of OFDMA has its denition for a subchannel. There is also a difference between allocation of the data and pilot subcarriers in the subchannels between the different possible permutation modes:

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WiMAX: Technology for Broadband Wireless Access

Table 5.5 Slot denition Permutation mode and communication way Downlink FUSC; downlink OFUSC Downlink PUSC Uplink PUSC, uplink additional PUSC, downlink TUSC1 and TUSC1 AMC (uplink and downlink) 1 subchannel 1 subchannel 1 subchannel 1 subchannel Slot denition 1 OFDMA symbol 2 OFDMA symbol 3 OFDMA symbol (1, 2 or 3) OFDMA symbol

For (downlink) FUSC and downlink PUSC, the pilot tones are allocated rst. What remains are data subcarriers, which are divided into subchannels that are used exclusively for data. For uplink PUSC, the set of used subcarriers is rst partitioned into subchannels and then the pilot subcarriers are allocated from within each subchannel.

Thus, in the FUSC mode, there is one set of common pilot subcarriers, while in the uplink PUSC mode, each subchannel contains its own set of pilot subcarriers. For the downlink PUSC mode, there is one set of common pilot subcarriers for each major group including a set of subchannels (see below). 5.4.2.2 Slot and Burst (Data Region) A slot in the OFDMA PHY has both a time and subchannel dimension. A slot is the minimum possible data allocation unit in the 802.16 standard. The denition of an OFDMA slot depends on the OFDMA symbol structure, which varies for uplink and downlink, for FUSC and PUSC, and for the distributed subcarrier permutations and the adjacent subcarrier permutation. See Table 5.5 for the different possibilities. In OFDMA, a data region (or burst) is a two-dimensional allocation of a group of slots, i.e. a group contiguous subchannels, in a group of contiguous OFDMA symbols (see Figure 5.13 and the end of the PUSC section below for an example). 5.4.2.3 Segment A segment is a subdivision of the set of available subchannels, used for deploying one instance of the MAC. 5.4.2.4 Permutation Zone A permutation zone is a number of contiguous OFDMA symbols, in the downlink frame or the uplink frame, that use the same permutation mode. A downlink frame or an uplink frame may contain more than one permutation zones (see Figure 5.14), providing great malleability for designers.

5.4.3 PUSC Permutation Mode

The global principle of PUSC (Partial Usage of SubChannels) is the following. The symbol is rst divided into subsets called clusters (downlink) or tiles (uplink). Pilots and data carriers

Digital Modulation, OFDM and OFDMA

59

Subchannel Index

Data Region

OFDM Symbol n

OFDM Symbol n +1

OFDM Symbols (time axis)

Figure 5.13

Example of the data region that denes the OFDMA burst allocation

are allocated within each subset. This allows partial frequency diversity. Some main MAC messages and some PHY subframe elds are transmitted in the PUSC mode: FCH, DL-MAP and UL-MAP (see Chapter 9 for these messages). Downlink PUSC subchannel allocation will now be detailed, which is illustrated by an example. The global principle of downlink PUSC cluster and subcarrier allocation is illustrated in Figure 5.15. Considering, for example, a 1024-FFT OFDMA symbol, the number of guard subcarriers DC carrier is (in the case of 1024 FFT) 92 91 1 184. Therefore, the number of pilot and data carriers to be distributed is 1024 184 840. The parameters of this numerical example are given in Table 5.6.

Downlink Subframe

Uplink Subframe

PUSC (DL_PermBase Q)

FUSC (DL_PermBase R)

PUSC (DL_PermBase P)

Figure 5.14

Example of different permutation zones in uplink and downlink frames

Optional PUSC

Preamble

TUSC 1

PUSC

AMC

AMC

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WiMAX: Technology for Broadband Wireless Access

Step 1 : Divide the subcarriers into clusters

PN#0

Step 2 : Renumber the clusters (in this example

DL_PermBase = 5)
LN#40

Step 3 : Gather clusters in six major groups

Physical cluster (PN) 0.......59

Major group 0

LN 0 ... LN11

PN#24

LN#59

PN#54 PN#59

LN#0 LN#31

Major groups: 0: LN 0-11 1: LN 12-19 2: LN 20-31 3: LN 32-39 5: LN 52-59 4: LN 40-51

Step 4 : Allocate subcarriers to subchannels The remaining data carriers are allocated to subchannels: -6 subchannels for even numbered major groups -4 subchannels for odd numbered major groups

Major group # X

Allocate within each cluster of the major group the common pilots set

Figure 5.15

Illustration of the downlink PUSC Cluster and subcarrier allocation

5.4.3.1 Allocation Steps Step 1. Divide the Subcarriers into Clusters After removing the guard and DC subcarriers, the 840 (pilot and data) subcarriers are divided into 60 clusters of 14 adjacent subcarriers each (14 60 840) (see Figure 5.16). We here mention that a PUSC cluster has nothing to see with a cluster of cells (see Chapter 4). The Physical Cluster number is between 0 and 59. Pilot subcarriers are placed within each cluster depending on the parity of the OFDMA symbols, as shown in Figure 5.17. Step 2. Renumber the Clusters The clusters are renumbered with Logical Numbers (LNs). The cluster LN is also between 0 and 59. In order to renumber the clusters, the DL_PermBase parameter is used.
Table 5.6 Numerical parameters of the downlink PUSC example Parameter Value FFT Size 1024 BW 10 MHz G 1/8 N 28/25 Pilot data subcarriers 840 NFFT 1024 fs 11.2 MHz f 10.9375 kHz

Digital Modulation, OFDM and OFDMA

61

60 clusters of 14 adjacent subcarriers each 92 guard subcarriers 91 guard subcarriers

DC
1024-FFT OFDMA symbol

Figure 5.16

Cluster allocation

P P Pilot carrier Data carrier

P P

Even OFDMA symbols Odd OFDMA symbols

Figure 5.17

Cluster structure. (Based on Reference [2].)

DL_PermBase is an integer ranging from 0 to 31, which can be indicated by DL_MAP for PUSC zones (see Chapter 9). The clusters are renumbered to LN clusters using the following formula (denoted Formula (0) in the following): In the case of the rst downlink zone (containing the FCH and DL-MAP), or Use All SC Indicator 0 in STC_DL_Zone_IE (see Chapter 9 for STC_DL_Zone_IE): Cluster Logical Number Renumbering sequence (Cluster Physical Number) else: Cluster Logical Number Renumbering sequence(((Cluster Physical Number) 13*DL_PermBase) mod Nclusters)) (0)

where the Renumbering sequence(j) is the jth entry of the following vector: [6, 48, 37, 21, 31, 40, 42, 56, 32, 47, 30, 33, 54, 18, 10, 15, 50, 51, 58, 46, 23, 45, 16, 57, 39, 35, 7, 55, 25, 59, 53, 11, 22, 38, 28, 19, 17, 3, 27, 12, 29, 26, 5, 41, 49, 44, 9, 8, 1, 13, 36, 14, 43, 2, 20, 24, 52, 4, 34, 0] It should be remembered that, for 1024-FFT, Nclusters elements. 60, so the above vector has 60

Step 3. Gather Clusters in Six Major Groups The renumbered clusters are then gathered in six major groups, using the LN, as shown in Table 5.7. Step 4. Allocate Subcarriers to Subchannels In the downlink PUSC the number of subchannels per OFDMA symbol is 30, numbered from 0 to 29. A subchannel is made of 24 data subcarriers, which represents the data subcarriers of two clusters. It can be veried that: 30 24 720 data subcarriers (720 data subcarriers 30 4 pilot subcarriers 840 subcarriers). For the downlink PUSC, each major group is used separately in order to have a number of subchannels; i.e. one subchannel does not have

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Table 5.7 Downlink PUSC clusters major groups (1024-FFT OFDMA) Group 0 1 2 3 4 5 Cluster index LN 0-11 LN 12-19 LN 20-31 LN 32-39 LN 40-51 LN 52-59

subcarriers in more than one major group. In addition, all the subcarriers of one subchannel belong to the same OFDMA symbol. The pilot and data subcarrier allocations to subchannels are done as follows. The pilot subcarriers are allocated rst within each cluster, placed as shown in Figure 5.17. In the downlink PUSC, there is one set of common pilot subcarriers in each major group. The remaining data subcarriers are rst renumbered from 0 to 143 or 95 depending on the parity of the major group. Then the subcarriers are allocated within each subchannel using the following formula: subcarrier(k,s) Nsubchannels Nsubchannels* nk {ps [ nk mod Nsubchannels] DL_PermBase}mod (5.1)

where Nsubchannels is the number of subchannels in the partitioned major group, equal to 4 or 6, depending on the parity of the major group; subcarrier(k,s) is the subcarrier index of subcarrier k, varying between 0 and 23, in subchannel s, whose value ranges between 0 and 143 or 95 depending on the parity of the major group; s is the subchannel index varying between 0 and 29, and so nk (k 13s) mod Nsubcarriers, (5.2)

where Nsubcarriers is the number of data subcarriers allocated to a subchannel in each OFDMA symbol ( 24 in this case); ps [j] is the series obtained by rotating the basic permutation sequence cyclically to the left s times, which is given in the following: in the case of an odd numbered major group the basic permutation is PermutationBase6 (3,2,0,4,5,1), while for an even numbered major group it is PermutationBase4 (3,0,2,1). For even numbered major groups, the 12 clusters contain the data subcarriers of 6 subchannels: 6 24 144 data subcarriers; 144 6 4 168 (data and pilot) subcarriers. For odd numbered major groups, the 8 clusters contain the data subcarriers of 4 subchannels: 4 24 96 4 96 data subcarriers; 4 112 (data and pilot) subcarriers.

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Table 5.8 Correspondence between subchannels and major groups. (Based on Reference [2].) Major group (subchannel group) 0 1 2 3 4 5 Subchannel range 05 69 1015 1619 2025 2629

The correspondance between subchannels and major groups is given in Table 5.8 (for 1024FFT OFDMA). A numerical example of the downlink PUSC allocation is proposed below. 5.4.3.2 Numerical Example Based on comprehension of the IEEE 802.16 standard, a numerical example is proposed. A start is made with step 4, the previous steps having xed values. The aim is to nd the 24 physical (data) subcarriers of subchannel 16 of the downlink PUSC. It is assumed that DL_PermBase 5 (indicated in the DL-MAP MAC Management Message) and that the OFDMA symbol considered is odd numbered. Subchannel 16 is in major group 3, as shown in Table 5.8. Therefore, basic permutation sequence (3,0,2,1), Nsubcarriers 24 (this is the case for all subchannels) and Nsubchannels 4 (odd numbered major group). In major group 3, the correspondence between the Logical Number (LN) and the original Physical Number (PN) is obtained by applying the equation of step 2, using the LN and its position in the renumbering sequence. Thus the correspondence is as shown in Table 5.9. Table 5.10 depicts nk and the physical subcarrier index corresponding to the each subcarrier k in subchannel s ( 16). For each subcarrier, the LN cluster of this subcarrier major group is used in order to nd the physical subcarrier index (Table 5.9 is also used). For the pilot set for major group 3, using Table 5.9 values and the principle of Figure 5.16 gives the physical indices of each cluster pilot subcarriers. These indices are proposed in Table 5.11.
Table 5.9 Original cluster numbering (major group 3) Cluster LN 32 33 34 35 36 37 38 39 Logical subcarrier index 013 1427 2841 4255 5669 7083 8497 98111 Cluster PN formula (0) 3 6 53 20 45 57 28 19 Cluster physical subcarrier index 4255 8497 742755 280293 630643 798811 392405 266279

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Table 5.10 Subcarrier allocation Logical subcarrier index (k) in the considered subchannel (s 16) nk (formula (5.2)) Logical subcarrier index in the major group (formula (5.1)) and corresponding cluster LN (using Table 5.9) Physical subcarrier index (using Table 5.9 and Figure 5.17)

Subcarrier 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 16 17 18 19 20 21 22 23 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 67 69 76 78 83 85 92 94 3 5 12 14 19 21 28 30 35 37 44 46 51 53 60 62

Cluster LN 37 37 38 38 38 39 39 39 32 32 32 33 33 33 34 34 34 35 35 35 36 36 36 37 805 807 396 398 403 267 274 276 45 47 55 86 91 93 746 749 753 281 288 290 633 635 643 800

Table 5.11 Cluster PN 3 6 53 20 45 57 28 19

Pilot subcarrier physical index Pilot subcarrier physical index 42 and 54 84 and 96 742 and 754 280 and 292 630 and 642 798 and 810 392 and 404 266 and 278

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Table 5.12 Instantaneous data rate of one subchannel. (unit: kb/s) BPSK 1/2 Instantaneous data rate 116.6 QPSK 1/2 233.3 QPSK 3/4 349.8 16-QAM 1/2 466.5 16-QAM 3/4 699.75 64-QAM 2/3 932.9 64-QAM 3/4 1049

5.4.3.3 One Subchannel Instantaneous Data Rate The data rate corresponding to one slot (equal to one subchannel over two slots) will now be computed. One OFDMA symbol duration is 102.9 s (see the numerical example parameters in Table 5.6 in Section 5.4.3 and Section 5.2.4 computations). A slot contains 48 subcarriers and then 48 modulation symbols. The instantaneous data rate of one subchannel can then be computed. The obtained values (no repetition) are given in Table 5.12. 5.4.3.4 Use of the Subchannels to Allocate Bandwidth A slot is, by denition, in the downlink PUSC, made of 48 subcarriers: 1 subchannel 2 OFDMA symbols 24 subcarriers/OFDMA symbol 2 OFDMA symbols 48 subcarriers (or 48 modulation symbols)

The data region information indicated in a DL-MAP MAC Management Message for an (OFDMA) downlink user is:

OFDMA symbol offset. The offset of the OFDMA symbol in which the burst starts, measured in OFDMA symbols from the beginning of the downlink frame in which the DLMAP is transmitted. Subchannel offset. The lowest index OFDMA subchannel used for carrying the burst, starting from subchannel 0. Number of OFDMA symbols. The number of OFDMA symbols that are used (fully or partially) to carry the downlink PHY burst. The value of the eld is a multiple of the slot length in symbols. Number of subchannels. The number of subchannels with subsequent indexes used to carry the burst.

The parameter DL_PermBase is indicated in the zone switch IE (Information Element) in a DL-MAP, indicating a given permutation zone. 5.4.3.5 Uplink PUSC For uplink PUSC, subchannels are built based on Tiles (see Figure 5.18). An uplink PUSC slot is made of one subchannel over three OFDMA symbols.

5.4.4 FUSC Permutation Mode

The global principle of FUSC (Full Usage of SubChannels) is close to PUSC. The difference is that there is no cluster (or tile) partitioning of subcarriers before subchannel allocation. Each subchannel subcarrier can be any where in the bandwidth.

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Pilot Subcarrier

Data Subcarrier

OFDMA Symbol 0

OFDMA Symbol 1

OFDMA Symbol 2

Figure 5.18

Uplink PUSC Tile is made of 12 subcarriers. (Based on Reference [1].)

In FUSC, the number of pilot and data carriers to be distributed is different from PUSC. The number of guard subcarriers the DC carrier (in the case of 1024 FFT) is 87 86 1 174. Therefore, the number of pilot and data carriers to be distributed is 1024 174 850. There are two constant pilot sets and two variable pilot sets (depending on the OFDMA symbol parity). Each segment uses both sets of variable/constant pilot sets. For the FUSC mode, a 1024-FFT OFDMA symbol is considered. This symbol is divided into 16 subchannels of 48 subcarriers each, thus using all of the 16 48 768 data subcarriers. The data subcarriers are rst divided into groups of contiguous subcarriers. Then each subchannel is constructed using one subcarrier of each group, as shown in Figure 5.19.

group#0: 16 contiguous subcarriers

group#i: 16 contiguous subcarriers

group#47: 16 contiguous subcarriers

Subchannel s

Figure 5.19

Illustration of a FUSC subchannel

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8 data tones

1 pilot tone

Figure 5.20

Bin structure

5.4.5 AMC Permutation Mode

In the AMC (Adaptive Modulation and Coding) mode, a subchannel is made of adjacent subcarriers. The basic allocation unit for downlink and uplink AMCs is the bin, which is a set of nine adjacent (or contiguous) subcarriers within an OFDMA symbol, as shown in Figure 5.20. Contrary to distributed subchannel allocation techniques (such as PUSC), AMC pilot and data subcarriers are assigned xed positions. This allows easy support of the AAS (Adaptive Antennas System). An AMC slot is made of six bins or, equivalently, 48 data subcarriers and 6 pilot subcarriers. A group of four consecutive rows of bins in an OFDMA symbol is called a physical band. For 1024-FFT, the number of physical bands is then 24 (24 4 9 864 data and pilot subcarriers to be distributed). A grouping of physical AMC bands is a logical band. The maximum number of logical bands is specied in the Format conguration IE and can be a maximum of 24. For example, if the available physical bands are distributed over three logical bands, for 1024-FFT, a logical band is made of eight physical bands. The global principle of AMC subcarrier allocation is illustrated in Figure 5.21. There are four types of AMC slots (48 subcarriers), which are combinations of six contiguous bins:

Type 1 (default type). A slot consists of six consecutive bins within one OFDMA symbol. Type 2. A slot consists of 2 bins 3 OFDMA symbols. This type is the only mandatory one according to presently dened Mobile WiMAX proles. Type 3. A slot consists of 3 bins 2 OFDMA symbols. Type 4. A slot consists of 1 bin 6 OFDMA symbols. M, where N is the number of bins and M the number of symbols.

The type is referred to as N

5.4.5.1 AMC (or Regular AMC) and Band AMC AMC allocations can be made by two mechanisms:

Regular AMC (or, simply, AMC) is allocated by a subchannel index reference using DLMAP and UL-MAP.

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Step 1: Remove DC and guard subcarriers

80 left guard subcarriers

Step 2: group remaining subcarriers to bins

Step 3:define the slots (Type 2) OFDMA symbols

Step 4: subcarriers renumbering

Permutation formula
48 data subcarriers 48 renumbered data subcarriers

Figure 5.21 Illustration of the global principle of AMC subcarrier allocation (the number of guard subcarriers is for 1024-FFT)

Band AMC is part of the HARQ map included with the normal map in the downlink or uplink zone. For Band AMC, the six contiguous bins of a Band AMC slot must be in the same logical band.

5.4.6 TUSC Permutation Mode

The IEEE 802.16e amendment dened two new optional permutation modes for the downlink: TUSC1 (Tile Usage of SubChannels) and TUSC2. TUSC1 and TUSC2 are dedicated to the AAS zone in an FDMA frame. The general principle is close to the uplink PUSC. TUSC1 and TUSC2 are not mandatory in presently dened mobile WiMAX proles.

Subchannel index

Physical band 1 slot= 2 bins *3 OFDMA symbols (Type 2)

DC
79 right guard subcarriers