ANNALES UNIVERSITATIS TURKUENSIS ANNALES UNIVERSITATIS A I 559 Juha Kalliovaara FIELD MEASUREMENTS IN DETERMINING INCUMBENT SPECTRUM UTILIZATION AND PROTECTION CRITERIA IN WIRELESS CO-EXISTENCE STUDIES Juha Kalliovaara ISBN 978-951-29-6824-4 (PRINT) , Finland 2017 Turku Painosalama Oy, ISBN 978-951-29-6825-1 (PDF) TURUN YLIOPISTON JULKAISUJA – ANNALES UNIVERSITATIS TURKUENSIS ISSN 0082-7002 (Print) | ISSN 2343-3175 (Online) Sarja – ser. AI osa – tom. 559 | Astronomica – Chemica – Physica – Mathematica | Turku 2017 FIELD MEASUREMENTS IN DETERMINING INCUMBENT SPECTRUM UTILIZATION AND PROTECTION CRITERIA IN WIRELESS CO-EXISTENCE STUDIES Juha Kalliovaara TURUN YLIOPISTON JULKAISUJA – ANNALES UNIVERSITATIS TURKUENSIS Sarja - ser. A I osa - tom. 559 | Astronomica - Chemica - Physica - Mathematica | Turku 2017 University of Turku Faculty of Mathematics and Natural Sciences Department of Future Technologies Supervised by Professor Jukka Heikkonen Dr. Tech. Jussi Poikonen Department of Future Technologies Department of Future Technologies University of Turku University of Turku FIN-20014 University of Turku FIN-20014 University of Turku Dr. Tech. Jarkko Paavola Turku University of Applied Sciences Joukahaisenkatu 3 FIN-20520 Turku Reviewed by Dr. Tech. Heidi Himmanen Professor Manuel Vélez The Finnish Communications Regulatory Euskal Herriko Unibertsitatea (EHU) Authority - FICORA Alda. Urkijo S/N 48013 Itämerenkatu 3A Bilbao, Spain FIN-00180 Helsinki Opponent Dr. David Gómez-Barquero Universitat Politècnica de València Campus de Vera, Camí Vera, s/n, 46022 Valencia, Spain Cover image: Avi Heikkinen The originality of this thesis has been checked in accordance with the University of Turku quality assurance system using the Turnitin OriginalityCheck service. IISBN 978-951-29-6824-4 (PRINT) ISBN 978-951-29-6825-1 (PDF) ISSN 0082-7002 (Print) ISSN 2343-3175 (Online) Painosalama Oy - Turku, Finland 2017 Abstract Studies of spectrum sharing and co-existence between different wireless com- munication systems are important, as the current aim is to optimize their spectrum utilization and shift from static exclusive spectrum allocation to more dynamic co-existence of different systems within same frequency bands. The main goal of this thesis is to provide measurement methodologies for obtaining realistic results in modeling incumbent spectrum utilization and in determining incumbent protection criteria. The following research questions are considered in this thesis: Q1) How should field measurements be conducted and used to model incumbent spec- trum utilization? Q2) How should field measurements be conducted and used to determine protection criteria for incumbents in a co-existence sce- nario with mobile broadband? and Q3) Which licensing methods and tech- nological solutions are feasible to enable spectrum sharing in frequency bands with incumbents? To answer to Q1, this thesis describes the development of a spectrum ob- servatory network concept created through international collaboration and presents measurement methodologies, which allow to obtain realistic spec- trum occupancy data over geographical areas using interference map con- cept. A cautious approach should be taken in making strong conclusions from previous single fixed location spectrum occupancy studies, and mea- surements covering larger geographical areas might be needed if the mea- surement results are to be used in making spectrum management decisions. The field interference measurements considered in Q2 are not covered well in the current research literature. The measurements are expensive to conduct as they require substantial human resources, test network infras- tructure, professional level measurement devices and radio licenses. How- ever, field measurements are needed to study and verify hypotheses from computer simulations or theoretical analyses in realistic operating condi- tions, as field measurement conditions can not or are not practical to be ade- quately modeled in simulations. This thesis proposes measurement method- ologies to obtain realistic results from field interference measurements, tak- ing into account the propagation environments and external sources of inter- ference. Less expensive simulations and laboratory measurements should be i used both to aid in the planning of field measurements and to complement the results obtained from field measurements. Q3 is investigated through several field interference measurement cam- paigns to determine incumbent protection criteria and by analyzing the spec- trum observatory data to determine the occupancy and trends in incumbent spectrum utilization. The field interference measurement campaigns have been conducted in real TV White Space, LTE Supplemental Downlink and Licensed Shared Access test network environments, and the obtained mea- surement results have been contributed to the development of the European spectrum regulation. In addition, field measurements have been conducted to contribute to the development and technical validation of the spectrum sharing frameworks. This thesis also presents an overview of the current status and possible directions in spectrum sharing. In conclusion, no single spectrum sharing method can provide universally optimal efficiency in spectrum utilization. Thus, an appropriate spectrum sharing framework should be chosen taking into account both the spectrum utilization of the current incumbents and the future needs in wireless communications. ii Tiivistelm¨a Langattomien tietoliikennej¨arjestelmien taajuuksien jakamisen ja yhteisk¨ay- t¨on tutkiminen on t¨arke¨a¨a, koska taajuushallinnan t¨am¨anhetkinen tavoite on taajuuksien k¨ayt¨on tehostaminen sek¨a siirtyminen staattisesta eksklusii- visesta taajuusallokoinnista dynaamiseen eri j¨arjestelmien yhteisk¨aytt¨o¨on samoilla taajuuskaistoilla. T¨am¨an v¨ait¨osty¨on p¨a¨atavoitteena on kehitt¨a¨a kentt¨amittauksiin menetelmi¨a, joita hy¨odynt¨am¨all¨a saataisiin todenmukai- sia tuloksia vakiintuneiden k¨aytt¨ajien taajuusk¨ayt¨on mallintamisessa ja suo- jauksen kriteerien m¨a¨arittelyss¨a. T¨am¨a ty¨o pyrkii vastaamaan seuraaviin tutkimuskysymyksiin: K1) Mi- ten kentt¨amittaukset vakiintuneiden k¨aytt¨ajien taajuusk¨ayt¨on mallintami- seksi tulisi tehd¨a ja miten mittaustuloksia voidaan hy¨odynt¨a¨a? K2) Miten kentt¨amittaukset vakiintuneiden k¨aytt¨ajien suojauskriteerien m¨a¨aritt¨amisek- si tulisi tehd¨a ja miten mittaustuloksia voidaan hy¨odynt¨a¨a? K3) Mit¨a lisen- sointimenetelmi¨a ja teknisi¨a ratkaisuja voidaan k¨aytt¨a¨a mahdollistamaan taajuuksien yhteisk¨aytt¨o taajuuskaistoilla, joilla on jo ennest¨a¨an vakiintu- neita k¨aytt¨aji¨a? Ty¨o vastaa ensimm¨aiseen tutkimuskysymykseen esittelem¨all¨a kansainv¨a- lisen¨a yhteisty¨on¨a kehitetyn taajuusobservatoriokonseptin ja mittausmene- telmi¨a, joiden avulla voidaan esitt¨a¨a h¨airi¨okarttoja k¨aytt¨am¨all¨a vakiintunei- den k¨aytt¨ajien taajuuksien k¨aytt¨oastetta maantieteellisill¨a alueilla. Aiem- piin yhden kiinte¨an mittauspaikan taajuuksien k¨aytt¨oasteen tutkimuksien tuloksiin tulisi suhtautua varauksella, ja suurempia maantieteellisi¨a aluei- ta kattavia mittauksia saatetaan tarvita mik¨ali mittaustuloksia k¨aytet¨a¨an taajuushallinnan p¨a¨at¨oksiss¨a. Toisen tutkimuskysymyksen h¨airi¨omittauksia kentt¨aolosuhteissa ei ole k¨asitelty kattavasti nykyisess¨a tutkimuskirjallisuudessa. H¨airi¨omittausten te- keminen on kallista, koska ne vaativat huomattavia henkil¨oresursseja, testi- verkkoinfrastruktuuria, ammattilaistason mittalaitteita ja radiolupia. Kent- t¨amittauksia kuitenkin tarvitaan tietokonesimulaatioiden ja teoreettisten analyysien hypoteesien tutkimiseen ja oikeaksi osoittamiseen todenmukaisis- sa k¨aytt¨oolosuhteissa, koska kentt¨aolosuhteita ei voida tai ei ole k¨ayt¨ann¨ollis- t¨a mallintaa riitt¨av¨an tarkasti simulaatioissa. T¨am¨a ty¨o ehdottaa mittaus- menetelmi¨a, joilla voidaan saada todenmukaisia tuloksia kentt¨aolosuhteissa iii ja jotka ottavat huomioon radiosignaalin etenemisymp¨arist¨ot sek¨a ulkoi- set h¨airi¨ol¨ahteet. Edullisempia simulaatioita ja laboratoriomittauksia tuli- si k¨aytt¨a¨a sek¨a kentt¨amittausten suunnittelun apuna ett¨a t¨aydent¨am¨a¨an kentt¨amittauksista saatuja tuloksia. Kolmatta tutkimuskysymyst¨a tutkitaan useiden kentt¨amittauskampan- joiden avulla sek¨a tutkimalla taajuusobservatorioiden mittausdataa vakiin- tuneiden k¨aytt¨ajien taajuuksien k¨aytt¨oasteen ja taajuusk¨ayt¨on kehityssuun- tien m¨a¨aritt¨amiseksi. Kentt¨amittauskampanjat on tehty oikeissa TV White Space, LTE Supplemental Downlink ja Licensed Shared Access -testiverkko- ymp¨arist¨oiss¨a ja mittausten tuloksia on k¨aytetty edesauttamaan Euroopan taajuuss¨a¨antelyn kehityst¨a. Kentt¨amittaustuloksia on k¨aytetty lis¨aksi taa- juuksien jakamisen j¨arjestelmien kehitt¨amisess¨a ja validoinnissa. Ty¨o esitt¨a¨a my¨os yleiskatsauksen taajuuksien jakamisen t¨am¨anhetkisest¨a tilasta ja mahdollisista tulevaisuuden suuntauksista. Tiivistettyn¨a voidaan todeta, ett¨a mik¨a¨an yksitt¨ainen taajuuksien jakamisen menetelm¨a ei voi tarjota yleisesti mahdollisimman tehokasta taajuuksien k¨aytt¨oastetta. So- piva taajuuksien jakamisen menetelm¨a tulisi valita ottaen huomioon sek¨a nykyisten vakiintuneiden k¨aytt¨ajien ett¨a tulevaisuuden langattoman vies- tinn¨an tarpeet. iv Acknowledgements Back in 2008, I had a Bachelor of Science degree from Multimedia and DVD technology and was working in a travel company as a Sports and SuperKids leader on the island of Crete in Greece. For some reason, I applied and was accepted to study for a Master's degree in wireless communications