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1 Book Keywords IEEE , IEEE m, mobile WiMAX, 4G, IMT-Advanced, 3GPP LTE, 3GPP LTE-Advanced, Broadband Wireless, Wireless Communications, Cellular Systems, Network Architecture

2 Abstract of the Book This book presents the new IEEE m standard and is the first book to take a systematic, top-down approach to describing mobile WiMAX and its next generation, giving detailed algorithmic and theoretical descriptions together with explanations of the principles behind the design and operation of individual air-interface protocols and network components. The present book features a systematic and detailed, top-down approach to the design of 4G cellular systems based on IEEE m and 3GPP LTE/LTE-Advanced technologies. It further provides a systematic approach to understanding IEEE m radio access network and mobile WiMAX network architecture protocols. This book is a comprehensive technical reference on the design, development and performance evaluation of IMT- Advanced systems, including the theoretical background and design principles as well as implementation considerations. In this book, the protocol layers and functional elements of both the IEEE m- and 3GPP LTE- Advanced-based radio access and core networks are described. While the main focus of the book (as understood from the title) is to provide readers with an in-depth understanding of the IEEE m radio access system design, and to demonstrate the operation of the end-to-end system; detailed description of the 3GPP LTE Release 9 and 3GPP LTE-Advanced Release 10 systems are provided to allow the readers to better comprehend the similarities and differences between the two systems by contrasting the protocols and functional elements. The book begins with an introduction to the history of broadband mobile wireless access and an overview of the IEEE and 3GPP standards and standardization processes in Chapter 1. It then proceeds to describing the access and core network components and protocols following by description of the reference model and protocol structure of IEEE m and 3GPP LTE/LTE-Advanced including the operation and behavior of each entity (base station, mobile station, and relay station), as well as functional components and their interactions in the protocol stack. The remaining chapters of this book are organized to be consistent with the protocol layers, starting from the network layer and moving down to the physical layer. The overall operation of the mobile station, relay station, and base station and their corresponding state machines are described in Chapter 4. Chapter 5 describes the interface with the packet data network. Chapters 6 through 10 describe the medium access control and physical layer functions and protocols. The security aspects of the systems under consideration are described in Chapter 8. The multi-carrier operation of the IEEE m and 3GPP LTE-Advanced are described in Chapter 11. The performance evaluation of the IEEE m and 3GPP LTE-Advanced against the IMT-Advanced requirements has been described in Chapter 12, where all the performance metrics are defined and link-level and system-level simulation methodologies and parameters are elaborated.

3 Abstract of Chapter 1 In Chapter 1, the current status of broadband wireless access technologies are discussed and the efforts that are made by prominent standardization organizations to materialize the vision and to fulfill the objectives for the next generation of broadband radio access systems. Presently, the most important activities in this area are conducted by the IEEE and 3GPP. These two organizations have historically contributed to the development and advancement of fixed and mobile broadband systems such as the IEEE , IEEE , IEEE 802.3, and the UMTS family of standards. Both organizations have already taken significant steps toward realization of the next generation of fixed and mobile broadband wireless access technologies also known as IMT-Advanced systems.

4 Abstract of Chapter 2 The WiMAX network architecture is a non-hierarchical end-to-end all-ip framework for mobile WiMAX systems that is based on maximal use of non-proprietary standard IP protocols, and is compatible with external service enablers such as IP Multimedia Subsystem. A distinctive feature of WiMAX network architecture is decoupling of access, connectivity, and service networks to allow combination of multi-vendor implementations of physical network entities, as long as they comply with the normative protocols and procedures across applicable interfaces that are defined in the WiMAX network specification. Chapter 2 provides a top-down systematic description of WiMAX and 3GPP evolved packet core network architecture, starting at the most general level and working toward details or specifics of the network components and their interconnections.

5 Abstract of Chapter 3 The latest revision of the IEEE standard defines a generic reference model where major functional blocks (i.e., physical layer, security sub-layer, MAC common part sub-layer, and service specific convergence sub-layer) and their interfaces, the premises of IEEE entity, and a general network control and management system are specified. The IEEE m has modified this reference model by further classifying the MAC common part sublayer functions into two functional groups, resulting in a more structured approach to characterizing the data link layer functions and their interoperation. Chapter 3 provides a top-down systematic description of IEEE m and 3GPP LTE/LTE-Advanced reference models and protocol structures, starting at the most general level and working toward details or specifics of the protocol layers, their functional constituents and interconnections.

6 Abstract of Chapter 4 State diagrams are used to describe the behavior of a system. They can describe possible states of a system and transitions between them as certain events occur. The system described by a state diagram must be composed of a finite number of states. However, in some cases, the state diagram may represent a reasonable abstraction of the system. A state is defined as a finite set of procedures or functions that are executed in a unique order. In the state diagram, each state may have some inputs and outputs, where deterministic transitions to other states or the same state happen based on certain conditions. In this chapter, the notion of mode is used to describe a sub-state or a collection of procedures/protocols that are associated with a certain state. The unique definition of states and their corresponding modes and protocols, and internal and external transitions, is imperative to the unambiguous behavior of the system. Also, it is important to show the reaction of the system to an unsuccessful execution of a certain procedure. Chapter 4 provides a detailed description of the operation of IEEE m entities (i.e., mobile station, base station, femto base station, and relay station) through use of state diagrams and call flows. An attempt has been made to characterize the behavior of IEEE m systems in various operating conditions such as system entry/re-entry, cell selection/reselection, intra/inter-radio access network handover, power management, and inactivity intervals.

7 Abstract of Chapter 5 Chapter 5 provides a detailed description of the functional components and protocols associated with the IEEE m service-specific convergence sub-layer. The convergence sub-layer is located on top of the IEEE MAC sub-layer and interfaces the MAC sublayer with the network layer protocols and further performs IP flow classification and payload header compression. The convergence sub-layer is part of data-link layer protocol class and is interfaced with network layer and MAC sub-layer through two service access points. The convergence sublayers of the IEEE m and IEEE standard have very similar behavior; the only differences are in the assignment and use of connection identifiers in the two standards, as well as exclusion of some unused legacy protocols. The packet data convergence protocol of 3GPP LTE/LTE-Advanced differs from that of IEEE m in certain aspects such as ciphering and encryption of the service data units in the convergence sub-layer.

8 Abstract of Chapter 6 The IEEE m MAC layer is connection-oriented. For the purpose of mapping services to varying levels of QoS at mobile stations, all data communications are manifested in the form of transport connections. Service flows may be provisioned when an MS enters into the system. Following MS registration with the serving BS, transport connections are established and associated with the service flows (one connection per service flow) to provide a reference for requesting bandwidth. Furthermore, new transport connections may be established when a user s service needs to change. A transport connection defines both the mapping between peer convergence sub-layers that utilize the MAC and a service flow. The service flow defines the QoS parameters for the protocol data units that are exchanged on the connection. The concept of service flow mapping to a transport connection is essential to the operation of the MAC protocols. Service flows provide a mechanism for downlink/uplink QoS management. In particular, they are an integral part of the bandwidth allocation process. An MS requests uplink bandwidth per connection basis by implicitly identifying the service flow. The bandwidth is granted by the serving BS to an MS as an aggregate of grants in response to per-connection requests from the MS. Chapter 6 describes the functional and operational aspects of IEEE m MAC common part sub-layer on the control-plane. The radio resource control and management functions include radio resource management; mobility management; network-entry management; location management; idle mode management; security management; system configuration management; enhanced-multicast and broadcast service; service flow and connection management; relay functions; self organization; and multi-carrier operation. The control-plane portion of the MAC sub-layer further includes functional blocks which are related to the physical layer and link control such as physical layer control and signaling; sleep mode management; QoS; scheduling and resource multiplexing; multi-radio coexistence; data forwarding; interference management; and inter-bs coordination.

9 Abstract of Chapter 7 The IEEE m MAC layer is connection-oriented. For the purpose of mapping services to varying levels of QoS at mobile stations, all data communications are manifested in the form of transport connections. Service flows may be provisioned when an MS enters into the system. Following MS registration with the serving BS, transport connections are established and associated with the service flows (one connection per service flow) to provide a reference for requesting bandwidth. Furthermore, new transport connections may be established when a user s service needs to change. A transport connection defines both the mapping between peer convergence sub-layers that utilize the MAC and a service flow. The service flow defines the QoS parameters for the MAC protocol data units that are exchanged on the connection. The concept of service flow mapping to a transport connection is essential to the operation of the MAC protocols. Service flows provide a mechanism for downlink/uplink QoS management. In particular, they are an integral part of the bandwidth allocation process. An MS requests uplink bandwidth per connection basis by implicitly identifying the service flow. The bandwidth is granted by the serving BS to an MS as an aggregate of grants in response to per-connection requests from the MS. Chapter 7 describes the functional and operational aspects of the IEEE m MAC common part sub-layer on the data-plane. The data-plane portion of the MAC sub-layer is responsible for fragmentation/packing of MAC service data units; ARQ; and formation of MAC protocol data units. The (theoretical) principles of ARQ and HARQ functions have been described in this chapter.

10 Abstract of Chapter 8 A wireless system uses an intrinsically open and unsecure radio channel for transmission of user signaling and traffic between the base station and mobile stations. As such, reliable and robust security and encryption procedures must be employed in order to protect confidentiality, privacy, and integrity of user traffic and credentials, and to prevent security breaches and theft of service in cellular networks. Chapter 8 describes the security aspects of the IEEE m standard. The security functions provide users with privacy, authentication, and confidentiality by applying cryptographic transforms to MAC protocol data units that are transported over the connections between the MS and the BS. In addition, the security sub-layer enables the operators to prevent unauthorized access to data transport services by securing the associated service flows across the network. The security sub-layer employs an authenticated client/server key management protocol in which the BS (the server) controls distribution of keying material to the MS (the client). In addition, the basic security mechanisms are reinforced by adding digital-certificate-based MS device-authentication to the key management protocol.

11 Abstract of Chapter 9 The physical layer is the lowest protocol layer in baseband signal processing that interfaces with the physical media (in this case the air interface) through which the signal is transmitted and received. The physical layer receives the MAC protocol data units and processes them through channel coding, interleaving, baseband modulation, multiantenna encoding, precoding, resource and antenna mapping. The choice of an appropriate modulation and coding scheme, as well as multi-antenna transmission mode, is critical to achieve the desired reliability and system throughput in mobile wireless data communications. Typical mobile radio channels tend to be dispersive and timevariant and exhibit severe Doppler effects, multipath delay variation, intra-cell and inter-cell interference, and fading. A good and robust design of the physical layer ensures that the system can normally operate and overcome the above deleterious effects, and can provide the maximum throughput and lowest latency under various operating conditions. The chapters on the physical layer in this book are dedicated to the systematic design of physical layer protocols and functional blocks of 4 th generation cellular systems, the theoretical background on physical layer procedures, and performance evaluation of the physical layer components. The theoretical background is provided to make the book self-contained, and to ensure that the reader understands the basic theory behind the operation of various functional blocks and procedures. While the focus is mainly on the techniques that were incorporated in the design of the IEEE m physical layer, the author has attempted to take a more generic and systematic approach to the design of the 4 th generation cellular system physical layer, so that the reader can understand and apply the learning to the design and implementation of any OFDM-based physical layer component, irrespective of the radio access technology. The physical layer processes both control- and data-plane signals; however, due to different design requirements and reliability and performance criteria, the procedures tend to be different. Chapter 9 provides description of the physical layer procedures and measurements such as multiple access schemes, frame structure, subchannelization schemes, coding and modulation, as well as physical layer synchronization and broadcast information.

12 Abstract of Chapter 10 Chapter 10 describes the control and signaling mechanisms, as well as the multi-antenna techniques used in IEEE m. The theoretical aspects and basic concepts of practical multi-antenna techniques including single-user and multi-user schemes, transmit and receive diversity techniques, beamforming, feedback requirements, and collaborative multi-antenna communication are discussed so that the multi-antenna operation at the physical layers of IEEE m can be better understood. The control signaling mechanisms of the legacy system have undergone a substantial change in IEEE m to improve reliability and coverage, and to reduce the signaling overhead and control-plane and user-plane latencies. The IEEE m system requirements called for improved link-budget in the downlink and uplink for both traffic and control channels. As a result, the use of dual transmit-antenna at the base station as a minimum configuration has been mandated. Unlike the legacy system, all downlink control channels in IEEE m use frequency-domain transmit diversity as the default multi-antenna mode of operation. The reduction in layer 2 signaling overhead, use of more robust multi-antenna techniques along with user-dedicated precoded reference signals, and improved feedback schemes have resulted in a significant increase of VoIP and data capacity compared to the legacy system.

13 Abstract of Chapter 11 The concept of spectrum aggregation consists of exploiting multiple, small spectrum fragments simultaneously to deliver a wider band service (i.e., not otherwise achievable when using a single spectrum fragment). Spectrum aggregation can be useful when an operator s dedicated band is not continuous; rather it is split into two or more segments. In addition, spectrum aggregation can happen in scenarios in which an operator accesses both a dedicated band, and a spectrum sharing band which is separated in frequencies from the dedicated operator s band. Spectrum aggregation allows new high data rate wireless communication systems to coexist with their legacy systems when deployed in the same spectrum. This is also valid for the inter-operator scenario. In this context, it can be very beneficial to explore the scenarios for joint use of spectrum aggregation techniques and radio resource management in radio access networks. Support of wider bandwidths up to 100 MHz is one of the distinctive features of IMT-Advanced systems. In order to support wider transmission bandwidths IEEE m and 3GPP LTE-Advanced systems introduced the carrier aggregation concept; where two or more component carriers belonging to a single frequency band or different frequency bands can be aggregated. The support of system bandwidths up to 100 MHz will allow an increase in both the peak data rate and the system capacity. In the scenarios of interest, the peak data rate increases almost linearly proportional to increasing bandwidth. Hence, for example, to obtain the required peak data rate of 1 Gbps in the downlink with 30 bps/hz peak spectral efficiency (assuming 8-layer MIMO transmission), a bandwidth of only 40 MHz is sufficient. It is noted that in addition to an increase in the peak data rate, the bandwidth extension results in higher data rates for all mobile terminals in a cell, due to increased average and cell-edge throughputs. In Chapter 11, we review the physical layer and MAC layer aspects of bandwidth extension and carrier aggregation schemes that have been utilized in the IEEE m and the 3GPP LTE-Advanced. It will be seen that the two technologies use very similar techniques in order to support larger bandwidths in a contiguous or non-contiguous spectrum.

14 Abstract of Chapter 12 Link-level and system-level simulations are used to evaluate the performance of mobile radio access technologies under various operating conditions and deployment scenarios. While the simulations do not model the entire deployment parameters and propagation conditions that may be involved in a practical scenario due to increased computational complexity of the model, the statistical modeling of the parameters and estimation/measurement errors should be sufficiently accurate such that the simulation results are a faithful representative of the performance in an actual deployment. The evaluation of the IMT-Advanced candidates was comprehensively performed in strict compliance with the technical parameters and the methodology that were specified by the ITU-R. Each requirement is independently evaluated, except for the cell and cell edge user spectral efficiencies criteria that were jointly assessed using the same system-level simulation, consequently the candidates were required to simultaneously satisfy the corresponding minimum requirements. Furthermore, the system-level simulation set-up used in the assessment of the mobility requirement was the same as that used for the evaluation of cell spectral efficiency and cell edge user spectral efficiency. Chapter 12 describes the link-level and system-level evaluation of the IEEE m and 3GPP LTE-Advanced against the ITU-R requirements for IMT-Advanced systems using the methodology specified by the ITU-R. The theoretical background, including the definition of performance metrics, channel models, physical layer abstraction schemes, and traffic models are provided to ensure in-depth understanding of the evaluation process and the results.

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