Spectrum Sharing

About the Editors xvii
List of Contributors xxi
Preface xxv
Abbreviations xxix
1 Introduction: From Cognitive Radio to Modern Spectrum Sharing 1
Constantinos B. Papadias, Tharmalingam Ratnarajah, and Dirk T. M. Slock
1. 1 A Brief History of Spectrum Sharing 1
1. 2 Background 3
1. 3 Book overview 5
1. 4 Summary 14
2 Regulation and Standardization Activities Related to Spectrum Sharing 17
Markus Mueck, Marí a Dolores (Lola) Pé rez Guirao, Rao Yallapragada, and Srikathyayani Srikanteswara
2. 1 Introduction 17
2. 2 Standardization 19
2. 2. 1 Licensed Shared Access 19
2. 2. 2 Evolved Licensed Shared Access 21
2. 2. 3 Citizen Broadband Radio System 24
2. 2. 4 CBRS Alliance 25
2. 3 Regulation 28
2. 3. 1 European Conference of Postal and Telecommunications Administrations 28
2. 3. 2 Federal Communications Commission 29
2. 3. 3 A Comparison: (e)LSA vs CBRS Regulation Framework 30
2. 3. 4 Conclusion 31
References 32
3 White Spaces and Database-assisted Spectrum Sharing 35
Andrew Stirling
3. 1 Introduction 35
3. 2 Demand for Spectrum Outstrips Supply 36
3. 2. 1 Making Room for New Wireless Technology 36
3. 2. 2 Unused Spectrum 37
3. 3 Three-tier Access Model 38
3. 3. 1 Secondary Users: Exploiting Gaps left by Primary Users 39
3. 3. 2 Passive Users: Vulnerable to Transmissions in White Space Frequencies 39
3. 3. 3 Opportunistic Spectrum Users 40
3. 4 What is Efficient Use of Spectrum? 40
3. 4. 1 Broadcasters prefer Large Coverage Areas with Lower Spectrum Reuse 41
3. 4. 2 ISPs Respond to Growing Bandwidth Demand from Subscribers 41
3. 4. 3 Protection of Primary Users Defines the Scope for Sharing 42
3. 5 Tapping Unused Capacity: the Evolution of Spectrum Sharing 43
3. 5. 1 Traditional Coordination is a Slow and Expensive Process 44
3. 5. 2 License-exempt Access as the Default Spectrum Sharing Mechanism 44
3. 5. 3 DSA offers Lower Friction and more Scalability 45
3. 5. 3. 1 Early days of DSA 46
3. 5. 3. 2 CR: Towards Flexible, Adaptive, Ad Hoc Access 46
3. 5. 4 Spectrum Databases are Preferred by Regulators 47
3. 6 Determining which Frequencies are Available to Share: Technology 48
3. 6. 1 CR: Its Original Sense 48
3. 6. 2 DSA is more Pragmatic and Immediately Applicable 48
3. 6. 3 Spectrum Sensing 48
3. 6. 3. 1 Hidden Nodes: Limiting the Scope/Certainty of Sensing 49
3. 6. 3. 2 Overcoming the Hidden Node Problem: a Cooperative Approach 49
3. 6. 4 Beacons 50
3. 6. 5 Spectrum Databases used with Device Geolocation 51
3. 7 Implementing Flexible Spectrum Access 53
3. 7. 1 Software-defined Radio Underpins Flexibility 53
3. 7. 2 Regulation Needs to Adapt to the New Flexibility in Radio Devices 54
3. 8 Foundations for More Flexible Access in the Future 54
3. 8. 1 Finer-grained Spectrum Access Management 54
3. 8. 2 More Flexible License Exemption 54
3. 8. 2. 1 Towards a UHF Spectrum Commons or Superhighway 55
References 56
Further Reading 57
4 Evolving Spectrum Sharing Methods, Standards and Trials: TVWS, CBRS, MulteFire and More 59
Dani Anderson, K. A. Shruthi, David Crawford, and Robert W. Stewart
4. 1 Introduction 59
4. 2 TV White Space 59
4. 2. 1 Overview 59
4. 2. 2 Operating Standards 61
4. 2. 3 Overview of TVWS Trials and Projects 63
4. 3 Emerging Shared Spectrum Technologies 66
4. 3. 1 Introduction 66
4. 3. 2 CBRS 67
4. 3. 3 Other Shared Spectrum LTE Solutions 70
4. 4 Conclusion 73
References 73
5 Spectrum Above Radio Bands 75
Abhishek K. Gupta and Adrish Banerjee
5. 1 Introduction and Motivation for mmWave 75
5. 2 mmWave Communication: What is Different? 76
5. 2. 1 Distinguishing Features 76
5. 2. 2 Implications 76
5. 2. 3 Opportunity and Need for Sharing 77
5. 3 Bands in Above-6GHz Spectrum 78
5. 3. 1 26-GHz band: 24. 25-27. 5GHz 79
5. 3. 2 28-GHz band: 27. 5-29. 5GHz 79
5. 3. 3 32-GHz band: 31. 8-33. 4GHz 79
5. 3. 4 40-GHz band: 37-43. 5GHz 79
5. 3. 4. 1 40-GHz lower band 80
5. 3. 4. 2 40-GHz upper band 80
5. 3. 5 64-71-GHz band 80
5. 4 Spectrum Sharing over mmWave Bands 80
5. 4. 1 Factors Determining Sharing vs No Sharing 80
5. 4. 1. 1 Directionality 81
5. 4. 1. 2 Deployment and Blockage Density 81
5. 4. 1. 3 Traffic Characteristics 82
5. 4. 1. 4 Amount of Sharing 82
5. 4. 1. 5 Inter-operator Coordination 82
5. 4. 1. 6 Sharing of Other Resources 83
5. 4. 1. 7 Multi-user Communication 84
5. 4. 1. 8 Technical vs Financial Gains 84
5. 5 Spectrum Sharing Options for mmWave Bands 84
5. 5. 1 Exclusive Licensing 84
5. 5. 2 Unlicensed Spectrum 85
5. 5. 2. 1 Hybrid Spectrum Access 86
5. 5. 3 Spectrum License Sharing 87
5. 5. 3. 1 Uncoordinated Sharing of Spectrum Licenses 87
5. 5. 3. 2 Restricted Sharing of Spectrum Licenses 88
5. 5. 4 Shared Licenses 90
5. 5. 4. 1 Spectrum Pooling 90
5. 5. 4. 2 Partial or Fully Coordinated 90
5. 5. 4. 3 Common Database 91
5. 5. 4. 4 Sensing/D2D Communication-based Coordination 91
5. 5. 5 Secondary Licenses and Markets 91
5. 5. 5. 1 Primary/Secondary Markets 92
5. 5. 5. 2 Third-party Markets 92
5. 5. 6 Increasing the utilization of spectrum 92
5. 6 Conclusions 93
References 93
6 The Licensed Shared Access Approach 97
Antó nio J. Morgado
6. 1 Introduction to Spectrum Management 97
6. 2 The Dawn of Licensed Shared Access 98
6. 2. 1 The LSA Regulatory Environment 99
6. 2. 2 LSA/ASA in the 2300-2400 MHz band 101
6. 3 An Improved LSA Network Architecture 103
6. 4 Operation of the Improved Architecture in Dynamic LSA Use Cases 106
6. 4. 1 Railway Scenario 107
6. 4. 2 Macro-cellular Scenario 109
6. 4. 3 Small Cell Scenario 112
6. 5 Summary 115
References 116
7 Collaborative Sensing Techniques 121
Christian Steffens and Marius Pesavento
7. 1 Sparse Signal Representation 123
7. 2 Sparse Sensing 125
7. 3 Collaborative Sparse Sensing 128
7. 3. 1 Coherent Sparse Reconstruction 129
7. 3. 2 Non-Coherent Sparse Reconstruction 131
7. 4 Estimation Performance 134
7. 4. 1 Comparison of Centralized, Distributed, and Collaborative Sensing 134
7. 4. 2 Source Localization 136
7. 5 Concluding Remarks 138
References 139
8 Cooperative Communication Techniques for Spectrum Sharing 147
Faheem Khan, Miltiades C. Filippou, and Mathini Sellathurai
8. 1 Introduction 147
8. 2 Distributed Precoding Exploiting Commonly Available Statistical CSIT for Efficient Coordination 149
8. 2. 1 Problem Formulation 150
8. 2. 2 Distributed Statistically Coordinated Precoding 151
8. 2. 3 Performance Evaluation 153
8. 3 A Statistical Channel and Primary Traffic-aware Cooperation Framework for Optimal Service Coexistence 155
8. 3. 1 Joint Design of Spectrum Sensing and Reception for a SIMO Hybrid CR System 156
8. 3. 1. 1 Problem Formulation and Solution Framework 158
8. 3. 1. 2 Performance Evaluation 159
8. 3. 2 Throughput Performance of Sensing-optimized Hybrid MIMO CR Systems 161
8. 3. 2. 1 Problem Formulation and Solution Framework 161
8. 3. 2. 2 Performance Evaluation 162
8. 4 Summary 164
References 165
9 Reciprocity-Based Beamforming Techniques for Spectrum Sharing in MIMO Networks 169
Kalyana Gopala and Dirk T. M. Slock
9. 1 Multi-antenna Cognitive Radio Paradigms 169
9. 1. 1 Spatial Overlay: MISO/MIMO Interference Channel 170
9. 1. 2 Spatial Underlay 170
9. 1. 3 Spatial Interweave 170
9. 2 From Multi-antenna Underlay to LSA Coordinated Beamforming 171
9. 2. 1 CoBF and CSIT Discussion 171
9. 2. 2 Some LoS Results 173
9. 2. 3 Noncoherent Multi-user MIMO Communications using Covariance CSIT 174
9. 3 TDD Reciprocity Calibration 175
9. 3. 1 Fundamentals 175
9. 3. 2 Diagonality of the Calibration Matrix 178
9. 3. 3 Coherent and Non-coherent Calibration Scheme 178
9. 3. 4 UE-aided vs Internal Calibration 179
9. 3. 5 Group Calibration System Model 179
9. 3. 6 Least-squares Solution 181
9. 3. 7 A Bilinear Model 181
9. 4 MIMO IBC Beamformer Design 182
9. 4. 1 System Model 182
9. 4. 2 WSR Optimization via WSMSE 182
9. 4. 3 Naive UL/DL Duality-based Beamformer Exploiting Reciprocity 183
9. 5 Experimental Validation 184
9. 6 Conclusions 188
References 188
10 Spectrum Sharing with Full Duplex 191
Sudip Biswas, Ali Cagatay Cirik, Miltiades C. Filippou, and Tharmalingam Ratnarajah
10. 1 Introduction 191
10. 2 Transceiver Design for an FD MIMO CR Cellular Network 192
10. 2. 1 System Model 192
10. 2. 1. 1 Signal and Channel Model 192
10. 2. 1. 2 SI Cancellation 194
10. 2. 1. 3 MSE of the Received Data Stream 195
10. 2. 2 Joint Transceiver Design 196
10. 2. 3 Imperfect CSI and Robust Design 197
10. 2. 3. 1 CSI Acquisition 197
10. 2. 3. 2 CSI Modeling 198
10. 2. 3. 3 Robust Transceiver Design 198
10. 2. 4 Numerical Results 200
10. 3 Transceiver Design for an FD MIMO IoT Network 203
10. 3. 1 System Model 204
10. 3. 1. 1 Signal and Channel Model 204
10. 3. 1. 2 SI Cancellation 205
10. 3. 1. 3 MSE of the Received Data Stream 206
10. 3. 2 Joint Transceiver Design 206
10. 3. 3 Imperfect CSI and Robust Design 207
10. 3. 4 Numerical Results 208
10. 4 Summary 209
References 210
Appendix for Chapter 10 211
10. A. 1 Useful lemmas 211
11 Communication and Radar Systems: Spectral Coexistence and Beyond 213
Fan Liu and Christos Masouros
11. 1 Background and Applications 213
11. 1. 1 Civilian Applications 213
11. 1. 2 Military Applications 214
11. 2 Radar Basics 214
11. 3 Radar Communication Coexistence 216
11. 3. 1 Opportunistic Access 216
11. 3. 2 Precoding Designs 216
11. 3. 2. 1 Interfering Channel Estimation 216
11. 3. 2. 2 Closed-form Precoding 218
11. 3. 2. 3 Optimization-based Precoding 219
11. 4 Dual-functional Radar Communication Systems 221
11. 4. 1 Temporal and Spectral Processing 221
11. 4. 2 Spatial Processing 222
11. 5 Summary and Open Problems 225
References 226
12 The Role of Antenna Arrays in Spectrum Sharing 229
Constantinos B. Papadias, Konstantinos Ntougias, and Georgios K. Papageorgiou
12. 1 Introduction 229
12. 2 Spectrum Sharing 229
12. 2. 1 Spectrum Sharing from a Physical Viewpoint 229
12. 2. 2 Spectrum Sharing from a Regulatory Viewpoint 231
12. 3 Attributes of Antenna Arrays 233
12. 4 Impact of Arrays on Spectrum Sharing 234
12. 4. 1 Spectrum Sensing 234
12. 4. 2 Shared Spectrum Access 234
12. 5 Antenna-Array-Aided Spectrum Sharing 235
12. 5. 1 System Setup 235
12. 5. 2 Assumptions 236
12. 5. 3 System Model 237
12. 5. 3. 1 Secondary System 237
12. 5. 3. 2 Primary System 238
12. 5. 4 Problem Formulation 238
12. 5. 4. 1 Sum-SE, SE, and SINR 238
12. 5. 4. 2 Transmission Constraints 239
12. 5. 4. 3 Original Optimization Problem 239
12. 5. 4. 4 Relaxed Optimization Problem 240
12. 5. 5 Solution and Algorithm 242
12. 5. 5. 1 Solution for Other Linear Precoding Schemes 242
12. 5. 6 Performance Evaluation via Numerical Simulations 243
12. 6 Antenna-Array-Aided Spectrum Sensing 245
12. 6. 1 Printed Yagi-Uda Arrays and Hex-Antenna Nodes 246
12. 6. 2 Test Setup 248
12. 6. 3 Collaborative Spectrum Sensing Techniques 249
12. 6. 4 Experimental Results 250
12. 6. 4. 1 Detection in High SNR 253
12. 6. 4. 2 Detection in Low SNR 253
12. 7 Summary and Conclusions 253
Acknowledgments 253
References 254
13 Resource Allocation for Shared Spectrum Networks 257
Eduard A. Jorswieck and M. Majid Butt
13. 1 Introduction 257
13. 2 Information-theoretic Background 259
13. 3 Types of Spectrum Sharing 261
13. 4 Resource Allocation for Efficient Spectrum Sharing 263
13. 4. 1 Multi-objective Programming 263
13. 4. 2 Resource Allocation Games 265
13. 4. 3 Resource Matching for Spectrum Sharing 267
13. 5 Resource and Spectrum Trading 270
13. 6 Conclusions and Future Work 275
References 275
14 Unlicensed Spectrum Access in 3GPP 279
Daniela Laselva, David Ló pez Pé rez, Mika Rinne, Tero Henttonen, Claudio Rosa, Markku Kuusela
14. 1 Introduction 279
14. 2 LTE-WLAN Aggregation at the PDCP Layer 280
14. 2. 1 User Plane Radio Protocol Architecture 281
14. 2. 2 Bearer Type and Aggregation 282
14. 2. 3 Flow Control Schemes 283
14. 3 LTE-WLAN Integration at IP Layer 284
14. 3. 1 User Plane Radio Protocol Architecture 284
14. 3. 2 Flow Control Schemes 286
14. 4 LTE in Unlicensed Band 287
14. 4. 1 Spectrum and Regulations 287
14. 4. 2 Channel Access 288
14. 4. 3 Frame Structure 289
14. 4. 4 Discovery Reference Signal and RRM 290
14. 4. 5 Uplink Enhancements 291
14. 5 Performance Evaluation 294
14. 5. 1 Aggregation Gains of LWA and LWIP 294
14. 5. 2 Performance Advantages of LAA 298
14. 6 Future Technologies 301
14. 6. 1 5G New Radio in Unlicensed Band 301
14. 6. 2 The Role of WLAN in the 5G System 302
14. 7 Conclusions 302
References 303
15 Performance Analysis of Spatial Spectrum Reuse in Ultradense Networks 305
Youjia Chen, Ming Ding, and David Ló pez-Pé rez
15. 1 Introduction 305
15. 2 Network Scenario and System Model 306
15. 2. 1 Network Scenario 306
15. 2. 2 Wireless System Model 307
15. 3 Performance Analysis of Full Spectrum Reuse Network 308
15. 3. 1 The Coverage Probability 308
15. 3. 2 The Area Spectral Efficiency 311
15. 4 Performance with Multi-channel Spectrum Reuse 312
15. 5 Simulation and Discussion 312
15. 5. 1 Performance with Full Spectrum Reuse Strategy 313
15. 5. 2 Performance with Multi-channel Spectrum Reuse Strategy 314
15. 6 Conclusion 316
Appendix for Chapter 15 316
15. A. 1 Proof of Lemma 15. 1 316
15. A. 2 Proof of Lemma 15. 2 317
15. A. 3 Proof of Theorem 15. 1 318
References 318
16 Large-scale Wireless Spectrum Monitoring: Challenges and Solutions based on Machine Learning 321
Sreeraj Rajendran and Sofie Pollin
16. 1 Challenges 321
16. 2 Crowdsourcing 323
16. 3 Wireless Spectrum Analysis 324
16. 3. 1 Anomaly Detection 324
16. 3. 2 Performance Comparisons 328
16. 3. 3 Wireless Signal Classification 331
16. 3. 3. 1 Fully Supervised Models 331
16. 3. 3. 2 Semi-supervised Models 332
16. 3. 3. 3 Performance-friendly Models 333
16. 4 Future Research Directions 335
16. 4. 1 Machine Learning 336
16. 4. 2 Anomaly Geo-localization 336
16. 4. 3 Crowd Engagement and Sustainability 336
16. 5 Conclusion 337
References 337
17 Policy Enforcement in Dynamic Spectrum Sharing 341
Jung-Min (Jerry) Park, Vireshwar Kumar, and Taiwo Oyedare
17. 1 Introduction 341
17. 2 Technical Background 342
17. 3 Security and Privacy Threats 343
17. 3. 1 Sensing-driven Spectrum Sharing 343
17. 3. 1. 1 PHY-layer Threats 344
17. 3. 1. 2 MAC-layer Threats 344
17. 3. 1. 3 Cross-layer Threats 345
17. 3. 2 Database-driven Spectrum Sharing 345
17. 3. 2. 1 PHY-layer Threats 346
17. 3. 2. 2 Threats to the Database Access Protocol 346
17. 3. 2. 3 Threats to the Privacy of Users 346
17. 4 Enforcement Approaches 347
17. 4. 1 Ex Ante (Preventive) Approaches 348
17. 4. 1. 1 Device Hardening 348
17. 4. 1. 2 Network Hardening 350
17. 4. 1. 3 Privacy Preservation 351
17. 4. 2 Ex Post (Punitive) Approaches 352
17. 4. 2. 1 Spectrum Monitoring 352
17. 4. 2. 2 Spectrum Forensics 352
17. 4. 2. 3 Localization 353
17. 4. 2. 4 Punishment 353
17. 5 Open Problems 354
17. 5. 1 Research Challenges 354
17. 5. 2 Regulatory Challenges 354
17. 6 Summary 355
References 355
18 Economics of Spectrum Sharing, Valuation, and Secondary Markets 361
William Lehr
18. 1 Introduction 361
18. 2 Spectrum Scarcity, Regulation, and Market Trends 363
18. 3 Estimating Spectrum Values 370
18. 4 Growing Demand for Spectrum 373
18. 5 5G Future and Spectrum Economics 375
18. 6 Secondary Markets and Sharing 381
18. 7 Conclusion 384
References 385
19 The Future Outlook for Spectrum Sharing 389
Richard Womersley
19. 1 Introduction 389
19. 2 Share and Share Alike 390
19. 3 Regulators Recognize the Value of Shared Access 393
19. 4 The True Demand for Spectrum 395
19. 5 The Impact of Sharing on Spectrum Demand 397
19. 6 General Authorization needed to Encourage Sharing 399
19. 7 The Long-term Outlook for Spectrum Sharing 401
References 403
Index 405