6810 English TarjomeFa

IEEE COMMUNICATIONS SURVEYS & TUTORIALS, VOL. 14, NO.
4, FOURTH QUARTER 2012 1183
The History of WiMAX: A Complete

Survey of the Evolution in Certification and
Standardization for IEEE 802.16 and WiMAX
Daan Pareit, Bart Lannoo, Ingrid Moerman, Member, IEEE, and Piet Demeester, Fellow, IEEE
Abstract—Most researchers are familiar with the technical fea- Some outstanding books [8]–[12] have been written about
tures of WiMAX technology but the evolution that WiMAX went IEEE 802.16 but even there only an (extended) summary of
through, in terms of standardization and certification, is missing the different standard revisions and amendments is listed while
and unknown to most people. Knowledge of this historical process
would however aid to understand how WiMAX has become the more fine-grained details about the standardization process
widespread technology that it is today. Furthermore, it would give within the different organizations were omitted.
insight in the steps to undertake for anyone aiming at introducing Only [13] was found to be completely dedicated to the IEEE
a new wireless technology on a worldwide scale. Therefore, this 802.16 standardization and WiMAX certification process, al-
article presents a survey on all relevant activities that took place though much less elaborated. They tried to give a similar
within three important organizations: the 802.16 Working Group
of the IEEE (Institute of Electrical and Electronics Engineers) for summary, but the role of the ITU was omitted, the earliest
technology development and standardization, the WiMAX Forum task groups and old nomenclature were not mentioned and
for product certification and the ITU (International Telecommu- no evolution in the set of certified devices was presented.
nication Union) for international recognition. An elaborated and A similar approach [14] was made for an IEEE project
comprehensive overview of all those activities is given, which concerning Wireless Personal Area Networks, IEEE P802.15.
reveals the importance of the willingness to innovate and to
continuously incorporate new ideas in the IEEE standardization Within this survey article we therefore intend to give the
process and the importance of the WiMAX Forum certification reader a better understanding of the relations between the
label granting process to ensure interoperability. We also em- different organizations and institutions that are playing a major
phasize the steps that were taken in cooperating with the ITU role in the development, commercialization and spreading of
to improve the international esteem of the technology. Finally, a the IEEE 802.16 standards. We furthermore address some
WiMAX trend analysis is made. We showed how industry interest
has fluctuated over time and quantified the evolution in WiMAX deprecated abbreviations that have occurred over time, e.g.
product certification and deployments. It is shown that most IEEE P802.16.1, in order for the reader to recognize them in
interest went to the 2.5 GHz and 3.5 GHz frequencies, that most the future and to relate them with the current terminology.
deployments are in geographic regions with a lot of developing The common misuse or confusion with respect to some
countries and that the highest people coverage is achieved in other terms, e.g. IEEE 802.16d (sic)1 , is also tackled. While
Asia Pacific. This elaborated description of all standardization
and certification activities, from the very start up to now, will processing the various meeting minutes, project requests, task
make the reader comprehend how past and future steps are taken group studies, liaison documents, etc., we want the reader
in the development process of new WiMAX features. to provide with all relevant official documents where key
Index Terms—WiMAX, Mobile WiMAX, Fixed WiMAX, IEEE decisions were taken or confirmed during the IEEE 802.16
802.16, WiMAX Forum, ITU, IMT-2000, IMT-Advanced, certifi- related evolution, resulting in an exhaustive reference list. For
cation, standardization. the reader’s convenience, an overview of the acronyms that
are used within this manuscript is given in Table I.
I. I NTRODUCTION The global picture is the following. The IEEE has specified
OST of IEEE 802.16 and WiMAX (Worldwide Inter- a series of IEEE 802.16 standards, for the purpose of fixed and
M operability for Microwave Access) related articles and
surveys [1]–[6] focus on the latest technical specifications.
mobile broadband wireless access. The development process
of those standards is described in Section II. Based on the
As the number of pages per article is often limited, they can IEEE 802.16 standards, the WiMAX Forum created the Fixed
only briefly tackle the history, future trends and organizational WiMAX and Mobile WiMAX profiles in order to guarantee
aspects of IEEE 802.16 in the introduction of their main interoperability between different products. The development
subject. The same holds for high level reports [7] which do of those profiles and the certification process of products
neither give in-depth details about the ins and outs of the that comply with those specifications is elaborated upon in
evolution of different task goups within relevant organizations, Section III. Furthermore, the recognition of this technology
nor about the relationships between them. by the ITU allowed spectrum owners to roll out WiMAX
easier in different countries. The involvement of the IEEE in
Manuscript received 22 September 2010; revised 4 February 2011 and 10 the ITU is explained in Section IV. Next we present a trend
May 2011.
The authors are with Ghent University, Ghent, Belgium (e-mail: analysis of WiMAX technology over time, based on the IEEE
daan.pareit@intec.ugent.be).
Digital Object Identifier 10.1109/SURV.2011.091511.00129 1 (sic) is used in this article to indicate an erroneous expression
1553-877X/12/$31.00
c 2012 IEEE
1184 IEEE COMMUNICATIONS SURVEYS & TUTORIALS, VOL. 14, NO. 4, FOURTH QUARTER 2012
802.16 session attendance, the number of products which have Institute of Electrical and
been certified, the number of deployments, etc. in Section V. Electronics Engineers
(IEEE)
Finally, conclusions are drawn in Section VI.
IEEE Standards
II. T HE ROLE OF IEEE Technical
Activities Board
...
Association
(IEEE-SA)
Within this section, the evolution within the IEEE 802.16
Working Group on Broadband Wireless Access is discussed, Communications Computer ...
IEEE-SA
Standards Board
...
Society Society
as WiMAX technology is based on the standards that were (IEEE-SASB)
developed therein. The umbrella organizations of this Working

Standards New Standards Review
... ...
Group are first discussed in Section II-A, to acquaint the Activities Board
(SAB)
Committee
(NesCom)
Committee
(RevCom)
reader of its larger context. Next, the process of standardizing
this work into international widespread IEEE Standards is 802 LAN/MAN
...
Standards Committee
elaborated in Section II-B. A detailed overview and time line (LMSC)
of the precise projects and their resulting standards on the Executive

Committee
new air interface is then presented in Section II-C. Projects (EC)
concerning topics other than the air interface are discussed 802.16 802.15 802.11
...
Working Group Working Group Working Group
next in Section II-D. Finally, a summary of the current (May (WG) (WG) (WG)
2011) IEEE 802.16 standards is given in Section II-E.
Study Groups Task Groups
(SG) (TG)
A. About the organization

IEEE (Institute of Electrical and Electronics Engineers) is Fig. 1. Reduced hierarchical view on the IEEE organization, showing only
an international well-known professional organization about the most relevant entities for the IEEE 802.16 WG.
engineering on areas including aerospace systems, comput-
ers, telecommunications, biomedical engineering, etc. It was
founded on 1 Jan. 1963 by merging the former AIEE (Amer- Standards Institute (ANSI). The standardization process is
ican Institute of Electrical Engineers) and IRE (Institute of described below and an overview flow chart in shown in Fig. 2.
Radio Engineers). Today, it has over 375,000 members in more PARs (Project Authorization Request) are the means by
than 160 countries, half of whom are USA citizens. It has more which standards projects are started in the IEEE-SA. PARs are
than 2 million documents in the IEEE/IET Electronic Library small but detailed documents that define the scope, purpose,
and sponsors more than 900 conferences annually [15]. IEEE and contact points for the new project. Every PAR must have
is organized into 38 societies (e.g. Communications Society, a Sponsor to oversee the project, which is the organization
Computer Society, etc.) and 7 technical councils (which are that assumes responsibility for this particular standards idea
groups of societies working together). within IEEE. The Sponsor may form a Study Group (SG) to
Within the IEEE Computer Society [16], the IEEE-802 write the PAR proposal [20]. PARs of the IEEE 802.16 WG
LAN/MAN Standards Committee (LMSC) [17]2 is one of the are sponsored by the LMSC.3
multiple standards committees of the Standards Activity Board In LMSC, new project proposals have also to fulfill some
(SAB). The LMSC develops Local Area Network (LAN) and additional requirements. They have to provide supporting
Metropolitan Area Network (MAN) standards [18], mainly for material in the form of 5-Criteria (i.e. Broad Market Po-
the lowest 2 layers of the ISO (International Organization for tential, Compatibility, Distinct Identity, Technical Feasibility,
Standardization) Reference Model for Open Systems Intercon- Economic Feasibility) to show that they meet the charter of
nection (OSI) [19]. LMSC [21]. The final PAR and 5-Criteria, developed by the
Within the LMSC, there are a number of Working Groups SG, are reviewed by the IEEE 802.16 WG and the LMSC EC.
(WGs) and one Executive Committee (EC), which includes If approved, the PAR is then submitted, normally within six
amongst others all WG chairs. One of the LMSC Working months of the start of the work, by the LMSC to the New
Groups is the IEEE 802.16 Working Group on Broadband Standards Committee (NesCom) of the IEEE-SA Standards
Wireless Access Standards, which we will refer to as IEEE Board (IEEE-SASB) (see Fig. 1). The committee examines
802.16 WG in short. An overview of the relevant entities the PAR and makes recommendations to the IEEE-SASB
within the IEEE organization is shown in Fig. 1. regarding approval.
Once a PAR is approved by IEEE-SASB, the SG is
B. The standardization process disbanded [20] and a Sponsor will typically assign a working
Projects within Working Groups intend to result in standards group or a (separate) Sub-Group or Task Group (TG) within
that are published by the IEEE-SA (IEEE Standards Associ- the WG to prepare and develop successive draft documents
ation), which is an activity area of IEEE focused on the de- that could eventually lead to the publication of the document
velopment of internationally recognized consensus standards as a new standard. Each project approved within an existing
through an open process, approved by the American National group is referred to by assigned suffix letter(s) together with
2 The IEEE-802 LAN/MAN Standards Committee is referred to by different 3 Cosponsored by the Standards Coordinating Committee of the IEEE
abbreviations: IEEE-802 LMSC, IEEE-802, LMSC, C/LM. Microwave Theory and Techniques Society (MTT/SCC).
PAREIT et al.: THE HISTORY OF WIMAX: A COMPLETE SURVEY OF THE EVOLUTION IN CERTIFICATION FOR IEEE 802.16 AND WIMAX 1185
TABLE I
A CRONYMS WITHIN THIS ARTICLE .
Acronym Definition Acronym Definition

3G third generation NWG Network Working Group
3GPP 3rd Generation Partnership Project OFDMA Orthogonal Frequency Division Multiple Access
3GPP2 3rd Generation Partnership Project 2 OSI Open Systems Interconnection
AIEE American Institute of Electrical Engineers PAR Project Authorization Request
ANSI American National Standards Institute PCT Protocol Conformance Testing
ARIB Association of Radio Industries and Businesses PG Project Group
BCG Band Class Certification Group PHY Physical
BWA Broadband Wireless Access PICS Protocol Implementation Conformance Statement
CALA Caribbean and Latin America Region PIXIT Protocol Implementation Extra Information for Testing
CDMA Code Division Multiple Access RA Radiocommunication Assembly
CRSL Certification Requirements Status List RAG Radiocommunication Advisory Group
CWG Certification Working Group RAN Radio Access Network
DECT Digital Enhanced Cordless Telecommunications RCT Radio Conformance Test
EC Executive Committee (of LMSC) RevCom Review Committee of IEEE-SASB
EDGE Enhanced Data rates for Global Evolution RIT Radio Interface Technology
EIA Electronic Industries Alliance RRT Radio Regulatory Testing
ETSI European Telecommunications Standards Institute SAB Standards Activity Board
EV-DO Evolution-Data Optimized SC Single Carrier
FDD Frequency Division Duplex SCa Single Carrier
FDMA Frequency Division Multiple Access SDD System Description Document
FPLMTS Future Public Land Mobile Telecommunications Systems SG Study Group
GCS Global Core Specification SGWG Smart Grid Working Group
GRIDMAN Greater Reliability In Disrupted Metropolitan Area Networks SPWG Service Provider Working Group
GRWG Global Roaming Working Group TDD Time Division Duplex
HiperMAN High Performance Metropolitan Area Networks TDMA Time Division Multiple Access
HSPA High Speed Packet Access TG Task Group
IEEE Institute of Electrical and Electronics Engineers) TIA Telecommunications Industry Association
IEEE-SA IEEE Standards Association TP Test Purpose
IEEE-SASB IEEE-SA Standards Board TSC Technical Steering Committee
IIOT Infrastructure Inter-Operator Testing TSS Test Suite Structure
IMT-2000 International Mobile Telecommunications-2000 TTA Telecommunications Technology Association
IRE Institute of Radio Engineers TWG Technical Working Group
ISO International Organization for Standardization UMTS Universal Mobile Telecommunications System
ITU International Telecommunication Union UTRA Universal Terrestrial Radio Access
ITU-D ITU Development UWC Universal Wireless Communication
ITU-R ITU Radiocommunications WARC World Administrative Radio Conference
ITU-T ITU Telecommunications WCB WiMAX Certification Body
LAN Local Area Network WCDMA Wideband CDMA
LMDS Local Multipoint Distribution Service WCI WiMAX 2 Collaboration Initiative
LMSC LAN/MAN Standards Committee WFDCL WiMAX Forum Designated Certification Labs
LTE Long Term Evolution WFDVL WiMAX Forum Designated Validation Laboratories
M2M Machine to Machine WG Working Group
MAC Medium Access Control WiBro Wireless Broadband
MAN Metropolitan Area Network WiMAX Worldwide Interoperability for Microwave Access
MIOT Mobile Interoperability Testing WirelessHUMAN Wireless High-Speed Unlicensed Metropolitan Area Network
MMR Mobile Multi-hop Relay WirelessMAN Wireless Metropolitan Area Networks
NCT Network Conformance Testing WMAN Wireless Metropolitan Area Network
NesCom New Standards Committee of IEEE-SASB WP Working Party
NRR Network Robustness and Reliability WRC World Radiocommunication Conference
N-WEST National Wireless Electronic Systems Testbed
a leading ‘P’ character (for Project) in its project number (e.g successive ballots until completion of the standards balloting
P802.16m) [22]. process. There are often multiple successive ballots as changes
The final draft document will first undergo a balloting may be made in the proposed standard to resolve negative
process amongst the WG members. Next, the draft document comments or for other reasons to improve the draft document.
is forwarded to the Sponsor EC for approval and a Spon- All substantive changes made since the last balloted proposed
sor balloting process is initiated. To reach consensus (i.e. standard are identified and recirculated to the balloting group,
agreement among the majority, not necessarily unanimity) together with all unresolved “Do Not Approve” votes with
during the balloting processes, balloting group members are comments. During a recirculation ballot, balloting group
casting votes (“Approve”, “Do Not Approve” or “Abstain”), members have an opportunity to cast votes or change their
with or without accompanying comments, in one or more previously cast votes [23]. In order to proceed to the next
New idea !
Standard maintenance Project start-up
SG drafts PAR
Revision Establish
PAR + 5 Criteria
required SG
+ 5 Criteria
yes
no Re-
Changes Analysis by
affirmation
needed? RevCom
ballot
yes IEEE-SASB LMSC

Analysis by PAR WG review
yes sends PAR
approval? NesCom + EC review
to NesCom
no Withdrawal
Still relevant? Withdrawal
ballot
Standard development
Published WG/TG
Establish Draft Voting in
Standard drafts a EC review
WG or TG standard WG Ballot
standard
Standard publishing
yes Draft LMSC Voting in

IEEE-SA IEEE-SASB Analysis by
Publish WG review standard sends draft Sponsor
editor approval? RevCom
to RevCom Ballot
Fig. 2. Simplified flow chart of the IEEE standardization process for IEEE 802.16 standards and amendments.
stage, a minimum of 75% (excluding the “Abstain” votes) and submit it to the NesCom. A PAR extension may be granted
must approve the draft. In the event that 30% or more of for one or more years [23].
the returned ballots are Abstentions, the standards balloting
process shall be considered invalid. C. IEEE 802.16 WG air interface standards
After the Sponsor Ballot process is complete, the Sponsor The IEEE 802.16 WG develops standards and recom-
will move the project toward final review by RevCom (the mended practices to support the development and deployment
Review Committee of IEEE-SASB), which issues a recommen- of broadband Wireless Metropolitan Area Networks (Wireless-
dation to the IEEE-SASB. The IEEE-SASB takes the final de- MAN). The Working Group has completed different standards
cision in approving the standard. After approval, the standard projects since 2001 [24].
is edited by an IEEE-SA editor, given a final review by the 1. The original standard and first amendments
members of the working group, and published. Additionally, It all started with the establishment of the IEEE 802 Study
IEEE 802 standards are added six months after publication Group on Broadband Wireless Access (BWA) [25] in Nov.
to the IEEE Get 802 program for public download from the 1998. This Study Group was also denoted as 802.N-WEST,
Internet, free of charge. At least every five years, every IEEE as the leader of this SG was Roger B. Marks who was at
Standard is subjected to review for revision, reaffirmation or that time director of the National Wireless Electronic Systems
withdrawal [23]. Testbed (N-WEST) at the National Institute of Standards and
If a standards project has not been completed by the Technology (NIST). The PAR [26] that was proposed by
four-year deadline authorized in the PAR and the Sponsor the SG for specification of interoperable Local Multipoint
determines that the project should remain active, the Sponsor Distribution Service (LMDS) system was approved in Mar.
needs to complete the IEEE-SASB Extension Request Form 1999 and created the P802.16 project. The SG was disbanded
and the IEEE 802.16 Working Group on Broadband Wireless Because of this however, it was necessary in Nov. 2001 to
Access Standards was erected to manage this newly approved redefine the PAR of P802.16a [44] to incorporate the goals of
project. Roger B. Marks is still leading this WG today. project P802.16b and to withdraw the latter, in order to comply
In the P802.16 project, Task Group 1 (TG1) [27] focused with IEEE stipulations [45]. TG3 and TG4 were merged into
on the development of an air interface for 10-66 GHz using Task Group a (TGa) [46] to manage development of the
a single carrier at the physical layer, which is therefore redefined P802.16a project.
named WirelessMAN-SC (Single Carrier). However, in order On 6 Dec. 2001, the final draft document D5 of P802.16
to be consistent with the numbering of the concurrent project within TG1 was approved [47] by IEEE-SASB. Finally a new
P802.16.2 (PAR [28] approved in Sep. 1999 under the auspices IEEE standard was born: IEEE Std 802.16-2001 [48]! It was
of Task Group 2 [29] for the development of a recommended published in Apr. 2002 [49].
practice for coexistence, see Section II-D3), it was requested in Meanwhile, a new PAR [50] was submitted in Mar. 2002
Nov. 1999 to renumber P802.16 as P802.16.1 [30] (approved for amending the standard with ‘Detailed System Profiles for
in Jan. 2000). 10-66 GHz’, which envisaged the definition of a number of
Also in Nov. 1999, the Sub10 Study Group4 [31] was profiles including a set of predetermined parameter values for
established for drafting an additional PAR to create a com- interoperability support (more information on interoperability
plementary standalone standard for an air interface for 2- is found in Section III). This was approved in May 2002 [51]
11 GHz. This PAR was approved in Mar. 2000 as project and led to P802.16c, managed by Task Group c (TGc) [52].
P802.16.3 [32]5 and Task Group 3 [34] was established for This project experienced a swift content output and its draft
its development (and Sub10 SG was disbanded). Within the document D4 was already approved [53] by IEEE-SASB on
project, three different options for the physical layer at 2- 11 Dec. 2002 as IEEE Std 802.16c-2002 [54]. It was the first
11 GHz were developed: WirelessMAN-SCa6 (Single Carrier), amendment to IEEE Std 802.16-2001 and was published in
WirelessMAN-OFDM (Orthogonal Frequency Division Multi- Jan. 2003.
plexing) and WirelessMAN-OFDMA (Orthogonal Frequency Also in Dec. 2002, a PAR [55] was approved for developing
Division Multiple Access). a draft for another amendment to IEEE Std 802.16-2001 in
Then, in Dec. 2000 yet another PAR [35], this time drafted project P802.16d, similar in concept as P802.16c but now
by the WirelessHUMAN (Wireless High-Speed Unlicensed focusing on the lower frequencies, 2-11 GHz, for defining
Metropolitan Area Network) Study Group [36], was approved. profiles for interoperability support. The work of Task Group
This resulted in project P802.16.1b for the newly erected d (TGd) [56] intended to result in ‘Amendment 3: Detailed
Task Group 4 (TG4) [37]. The project aimed at amending the System Profiles for 2-11 GHz’ but this never happened, as
standard (that would result from project P802.16.1) to support will be explained a little further.
license-exempt frequencies, thereby defining a WirelessHU- About a month after the IEEE Std 802.16c-2002 approval,
MAN physical air interface. TGa also had its draft document D7 in P802.16a approved
At the start of 2001, the 802.16 WG thus had three active [57] on 29 Jan. 2003 by IEEE-SASB. This led to the IEEE
projects concerning air interfaces: P802.16.1, P802.16.1b and standard IEEE Std 802.16a-2003 [58], which was the second
P802.16.37. However, the Working Group did not fully foresee amendment to IEEE Std 802.16-2001 and published in Apr.
those future projects. Due to the fact that it was agreed 2003.
to continue the development of the different physical layer In 2003, to summarize, the following IEEE standards de-
options but with only a single MAC protocol on top, the scribing the air interface were thus applicable:
existing PARs were not fully aligned with the plans of the • IEEE Std 802.16-2001: IEEE Standard for Local and
Working Group. Therefore, it was intended [38] to bring all of metropolitan area networks Part 16: Air Interface for
the air interface projects into a single standard, to be numbered Fixed Broadband Wireless Access Systems
simply ‘802.16’. Each additional air interface specification
– IEEE Std 802.16c-2002: Amendment 1: Detailed
would be developed as an amendment8. This led in Mar. 2001
System Profiles for 10-66 GHz
to the approval of the renumbering of P802.16.1 to P802.16
– IEEE Std 802.16a-2003: Amendment 2: Medium
[39] (which was actually its original project number [26] as
Access Control Modifications and Additional Phys-
explained earlier), the renumbering of P802.16.3 to P802.16a
ical Layer Specifications for 2-11 GHz
[40] and finally P802.16.1b to P802.16b [41]. The active PARs
for air interfaces were now P802.16, P802.16a and P802.16b. Their evolution, as described above, is visualized in Fig. 3
In May 2001, TG3 and TG4 agreed to work together and summarized in Table II.
[42], [43] in the same document for P802.16a and P802.16b. 2. Towards a first revision with new amendments
In the meantime, a Mobile Wireless MAN Study Group
4 The Sub10 SG originally aimed at frequencies below 10 GHz, however its [59] was erected to draft a PAR concerning the addition of
scope was extended to the 2-11 GHz spectrum. mobility, by making amongst others the number of subcarriers
5 While drafting the P802.16.3 PAR, it was briefly considered to create an
amendment rather than a complementary standard. In this case the P802.16.1a in WirelessMAN-OFDMA scalable with the used bandwidth.
number would have been applicable. This was however rejected [33]. This PAR [60] was approved in Dec. 2002 leading to project
6 Note that the physical air interface using a single carrier is thus denoted
P802.16e, tackled by Task Group e (TGe) [61].
‘WirelessMAN-SC’ for 10-66 GHz and ‘WirelessMAN-SCa’ for 2-11 GHz.
7 P802.16.2 was the fourth active PAR at the beginning of 2001 and dealt After discussions in joint TGe/TGd meetings [62] during the
with coexistence issues, see Section II-D3 WG meeting in May 2003, the scope of their current PARs
8 Previous IEEE terminology for an ‘amendment’ was a ‘supplement’ appeared to be limiting their development. Therefore, it was
Mar-99 Jan-00 Mar-01 May-02

PAR P802.16 PAR P802.16.1 PAR P802.16 PAR P802.16c
Nov-98 - Mar-99 Mar-99 - Jan-00 Jan-00 - Mar-01 Mar-01 - Dec-01 May-02 - Dec-02
P802.16 P802.16.1 P802.16 P802.16c
Nov-98 - Mar-99 Mar-99 - Dec-01 May-02 - Dec-02

802.N-WEST Task Group 1 (TG1) Task Group c (TGc)
Dec-01
IEEE Std 802.16-2001 Dec-02
Dec-02
IEEE
IEEE Std
Std 802.16c-2002
802.16c-2002
Jan-99 Apr-99 Jul-99 Oct-99 Jan-00 Apr-00 Jul-00 Oct-00 Jan-01 Apr-01 Jul-01 Oct-01 Jan-02 Apr-02 Jul-02 Oct-02 Jan-03
Dec-00 Mar-01
PAR P802.16.1b PAR 802.16b
Dec-00 - Mar-01 Mar-01 - Nov-01

P802.16.1b P802.16b
Nov-01
Dec-00 - Nov-01
merge into
Task Group 4 (TG4) P802.16a
Jan-03
Jan-03
Mar-00 Mar-01 IEEE
IEEEStd
Std802.16a-2003
802.16a-2003
PAR P802.16.3 PAR P802.16a Nov-01
PAR P802.16a redefined
Nov-99 - Mar-00 Mar-00 - Mar-01 Mar-01 - Jan-03

P802.16.3 P802.16a
Nov-99 - Mar-00 Mar-00 - Nov-01 Nov-01 - Jan-03

Sub10 SG Task Group 3 (TG3) Task Group a (TGa)
Fig. 3. Timeline with relevant PARs, SGs and TGs for IEEE Std 802.16-2001 and its amendments.
TABLE II
S UMMARY OF THE PROJECTS WITHIN THE IEEE 802.16 WG THAT LED TO IEEE S TD 802.16-2001 AND ITS AMENDMENTS .
P802.16
P802.16.3 P802.16.1b
Project → P802.16.1 P802.16c
→ P802.16a → P802.16b
→ P802.16
Study Group 802.N-WEST SG Sub10 SG WirelessHUMAN SG -
PAR approval date Mar. 99 Mar. 00 Dec. 00 Mar. 02
Task group TG1 TG3 → TGa TG4 TGc
adds air interfaces for
air interface for licensed licensed bands in 2-11 GHz
adds license-exempt bands adds 10-66 GHz system pro-
Purpose bands in 10-66 GHz for LoS for nLoS (WirelessMAN-
(WirelessHUMAN) files (for interoperability)
(WirelessMAN-SC) SCa, WirelessMAN-OFDM,
WirelessMAN-OFDMA)
Project status completed completed merged in P802.16a completed
Final draft D5 D7 - D4
IEEE-SASB approval date Dec. 01 Jan. 03 - Dec. 02
Publishing date Apr. 02 Apr. 03 - Jan. 03
Standard IEEE Std 802.16-2001 IEEE Std 802.16a-2003 - IEEE Std 802.16c-2002
Standard status obsoleted obsoleted - obsoleted
decided to convert the P802.16d project into revision project IEEE Std 802.16a-2003). It was published in Oct. 2004. Also
P802.16-REVd for updating IEEE Std 802.16-2001 and its in Jun. 2004, TGe requested to update its PAR to reflect the
amendments into a single consolidated revision, rather than changes in this new revision. Approval was granted in Sep.
just amending it with system profiles for 2-11 GHz. In Sep. 2004 [66].
2003, this new PAR [63] was approved. The work of TGd Note that a final IEEE standard denoted as ‘IEEE Std
finally led on 24 Jun. 2004 [64] to the approval of draft D5 as 802.16d (sic)’ or ‘IEEE Std 802.16d-2004 (sic)’ thus never
IEEE Std 802.16-2004 [65], obsoleting IEEE Standard 802.16- existed and neither is it a synonym for IEEE Std 802.16-2004.
2001 and its two amendments (IEEE Std 802.16c-2002 and It is simply wrong to use this term.
A PAR for a corrigendum, to quickly correct errors that In Jul. 2006 the Maintenance TG drafted a new PAR
may still be found in IEEE Std 802.16-2004, was initiated and P802.16-2004/Cor2 [87] to open a Corrigendum 2 to IEEE
forwarded to NesCom in Jul. 2004 and approved as P802.16- Std 802.16-2004, which was approved in Sep. 2006.
2004/Cor1 in Sep. 2004 [67]. This corrigendum was handled The WG furthermore drafted a PAR [88] for a new
by a new Maintenance Task Group [68]. P802.16m9 project in Nov. 2006 for the development of an
Earlier, in Mar. 2004, the WG created the new 802.16 advanced IEEE 802.16 air interface, WirelessMAN-Advanced,
Network Management Study Group [69]. The SG drafted suitable for consideration in the IMT-Advanced program being
two PARs, one to develop a Management Information Base conducted by the International Telecommunications Union -
for fixed service and another to develop Management Plane Radiocommunications Sector (ITU-R) (see section IV). This
Procedures and Services to include both fixed and mobile was approved in Dec. 2006 and a new Task Group m (TGm)
service. Both were submitted in Jun. 2004 and approved in [89] was created for its development.
Aug. 2004. The former resulted in P802.16f [70], the latter In Feb. 2007, the WG also forwarded PAR P802.16 [90] to
in P802.16g [71]. The projects were both handled by a new develop a revision of IEEE Std 802.16, consolidating IEEE
TG: the Network Management Task Group [72]. Std 802.16-2004 and its amendments, which was approved in
Also in Mar. 2004, the WG erected an Ad Hoc Committee Mar. 2007 and is managed by the Maintenance Task Group.
on License-Exempt Coexistence to provide the WG with rec- Although the official name for this PAR, following IEEE-
ommendations regarding initiating standardization for license- SA conventions, is P802.16, internally the unofficial name
exempt coexistence. The Committee proposed the creation of P802.16Rev2 was used to differentiate from the very first
an IEEE 802.16 Study Group on License-Exempt Coexistence P802.16 project. P802.16Rev2 indicates that the development
[73], which was established in Jul. 2004. The SG submitted a within this project is about the second revision of IEEE
draft PAR [74] in Oct. 2004, approved in Dec. 2004, for the Std 802.16. (The first revision was IEEE Std 802.16-2004,
initiation of a new standardization project P802.16h, managed following the original version IEEE Std 802.16-2001) [91].
by a new TG: the License-Exempt (LE) Task Group [75]. Its As a new revision was being drawn up for IEEE Std
work will allow sharing of a frequency channel between co- 802.16 in P802.16Rev2, one could as well directly incorporate
located operators by means of amongst others a Coexistence the corrigendum that was being prepared at that time in
Frame (CX-Frame). P802.16-2004/Cor2. The WG therefore decided to request the
The draft document D6 in P802.16f of the Network Man- withdrawal (effective in Sep. 2007) of the P802.16-2004/Cor2
agement Task Group was approved [76] as IEEE Std 802.16f- PAR, and move the content of its last draft document, D4, into
2005 [77] in Sep. 2005 (and published in Dec. 2005). It was the P802.16Rev2 revision project [92].
the first amendment to IEEE Std 802.16-2004. In the following Yet, while a new revision was being made, IEEE Std
month, Oct. 2005, the Network Management Task Group 802.16g-2007 [93] was still approved [94] by the IEEE-SA
prepared a PAR to initiate a mobile management information Standards Board on 27 Sep. 2007 as the third amendment
base (and thus essentially extending the P802.16f work to to IEEE Std 802.16-2004. It was the result of draft D9 in
support the new features of P802.16e). This was approved P802.16g of the Network Management TG and was published
in Dec. 2005 as P802.16i [78]. on 31 Dec. 2007.
Meanwhile, there was a lot of progress in P802.16e within To summarize, only the following IEEE standards describ-
TGe. Following its IEEE-SA approval on 7 Dec. 2005 [79], ing the air interface were applicable in the beginning of 2008:
draft document D12 was published on 28 Feb. 2006 as IEEE
• IEEE Std 802.16-2004: IEEE Standard for Local and
Std 802.16e-2005 [80], the second amendment to IEEE Std
metropolitan area networks Part 16: Air Interface for
802.16-2004. Prior to publication, the standard was fully
Fixed Broadband Wireless Access Systems
integrated with the corrigendum IEEE Std 802.16-2004/Cor1,
which was approved on 8 Nov. 2005 [81] and the result of draft – IEEE Std 802.16f-2005: Amendment 1: Manage-
document D5 within P802.16-2004/Cor1 of the Maintenance ment Information Base
Task Group. – IEEE Std 802.16-2004/Cor1-2005: Corrigendum 1
Note that a final IEEE standalone standard denoted as ‘IEEE (not published separately, but jointly with IEEE Std
Std 802.16-2005 (sic)’ thus never existed. It is incorrect to use 802.16e-2005)
this term. Only IEEE Std 802.16e-2005 can be used rightfully – IEEE Std 802.16e-2005: Amendment 2: Physical and
and compliance to IEEE Std 802.16e-2005 alone is impossible, Medium Access Control Layers for Combined Fixed
since it’s just an amendment to IEEE Std 802.16-2004 [82], and Mobile Operation in Licensed Bands
[83]. – IEEE Std 802.16g-2007: Amendment 3: Manage-
In Jul. 2005, an ad hoc committee on Mobile Multi-hop ment Plane Procedures and Services
Relay had led to the formation of a Mobile Multi-hop Relay Their evolution, as described above, is visualized in Fig. 4
(MMR) Study Group [84] within the 802.16 WG. This SG and summarized in Table III.
expired in Mar. 2006, with the approval of its PAR P802.16j 3. Completion of the second revision and the creation of
[85]. The development of the P802.16j project had been new projects
assigned to the new IEEE 802.16’s Relay Task Group [86],
9 ‘m’ was the next available letter, because P802.16k had been approved
where adaptations are made to the physical WirelessMAN-
meanwhile (see Section II-D1) and the IEEE-SA project numbering policy
OFDMA specifications, by including a transparent time zone does not allow the letters ‘l’ nor ‘o’ for project numbers [22], probably because
for relay station (RS) to mobile station (MS) transmissions. they resemble the numbers ‘1’ and ‘0’ which could cause confusion.
Dec-02
PAR P802.16e
Jul-02 - Dec-02 Dec-02 - Dec-05

P802.16e
Jul-02 - Dec-02 Dec-02 - Dec-05

Mobile Wireless MAN SG Task Group e (TGe)
Dec-02 Sep-03 Sep-04

PAR P802.16d PAR P802.16-REVd PAR P802.16-2004/Cor1
Dec-02 - Sep-03 Sep-03 - Jun-04 Sep-04 - Nov-05

P802.16d P802.16-REVd P802.16-2004/Cor1
Dec-02 - Jun-04 Sep-04 - Nov-05

Dec-05
Task Group d (TGd) Maintenance TG Nov-05 Dec-05
Jun-04 IEEE Std 802.16e-2005
Nov-05 IEEE Std
IEEE Std 802.16-2004/Cor1802.16e-2005
IEEE Std 802.16-2004 IEEE Std 802.16-2004/Cor1
Jul-02 Oct-02 Jan-03 Apr-03 Jul-03 Oct-03 Jan-04 Apr-04 Jul-04 Oct-04 Jan-05 Apr-05 Jul-05 Oct-05 Jan-06 Apr-06 Jul-06 Oct-06 Jan-07 Apr-07 Jul-07 Oct-07
Sep-05
Sep-05 Sep-07
IEEE
IEEE Std 802.16f-2005
Std 802.16f-2005 IEEE Std 802.16g-2007
Aug-04
PAR P802.16g
Mar-04 - Aug-04 Aug-04 - Sep-07

P802.16g
Mar-04 - Aug-04 Aug-04 - Sep-05
P802.16f
Mar-04 - Aug-04 Aug-04 Aug-04 - Sep-07

Network Management SG PAR P802.16f Network Management TG
Fig. 4. Timeline with relevant PARs, SGs and TGs for IEEE Std 802.16-2004 and its amendments.
Similar to the merge of P802.16-2004/Cor2 into Also on 13 May 2009, draft D9 of P802.16j, developed
P802.16Rev2 earlier, the WG agreed in Nov. 2007 to by the Relay Task Group, was approved [99] by IEEE-SASB
merge the contents of draft D6 of P802.16i within the as IEEE Std 802.16j-2009 [100]. The very same day the new
Network Management TG into the draft of P802.16Rev2 revision of IEEE Std 802.16, IEEE Std 802.16-2009, was born,
within the Maintenance TG and the P802.16i PAR was it thus immediately got its first amendment. IEEE Std 802.16j-
subsequently withdrawn in Mar. 2008 [95]. 2009 was published by IEEE on 12 Jun. 2009.
In Jan. 2008, several discussions spotlighted concerns re- In Nov. 2008, the 802.16 Working Group had approved the
garding the implications of 802.16j and relay support on the creation of an Ad Hoc Committee on Network Robustness and
802.16m network architecture. As a result, the ‘16jm’ Ad Hoc Reliability (NRR) with the objective of promoting discussion
Group was instated to study the issues. This Ad Hoc Group on robustness and reliability. One year later, in Nov. 2009, the
delivered its final report [96] in Jul. 2008 as a contribution to Committee proposed in its final report [101] the creation of
TGm. the IEEE 802.16 GRIDMAN Study Group [102] on ‘Greater
The IEEE-SASB approved [97] on 13 May 2009 a new Reliability In Disrupted Metropolitan Area Networks’. The
revision of IEEE Std 802.16: IEEE Std 802.16-2009 [98]. proposal was approved, putting the SG into effect. The
Approval was based on the D9a draft of P802.16Rev2, pre- GRIDMAN SG has drafted a PAR [103] for an amendment
pared by the Maintenance TG. It was published by IEEE to IEEE Std 802.16 on Higher Reliability Networks, which
on 29 May 2009. Whereas IEEE Std 802.16-2004 previously was approved on 17 Jun. 2010 by IEEE-SASB as project
obsoleted IEEE Std 802.16-2001 and its amendments (IEEE P802.16n. With the GRIDMAN SG’s temporary assignment
Std 802.16c-2002 and IEEE Std 802.16a-2003), it now finds completed, the new GRIDMAN Task Group [104] was initiated
itself and its amendments superseded by the latest revision, for drafting a standard in the P802.16n project by enhancing
IEEE Std 802.16-2009. As there was no more interest in the MAC protocol and extending the WirelessMAN-OFDMA
a single carrier physical layer for 2-11 GHz frequencies, specifications.
the WirelessMAN-SCa physical specifications were dropped As work in P802.16h within the License-Exempt TG had
in this revision and only WirelessMAN-SC, WirelessMAN- started in Dec. 2004 and still none of its draft documents was
OFDM and WirelessMAN-OFDMA remained. expected to make it into an IEEE Standard by the end of
TABLE III
Project P802.16d P802.16-2004/Cor1 P802.16e

→ P802.16-RevD
Study Group - - Mobile Wireless MAN SG
PAR approval date Dec. 02 Sep. 04 Dec. 02
Task group TGd Maintenance TG TGe
adds mobility by making the number of
adds 2-11 GHz system profiles → re- subcarriers in WirelessMAN-OFDMA
Purpose vision project of IEEE Std 802.16-2001 corrects errors in IEEE Std 802.16-2004 scalable with the used bandwidth (con-
to consolidate amendments stant subcarrier spacing)
Project status completed completed completed
Final draft D5 D5 D12
IEEE-SASB approval date Jun. 04 Nov. 05 Dec. 05
Publishing date Oct. 04 Feb. 06 Feb. 06
Standard IEEE Std 802.16-2004 IEEE Std 802.16-2004/Cor1 IEE Std 802.16e-2005
Standard status obsoleted obsoleted obsoleted
Project P802.16f P802.16g

Study Group NetMan SG NetMan SG
PAR approval date Aug. 04 Aug. 04
Task group NetMan TG NetMan TG
adds MIB for fixed service to facili- adds Management Procedures and Ser-
Purpose tate cross-vendor interoperability at the vices for fixed and mobile service to
network level for the management of standardize the management plane be-
devices haviour
Project status completed completed
Final draft D6 D9
IEEE-SASB approval date Sep. 05 Sep. 07
Publishing date Dec. 05 Dec. 07
Standard IEEE Std 802.16f-2005 IEEE Std 802.16g-2007
Standard status obsoleted obsoleted
2008, the project would at that time reach the end of its four- Thus today (May 2011), only the following IEEE standards
year lifetime (which applies for all PARs). In order for the that describe the air interface are valid:
project to remain active in 2009, the WG therefore requested • IEEE Std 802.16-2009: IEEE Standard for Local and
NesCom a one-year PAR extension of P802.16h in Jul. 2008 metropolitan area networks Part 16: Air Interface for
[105] (granted in Sep. 2008). One year however seemed to be Broadband Wireless Access Systems
too short and the PAR was once again extended [106] in Dec.
2009 to remain active in 2010. Then, on 17 Jun. 2010, draft – IEEE Std 802.16j-2009: Amendment 1: Multihop
D15 of P802.16h was approved [107] by the IEEE-SASB as Relay Specification
IEEE Std 802.16h-2010 [108] and it was published on 30 Jul. – IEEE Std 802.16h-2010: Amendment 2: Improved
2010 as the second amendment to IEEE Std 802.16-2009. Coexistence Mechanisms for License-Exempt Oper-
ation
In Nov. 2009, the new Project Planning Ad Hoc group – IEEE Std 802.16m-2011: Amendment 3: Advanced
started to investigate future 802.16 networks challenges and Air Interface
possibilities. In Mar. 2010, the Project Planning Ad Hoc
group began drafting a machine-to-machine (M2M) Commu- Their evolution, as described above, is visualized in Fig. 5
nications study report and the group was upgraded to be and summarized in Table IV.
the standing IEEE 802.16 Project Planning Committee [109]. Contrary to Fig. 3, Fig. 4 and Fig. 5 which visualized
In May 2010, the Project Planning Committee concluded the activities that were preceding each standard’s approval,
the study report and started drafting a PAR for an amend- the time succeeding each accepted IEEE 802.16 standard is
ment to IEEE Std 802.16 on Enhancements for Machine- indicated in Fig. 6. This time line indicates the valid life time
to-Machine (M2M) Communications [110], which was ac- of each IEEE 802.16 air interface standard, which ends with
cepted by the IEEE-SASB as project P802.16p on 30 Sep. the creation of a new revision of the IEEE 802.16 standard.
2010 [111]. The Machine-to-Machine Task Group [112] will Besides the completed projects, following projects are on-
manage this project. This amendment builds on top of the going (see Table V), as mentioned before:
features in P802.16m and will support low power operation • P802.16n: the GRIDMAN Task Group is developing an
and small burst transmissions in WirelessMAN-OFDMA and amendment to IEEE Std 802.16 on Higher Reliability
WirelessMAN-Advanced specifications. Networks
Concerning P802.16m, TGm completed its task and draft • P802.16p: the Machine-to-Machine Task Group is devel-
D12 was approved [113] on 31 March 2011 as IEEE Std oping an amendment to IEEE Std 802.16 on Enhance-
802.16m-2011. Publication is expected soon (May 2011). ments to support Machine-to-Machine Applications
Dec-05 Dec-05 - Mar-08

PAR P802.16i P802.16i
Dec-05 - Mar-08
Network Management TG
Mar-08
merge into
P802.16Rev2
Sep-06 - Sep-07
Sep-06
P802.16-2004/Cor2
PAR P802.16-2004/Cor2
May-09
Sep-07 IEEE Std 802.16j-2009
Sep-06 - Sep-07
merge into
Maintenance TG P802.16Rev2
Mar-07 Mar-07 - May-09

PAR P802.16 P802.16 (a.k.a P802.16Rev2)
May-09
Mar-07 - May-09 IEEE
IEEE Std
Std 802.16-2009
Maintenance TG
Jul-04 Oct-04 Jan-05 Apr-05 Jul-05 Oct-05 Jan-06 Apr-06 Jul-06 Oct-06 Jan-07 Apr-07 Jul-07 Oct-07 Jan-08 Apr-08 Jul-08 Oct-08 Jan-09 Apr-09 Jul-09 Oct-09 Jan-10 Apr-10 Jul-10 Oct-10 Jan-11
May-09
May-09
Mar-06
IEEE Std
IEEE Std 802.16j-2009
802.16j-2009
PAR P802.16j
Jul-05 - Mar-06 Mar-06 - May-09

Jun-10
Jun-10
P802.16j
Dec-04 IEEEStd
IEEE Std802.16h-2010
802.16h-2010
PAR P802.16h Mar-11
IEEE Std 802.16m-2011
Jul-05 - Mar-06 Mar-06 - May-09
Mobile Multihop Relay SG Relay TG
Jul-04 - Dec-04 Dec-04 - Jun-10
P802.16h
Jul-04 - Dec-04 Dec-04 - Jun-10

SG on License-Exempt coexistence License-Exempt TG
Dec-06 Dec-06 - Mar-11

PAR P802.16m P802.16m
Dec-06 - Mar-11
Task Group m (TGm)
Fig. 5. Timeline with relevant PARs, SGs and TGs for IEEE Std 802.16-2009 and its amendments until now (May 2011).
As for future projects, we would like to inform the reader to split the specifications into two different tracks is to obtain
that preparations are being made within the Project Planning a more practical maintenance of the WirelessMAN-OFDMA
Committee to make a new revision of the IEEE 802.16 air interface on the one hand and of the WirelessMAN-
standard. This would be the third revision to the original IEEE Advanced air interface on the other hand, as each is included
Std 802.16-2001, succeeding the IEEE Std 802.16-2004 and in a different ITU (International Telecommunications Union)
IEEE Std 802.16-2009 revisions. It would consolidate IEEE framework: IMT-2000 and IMT-Advanced, respectively (see
Std 802.16-2009, IEEE Std 802.16j-2009, IEEE Std 802.16h- Section IV).
2010 and IEEE Std 802.16m-2011 into a standard document. The Project Planning Committee also initiated the de-
This will happen in a new P802.16 project, for which a velopment of study reports for Hierarchical Networks and
PAR is being drafted [114]. However, contrary to common for coexistence with non-802 TDD (Time Division Duplex)
practice, IEEE Std 802.16m-2011 would not be completely systems, but the latter topic has been disbanded. Following
included in this new revision. Instead, the current idea is to topics are also on the roadmap of new PARs by the Project
shift the WirelessMAN-Advanced radio interface, which was Planning Committee for 2011: Enhanced QoS, Ultra High
introduced in this amendment, into a new standalone standard, Speed Networks (> 1-5 Gbps) and Green RAN [117].
in addition to the revision standard that is being made. There-
fore, another PAR is being drafted for which currently the D. IEEE 802.16 WG other standards
P802.16M project name10 is suggested [116]. The motivation
1) Bridging standard: As the IEEE 802.16 WG is part of
10 Normally, the numbering of projects of the same family use a decimal- the 802 family and fits into a general reference model [18],
numbered extension [22]. However, P802.16.1, P802.16.2 and P802.16.3 it needs to normalize its compatibility and ensure that it can
are/were already used. Calling the standard project P802.16.4 or P802.16.5 operate in a bridged IEEE 802 network. Therefore, the WG
“did not sound right” [115] and neither did P802.16.10 or P802.16.20. As
the new standard will be based on the IEEE Std 802.16m-2011 amendment, submitted a new PAR, designated P802.16k [118], to amend
which is well-known, one therefore proposes to make an exception to naming IEEE Std 802.1D-2004 [119] to specify 802.16 bridging. IEEE
conventions and to use the P802.16M name, with a capital letter ‘M’ suffix, Std 802.1D-2004 is a standard of the IEEE 802.1 Working
in order to indicate that the new intended standard descents from the IEEE
Std 802.16m-2011 amendment but that it is a standalone standard (as no Group (another Working Group within IEEE 802 LMSC)
lower-case letter is used). about LAN/MAN Bridging & Management. This PAR was
TABLE IV
Project P802.16h P802.16i P802.16j

Study Group SG on License-Exempt Coexistence - MMR SG
PAR approval date Dec. 04 Dec. 05 Mar. 06
Task group LE TG NetMan TG Relay TG
adds Improved Coexistence Mecha- extends the MIB of IEEE Std 802.16f-
nisms for License-Exempt Operation to adds Multihop Relay Specification for
2005 for mobile service to facilitate
Purpose allow sharing of a frequency channel WirelessMAN-OFDMA, by including a
cross-vendor interoperability at the net-
between co-located operators by means transparent zone for RS to MS transmis-
work level for the management of de-
of a Coexistence Frame (CX-Frame) sions in the DL subframe
vices
Project status completed merged in P802.16Rev2 completed
Final draft D15 - D9
IEEE-SASB approval date Jun. 10 - May 09
Publishing date Jul. 10 - Jun. 09
Standard IEEE Std 802.16h-2010 - IEEE Std 802.16j-2009
Standard status active (May 2011) - active (May 2011)
P802.16
Project P802.16-2004/Cor2 P802.16m
(P802.16Rev2)
Study Group - - -
PAR approval date Sep. 06 Mar. 07 Dec. 06
Task group Maintenance TG Maintenance TG TGm
correct errors in IEEE Std 802.16-2004 adds a WirelessMAN-Advanced air in-
Purpose Revision project to consolidate IEEE terface for higher throughput and cover-
that were not included in IEEE Std
Std 802.16-2004 and its amendments age, based on WirelessMAN-OFDMA
802.16-2004/Cor1
Project status merged in P802.16Rev2 completed completed
Final draft - D9a D12
IEEE-SASB approval date - May 09 Mar. 11
Publishing date - May 09 to be determined
Standard - IEEE Std 802.16-2009 IEEE Std 802.16m-2011
Standard status - active (May 2011) active (May 2011)
TABLE V
S UMMARY OF THE PROJECTS WITHIN THE IEEE 802.16 WG THAT ARE STILL UNDER DEVELOPMENT TODAY (M AY 2011).
Project P802.16n P802.16p

Study Group GRIDMAN SG PPC
PAR approval date Jun. 2010 Sep. 2010
Task group GRIDMAN TG M2M TG
adds machine-to-machine communica-
adds higher reliability by enhanc- tion to WirelessMAN-OFDMA and
Purpose ing the MAC protocol and extending WirelessMAN-Advanced by supporting
WirelessMAN-OFDMA low power operation and small burst
transmissions
Project status active (May 2011) active (May 2011)
Final draft to be determined to be determined
IEEE-SASB approval date to be determined to be determined
Publishing date to be determined to be determined
Standard to be determined to be determined
Standard status draft (May 2011) draft (May 2011)
approved in Mar. 2006 and the Network Management Task Carrier) Air Interface. The work was initiated in project
Group was chartered for its development. IEEE Std 802.16k- P1802.16.111 with PAR approval in Aug. 2002, but
2007 [120] was approved based on draft D4 in P802.16k on was renumbered to P802.16/Conformance01 in Jun.
22 Mar. 2007. It was published on 14 Aug. 2007. 2003 [123]. The standard was approved by IEEE-SASB
on 12 Jun. 2003 and published on 18 Aug. 2003.
2) Conformance standards: IEEE 802.16’s Task Group C • IEEE Std 802.16/Conformance02-2003 [124]: Part 2: Test
(Conformance) (TGC) [121] has developed a series of con- Suite Structure (TSS) and Test Purpose (TP) for 10-
formance standards, per ISO/IEC Standard 9646-7 (1995) and 66 GHz WirelessMAN-SCTM Air Interface. The work was
ITU-T X.296, in support of the the air interface specified in initiated in project P1802.16.2 with PAR approval in Dec.
IEEE 802.16. They were published as multipart test documents 2002, but was renumbered to P802.16/Conformance02 in
for conformance to IEEE 802.16:
• IEEE Std 802.16/Conformance01-2003 [122]: Part 1: 11 Projects for conformance may have parallel numbering to the standard
Protocol Implementation Conformance Statement (PICS) for which conformance is being defined [22]. For the P802.16 project,
Proforma for 10-66 GHz WirelessMAN-SCTM (Single conformance projects were numbered P1802.16.
Jun-04 - May-09
IEEE Std 802.16-2004
May-09
Sep-05 - May-09 IEEE Std 802.16-2009
IEEE Std 802.16f-2005
Dec-01 May-09
IEEE Std 802.16-2001 Nov-05 - May-09 IEEE Std 802.16j-2009
Dec-02 IEEE Std 802.16-2004/Cor1
IEEE Std 802.16c-2002
Dec-05 - May-09 Jun-10
Jan-03 IEEE Std 802.16e-2005 IEEE Std 802.16h-2010
IEEE Std 802.16a-2003
Mar-11
Sep-07 - May-09
IEEE Std 802.16m-2011
IEEE Std 802.16g-2007
Jan-01 Jan-02 Jan-03 Jan-04 Jan-05 Jan-06 Jan-07 Jan-08 Jan-09 Jan-10 Jan-11
Sep-07
...
IEEE Std 802.16g-2007
...
Mar-11 - Dec-11
Jan-03 - Jun-04
IEEE Std 802.16m-2011
-
IEEE Std 802.16a-2003
Dec-05 ...
IEEE Std 802.16e-2005 ...
Jun-10 - Dec-11
IEEE Std 802.16h-2010
Dec-02 - Jun-04
IEEE Std 802.16c-2002 Nov-05 ...
IEEE Std 802.16-2004/Cor1 ...
May-09 - Dec-11
IEEE Std 802.16j-2009
Sep-05
Dec-01 - Jun-04 IEEE Std 802.16f-2005 ...
IEEE Std 802.16-2001
...
May-09 - Dec-11
Jun-04 IEEE Std 802.16-2009
IEEE Std 802.16-2004
Fig. 6. Timeline revealing the valid lifetime of the IEEE 802.16 air interface standards until now (May 2011)
Jun. 2003 [125]. The standard was approved by IEEE- 1999, a Co-existence Task Group [29] (later known as Task
SASB on 11 Dec. 2003 and published on 25 Feb. 2004. Group 2 (TG2)) was created. They submitted a PAR [28] in
• IEEE Std 802.16/Conformance03-2004 [126]: Part Jul. 1999 for a Recommended Practice about Coexistence of
3: Radio Conformance Tests (RCT) for 10-66 GHz Broadband Wireless Access Systems, which was approved by
WirelessMAN-SCTM Air Interface. The work was initi- IEEE-SASB in Sep. 1999 as P802.16.2.
ated in project P1802.16.3 with PAR approval in Mar. In Mar. 2001 it was intended to bring all projects into a
2003, but was renumbered to P802.16/Conformance03 in single 802.16 standard and the renumbering of among others
Jun. 2003 [127]. The standard was approved by IEEE- P802.16.1 to P802.16 [39] took place (see Section II-C).
SASB on 12 May 2004 and published on 25 Jun. 2004. However, the P802.16.2 project number did not fit in. Since
• IEEE Std 802.16/Conformance04-2006 [128]: Part 4: this document is a Recommended Practice, it could not be
Protocol Implementation Conformance Statement (PICS) published as part of a Standard. Therefore, P802.16.2 was not
Proforma for Frequencies below 11 GHz. The work was renumbered12. One did however slightly change the scope of
initiated in project P802.16/Conformance04 with PAR P802.16.2 [38], [130]. The changes included among others the
approval in Mar. 2004 [129]. The standard was approved explicit choice for 10-66 GHz and interference with satellite
by IEEE-SASB on 15 Sep. 2006 and published on 15 Jan. systems was no longer considered.
2007. Draft D3 of P802.16.2 was approved as IEEE Std 802.16.2-
IEEE Std 802.16/Conformance01-2003, IEEE 2001 [131] in Jul. 2001 [132] and published in Sep. 2001. This
Std 802.16/Conformance02-2003 and IEEE Std was actually the first resulting IEEE standard of the IEEE
802.16/Conformance03-2004 applied to the WirelessMAN- 802.16 WG (even before the first air interface standard IEEE
SC physical layer specifications at 10-66 GHz of IEEE Std Std 802.16-2001, see Section II-C).
802.16-2001 and were administratively withdrawn after a In Aug. 2001 the PAR was approved for project P802.16.2a
five-year lifespan. No revision nor reaffirmation was made, as [133] of TG2, which envisaged an amendment to IEEE Std
there was not enough interest in those higher frequencies any 802.16.2-2001 for the 2-11 GHz frequency range (similar as
longer. Only IEEE Std 802.16/Conformance04-2006 is still P802.16a to IEEE Std 802.16-2001, see Section II-C). In Sep.
active and concerns conformance testing to fixed systems with 2003, P802.16.2a was converted into P802.16.2-REVa [134]
WirelessMAN-OFDM or WirelessMAN-OFDMA physical to make it a revision project of IEEE Std 802.16.2 rather than
layer specifications conform IEEE Std 802.16-2004 (although an amendment (similar to the conversion of P802.16d into
this air interface standard itself is now obsoleted by IEEE P802.16-REVd which was approved on the same date, see
Std 802.16-2009, as discussed previously). Section II-C). Draft D8 of P802.16.2-REVa resulted on 9 Feb.
2004 in a new revision of the standard: IEEE Std 802.16.2-
3) Coexistence standards: Within the IEEE 802.16 WG
that was created after the PAR P802.16 approval in Mar. 12 A suggestion to renumber P802.16.2 to P802.16RP was rejected [38].
2004 [135] and it was published on 17 Mar. 2004. As its 5

7. Application
year lifespan became expired, its validity was reaffirmed [136]
in Feb. 2010 for another 5 year. 6. Presentation
OSI reference model layers

WiMAX
network
5. Session specifications
E. Summary of active standards
To summarize, only the following standards are still active 4. Transport
today (May 2011):
3. Network
• IEEE Std 802.16-2009 [98]
– IEEE Std 802.16j-2009 [100] 2. Data link WiMAX
– IEEE Std 802.16h-2010 [108] IEEE air interface
802.16 specifications
– IEEE Std 802.16m-2011 [137] 1. Physical
• IEEE Std 802.16k-2007 [120]

• IEEE Std 802.16.2-2004 [135]
Fig. 7. Relationship between IEEE 802.16 and WiMAX, with respect to the
• IEEE Std 802.16/Conformance04-2006 [128] OSI reference model [19].
III. T HE ROLE OF W I MAX F ORUM

R
Within this section, the activities of the WiMAX Forum • Technical Steering Committee (TSC)
are described. This organization certifies equipment that is • Service Provider Working Group (SPWG): Gives service
compliant with the parameter values they have chosen in providers a platform for influencing BWA product and
the IEEE 802.16 standards to assure device interoperability. spectrum requirements to ensure that their individual
The WiMAX Forum is introduced in Section III-A and the market needs are fulfilled.
benefits of a certification label are described in Section III-B. • Network Working Group (NWG): Creates higher level
The system profiles that are derived from IEEE 802.16 are networking specifications for fixed, nomadic, portable
explained in Section III-C, while information on the different and mobile WiMAX systems, beyond what is defined in
succeeding releases and their development can be read in the scope of IEEE 802.16.
Section III-D. The process for a vendor’s product to be • Technical Working Group (TWG): The main goal of
certified is finally given in Section III-E. the TWG is to develop technical product specifications
and certification test suites for the air interface based on
OFDMA, complementary to the IEEE 802.16 standards,
A. About the organization
primarily for the purpose of interoperability and certifi-
The WiMAX Forum is an industry-led, not-for-profit orga- cation of Mobile Stations, Subscriber Stations and Base
nization which has hundreds of members, comprising most Stations conforming to the IEEE 802.16 standards.
of the WiMAX operators, component vendors and equipment • Certification Working Group (CWG): Handles the oper-
vendors. It was established in Jun. 2001 to promote and ational aspects of the WiMAX Forum Certified program.
certify wireless broadband equipment based on the IEEE • Global Roaming Working Group (GRWG): Assures the
802.16 and ETSI HiperMAN (European Telecommunications availability of global roaming service for WiMAX net-
Standards Institute High Performance Metropolitan Area Net- works in a timely manner as demanded by the market-
works) standards13 by awarding equipment manufacturers’ place.
products with the ‘WiMAX Forum Certified’ label (Worldwide • Regulatory Working Group: Influences worldwide reg-
Interoperability for Microwave Access). Note that this role is ulatory agencies to promote WiMAX-friendly, globally
thus comparable to what the Wi-Fi Alliance is doing for the harmonized spectrum allocations.
IEEE 802.11 standards. • Marketing Working Group (MWG): Drive worldwide
We can distinguish three functional areas of development adoption of WiMAX enabled wireless broadband con-
within the WiMAX Forum: nectivity anytime, anywhere.
• air interface specifications focus on the first and second • Smart Grid Working Group (SGWG): Provides marketing
layer of the OSI reference model [19] and are based on support to position WiMAX in the Utility Industry and
IEEE 802.16 (see Fig. 7), maximize participation in this market segment.
• network specifications apply to the upper layers and are
not based on IEEE 802.16 but developed within the
WiMAX Forum (see Fig. 7), B. Benefits of certification
• roaming specifications deal with the Roaming Business Simply being IEEE 802.16-compliant does not guaran-
Framework with functions for wholesale rating, etc. tee that equipment from one vendor will interoperate with
Different tasks within the WiMAX Forum are divided equipment from another vendor as they could each have
between following working groups [138]: implemented different subsets of the standard. Should each
vendor implement the complete IEEE 802.16 standard (the
13 The HiperMAN specifications are being developed by the Technical
same revision with the same amendments), the latter problem
Committee Broadband Radio Access Networks (BRAN) within ETSI. They
focus on frequency bands below 11 GHz and are developed in cooperation would be solved. However, as the IEEE 802.16 standard
with the IEEE 802.16 WG. is quite broad, this implementation would require a huge
TABLE VI
amount of effort and would therefore be too expensive [11]. S YSTEM PROFILES FOR W IRELESS MAN-SC [65].
An intermediate organization, i.e. the WiMAX Forum, which
specifies a subset of the IEEE 802.16 standard for vendors Current name Spectrum (GHz) BW (MHz) Duplexing
to comply to, is much more feasible and cost effective to mode
guarantee equipment interoperability. profP1f 10-66 25 FDD
The WiMAX Forum cannot explicitly oblige the vendors to profP1t 10-66 25 TDD
have their products certified. A vendor can make a system profP2f 10-66 28 FDD
with a different subset of the IEEE 802.16 standard (than profP2t 10-66 28 TDD
the one specified by the WiMAX Forum), or even with the
same subset but neglecting to certify his products by the
WiMAX Forum. However, end users are looking for ‘WiMAX C. WiMAX profiles
equipment’ and not for ‘some IEEE 802.16 equipment’ (they Based on the IEEE 802.16 and ETSI HiperMAN standards,
have probably even never heard of IEEE 802.16) but ‘Mobile the WiMAX Forum develops system profiles, which define
WiMAX’, ‘Fixed WiMAX’, the WiMAX Forum logo, etc. are mandatory and optional capabilities for WiMAX products.
trademarks of the WiMAX Forum. Thus, if the vendor wants The list of features tested in system profiles is more stringent
to use the ‘WiMAX Forum Certified’ label for its product, than the underlying standards (features that are optional in the
it needs permission of the WiMAX Forum, to prevent legal standards may be tested as mandatory by the WiMAX Forum
proceedings for trademark infringement. The WiMAX Forum CertifiedTM program), but does not include any new feature that
only grants this permission, if the vendor’s product is certified is not included in the standards [141].
by the WiMAX Forum [139] (see Section III-E). Initially, the WiMAX Forum focused on the 10-66 GHz fre-
Therefore, the vendors themselves are willing to certify their quencies in the WirelessMAN-SC physical layer specifications
products to obtain this label, without any external obligation of IEEE Std 802.16-2001 (see Section II-C). The WiMAX
as this has many benefits for vendors, network operators and Forum collaborated on the IEEE Std 802.16c-2002 amendment
end users [11], [140]: to develop the system profiles for WirelessMAN-SC, which
1) Benefits for vendors: are shown in Table VI.14
• Faster innovation: there is no need to focus on a complete Next, the WiMAX Forum helped developing
end-to-end product line, as with proprietary broadband IEEE Std 802.16/Conformance01-2003, IEEE
wireless access systems. Vendors can specialize in spe- Std 802.16/Conformance02-2003 and IEEE Std
cific components, allowing faster development cycles. 802.16/Conformance03-2004 for a Protocol Implementation
• Cost improvement: specialization in specific component Conformance Statement (PICS) Proforma, Test Suite Structure
can lead to lower-cost modules which can be integrated (TSS) and Test Purpose (TP) and Radio Conformance Test
in the vendor’s devices. (RCT), respectively (see Section II-D). Those documents are
• Faster troubleshooting: interoperability problem detection in accordance with ISO/IEC Standard 9646-7 (1995) and
before commercialization. ITU-T X.296 which specify how to write test documentation.
• Easier targeting of the global market: the certification The next step would be to develop an Abstract Test Suite
label has a worldwide reputation. (ATS) document, which includes detailed test procedures, but
this never happened as industry interest was shifting towards
2) Benefits for network operators: lower frequencies. No products could thus be certified for a
• Easy deployments: there is no vendor lock-in and a multi- 10-66 GHz profile.
vendor network can be deployed in a more cost effective IEEE Std 802.16/Conformance04-2006 was created to de-
and faster way. velop the PICS for the lower frequencies, but the WiMAX
• Support of any subscriber device: all certified end de- Forum now elaborated the system profiles and responding
vices (with the same certification profile) are instantly documents for those lower frequencies within its own orga-
supported, as well as roaming support for end devices nization, outside the IEEE 802.16 WG. Within the WiMAX
that originate from another network operator (with the Forum, there are currently two system profiles:
same certification profile). • the Fixed WiMAX system profile for systems based on
• Backward compatibility: certified products are guaranteed IEEE Std 802.16-2004 [65] using the WirelessMAN-
to be backward compatible. OFDM physical layer specifications with 256 carriers
3) Benefits for end users: • the Mobile WiMAX system profile for systems that are
based on the IEEE Std 802.16e-2005 [80] amendment
• Increased confidence: the purchased certified product
using the WirelessMAN-OFDMA physical layer specifi-
will certainly work with any network operator that uses
cations
certified products (with the same certification profile).
• User mobility: the end user can use the same device An indication of some Mobile WiMAX system profile pa-
when switching to or roaming on the network of another rameter values [142] compared to the values that are specified
network operator. in IEEE Std 802.16-2009 [98] is given in Table VII.
• Cheaper devices: higher volumes and more competition 14 Note that one actually differentiates between physical and MAC profiles
are possible by economy of scale, which lowers the price and that two different MAC profiles had also been specified for WirelessMAN-
of the devices. SC: profM1 and profM2.
TABLE VII TABLE IX

S OME KEY IEEE S TD 802.16-2009 PARAMETERS VALUES AND THE M OBILE W I MAX PROFILES WITH THEIR PROPERTIES AND CURRENT AND
SUBSET OF VALUES THAT ARE MANDATORY IN M OBILE W I MAX PAST NAMING CONVENTIONS . P ROFILES THAT HAVE PRODUCTS
R ELEASE 1.5, INDICATED IN BOLD . CERTIFIED AGAINST, ARE INDICATED IN BOLD .
Current name Old name BCG Spectrum (GHz) BW (MHz) Duplexing

Parameter IEEE Std 802.16-2009 and
mode
Mobile WiMAX Release 1.5 values M2300T-01 MP01 1.A 2.3 - 2.4 8.75 TDD
M2300T-02 MP02 1.B 2.3 - 2.4 5 & 10 TDD
Air interface WirelessMAN-SC, WirelessMAN-OFDM,
M2300T-03 N.A. 2.A 2.305 - 2.320, 2.345 - 2.360 3.5 TDD
WirelessMAN-OFDMA, WirelessHUMAN M2300T-04 MP03 2.B 2.305 - 2.320, 2.345 - 2.360 5 TDD
Cyclic prefix 1/4, 1/8, 1/16, 1/32 M2300T-05 MP04 2.C 2.305 - 2.320, 2.345 - 2.360 10 TDD
M2300T-06 N.A N.A 2.305 - 2.320, 2.345 - 2.360 5 & 10 TDD
Frame length [ms] 2, 2.5, 4, 5, 8, 10, 12.5, 20 M2300F-07 N.A. 2.D 2.305 - 2.320, 2.345 - 2.360 2x3.5 FDD
Convolutional code Tail biting, Zero tail M2300F-08 N.A. 2.E 2.305 - 2.320, 2.345 - 2.360 2x5 FDD
M2300F-09 N.A. 2.F 2.305 - 2.320, 2.345 - 2.360 2x10 FDD
Downlink modulation QPSK, 16-QAM, 64-QAM M2500T-01 MP05 3.A 2.496 - 2.690 5 & 10 TDD
Uplink modulation QPSK, 16-QAM, 64-QAM M2500F-02 N.A. 3.B 2.496 - 2.572, 2.614 - 2.690 2x5 or 2x10 FDD
M3300T-01 MP06 4.A 3.3 - 3.4 5 TDD
M3300T-02 MP07 4.B 3.3 - 3.4 7 TDD
TABLE VIII M3300T-03 N.A. 4.C 3.3 - 3.4 10 TDD
F IXED W I MAX PROFILES WITH THEIR PROPERTIES AND CURRENT AND M3500T-01 MP08 5.A 3.4 - 3.8 5 TDD
PAST NAMING CONVENTIONS . P ROFILES THAT HAVE PRODUCTS M3700T-01 N.A. 5.AH 3.6 - 3.8 5 TDD
M3500T-02 MP09 5.AL 3.4 - 3.6 5 TDD
CERTIFIED AGAINST, ARE INDICATED IN BOLD .
M3700T-02 N.A. 5.B 3.4 - 3.8 7 TDD
M3700T-03 N.A. 5.BH 3.6 - 3.8 7 TDD
Old name Alternative name Current name Spectrum (GHz) BW (MHz) Duplexing M3500T-03 MP10 5.BL 3.4 - 3.6 7 TDD
mode M3500T-04 MP11 5.C 3.4 - 3.8 10 TDD
Air 1 3.5T2 ET01 3.5 3.5 TDD M3700T-04 N.A. 5.CH 3.6 - 3.8 10 TDD
Air 2 3.5F1 ET02 3.5 3.5 FDD M3500T-05 MP12 5.CL 3.4 - 3.6 10 TDD
Air 3 3.5T1 N.A. 3.5 7 TDD M1700F-01 N.A. 6.A 1.710 - 1.755, 2.110 - 2.155 2x5 or 2x10 FDD
Air 4 3.5F2 N.A. 3.5 7 FDD M0700F-01 N.A. 7.A 0.776 - 0.787, 0.746 - 0.757 2x5 or 2x10 FDD
Air 5 5.8T N.A. 5.8 10 TDD M0700F-02 N.A. 7.B 0.788 - 0.793, 0.793 - 0.798 2x5 FDD
0.758 - 0.763, 0.763 - 0.768
M0700F-03 N.A. 7.C 0.788 - 0.798, 0.758 - 0.768 2x10 FDD
M0700F-04 N.A. N.A. ‘700 MHz’ 2x5 / 2x7 / 2x10 FDD
Different certification profiles are derived out of each M0700T-04

M0700T-05
N.A.
N.A.
7.D
7.E
0.698 - 0.746
0.746 - 0.806
5 / 10
5 / 10
TDD
TDD
system profile. They limit the number of WiMAX imple- M0700T-06 N.A. 7.F 0.790 - 0.862 5 / 10 TDD
M0700T-07 N.A. N.A. ‘700 MHz’ 7 TDD
mentations allowed under a system profile, as a certification M0700T-08 N.A. N.A. ‘700 MHz’ 5 / 7 / 10 TDD
profile additionally defines three parameters: spectrum band
(e.g. 3.5 GHz, 2.5 GHz, etc.), channel size (e.g. 5 MHz) and
duplexing mode (Frequency Division Duplex (FDD) or Time and profiles were numbered sequentially (e.g. M2500T-01 was
Division Duplex (TDD)). Those parameters mostly depend known as MP05). Alternatively, certification profiles were also
on the local regulatory requirements. By complying to the referred to by a ‘Band Class Certification Group (BCG)’.
same certification profiles, interoperability between products Those past naming convention are listed in Table IX for the
of different vendors is guaranteed. sake of completeness, where they are related to the current
Multiple certification profiles will be required to comply profiles. While the list of profiles in Table IX is quite exten-
with different regulatory requirements that different operators sive, only a subset of the current profiles are ‘active’, meaning
need to adhere to. On the other hand, however, if there that they have ongoing certification testing and announced
are too many certification profiles, the market could become certified products. Those certification profiles are M2300T-
fragmented and threaten interoperability. A trade off is thus 01, M2300T-02, M2500T-01, M3500T-02, M3500T-03 and
to be made for the number of certification profiles. M3500T-05 and are indicated in bold in Table IX. Testing
The first certification profiles were the ‘fixed profiles’ for a non-active profile can start as soon as at least three
based on the Fixed WiMAX system profile and are listed in vendors are ready to validate this profile [140]. Certificates
Table VIII [140], [143], [144]. Fixed WiMAX certification of Mobile WiMAX products include a CRSL version number,
profiles were originally numbered sequentially as Air 1, Air indicating what test suites the product was certified against
2, Air 3, Air 4 and Air 5. Later, they were renamed to 3.5T2, (see Section III-E). An example of a Mobile WiMAX product
3.5F1, 3.5T1, 3.5F2 and 5.8T, respectively. However, Fixed certificate is shown in Fig. 8.
WiMAX products have only been certified against 3.5T2 (Air
1) or 3.5F1 (Air 2). Those profiles are now known as ET01 and
ET02, respectively. They are indicated in bold in Table VIII. D. WiMAX releases
The ‘mobile’ certification profiles based on the Mobile In order to gradually certify additional features, different
WiMAX system profile, which has the most commercial ‘releases’ and different ‘waves’ within a release were in-
interest to date (see Section V), are listed in Table IX, as troduced. Certified equipment is backward compatible with
currently defined by the CWG [140], [143]–[145]. Note that equipment tested under previous releases and waves.
not every certification profile has yet been precisely defined, For Fixed WiMAX, only one release with two waves has
notably for those within the 700 MHz spectrum. The profiles been specified. There were no further releases, as the focus
in Table IX are listed according to current naming conventions, shifted sharply from Fixed WiMAX towards Mobile WiMAX,
which include the center frequency and a T/F letter (indicating which is being actively developed and deployed. Note that
TDD or FDD) within the profile’s name (e.g. M2500T-01). Mobile WiMAX can of course also be used for fixed or
Previously, only a subset of the current profiles was considered nomadic access.
TABLE X
CERTIFICATION CERTIFICATE
W I MAX F ORUM DOCUMENT NUMBERING [147].
COMPANY NAME {company_name}

y name}
y_ WMF-[Lnm]-[bbb]-R[rrr]v[vv]
CERTIFICATION DATE {month day,
d y, year
year}
Ln Nature and focus area of the document:
A1 Administrative aspects
CERTIFICATION PROFILE
LE {profile_nam
{profile_name}
C1 Certification aspects
PRODUCT NAME {product_name}
PRODUCT MODEL {product_model}

roduct_mode
M1 Marketing aspects
DEVICE TYPE {device_type}
{d ce_ty T1 Technical: Deployment & application
TIO NUM
CERTIFICATION NUMBER {ce
{certification_number}
CERTIFICATION
FICATIO
T2 Technical: Air interface aspects
REQUIREMENTS
EQUIREMENTS STATUS LIST {CRSL_number}
T3 Technical: Network aspects
SPECIFIC
SP CIFIC PROFILE DETAIL {frequency, bandwidth, duplex mode} T4 Technical: Roaming aspects
SOFTWARE
S ARE VERSION {software_version}
{firstname m Stage of the document:
HARDWARE VERSION {hardware_version}
INTEROPERABILITY OPTIONS {interoperability_options}

lastname} 1 Requirements
WiMAX Certification Body {firstname_lastname} {firstname_lastname}
WiMAX Certification Body
2 Architecture
3 Profiles, protocols
4 Conformance
Fig. 8. Example of a Mobile WiMAX certificate 5 Test procedures
6 Certification
bbb Three digit identification number
rrr Release number (if applicable):
As interest in Mobile WiMAX was growing, the develop- 010 Release 1.0
ment of an elaborate framework for the development of new 015 Release 1.5
releases was set up for Mobile WiMAX in the WiMAX Forum 016 Release 1.6
CertifiedTM program. Within the program, the WiMAX Forum 020 Release 2.0
develops the specifications that equipment manufacturers need vv Document version number
to adhere to for their products to receive a certificate and the
‘WiMAX Forum Certified’ label.
The Mobile WiMAX release development process is par- the Release 1.5 air interface, which included some network
titioned in six stages and is shown in Fig. 9 [146]. In the improvements, including support for e.g. IPv4/IPv6 transition
first stage, requirements are written by the Service Provider and femto cells.
Working Group (SPWG). Stage 2 till 5 are dealt with by the Release 2.0 will incorporate parameter values for the IEEE
Technical Working Group (TWG), Network Working Group Std 802.16m-2011 MAC and PHY layer (WirelessMAN-
(NWG) and Global Roaming Working Group (GRWG) for Advanced) enhancements and is expected for 2011. It will
drafting the air interface, network and roaming specifications be developed to fulfillment of IMT-Advanced requirements
respectively. Finally, in stage 6 certification procedures are [146], see Section IV. The WiMAX 2 Collaboration Initiative
derived by the CWG for implementation and validation. A (WCI) is an initiative which started among a small group
complete iteration through all those stages can produce a new of vendors working together to accelerate interoperability of
Release. The documents that are produced during those stages future WiMAX Release 2 products. The development timeline
have a unique number [147] that reflects their functional area for Release 2 targets early engineering trials by mid-2011,
of development, the development stage and the release number with WiMAX Forum certification of equipment by the end of
as explained in Table X. 2011, early commercial availability by mid-2012, and general
commercial availability with rich terminal offerings in 2013.
Release 1.0 is based on IEEE Std 802.16-2004 [65] and
IEEE Std 802.16e-2005 [80] and the parameters are described
in the ‘Mobile System Profile Release 1.0 Approved Spec- E. The certification process
ifications’ [148] document. Revision 1.2.2 (2006/11/17) of Vendors need to submit their product to a testing lab in
this document was used by the ITU to derive the IMT-2000 order to be eligible for the ‘WiMAX Forum Certified’ label.
OFDMA TDD WMAN (Wireless Metropolitan Area Network) The WiMAX Forum establishes the test suites and selects the
interface from (see Section IV), as specified in their M.1457-7 testing labs, known as WiMAX Forum Designated Certification
[149] document. On its turn, the WiMAX Forum then used Labs (WFDCLs)15 . The final nomination of those labs is
the latter document to generate its ‘WiMAX Forum Mobile sanctioned by the CWG and approved by the WiMAX Forum
System Profile: Release 1 IMT-2000 Edition’ final document Board of Directors. Currently, there are 6 certification labs
(WMF-T23-007-R010v02) [148] for Release 1.0. [152]:
Release 1.5 is an expansion of Release 1.0 as it is based • AT4 Wireless - USA & Spain
16
on the new IEEE revision: IEEE Std 802.16-2009 [98]. It also • Bureau Veritas ADT - Taiwan
introduces FDD certification profiles besides TDD profiles The • CATR - China
air interface of release 1.5 is described in documents WMF-
15 Besides WFDCLs, there also exist WiMAX Forum Designated Valida-
T23-001-R015v01 [142], WMF-T23-002-R015v01 [150] and
tion Laboratories (WFDVLs) which validate testing platforms to meet the
WMF-T23-003-R015v01 [151]. Note that for the network requirements of the WiMAX Forum.
specifications, a Release 1.6 has also been specified, using 16 WiMAX certification activities in Spain have ceased since early 2011.
IEEE
802.16
Stage 1 Stage 2 Stage 3 Stage 4 Stage 5 Stage 6
Air Interface
Air Interface WMF-T21-... Air Interface WMF-T23-... Air Interface WMF-T24-... WMF-T25-...
Test
requirements Profiles PICS
Procedures
TWG
Network WMF-T31-... Network WMF-T32-... Network WMF-T33-... WMF-T34-... Network Test WMF-T35-... Certification WMF-C16-...
Network ICS
requirements architecture Protocols Procedures Procedures
NWG
Roaming
Roaming WMF-T41-... Roaming WMF-T42-... Roaming WMF-T43-... WMF-T44-... WMF-T45-...
Roaming ICS Test
requirements Architecture Protocols
Procedures
GRWG
SPWG CWG
Fig. 9. Simplified flow chart of the Mobile WiMAX release development process.
Product development Certification initialization

Plugfest Submission of Product + PIXIT +
Design & Vendor WFDCL WFDCL + WCB
group product + PIXIT + PICS
production self-testing selection determine CRSL
testing PICS to WFDCL
PICS
proforma
no no
Inclusion in Certificate issued WCB Interoperability Interoperability testing: Conformance Conformance testing:
Product by WFDCL approval tests passed? MIOT, IIOT tests passed? PCT, RCT, RRT, NCT
Registry
yes yes
Certification issue Certification testing
Fig. 10. Simplified flow chart of the WiMAX Forum certification process.
• SIRIM QAS International - Malaysia The PICS states that the vendor supports all capabilities to be
• TTA - South Korea tested during the certification process and that the product
• TTC - Taiwan meets the certification requirements. The PIXIT document
The actual testing is done by the testing labs without the provides information on the equipment configuration, plus
direct involvement of the WiMAX Forum. The certification additional information on the product [140].
process is depicted in Fig. 10. It starts for a product (a device The lab then identifies the test suites relevant to the sub-
or a module) when the vendor selects a WFDCL and one or mitted product, based on the equipment submission materials
more certification profiles for the product. The product will and the Certification Requirements Status List (CRSL), which
be tested separately for each certification profile it claims to dictates the complete set of required testing at a given time
support. When the equipment is submitted, the testing lab [140]. Currently it requires Protocol Conformance Testing
requires the vendor to also submit the Protocol Implemen- (PCT), Radio Conformance Testing (RCT), Network Con-
tation Conformance Statement (PICS) and a Protocol Imple- formance Testing (NCT), Radio Regulatory Testing (RRT),
mentation Extra Information for Testing (PIXIT). The PICS Mobile Interoperability Testing (MIOT) and Infrastructure
document is actually a completed questionnaire that is filled Inter-Operator Testing (IIOT) [140]. RCT, PCT, and MIOT are
in by the vendor. The empty questionnaire was fournished by based on the IEEE 802.16 and the ETSI HiperMAN standards,
the WiMAX Forum and is known as the PICS Proforma [153]. and exclusively target MAC (Medium Access Control) and
PHY (physical) layer capabilities. NCT and IIOT are based on

the WiMAX Forum Network specifications and target upper United Nations
(UN)
layers.
If any test fails, the certification testing is halted and the
vendor is asked to make the needed changes and to restart the
Secretariat Security Counsel Specialized ...
certification process. If all tests are completed successfully, agencies
the WiMAX Certification Body (WCB) reviews the results. The
WCB is a set of individuals that review and verify all WFDCL Educational, Scientific and World Health International
...
certification test results and manufacturer declarations against Cultural Organization Organization Telecommunication
(UNESCO) (WHO) Union (ITU)
the requirements and make the final certification decision.
When the WCB acknowledges the product certification, the Telecommunication Radiocommunication Development
WFDCL issues the certificate and the product is added to the (ITU-T) (ITU-R) (ITU-D)
WiMAX Forum Certified Product Registry [140].

World
Besides this formal procedure, the WiMAX Forum also Radiocommunication
Conferences (WRCs)
sponsors Plugfests [154], [155]. Those are group tests during Radiocommunication
Advisory Group
one week where vendors can informally test their equipment (RAG)
Radiocommunication
with that of other vendors ahead of formal certification testing, Assemblies
(RAs)
which can lead to a shorter time to market when the certifi-
cation process has come effective.
Study Group 5 Study
udy Group
Gro 8 ...
(SG 5) (SG 8)
IV. T HE ROLE OF ITU

Working Party 5D ... Working
rking Party
Pa 8F ...
Within this section, we discuss the International Telecom- (WP 5D) (WP 88F)
munication Union (ITU) and the role of the WiMAX Forum
and the IEEE 802.16 WG therein. The ITU is introduced
in Section IV-A. IMT-2000 is an important framework for Fig. 11. Reduced hierarchical view on the ITU, showing only the most
worldwide wireless access and is described in Section IV-B. relevant entities with IEEE 802.16 WG involvement concerning IMT-2000
and IMT-Advanced.
IEEE 802.16 WG managed to add an air interface to IMT-2000
and this is described in Section IV-C. The benefits thereof are
stated in Section IV-D. Next, we described IMT-Advanced,
• A Question is a statement of a technical, operational or
the successor of IMT-2000, in Section IV-E, as well as how
procedural problem, generally seeking a Recommenda-
the IEEE 802.16 WG remains involved in this program, in
tion.17 It is a first-stage document which defines what
Section IV-F. As IMT-Advanced is linked to 4G terminology,
kind of studies and on which subject a Study Group is
we finally explain this in Section IV-G.
expected to study.
• The Recommendations constitute a set of international
A. About the organization technical standards. They are the result of studies under-
taken by Radiocommunication Study Groups. The ITU-R
The International Telecommunication Union (ITU) was es-
Recommendations are approved by ITU Member States.
tablished in 1865 in Paris as the International Telegraph Union
Their implementation is not mandatory; however, they
and is now the United Nations agency for information and
are highly valued and are implemented worldwide.
communication technology issues, based in Geneva, Switzer-
land [156]. Today, ITU’s mission is to enable the growth and As the Study Groups study different ITU-R Questions, a SG
sustained development of telecommunications and information is typically subdivided into different Working Parties (WP).
networks, and to facilitate universal access so that people Radiocommunication Assemblies (RA) are responsible for
everywhere can participate in, and benefit from, the emerging the structure, programme and approval of the radiocommuni-
information society and global economy [157]. There are cation studies. They are normally convened every three or four
three sectors within the ITU: ITU-R (Radiocommunication), years. The Assemblies can among others approve and issue
ITU-T (Telecommunication) and ITU-D (Development). Both ITU-R Recommendations and ITU-R Questions developed
governments and private organizations can apply for ITU by the Study Groups, set the programme for Study Groups,
membership. The former will be ‘Member States’ while the and disband or establish Study Groups according to need.
latter will be ‘Sector Members’ (full membership within a The Radiocommunication Advisory Group (RAG) is authorized
specific ITU sector) or ‘Associates’ (membership for a specific (in accordance with Resolution ITU-R 52) to act on behalf
Study Group within an ITU sector). IEEE has become a Sector of the Assembly in the period between Assemblies. Radio
Member in the ITU-R, as of 31 Oct. 2003. regulation issues are dealt with in World Radiocommunication
Within the ITU-R there are different Study Groups (SG), Conferences (WRCs).18 A simplified hierarchical view on the
which use among others the following document types [158]: ITU is shown in Fig. 11.
• The Resolutions give instructions on the organization, 17 Alternatively,
a Question could also be answered in a Handbook or Report
methods or programmes of Radiocommunication Assem- 18 Before1993, WRCs were known as WARCs (World Administrative Radio
bly (RA) or Study Group work. Conference).
B. IMT-2000 This interface was designated as IP-OFDMA and based on

International Mobile Telecommunications-2000 (IMT- IEEE Std 802.16-2004 [65] and IEEE Std 802.16e-2005 [80]
2000)19 is the program of the ITU for third generation (see Section II-C). IP-OFDMA was derived from WiMAX
(3G) wireless communications, defined in 2000 by a set of Forum Mobile System Profile Release 1.0 Approved Specifica-
interdependent ITU Recommendations (among others M.687 tions (Rev 1.2.2, 2006/11/17) [163] (see Section III-C). In Dec.
[159], M.1645 [160], M.1457 [149]). IMT-2000 provides 2006, the WiMAX Forum submitted a supporting contribution
a framework for worldwide wireless access by linking the [164] to ITU-R WP 8F with additional technical details on IP-
diverse systems of terrestrial and/or satellite based networks. OFDMA (revised in Jan. 2007).
It will exploit the potential synergy between digital mobile In Oct. 2007, the Radiocommunication Assembly (RA-
telecommunications technologies and systems for fixed and 07) approved this new interface in the seventh revision of
mobile wireless access systems. ITU activities on IMT-2000 Recommendation ITU-R M.1457, denoted as ITU-R M.1457-
comprise international standardization (including frequency 7 [149]. However, the interface was renamed to IMT-2000
spectrum and technical specifications for radio and network OFDMA TDD WMAN.
components, tariffs and billing, technical assistance and Following RA-07, the work on IMT, including both IMT-
studies on regulatory and policy aspects). 2000 and IMT-Advanced (see Section IV-E) collectively, is
It was within Study Group 8 (SG8) (with as scope: systems now being addressed under the new Study Group 5 umbrella
and networks for the mobile, radiodetermination and amateur by Working Party 5D (scope: IMT Systems) and SG8 is now
services, including related satellite services) that IMT-2000 disbanded. RA-07 revised the original study question into
[149], [159], [160] was elaborated. Working Party 8F (WP 8F, Question ITU-R 229-2/5 ‘Future development of the terrestrial
scope: IMT-2000 and systems beyond IMT-2000) had the component of IMT’, to include both responsibility for the
prime responsibility within SG8 for issues related to the terres- continued development and enhancement of IMT-2000 and the
trial component of IMT-2000 and beyond, related to Question mandate to address all aspects of IMT-Advanced [165] (see
ITU-R 229-1/8: ‘Future development of IMT-2000 and sys- Section IV-E).
tems beyond IMT-2000’. WP 8F worked closely with WP 8D In the next revision of M.1457 (i.e. M.1457-8) the OFDMA
(scope: All mobile-satellite services and radiodetermination- TDD WMAN was left unchanged. In M.1457-9 however,
satellite service) on issues related to the satellite component the interface is now based on IEEE Std 802.16-2009 [98]
of IMT-2000 and beyond. (see Section II-C) and WiMAX Forum Mobile System Profile
The five interfaces that were originally adopted in 2000 Specification Release 1.5 [142](see Section III-D), which adds
in Recommendation ITU-R M.1457, defining the ‘Detailed an FDD mode. In accordance with Circular Letter 8/LCCE/95
specifications of the radio interfaces of International Mobile [166], ITU-R has historically updated Recommendation ITU-
Telecommunications-2000 (IMT-2000)’ are [149]: R M.1457 approximately annually using a three-meeting cy-
• IMT-2000 CDMA Direct Spread cle.
based on UTRA FDD (Universal Terrestrial Radio Access Frequency
Division Duplex) or WCDMA (Wideband Code Division Multiple D. Benefits of ITU recognition
Access) by 3GPP (3rd Generation Partnership Project)
• IMT-2000 CDMA Multi-Carrier One could question why the IEEE 802.16 WG would need
based on cdma2000 (Code Division Multiple Access 2000) by 3GPP2
to seek recognition from the ITU, as IEEE itself is an interna-
(3rd Generation Partnership Project 2)
tional standardization organization. However, the IEEE 802.16
• IMT-2000 CDMA TDD WG understood the importance of ITU engagement right from
based on UTRA TDD (Universal Terrestrial Radio Access Time Divi-
the beginning. Their first PAR [26], initiating P802.16 (see
sion Duplex) by 3GPP
Section II-C), already stated in 1999 that the resulting standard
• IMT-2000 TDMA Single-Carrier might be adopted eventually by the ITU and the WG appointed
based on UWC-136 (Universal Wireless Communication) by TIA/EIA
a ITU-R Liaison Official to maintain contacts with the ITU-
(Telecommunications Industry Association/ Electronic Industries Al-
R. IEEE 802.16 was mainly aimed at operating in licensed
liance) and EDGE (Enhanced Data rates for Global Evolution) by 3GPP
bands, typically used by telecommunications operators. As
• IMT-2000 FDMA/TDMA the traditional boundary between data communications and
based on DECT (Digital Enhanced Cordless Telecommunications) by
telecommunications was blurring, it was important for the
ETSI (European Telecommunications Standards Institute)
IEEE 802.16 WG to have good contacts with the ITU because
the telecommunication industry was always well represented
In 1992, during WARC-92, spectrum for IMT-2000 was al-
there [12]. When IEEE became a Sector Member of the ITU-
located by the ITU-R in 1885-2025 MHz and 2110-2200 MHz.
R in 2003, their relationship strengthened even further.
Additional bands were identified in 2000 during WRC-00:
The ITU recognition offered indeed benefits that the IEEE
806-960 MHz, 1710-1885 MHz and 2500-2690 MHz [161].
could not have gained on its own, as the inclusion of WiMAX
technology by ITU in 2007 in its IMT-2000 program (as
C. IEEE 802.16 and IMT-2000
OFDMA TDD WMAN, see Section IV-C) added international
In Nov. 2006, the IEEE contributed a proposal [162] to credibility to the technology. Mobile WiMAX technology
ITU-R WP 8F to add a new radio interface to IMT-2000. now got the same level of recognition as UMTS/HSPA and
19 previously known as Future Public Land Mobile Telecommunications CDMA2000/EV-DO, concerning worldwide reputation. Fur-
Systems (FPLMTS) thermore, one should not forget the impact of ITU on radio
regulation. Certain radio frequencies (e.g. 2.5-2.69 GHz) are Transposing organizations, which are authorized by the GCS
classified for use with IMT-2000 technologies only [11]. Proponent to derive standards from the GCS.
WiMAX’s inclusion in IMT-2000 enables spectrum owners to The proposals were acknowledged by the ITU-R in docu-
use WiMAX equipment in any country that recognizes IMT- ments IMT-ADV/4 [179], IMT-ADV/5 [180] and IMT-ADV/7
2000. [181], respectively. The IEEE proposal was furthermore en-
dorsed by the WiMAX Forum in ITU-R Contribution 5D/558
[182].
E. IMT-Advanced
All proposals have been evaluated and reviewed during Step
In 2007, it was agreed upon in ITU-R Resolution 56 [167] 4, 5 and 6, along with three other proposals (IMT-ADV/6,
that the term ‘IMT-Advanced’ be applied to those systems, IMT-ADV/8 and IMT-ADV/9 [183]–[185]) that include LTE-
system components, and related aspects that include new Advanced [186] (Long Term Evolution Advanced) technology
radio interface(s) that support the new capabilities of systems by 3GPP. Each of the six candidate technology submissions
beyond IMT-2000 and new spectrum was allocated for IMT has individually completed the evaluation process successfully
systems during WRC-07 in 698-862 MHz, 790-862 MHz, 2.3- [187], [188]. In Step 7, the three proposals that are based on
2.4 GHz and 3.4-3.6 GHz (although not always on a global IEEE P802.16m were grouped together into the technology
scale) [168]. identified in ITU as ‘WirelessMAN-Advanced’ while the
The principles for the process of development of IMT- other three proposals were grouped into the technology ‘LTE-
Advanced are stated in Resolution 57 [169] and members Advanced’ [187], [188]. Both ‘WirelessMAN-Advanced’ and
were invited to submit proposals for candidate radio interface ‘LTE-Advanced’ were accepted for inclusion in the standard-
technologies (RIT)20 for the terrestrial components of the ization phase of IMT-Advanced [187], [188] during WP 5D
radio interface(s) for IMT-Advanced, conform Circular Letter meeting no. 9 on 13-20 Oct. 2010.
5/LCCE/2 [170]. The appropriate Recommendation, currently still temporar-
This letter was issued on the 7th of Mar. 2008, as a ily referred to as ITU-R M.[IMT.RSPEC] [189], is now being
result of Step 1 of the submission and evaluation process as developed in Step 8, conform procedures in IMT-ADV/24
described in IMT-ADV/2 [171]. In Step 2, the RIT proposals [190]. The IEEE has submitted its GCS at the end of Mar.
were composed and during Step 3, the ITU-R was open for 2011 [191], in order for WP 5D to preliminary agree on a
reception of RIT proposals until Oct. 2009. Afterwards, the draft for ITU-R M.[IMT.RSPEC] in its 10th meeting on 6-
proposals have been evaluated and reviewed during Step 4, 13 Apr. 2011. In Mar. 2011, the IEEE has also submitted
5 and 6. The decision on which RITs to include in IMT- the Certification B document [192] which identifies the au-
Advanced was taken in Step 7 in Oct. 2010. Writing the final thorized Transposing Organization(s) utilizing the GCS [190],
RIT specifications has been done in Step 8. The time schedule, which are TTA (Korea), ARIB (Japan) and the WiMAX
as included in IMT-ADV/2 [171], is shown in Fig. 12. Forum (which were the RIT Proponents for ‘WirelessMAN-
Advanced’). The ‘WirelessMAN-Advanced Transposing Or-
ganizations’ (WATO) will hold joint meetings to align their
F. IEEE 802.16 and IMT-Advanced views.
Within the time frame for submitting RIT proposals, the It is foreseen that transpositions to the GCS will be submit-
IEEE, Japan (advised by its Association of Radio Industries ted by Sep. 2011, as well as a Certification C document, which
and Businesses (ARIB)) and the Korean TTA (Telecommu- is the statement by the Transposing Organization(s) that they
nications Technology Association) each submitted a proposal have complied with the intentions indicated in Certification B
based on the WirelessMAN-Advanced interface that was at [190]. Final agreement on the IMT-Advanced radio interfaces
that time still being drafted in IEEE P802.16m (see Sec- is then expected to be given by WP 5D in Oct. 2011, by SG
tion II-C). They are therefore referred to by the ITU-R as 5 in Nov. 2011 and finally by the ITU-R in Feb. 2012 in a
RIT Proponents. Radiocommunication Assembly [193].
Both the ARIB and the TTA (or more precisely: the IMT-
Advanced Subcommittee of the Advanced Wireless Commu-
G. Fourth generation (4G)
nications Study Committee of the ARIB on the one hand
and the IMT WiBro Project Group, PG 702, of the TTA on When development of IMT-Advanced started in 2007 by
the other hand) are collaborating with IEEE for those RIT WP 5D, only the term ‘IMT-Advanced’ was used for systems
proposals [172]–[175]. All the aforementioned proposals are beyond IMT-2000, but the ‘4G’ term was never mentioned
therefore based on the same IEEE 802.16m System Descrip- [193]. In Oct. 2010, the ITU itself, where WP 5D belongs
tion Document (SDD) [176]. In ITU terminology, the IEEE to (see Fig. 11), suggested [194] that IMT-Advanced was
is therefore known as a GCS Proponent. A GCS Proponent the ITU’s name for 4G, thus only including WirelessMAN-
provides the GCS (Global Core Specification), which is the Advanced and LTE-Advanced. However, mobile operators
set of specifications that defines a RIT. The IEEE therefore (especially in the USA) were already marketing their newly
submitted a Form A document [177] to ITU-R in Oct. 2010 deployed wireless technologies, i.e. LTE and WiMAX, as ‘4G’
[178] to officially state its intent to be a GCS Proponent. Also in order to differentiate from their earlier ‘3G’ technologies,
in ITU terminology, the ARIB, TTA and WiMAX Forum are most notably UMTS/HSPA and CDMA2000/EV-DO. In order
to mitigate confusion and to better approach current marketing,
20 SRIT is used to denote a set of RITs. ITU changed its view on 4G in Dec. 2010 [195] by stating
WP 5D
2008 2009 2010 2011
No.1 No.2 No.3 No.4 No.5 No.6 No.7 No.8 No.9 No.10
meetings
Step1 and 2
(0) (20 months)
Step 3
(8 months) (1)
Step 4
(16 months) (2)
Steps 5,6 and 7
(20 months) (3)
Steps 8
(12 months) (4)
Steps in radio interface development process:
Step 1: Issuance of the circular letter Step 5: Review and coordination of outside evaluation activities
Step 2: Development of candidate RITs and SRITs Step 6: Review to assess compliance with minimum requirements
Step 3: Submission/Reception of the RIT and SRIT proposals Step 7: Consideration of evaluation results, consensus building
and acknowledgement of receipt and decision
Step 4: Evaluation of candidate RITs and SRITs Step 8: Development of radio interface Recommendation(s)
by evaluation groups
Critical milestones in radio interface development process:
(0): Issue an invitation to propose RITs March 2008 (2): Cut off for evaluation report to ITU June 2010
(1): ITU proposed cut off for submission October 2009 (3): WP 5D decides framework and key October 2010
of candidate RIT and SRIT proposals characteristics of IMT-Advanced RITs and SRITs
(4): WP 5D completes development of radio February 2011
interface specification Recommendations
IMT-Advanced A2-01
Fig. 12. Original time schedule for the development of IMT-Advanced radio interface recommendations [171]
that ‘4G’ is actually an undefined term but applies to IMT- as their difference does not reveal a difference in interest,
Advanced as well as ‘to the forerunners of these technologies, but is due to practicalities (people visiting from other WGs
LTE and WiMAX, and to other evolved 3G technologies during plenary sessions, attendance in some plenary sessions
providing a substantial level of improvement in performance is required for membership, most plenary sessions are in the
and capabilities with respect to the initial third generation USA, etc.).
systems now deployed.’ [195] The first official session took place in Jul. 99 and attendance
was steadily growing. The start of P802.16.3, where an air
V. T REND ANALYSIS interface for frequencies below 10 GHz was being developed
While standardization and certification efforts in multiple (see Table II), probably attracted new attendees in the begin-
organizations, as described in the previous sections, is one ning. At the 10th session, in Nov. 2000, a peak attendance of
thing, the real success of WiMAX can only be measured by 211 people had been reached, but attendance decreased after
the actual technology adoption in the field, as described within its initial momentum.
this section. A first indication of industry interest is given in We see a revival in attendance after the approval of IEEE
Section V-A, where we analyze the attendance in IEEE 802.16 Std 802.16-2004, showing that industry interest is growing.
WG meetings where anyone is allowed to attend. Next, we The ongoing work in P802.16e, where a standard was being
look at the number of devices that have been WiMAX Forum developed to add mobility support (see Table III), especially
Certified over time in Section V-B. Finally, we consider the received a lot of interest and IEEE 802.16 WG session
number of WiMAX deployments worldwide in Section V-C. attendance was high until session 38 (Jul. 05) where the LMSC
EC granted conditional approval to forward the final draft of
A. IEEE 802.16 WG attendance P802.16e to the IEEE-SASB.
In Mar., Jul., and Nov. of each year, all the Working Attendance decreased for the following sessions, but it
Groups of LMSC (see Section II-A), including the IEEE increased once again when P802.16m was initiated and IMT-
802.16 WG, meet together in a plenary session [21]. Between 2000 OFDMA TDD WMAN (see Section IV-C) and IEEE
two plenary sessions, the IEEE 802.16 WG also meets in Std 802.16-2009 (see Table IV) were being completed. The
an interim session in Jan., May and Sep. In Fig. 13 we highest attendance so far (462 attendees), was on the 50th
plotted the IEEE 802.16 WG session attendance as this gives session in Jul. 2007. During this plenary session, for the first
an indication of industry interest over time. We depicted time, the 802.16 WG also had the highest attendance of all
attendance in plenary and interim sessions in separate series, Working Groups at a LMSC plenary.
500
P802.16.3
802.16-2001
802.16e-2005
802.16-2009
IEEE Std
IEEE Std
802.16-2004
IEEE Std
P802.16m
IEEE Std
200
Cumulative number of certified devices

450
ET01
400
Number of people attended
Plenary ET02
350 sessions 150 M2300T-01
M2300T-02
300 Interim
sessions M2500T-01
250 100 M3500T-02
200 M3500T-03
OFDMA TDD WMAN

M3500T-05
150
IMT-Advanced
50
submission
100
IMT-2000
50
0 0
Date Date
Fig. 13. Attendance at the IEEE 802.16 sessions. Fig. 14. Cumulative number of certified devices per certification profile
140
Cumulative number of certified devices

As of end 2008, we see a quasi continuous decrease in
120
session attendance, although interesting and important aspects
Base
are being dealt with, e.g. further development in P802.16m 100
Station
and IMT-Advanced submission (see Section IV-F). A possible 80 Subscriber
explanation could be the fact that some major companies are Station
60 Mobile
ceasing WiMAX development (and only focus on LTE) to
Station
reduce costs in time of economic recession [196]. The future 40
is yet to reveal whether industry interest will rise again.
20
0
B. WiMAX devices
Within this section, we collected and analyzed all specifi-
cations of the certified products that are listed in the WiMAX Date
Forum Certified Product Registry21 (see Section III-E). In Fig. 15. Cumulative number of certified base stations, subscriber and mobile
order to determine the supported certification profiles (see stations
Section III-C) per device, we manually collected the data that
is described on the official certificate of each certified device.22
The number of certified devices are cumulatively plotted Broadband) service, offered over WiMAX. This marked the
over time per certification profile (see Section III-C) in Fig. 14, entrance of mobile stations into the market, as shown in
per device type in Fig. 15 and per WFDCL23 (the certification Fig. 15, which growth would eventually largely exceed the one
lab, see Section III-E) in Fig. 16. A device type is either ‘base in (fixed or nomadic) subscriber stations. In Jun. 2008, The
station’, ‘subscriber station’ or ‘mobile station’. Note that, as WiMAX Forum announced the first Mobile WiMAX Forum
a device can be certified for multiple certification profiles, the Certified devices operating at 2.5 GHz (profile M2500T-01,
cumulative sum of the curves in Fig. 14 will be higher than formerly known as MP05, see Table IX) [140]. This profile has
the one in Fig. 15 or Fig. 16 where only unique devices are ever since been included in many products and their number
represented. has grown fast as this frequency is allocated by the ITU for
In Fig. 14 and Fig. 15 we can see that in Jan. 2006, the IMT-2000 technologies and as WiMAX has been included in
first base stations and subscriber devices operating in the IMT-2000 (see Section IV-C). The other WFDCLs also started
3.5 GHz band were certified, based on IEEE Std 802.16- certification around that time, as shown in Fig. 16. Bureau
2004 [65], under the Fixed WiMAX certification profiles Veritas ADT in Taiwan particularly showed a strong growth in
(ET01 and ET02, see Table VIII). At that time, all certifica- the number of certified devices. Several reasons could explain
tion was done in the AT4 Wireless lab in Spain, as shown this observation. Firstly, many ICT manufacturers already
in Fig. 16. Later, in Apr. 2008, the first Mobile WiMAX produce products in Taiwan, so transportation cost is lower and
Certified products operating in the 2.3 GHz band and based relationships with the vendors are easy to maintain. Secondly,
on IEEE Std 802.16e-2005 [80] were announced (profile Bureau Veritas ADT is a private company which already tested
M2300T-01, formerly known as MP01, see Table IX), mainly products for other certification marks (e.g. CE, Wi-Fi, etc.).
targeted at the South Korean market for their WiBro (Wireless Thus, they already have good relationships with (the same)
21 The data was collected from the WiMAX Forum Certified Product vendors for other product lines, have experienced sales teams
Registry on 2 Jan. 2011 and can offer competitive prices. This contrasts with e.g. TTC,
22 We did not use the data as described in the product fiche on the WiMAX
also in Taiwan, which is a governmental organization with
Forum website, as this was sometimes found to be inconsistent with the less experience and equipment. Bureau Veritas ADT might
certificate itself.
23 SIRIM QAS International is not included in the analysis as it was only therefore be a more credible and attractive choice, compared
selected as WFDCL in Apr. 2011 [197]. to other certification labs. The cumulative number of certified
120
Cumulative number of certified devices 600
100 AT4 Wireless

500 21 21 21 21 21 21 21 21 21
- Spain 21
21
TTA 20
Number of deployments
80 - South Korea
20
400
CATR 20 20
20 20
60 - China 18 19 19 311 311 311 307 307 309 309 307 308 308
303 5+ GHz
300 283
Bureau Veritas ADT 268
3.5 GHz
- Taiwan
40 240 240 247 245 3.3 GHz
TTC 200 230 232 233
2.5 GHz
- Taiwan 9 9 9 9 9 9 9 9 9 10
9
9 2.3 GHz
20 AT4 Wireless 9
115 115 115 115 115 115 114 112
- USA 100 9 9 9 9 105 112 112
9 9 9 89 95
0 58 59 61 63 64 69 68
46 48 48 53 53 54 53 53 55 55 47 48 48
26 27 28 29 29 29 29
0
Date
Date
Fig. 16. Cumulative number of certified devices per WFDCL

Fig. 18. Cumulative number of WiMAX deployments per frequency
WFDCL 0
0
AT4 Wireless 0
0 700
(USA) 10
8
6
5
0 600
0 Middle East
TTC 0
0 29 29 29 29 29 29 29 29 29 29
5 29
(Taiwan) 0 28 28 53 53 53 53 53 57 57 57 56
0 52
56 North America
0 500 20 20 51 51
18 (USA/Canada)
Number of deployments
0 18 18
0 51 51 79 79 78 76 76 76 76 76 77
BV ADT 0 18 18 18 49 77 Western Europe
0 48 48 69 70 71
108 48 48 48
(Taiwan) 4 400 67
69 69
3 ET01 68 68 85 85 86 86 86 86 86 86 86
28 64 66 66 86 Eastern Europe
0 84 84 85
0 ET02 84 84
CATR 0
2 79
77 77 Asia-Pacific
7 300 75 75 75
(China) 1 M2300T-01 112 113 113 109 109 109 109 98 98 98
1 100 102 104
1 79 82 83
0
0 M2300T-02 72 72 73 76 77
CALA
TTA 0
2 200
18 M2500T-01 109 110 112 114 116 117 117 117 118 118 119 119 120
(South Korea) 3 102 102 102 Africa
0 96 96 96 97 98
6 M3500T-02
14
14 100
AT4 Wireless 0
8 M3500T-03
63 95 97 99 100 101 108 110 110 114 114 115 116 117 117 117 117 117 117 117 117 117
(Spain) 5 M3500T-05
3
10 0
Nov-09
Nov-10
Mar-09
May-09
Dec-09
Mar-10
May-10
Mar-11
May-11
Apr-09
Jun-09
Jul-09
Sep-09
Aug-09
Oct-09
Feb-10
Sep-10
Dec-10
Feb-11
Apr-10
Jun-10
Jul-10
Jan-10
Aug-10
Oct-10
Apr-11
Jan-11
0 20 40 60 80 100 120
Number of certified devices per certification profile
Date
Fig. 17. Relation of the cumulative number of certified devices per
certification profile and per WFDCL in Dec. 2010 Fig. 19. Cumulative number of WiMAX deployments per geographic region
devices in Aug. 2010 is shown per certification profile per Mar. 09 till Mar. 10) of more than 80% in the number of
WFDCL in Fig. 17, which shows that every WFDCL has deployments with a 2.3 GHz or 2.5 GHz frequency, compared
mainly focused on the M2500T-01 profile. to a 32% growth in the number of deployments in the 3.5 GHz.
This corresponds with the observation of the explosive growth
C. WiMAX deployments in certified devices for 2.5 GHz in Fig. 14. Although the
We extracted and analyzed information about WiMAX de- number of certified devices is still growing, we see as of May
ployments from all WiMAX Forum Monthly Industry Reports 2010 a stagnation or even a small decrease in the number of
that appeared from Mar. 2009 till May 2011. We plotted the deployments.
number of WiMAX deployments over time per frequency in Fig. 19 shows that WiMAX is most often deployed in
Fig. 18 and per geographic region in Fig. 19. Africa, CALA (Caribbean and Latin America Region) and
Note that the WiMAX Forum uses the term ‘deployments’ Asia-Pacific. There are lesser deployments in Eastern Europe,
to refer to WiMAX networks that are either in service, planned Western Europe, North America and the Middle East. In the
or in deployment (i.e. base stations that are being deployed, early days of WiMAX, the technology was announced to be
but there are few or no subscribers yet). Also note that the total able to help in bridging the digital gap, based on its extended
number of deployments in Fig. 18 may not add up to the total coverage over other wireless technologies at that time. Based
number of deployments in Fig. 19, as the WiMAX Forum on Fig. 19, most deployments do indeed seem to be happening
does not have all information for each deployment tracked. in the geographical regions that are containing most of the
As there were no WiMAX Forum Monthly Industry Reports developing countries.
in Sep. 2009, Dec. 2009, Jul. 2010, Aug. 2010, Sep. 2010 However, as stated before, the figures include different types
and Apr. 2011, we could not present information for those of deployments: both small and large and both preliminary and
months in Fig. 18 and Fig. 19. Furthermore, as the WiMAX mature deployments. In order to know the actual potential per
Forum Monthly Industry Report of Oct. 2009 did not comprise geographic region, we should rather look at the population
information about deployments per frequency, this information coverage. This is an estimate that is yearly updated by the
is also missing in Fig. 18. WiMAX Forum. The figures are included in the WiMAX
Most deployments are currently in the 3.5 GHz spectrum, Forum Monthly Industry Reports. We analyzed the figures
but in Fig. 18 we see a strong growth over one year (from of 2009, 2010 and 2011 and visualized them in Fig. 20.
900,000,000
May 2011, is IEEE Std 802.16-2009, amended by IEEE
800,000,000 32,526,407
Std 802.16j-2009, IEEE Std 802.16h-2010 and IEEE Std
127,000,000
700,000,000 802.16m-2011. Further enhancements that are being developed
33,509,544
concern higher reliability (P802.16n) and machine-to-machine
Population coverage
600,000,000 27,390,827
47,000,000 102,503,669 Middle East
32,549,629 North America communications (P802.16p).
500,000,000
82,887,886 Western Europe
20,000,000 The WiMAX Forum is the organization that derives system
400,000,000 28,000,000 Eastern Europe
34,600,000
45,300,000
322,666,970
Asia-Pacific
profiles, most notably Fixed WiMAX and Mobile WiMAX,
300,000,000 237,148,673
CALA and certification profiles out of the IEEE 802.16 standards
200,000,000 205,000,000 Africa and imposes additional network specifications. By certifying
117,846,830
100,000,000
113,246,829
devices against WiMAX Forum requirements, one achieves
49,500,000
52,000,000 81,347,832 87,347,832 interoperability among products of different vendors, global
0
Feb-09 Feb-10 Feb-11 roaming, etc. The Mobile WiMAX profile is being further
Date developed and has currently reached Release 1.5. A lot
of preparations are being made by the WiMAX Forum to
Fig. 20. Population coverage of WiMAX deployments per geographic region
incorporate IEEE Std 802.16m-2011 into new Release 2.0
specifications.
Note that the numbers represent an estimate conducted by Furthermore, the IEEE 802.16 WG maintained close con-
the WiMAX Forum via primary and secondary research on tacts with the ITU, the radiocommunications division of the
an operator-by-operator basis. Where the operator could not United Nations. Their collaboration eventually led to the
or would not respond to direct inquiry, estimates were made inclusion of a new radio interface, IMT-2000 OFDMA TDD
based on public operator statements, number of base stations, WMAN, into the IMT-2000 program of the ITU. This interface
government-mandated buildout requirements, and other avail- is based on IEEE Std 802.16-2009, together with the mobile
able information. system profile specifications Release 1.5 of the WiMAX
In Fig. 20 we see a different relation amongst the regions, Forum. The inclusion of WiMAX technology in IMT-2000
compared to Fig. 19. The Asia-Pacific region is clearly the facilitates its deployment worldwide. In the new ITU program,
most ‘WiMAX minded’ region of the world, but the CALA IMT-Advanced, a proposal was submitted by the IEEE based
and Africa also have quite an extensive uptake. People in on an early draft of IEEE Std 802.16m-2011 and WiMAX
regions containing the most developed countries do appear Forum’s Release 2.0 preparations. This way IEEE 802.16
to have far lesser access to WiMAX technology. A possible technology tries to keep up with competitive technologies like
explanation for this observation, might be the fact that, in those LTE-Advanced.
countries, most households already have broadband Internet After analyzing the products that are currently WiMAX
at their homes via DSL or cable while cellular operators are Forum certified and the different deployments over time, we
offering mobile Internet access on the go. This contrasts with found that most products today are being certified or deployed
developing countries, where broadband Internet at home or for the 2.5 GHz and 3.5 GHz frequencies. Furthermore, most
on the go is often uncommon. As there are no incumbent deployments are currently in Asia Pacific, Africa and CALA
competitors, new WiMAX deployments (known as ‘green-field with Asia Pacific having the largest population coverage.
deployments’) might therefore be much faster adopted. For Today, May 2011, deployments appear to have somewhat
further reference, note that the deployments are tracked by stagnated, product certification rate is slightly reclining and
the WiMAX Forum and visualized on their website [198]. session attendance is low. However, we have seen industry
interest for WiMAX technology growing and shrinking in
VI. C ONCLUSION the past. In our opinion, everything has been undertaken by
Confucius already quoted ‘Study the past if you would the respective standardization and certification organization
define the future’. We therefore did an in-depth investigation to make the best out of WiMAX technology. Time will tell
on the evolution of the different projects, working groups whether WiMAX will grow into a long standing technology
and standards within the IEEE 802.16 Working Group on in the future.
Broadband Wireless Access, the WiMAX Forum and the ITU What we have learned from IEEE 802.16 and WiMAX
and considered their relationships. anyhow, is that anyone developing a new standard, should not
Within the IEEE, the initial ideas about how to implement be blind to new elements which might drastically change the
Broadband Wireless Access differ in many ways from the way forward, as one never knows how underlying techniques
standards today. The focus of the IEEE 802.16 WG, the and industry interest might be evolving. Furthermore, the
working group responsible for this topic, has shifted over time importance of certification should not be underestimated by
from 10-66 GHz spectrum to 2-11 GHz and other amendments anyone developing a new technology. For products to hit the
were added for mobility, relaying, etc. Being open minded market on a worldwide scale, interoperability between differ-
and including multiple physical layer options (WirelessMAN- ent vendors is a key issue for success. Finally, the collaboration
SC, WirelessMAN-OFDM, WirelessMAN-OFDMA), while with other international standardization organizations is not to
maintaining a single MAC protocol, led the IEEE 802.16 be forgotten, as it could significantly rise the esteem the new
WG to where it is today. New features are still continuously technology is given and it could facilitate new deployments
being developed and added. The applicable standard today, and development.
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//www.wimaxmaps.org/ ber of the research group on broadband commu-
nication networks and distributed software, IBCN
(www.ibcn.intec.ugent.be), where she is leading the
research on mobile and wireless communication net-
works. Since 2006 she joined the Interdisciplinary
Daan Pareit has received a M.Sc. degree in Elec- institute for BroadBand Technology (IBBT), where
trotechnical Engineering, with ICT as main sub- she is coordinating several interdisciplinary research
ject, from Ghent University (Belgium) in 2006. In projects.Her main research interests include: wireless broadband networks
August 2006, he joined the INTEC (Information for fast moving users, mobile ad hoc networks, personal networks, self-
Technology) department of Ghent University. Within organizing distributed networks, network virtualization, wireless body area
the INTEC department, he is working in the IBCN networks, wireless sensor and actuator networks, wireless mesh networks,
(INTEC Broadband Communication Networks) re- QoS support in mobile & wireless networks, vehicle-to-vehicle and vehicle-
search group. He studies the interworking of hetero- to-infrastructure networks for intelligent transport systems, self-optimization
geneous wireless networks for moving users, and for in next-generation wireless networks, network architectures and protocols
trains in particular. He was granted a Ph.D scholar- for heterogeneous mobile and wireless networks. She is author or co-
ship from IWT-Vlaanderen (Institute for Promotion author of more than 400 publications in international journals or conference
of Innovation through Science and Technology in Flanders) in 2007 to proceedings.
elaborate this topic.
Piet Demeester is professor in the faculty of En-
gineering at Ghent University. He is head of the
research group Intec Broadband Communication
Networks (IBCN) that is part of the Department of
Bart Lannoo received an MSc degree in electro- Information Technology (INTEC) of Ghent Univer-
technical engineering from the Ghent University sity and that also belongs to the Interdisciplinary
(Belgium) in July 2002. He received a PhD degree in Institute for Broadband Technology (IBBT). He is
May 2008. Since August 2002, he has been working Fellow of the IEEE.
at the IBCN (INTEC Broadband Communication After finishing a PhD on Metal Organic Vapor
Networks) research group of the Department of Phase Epitaxy for photonic devices in 1988, he
Information Technology of Ghent University, where established a research group in this area working
he is currently a postdoctoral researcher. His main on different material systems (AlGaAs, InGaAsP, GaN). This research was
research interests are in the field of fixed and successfully transferred to IMEC in 2002 and resulted in 12 PhDs and 300
wireless access networks, including technical and publications in international journals and conference proceedings. In 1992
techno-economic studies on FTTH, WiMAX and he started research on communication networks and established the IBCN
Internet on trains. He has been involved in various research projects like the research group. The group is focusing on several advanced research topics:
European project IST-BREAD and the IBBT project Tr@ins, and is currently Network Modeling, Design & Evaluation; Mobile & Wireless Networking;
active in the European projects ICT-ALPHA and ICT-OASE, and in the IBBT High Performance Multimedia Processing; Autonomic Computing & Net-
projects TRACK, MoCo, TERRAIN and GreenWeCan. working; Service Engineering; Content & Search Management and Data
Analysis & Machine Learning. The research of IBCN resulted in about 50
PhD’s, 800 publications in international journals and conference proceedings,
more than 20 international awards and 3 spin-off companies.

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IEEE COMMUNICATIONS SURVEYS & TUTORIALS, VOL. 14, NO.

4, FOURTH QUARTER 2012 1183

The History of WiMAX: A Complete

developed therein. The umbrella organizations of this Working

of the precise projects and their resulting standards on the Executive

A. About the organization

Acronym Definition Acronym Definition

Standard maintenance Project start-up

yes IEEE-SASB LMSC

yes Draft LMSC Voting in

Mar-99 Jan-00 Mar-01 May-02

Nov-98 - Mar-99 Mar-99 - Dec-01 May-02 - Dec-02

Dec-00 - Mar-01 Mar-01 - Nov-01

Nov-99 - Mar-00 Mar-00 - Mar-01 Mar-01 - Jan-03

Nov-99 - Mar-00 Mar-00 - Nov-01 Nov-01 - Jan-03

Jul-02 - Dec-02 Dec-02 - Dec-05

Jul-02 - Dec-02 Dec-02 - Dec-05

Dec-02 Sep-03 Sep-04

Dec-02 - Sep-03 Sep-03 - Jun-04 Sep-04 - Nov-05

Dec-02 - Jun-04 Sep-04 - Nov-05

Mar-04 - Aug-04 Aug-04 - Sep-07

Mar-04 - Aug-04 Aug-04 Aug-04 - Sep-07

Project P802.16d P802.16-2004/Cor1 P802.16e

Project P802.16f P802.16g

Dec-05 Dec-05 - Mar-08

Mar-07 Mar-07 - May-09

Jul-05 - Mar-06 Mar-06 - May-09

Jul-04 - Dec-04 Dec-04 - Jun-10

Dec-06 Dec-06 - Mar-11

Project P802.16h P802.16i P802.16j

Project P802.16n P802.16p

2004 [135] and it was published on 17 Mar. 2004. As its 5

OSI reference model layers

• IEEE Std 802.16k-2007 [120]

III. T HE ROLE OF W I MAX F ORUM

TABLE VII TABLE IX

Current name Old name BCG Spectrum (GHz) BW (MHz) Duplexing

Different certification profiles are derived out of each M0700T-04

COMPANY NAME {company_name}

PRODUCT MODEL {product_model}

INTEROPERABILITY OPTIONS {interoperability_options}

Stage 1 Stage 2 Stage 3 Stage 4 Stage 5 Stage 6

Product development Certification initialization

Certification issue Certification testing

PHY (physical) layer capabilities. NCT and IIOT are based on

WiMAX Forum Certified Product Registry [140].

IV. T HE ROLE OF ITU

B. IMT-2000 This interface was designated as IP-OFDMA and based on

Cumulative number of certified devices

OFDMA TDD WMAN

Cumulative number of certified devices

100 AT4 Wireless

Fig. 16. Cumulative number of certified devices per WFDCL

ACKNOWLEDGMENT [23] , “IEEE-SA Standards Board Operations Manual,” IEEE-SA,

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