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Book on CR Policy and Regulation

The compendium of key COST-TERRA research findings had been published in February 2014 by Springer as a book titled "CR Policy and Regulation: Techno-Economic Studies to Facilitate Dynamic Spectrum Access".

On these pages you could learn about the content of the book and find complementary material such as copies of various related presentations, useful links, tools and references.

Table of contents

Preface and Introduction

Chapter 1 – State-of-the-art in policy and regulation of radio spectrum

  • 1.1 International Regulations and DSA
  • 1.2 European Regulatory Developments Related to CR
  • 1.3 An Overview on CR Standardisation
  • 1.4 Standardisation as Enabler of CR Developments
  • 1.5 National Champions of CR Policy
  • 1.5.1 US Regulatory Policy Developments and Visions
  • 1.5.2 UK Framework for Access to TV White Spaces

Chapter 2 – Deployment scenarios for Cognitive Radio

  • 2.1 ITU-R Scenarios
  • 2.2 ETSI Use Cases for CR Deployment
  • 2.3 Scenarios for CR Deployment: Visions from Research Projects
  • 2.4 DSA Application Scenarios: Cases of Finland and India
  • 2.5 Mobile Communications and Need for CR
  • 2.6 Licensed Shared Access as an Example of Upcoming Implementation in Europe
  • 2.7 Scenario Planning Methodology
  • 2.8 Taxonomy of CR Use Cases and Applications
  • 2.9 EN 301 598: a European Harmonised Standard for Deployment of TV White Space Devices

Chapter 3 – Technical Approaches for Improved Spectrum Sharing

  • 3.1 Geo-location Databases
  • 3.2 Cooperative CR Spectrum Sensing and Beam Forming
  •    3.2.1 A Novel Energy-Efficient Contention-Aware Channel Selection Algorithm for CR Networks
  •    3.2.2 Cooperative CR Beam Forming in the Presence of Location Errors
  • 3.3 Spectrum Aggregation over Non-Contiguous Frequency Bands
  •    3.3.1 Spectrum Aggregation with Multi-Band User Allocation over Two Frequency Bands
  •    3.3.2 Integrated Common Radio Resource Management with Spectrum Aggregation
  •    3.3.3 Transmitted Power Formulation for the Implementation of Spec-trum Aggregation in LTE-Advanced over 800 MHz and 2 GHz Bands
  •    3.3.4 Opportunistic Load and Spectrum Management for Mobile Com-munications Energy Efficiency
  • 3.4 Opportunistic Unsynchronized Cognitive Radio Networks using filter bank multicarrier (FBMC)
  • 3.5 Detection of Malicious Users in Cognitive Wireless Ad-Hoc Networks: A Statistical Approach
  • 3.6 Spectral Efficiency for the Benefit of CR and Coexistence with Iterative Water-filling
  • 3.7 Assessing the Amount of Spectrum that may be Available for DSA
  •    3.7.1. Technology Enablers for Spectrum Assessment: Radio Environ-mental Maps (REM)
  •    3.7.2. White Spaces Potentially Available in Italian Scenarios Based on the Geo-location Database Approach

Chapter 4 – Economic Aspects of CR Policy and Regulation

  • 4.1 The Emergence of Whitespace Network-based Business Cases
  • 4.2 Business Scenarios and Models for Use of GDB in TV White Spaces
  • 4.3 Underlying Market Dynamics in a Cognitive Radio Era
  • 4.4 Business Scenarios for Spectrum Sensing-based DSA
  • 4.5 Possible Business Opportunities for CR
  • 4.6 Value of TVWS Spectrum and Analysis of Business Feasibility of CR for Mobile Broadband Services

Chapter 5 – Impact Assessment of CR policy and Regulation

  • 5.1 Impact Assessment of CR/SDR Policy: Overview and Guidelines
  • 5.2 Aligning the Regulatory Environment with the Technology, an Actor-centric Approach
  • 5.3 Inter-operator Spectrum Sharing: from Techno-economic Enablers to Real Market Show Stoppers
  • 5.4 Introduction of DSA: the Role of Industry Openness and Spectrum Poli-cy
  • 5.5 European Market Access and Compliance Regulation for CR/SDR
  • 5.6 Helping Innovation of CR
  • 5.7 CR Policy Analysis: "Agreement Framework" and its Implementation

Chapter 6 – Case Studies for Advancing CR Deployment

  • 6.1 Utilisation of White Space Devices in TV Bands
  • 6.1.1 Methodology of White Space Estimation in TV Bands Based on ITU GE06 Rules
  • 6.1.2 TVWS Coexistence with Incumbents
  • 6.2 CR in ISM Bands
  • 6.2.1 Extracting Interference Information from the ISM/RLAN bands for CR Applications
  • 6.2.2 Spectrum Utilization and Congestion of IEEE 802.11 Networks in the 2.4 GHz ISM Band
  • 6.2.3 Techno-Economic Viability of Cognitive Solutions for a Factory Scenario
  • 6.3 CR in Medical Environments

Chapter 7 - Policy Suggestions for the Way Forward for CR

  • 7.1 Pluralistic Licensing Concept
  • 7.2 ISM-Advanced Band Concept
  • 7.3 Finding a Sweet Spot for CR
  • 7.4 Lessons from TVWS and Anticipated Future of the GDB
  • 7.5 Concluding Remarks

Book's Word Cloud

 

Preface

The book was authored by a large team of highly dedicated people and represents a consolidated summary of results of nearly four years of their work. Its aim is to investigate the highly complex policy and regulatory aspects that govern the ecosystem of wireless services and innovation. It seeks to identify policy changes that can be instantiated to become effective enablers for the development and proliferation of advanced wireless communications systems, particularly those based on Cognitive Radio (CR) technologies. A distinguishing feature of this book is its consideration of the prospects of CR from two diverging standpoints: technological development and economic market reality. This book therefore provides a broad survey of various techno-economic and policy aspects of CR development, and offers the reader an understanding of the intricate complexities involved in such aspects, as well as providing a toolbox of possible solutions to enable the evolutionary leap towards successful implementation of CR technology.

This book might thus be seen as a quite unique survey giving a holistic techno-economic treatise on the subject of CR policy and regulation. This is particularly significant given the importance of the current radio spectrum governing frame-work and its adaptations needed to pave the way for CR and Dynamic Spectrum Access (DSA) applications to develop and flourish in real-world deployment envi-ronments. It should also be understood that the motivation and basis for any regulatory advancements would in turn rely on the ability to prove the soundness and economic benefits of proposed CR development scenarios.
It is sincerely hoped that this book will become a source of subject reference material and new ideas of value to academic researchers in the field of wireless communications, especially those working on CR and DSA and their interaction with regulatory and policy issues. Moreover, this book should be equally useful for the industry and regulatory professionals concerned with radio spectrum man-agement and the general development of wireless communications. This is par-ticularly the case noting the breadth of considered regulatory and strategic issues covered in the book. Together these provide a solid basis upon which academic or professional work can flourish.
The intention is that this book will become a helpful reading reference for ad-vanced post-graduate studies on burgeoning subjects of wireless technologies. This book will provide learned knowledge and inspiration to study novel wireless technologies such as CR and their promotion at the intersection between policy, communications technology and economic interests. Possible study topics and di-rections that directly relate to the subjects covered in this book include:

  • Cognitive Radio and Software Defined Radio (SDR);
  • Dynamic Spectrum Access and "White Space" Technologies;
  • Radio Spectrum Management;
  • Advanced Wireless Communications;
  • Telecommunications Policy and Strategy;
  • Telecommunications Business.

The overall structure of this book is organised so as to carefully lead the reader through the key constituent elements in consideration of CR policy and regulation. First, the introduction together with the first chapter gives an insight into the role and modern structures of wireless policy and radio spectrum management. This includes discussion of the state-of-the-art approaches to standardisation and regulation of emerging CR and DSA technologies and applications.
The second chapter presents an overview and analysis of CR deployment sce-narios, thus setting the foundation and common terminology for further analysis.
The third and fourth chapters cover, respectively, technical and business con-siderations around the process of bringing CR to reality. This analysis is capped by the impact assessment of policy developments, discussed in the fifth chapter.
The sixth chapter presents the reader with a set of example case studies that describe several practical scenarios for applying and developing CR technologies in different contexts: TV White Spaces, ISM Bands, and in challenging applica-tions to medical environments.
Finally, the seventh chapter wraps up the preceding analysis by offering some forward looking insights as well as several examples of quite concrete and specific proposals that may be conducive for the realisation of CR and DSA technologies.
On this occasion we would like to thank our colleagues, chapter editors and each and every author who has contributed their time and work towards the drafting of this book.

Yours sincerely,

The Editors

Chapter 1: State-of-the-art in policy and regulation of radio spectrum

Abstract

This chapter sets the stage for the rest of book by presenting the current state of affairs in the management of radio spectrum and related standardisation and regulatory initiatives pertaining to the emerging fields of CR and DSA.

Section 1.1 discusses the international structure of spectrum management from the global ITU level down to the regional and national level. It also outlines how the ITU has started approaching the consideration of DSA challenges. The next section 1.2 looks at how these efforts have been matched by the European regulators. Next, two sections 1.3 and 1.4 examine the complex issue of standardisation of CR/DSA technologies, starting from the general overview of work in global and regional standardisation bodies, followed by the analysis of drivers and obstacles. Standardisation is particularly covered because it has intrinsic interactions with regulation. For example, a well-targeted standardisation initiative involving strong industry players and perhaps an industry association can provide significant motivation for regulators to adapt regulations to support that initiative, in support of economic/industrial and national interests.
The chapter is concluded by section 1.5 that takes a closer look at the develop-ments in two countries that have been particular champions of CR technologies: namely the United States and the United Kingdom. This is done particularly with a viewpoint on the status of TV White Space access implementation – currently a key driver of DSA.

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Chapter 2: Deployment Scenarios for Cognitive Radio

Abstract

This chapter presents a selection of potential deployment and application sce-narios for Cognitive Radio. The chapter goes beyond a simple review of scenarios by considering the viewpoints of several key players in wireless communication research and applications: regulators, standardisation bodies, researchers from the engineering and economic/business communities, industrial partners and compa-nies. In this framework, two key issues related to scenario definition are addressed:

  • An analysis of players that determine the evolution of scenarios, including both technical and economic/business aspects;
  • Study of approaches for classification of CR deployment scenarios, with the aim of identifying a set of elements that allow creating taxonomy capable of fitting existing and new scenarios relevant to CR and SDR.

The chapter opens with an overview of CR scenarios proposed by ITU-R in Section 2.1. It is followed by section 2.2 that describes the CR use cases envisaged by ETSI. Section 2.3 offers examples of CR scenarios developed in several re-search projects. The impact of different regulatory and environmental conditions on application scenarios is addressed in section 2.4, which provides a comparison between feasible scenarios in India and Finland. Section 2.5 highlights the issue of growing spectrum demand for mobile services and suggests how the CR may be positioned to help meeting that demand. This is followed up in Section 2.6 which provides analysis of upcoming mobile scenarios in Europe focusing on the con-cept of Licensed Shared Access as defined based on activities carried out in ETSI and CEPT.
Next, the chapter moves on to aspects related to planning and classification of scenarios. Section 2.7 proposes a scenario planning methodology aiming to sup-port planning and classification of scenarios for Cognitive Radio and to help iden-tify relevant business models. Section 2.8 proposes an approach to the definition of a taxonomy of CR application scenarios, aiming at fitting present and future applications in a coherent framework. Finally, Section 2.9 offers an example of very practical application scenario for deployment of White Space Devices in TV Bands as established by a harmonised European standard EN 301 598.

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Chapter 3: Technical Approaches for Improved Spectrum Sharing

Abstract

The aim of this chapter is to showcase several important contributions towards identification of techniques for spectrum sharing and coexistence. It is envisaged that such novel techniques may be of value in various regulatory considerations. They might assist in shaping technical conditions that will govern the access to ra-dio spectrum by CR technologies.

Section 3.1 reviews the recommended principles of Geolocation Databases' operation in European regulatory environment, as well as the envisaged structural composition of technical solutions for their implementation.
Section 3.2 is composed of several contributions that offer different angles of looking at CR spectrum sensing algorithms and implementation techniques. It also considers the possibilities of dynamic re-configurability through beam forming capabilities.
This is followed by discussion in section 3.3 of possibilities for spectrum ag-gregation from non-contiguous frequency bands, as made possible by the DSA capabilities of CR. This opens up possibilities for significantly increasing the available operational bandwidth – and hence the data throughput – of the radio transceivers. It also allows pursuing energy efficiency objectives.
Section 3.4 looks at the possibilities of developing unsynchronised CR net-works using Filter Bank Multi-Carrier, an alternative type of modulation that of-fers a superior performance and reduced out-of-band emissions compared with other traditional types of modulation.
The detection of malicious users is addressed in section 3.5, by employing a statistical approach. This approach allows reliable detection of users even when the system does not have a priori information about primary channel activity and characteristics of users.
The following section 3.6 looks at the spectral efficiency of CR systems and the related possibilities of using Iterative Water-filling method, which may be highly beneficial for broadband wireless channels under static or slowly varying conditions.
The final section 3.7 contains two contributions that present different aspects associated with the issue of assessing the amount of white spaces, or in other words - spectrum resource available for DSA access. It first looks at the principles of Radio Environment Mapping, which is then complemented by an example of evaluating amount of TV band white spaces in Italy.

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Chapter 4: Economic Aspects of CR Policy and Regulation

Abstract

This chapter turns to evaluation of techno-economic aspects of CR development and regulation, considering both the attractiveness of existing regulatory frameworks and the benefits of creating the new ones. This is important since it may be shown that the regulatory framework may have significant impact on economic benefits and viability of CR market adoption.

Section 4.1 offers discussion of the potential for new business cases centred on the use of white space spectrum in the context of cellular networks. Section 4.2 is focusing on business scenarios and models for use of GDBs in TV white spaces. The following section 4.3 provides a primer regarding the dynamics of the wireless communication market and how these can strongly influence the success or failure of a new technology. Section 4.4 considers potential business scenarios for spectrum sensing based on a set of parameters – ownership, exclusivity, tradability and neutrality. Section 4.5 looks at the prospects of business case for CR against the uncertainties of the spectrum market and opportunistic spectrum access circumstances. The chapter is concluded with the techno-economic analysis and case study in Section 4.6 that contemplates economic value of CR and secondary access. This builds a solid basis for answering the ultimate questions about business viability of CR, including considerations of cost vs. capacity, investments, uncertainty and risk.

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Chapter 5:  Impact Assessment of CR policy and Regulation

Abstract

This chapter looks at emerging issues related to carrying out Impact assessment (IA) for identified combinations of techno-economic circumstances and conditions of CR deployment. The aim of such analysis would be to aid the policy discussion and development, by recognising the most attractive and beneficial combinations of regulatory provisions to form the basis for the ultimate CR regulatory framework.

Section 5.1 provides an overview of IA and WG4 perspective on IA guidelines in the case of CR policy. Section 5.2 discusses the alignment of regulation and technology, applying an actor-centric approach. It highlights that successful intro-duction of CR will require alignment between the characteristics of CR and the regulatory regime under which CR will operate. Section 5.3 discusses role of spec-trum regulation and argues that more relaxed spectrum regulations would trigger generation of well suited and flexible services, as they could reduce market entry barriers and allow more service providers to access the spectrum resources. Then, section 5.4 describes a study on Dynamic Spectrum Access (DSA). The introduc-tion of DSA has been challenged by several technical, economic and regulatory factors. The authors develop a framework that combines system dynamics modelling (top-down approach) and Bayesian network data analysis (bottom-up approach) for analysing current mobile markets and their future evolutions possibilities.
This is followed by section 5.5 that looks at the matter of type conformity as-sessment for future CR/SDR apparatus, which would be an important considera-tion for placing equipment on the market. Then section 5.6 analyses reasons of rather sluggish pace of CR innovation, with the aim of suggesting a range of suitable policies to boost further and more fertile developments of CR technology.
The chapter is concluded by section 5.7 that offers spectrum policy analysis from both positive and normative perspectives. It proposes an "agreement frame-work", which could be used as reference template against which future policy analysis could be carried out in similar cases, with regard to emerging CR applica-tions and CR technology in general.

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Chapter 6: Case Studies for Advancing CR Deployment

Abstract

This chapter shows selected practical cases studies dealing with advancing CR deployment.

Section 6.1 provides details about TV White Space spectrum estimation methodology based on ITU GE06 Plan rules for cases of countries where high levels of TV interference exist. In addition, an example of addressing the practical co-existence of TV white space devices with incumbent applications in the UHF TV band is presented in this section as well. Section 6.2 looks at the practical possibilities of deploying CR systems in the ISM bands, including a techno-economic viability study of CR solutions in factory scenario. Finally, section 6.3 describes a concept and provides an in depth analysis of using CR technologies in medical environments.

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Chapter 7: Policy Suggestions for the Way Forward for CR

Abstract

The key message that emerges from this book is of an extremely complex and intricate picture of regulatory considerations inevitably surrounding the introduction and development of CR and DSA technologies. Yet, it is also a hopeful picture, given that one may already clearly see the emergence of some key paths along which that development could take place. This chapter therefore wraps up the discussion of CR policy and regulation in preceding chapters by taking a forward-looking stance and proposing some realistic and concrete examples towards building the elements of a regulatory policy framework that would be conducive to the broader deployment of CR technologies in general and DSA applications in particular.

The chapter opens with Section 7.1 that presents a novel approach to licensing of primary services, which might become a fair, flexible, and viable means to introduce hierarchical spectrum sharing. They back this vision with a techno-economic case study that proves a financial advantage of such a concept and thus builds a compelling case for the regulators to consider this novel tool as part of their licensing toolbox. Section 7.2 contains joint contribution from a group of authors who discuss the idea of ISM-Advanced band – the concept of using CR to make better use of unlicensed commons, such as 2.4 GHz Wi-Fi band. They outline a number of possible changes to the existing set of rules that govern access to ISM bands, which would allow making those bands the hot-bed of CR innovation and, most importantly, bringing real benefits by means of increasing the efficiency of using those vital bands. Section 7.3 builds on the thread of an actor-centric approach that was started in previous chapters in order to explore the notion of an CR “sweet spot”, i.e. finding a suitable combination of regulatory arrangements, an incubator, which would establish favourable conditions for exploration of CR technologies. Section 7.4 presents analysis of the lessons learned over the decade of efforts to introduce CR devices in TV White Spaces. It is shown how one of the most profound developments of that age – the Geolocation Database concept – may be used as a foundation for further advances in TVWS and beyond. And finally, the ultimate section 7.5 offers some prescient concluding remarks as regards the role of spectrum as key resource facilitating growth of wireless services and CR technologies that could unleash the next big wave of wireless innovation.

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