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Wireless Innovation Forum ™ and SDR Forum ™ are trademarks of the Software Defined Radio Forum Inc. i Wireless Innovation Forum Dynamic Spectrum Sharing Annual Report ii Table of Contents TERMS, CONDITIONS & NOTICES i Contributors xi Section Leaders xi Contributors from Member Organizations xi Other Contributing Subject Matter Experts xii 1 Introduction 1 2 What is Spectrum Sharing 3 3 Spectrum Occupancy Measurement 5 3.1 Spectrum/Channel Occupancy Criteria 5 3.2 Methods and Techniques Available for the Determination of Spectral Occupancy 6 3.3 Criteria and Limitations of Energy Detection Methods 7 3.4 Cumulative and Specialized Sources and Victims of Interference 8 3.5 Predictive and Cyclic Use of Spectrum 8 3.6 Spectrum Occupancy Measurement Campaigns 9 3.6.1 Europe 9 3.6.2 Africa 11 3.6.3 North America 11 3.6.4 South America 12 3.6.5 Asia 13 3.6.6 Oceania 13 3.7 Discussions and Conclusions 13 4 Benefits of Spectrum Sharing 17 5 Regulation 19 5.1 ITU Region 1 20 5.1.1 European Commission 20 5.1.2 Kenya 20 5.1.3 South Africa (Spectrum Sharing Level 2A) 21 iii Wireless Innovation Forum Dynamic Spectrum Sharing Annual Report 5.1.4 United Kingdom (Spectrum Sharing Level 3A) 21 5.2 ITU Region 2 25 5.2.1 Brazil (Spectrum Sharing Level 2A) 25 5.2.2 Canada 25 5.2.3 Guatemala (Spectrum Sharing Level 2A) 26 5.2.4 Mexico 26 5.2.5 United States 27 5.2.6 Conclusion 49 5.3 ITU Region 3 51 5.3.1 India 51 5.3.2 Japan 52 5.3.3 Malaysia (Spectrum Sharing Level 2A) 52 5.3.4 Singapore (Spectrum Sharing Level 3A) 53 5.4 Analysis and Conclusions on Regulatory Filings 53 6 The Economics of Spectrum and Related Business Models 55 6.1 Introduction 55 6.2 Current Spectrum Business Models 55 6.3 Potential New Spectrum Business Models 56 6.3.1 Pluralistic licensing 56 6.3.2 Licensing Based on Dynamic Spectrum Sharing (DSS) 56 6.3.3 Spectrum trading 58 6.4 Potential Future Considerations for Spectrum Property Rights 58 6.5 Conclusions 60 7 DSA, White Space and Spectrum Sharing Test beds and Field Trials World Wide 61 7.1 Introduction 61 7.1.1 Motivation 61 7.1.2 Definitions 61 7.1.3 Spectral Bands, Regulation and Licensing 62 7.2 Spectrum Sharing Trials and Testbeds 63 7.2.1 US 63 7.2.2 Europe 72 7.2.3 Asia 78 7.2.4 Africa 86 7.2.5 Oceania: New Zealand Managed Spectrum Park 90 iv Table of Contents 7.3 Observations, Lessons Learned and Recommendations 91 7.4 Conclusions and Outlook 92 8 Relevant Standards Developments 95 8.1 Implementation Standards 95 8.1.1 The ETSI TV white space harmonised standard 95 8.1.2 ETSI TC RRS 98 8.1.3 IEEE DySPAN-SC 99 8.1.4 Protocol to Access White Space database (PAWS) 107 8.1.5 Other Relevant Standards 108 8.2 Physical Layer Standards 109 8.2.1 802.11af 109 8.2.2 IEEE 802.22 113 8.2.3 IEEE P1900.7 117 8.2.4 Weightless 117 8.3 Analysis and Conclusions 125 9 Relevant research programs 127 9.1 European Programs 127 9.1.1 EU-funded Programs 127 9.1.2 European Defense Agency Funded Programs 129 9.1.3 National-funded Programs 129 9.1.4 Other collaborative initiatives 130 9.2 US Programs 131 9.2.1 DARPA programs 131 9.2.2 Enhancing Access to Radio Spectrum (EARS) 132 9.3 ITU Region 3 138 9.3.1 Japan 138 9.3.2 Republic of Korea 138 9.4 Analysis and Conclusions 139 10 Technology Review 141 10.1 Introduction to the Technology Review 141 10.1.1 Homogeneous Spectrum Sharing Technology 141 10.1.2 Heterogeneous Spectrum Sharing Technology 141 10.1.3 Heterogeneous Networks 142 10.2 Homogeneous Spectrum Sharing Technologies 143 v Wireless Innovation Forum Dynamic Spectrum Sharing Annual Report 10.2.1 Homogeneous Sharing in LTE 143 10.2.2 Manufacturer-Specific Homogenous Spectrum Sharing 143 10.2.3 Technology Challenges of Homogeneous Spectrum Sharing 146 10.3 Heterogeneous Spectrum Sharing Technologies 146 10.3.1 Categories of Heterogeneous Spectrum Sharing 146 10.3.2 Database Mediated Heterogeneous Spectrum Sharing Technologies 147 10.3.3 TV White Space (TVWS) Product Technologies 147 10.3.4 Actively Managed Heterogeneous Spectrum Sharing Technologies 148 10.3.5 LTE Technology for Heterogeneous Spectrum Sharing 148 10.3.6 Bell Labs White Cell Architecture 148 10.3.7 Ericsson Architecture 149 10.3.8 Technology Challenges of Heterogeneous Spectrum Sharing 150 11 Gap Analysis 151 vi List of Figures Figure 1: Dynamic Spectrum Sharing is Driven Equally by Technology, Regulation, and Business Model 2 Figure 2: Occupancy Time Series 8 Figure 3: Band Occupancy Differences 9 Figure 4: Spectrum Occupancy Measurement Campaigns 10 Figure 5: Average Spectrum Occupancy NYC vs. Chicago 30MHz – 2900MHz 15 Figure 6: Cognitive radio is seen as enabling many new applications 17 Figure 7: Regulation of spectrum sharing around the world covered by this report at various levels 19 Figure 8: Relationships between organizations regulating and managing spectrum in the United States 28 Figure 9: World map of testbed and trials considered in this report (See also Table 2) 62 Figure 10: O-CORNET fixed node locations at VirginiaTech campus in Blacksburg, Virginia (10, 14: under construction; 8, 13: planned; 15: sensing node). 71 Figure 11: Typical fixed O-CORNET node: mount with antenna and enclosure (left) holding a laptop, N210 USRP with SBX daughterboard, filters and GPS receiver (right). 71 Figure 12: Some of the devices being used in our trials: (a) Eurecom ExpressMIMO2-based solution, incorporating a PC with an ExpressMIMO2 software radio card incorporated and a separate c ustom-built RF, (b) NICT low-power 802.11af devices operating in a mesh network. 76 Figure 13: IDA roadmap for TVWS deployment in Singapore 80 Figure 14: Singapore Island Country Club Course as at 12 April 2014 (Base Station to Workshop—6H—, Base Station to Hway House and Pole—Neul), Terrabit Networks. 82 Figure 15: Coverage area of HDB blocks in Singapore. 83 Figure 16: Deployment of WiFi access points and surveillance cameras using TVWS technology at the Gardens by the Bay, Singapore. 84 Figure 17: 802.11af TVWS network with all elements shown 111 Figure 18: 802.11af TVHT PHY channel configurations 111 Figure 19: Various completed, on-going and proposed standards under the IEEE 802.22 Working Group 113 Figure 20: Overview of Weightless 120 Figure 21: Overview of information flow within a Weightless network 121 Figure 22: Layered diagram of a Weightless network 121 vii Wireless Innovation Forum Dynamic Spectrum Sharing Annual Report Figure 23: Overview of the PHY layer 122 Figure 24: Receive process 123 Figure 25: Spectrum Sharing Research Programs Worldwide 139 Figure 26: (a) Static Reservation vs. (b) NEC’s Network Virtualization Substrate Solution 143 Figure 27: NEC’s End-to-End RAN Sharing Solution 144 Figure 28: Resource Usage Fairness in Huawei Solution 145 Figure 29: Spectrum Assignment in Alcatel-Lucent Solution.