4633734

IEEE Std 1900.1™-2008

IEEE Standard Definitions and Concepts for Dynamic Spectrum Access: TerminologyRelating to Emerging Wireless Networks, System Functionality, and Spectrum Management

IEEE3 Park Avenue New York, NY 10016-5997, USA

26 September 2008

IEEE Communications SocietySponsored by theIEEE Standards Coordinating Committee 41 onDynamic Spectrum Access Networks

1900

.1 TM

Authorized licensed use limited to: COMSATS INSTITUTE OF INFORMATION TECHNOLOGY. Downloaded on March 17,2012 at 06:50:03 UTC from IEEE Xplore. Restrictions apply.

IEEE Std 1900.1TM-2008

IEEE Standard Definitions and Concepts for Dynamic Spectrum Access: Terminology Relating to Emerging Wireless Networks, System Functionality, and Spectrum Management

Sponsor

IEEE Communications Society

and

IEEE Standards Coordinating Committee 41 on Dynamic Spectrum Access Networks

Approved 12 June 2008

IEEE-SA Standards Board


Abstract: This standard provides definitions and explanations of key concepts in the fields of spectrum management, cognitive radio, policy-defined radio, adaptive radio, software-defined radio, and related technologies. The document goes beyond simple, short definitions by providing amplifying text that explains these terms in the context of the technologies that use them. The document also describes how these technologies interrelate and create new capabilities while at the same time providing mechanisms supportive of new spectrum management paradigms such as dynamic spectrum access. Keywords: cognitive radio, cognitive radio networks, dynamic spectrum access, policy-based radio, software-controlled radio, software-defined radio, spectrum management

•

The Institute of Electrical and Electronics Engineers, Inc. 3 Park Avenue, New York, NY 10016-5997, USA Copyright © 2008 by the Institute of Electrical and Electronics Engineers, Inc. All rights reserved. Published 26 September 2008. Printed in the United States of America. IEEE and 802 are registered trademarks in the U.S. Patent & Trademark Office, owned by The Institute of Electrical and Electronics Engineers, Incorporated. PDF: ISBN 978-0-7381-5776-4 STD95810 Print: ISBN 978-0-7381-5777-1 STDPD95810 No part of this publication may be reproduced in any form, in an electronic retrieval system or otherwise, without the prior written permission of the publisher.


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iv Copyright © 2008 IEEE. All rights reserved.

Introduction

This introduction is not part of IEEE Std 1900.1-2008, IEEE Standard Definitions and Concepts for Dynamic Spectrum Access: Terminology Relating to Emerging Wireless Networks, System Functionality, and Spectrum Management.

This standard establishes common terminology for describing emerging networks and nodes employing radio devices characterized by cognition, adaptation, environment awareness, and policy-based adaptive techniques. Specifically, the definitions provided in this document stem predominantly from a spectrum management point of view. It is anticipated that these definitions will ultimately mature and ideally achieve widespread acceptance among researchers, manufacturers, service providers, regulators, and operators.

The intent of this document is to promote a common understanding of systems technology and spectrum management terms so that technologists in a variety of fields such as radio science, including digital communications, computer science, and artificial intelligence, and regulators have a common understanding of the terminology. It is the intent of this document to provide concise definitions of key terms in advanced radio system technologies and in advanced spectrum management techniques.

The focus of this standard is on terms and concepts relating to emerging wireless networks, radio, technology, system functionality, and spectrum management. It was agreed that in some cases, multiple definitions for a specific term were appropriate. Development of this standard required:

a) The creation of some new terms (e.g., cognitive radio) and the development of definitions for

these new terms.

b) The development of alternative definitions for existing terms (e.g., dynamic frequency selection) that have been defined by other standards development organizations; these alternative definitions were required for next-generation radio and spectrum management because these terms have new meanings when used in the context of discussing advanced radio systems.

It is deemed to be outside the focus of this standard to include all of the terms relevant to wireless communications systems and spectrum management (e.g., radio frequency and radio signal). However, when deemed appropriate, existing terms from the ITU-R and other IEEE documents are included for the convenience of the reader even though the term and definition is unchanged for next-generation radio and spectrum management. These terms are clearly identified in the text.

This document provides normative terms and definitions to support the research and deployment of dynamic spectrum management (DSM) and dynamic spectrum access (DSA). Many factors are creating a need for DSM and DSA. Among the forces creating this need for change are as follows:

⎯ The increasing use of wireless services and their need for spectrum.

⎯ The increasing data load being transmitted wirelessly, requiring increasing spectrum bandwidth.

⎯ The emergence of multimode products such as mobile, broadcast, and radiolocation into single devices.

⎯ Increasing pressure to guarantee spectrum access for priority services such as public safety while allowing other uses for that same spectrum when not in use by those priority services.


v Copyright © 2008 IEEE. All rights reserved.

Overview of New Technologies

Terminology used to describe equipment, systems, and networks employing advanced radio functionality are contained within this standard that will provide researchers, manufacturers, service providers, regulators, operators, and users with the means of describing advanced radio devices and spectrum management techniques. Some of the general features of these emerging radio and wireless networking systems are as follows:

⎯ Flexibility

⎯ Dynamic and adaptive behavior

⎯ Awareness (e.g., location and radio environment), cognition, and intelligence

⎯ Networking for group collaboration and interaction (e.g., sensing the spectrum usage environment)

These features create many new avenues for improving use and access to the radio spectrum. Specifically, they provide additional degrees of freedom that allow a device to choose the best method of spectrum access for a particular situation and to alter the method of access to respond to changing conditions. For example, dynamic spectrum access systems have been suggested as a fundamental, technology-enabled method to make more effective and efficient use of scarce available spectrum. In principle, the DSA concept advocates empowering radio systems with the local authority and responsibility to manage available spectrum. However, practical methods for designing, developing, and managing such systems remain in the early formative stages. Current spectrum management practices do not provide effective techniques for certifying these types of advanced radio devices or for managing their access to the radio spectrum. This situation could create barriers to the introduction of new radio technologies if resolution of spectrum issues for each new device must be addressed on a case-by-case basis.

Recent advancements in wireless communication technology have given rise to many new terms and concepts within the body of technical literature, including reconfigurable radio, software-defined radio, software-controlled radio, policy-defined radio, adaptive radio, cognitive radio, and others. Although radios certainly play an important part in the design and construction of wireless communication systems, these advanced technologies extend beyond what is commonly thought of as a “radio.” When describing these technologies, therefore, it is more useful to consider them in the context of a complete communications system or network.

For example, the terms “cognitive radio” and “adaptive radio” are often used, and although it may be a convenient linguistic construct, it is unclear that the use of these terms is always both linguistically and logically correct. In wireless communication systems, radios are physical devices that transmit and receive information encoded on radio-frequency (RF) waveforms using antennas, transmitters, and receivers. That is, radios are designed to perform certain functions, for example, receiving and transmitting. The development of this standard was founded on the premise that wireless communication systems will evolve to the point where cognitive and adaptive functionality play an important, essential role in their use of the radio spectrum, and that the industry is now approaching that point in history. Consequently, this standard provides definitions for terms describing this expanded functionality that are relevant to spectrum use by next-generation radios and networks. For example, the cognition function may not be just a radio function as radio is defined herein; some of the functionality may lie outside the radio itself. This focus is provided throughout the standard.

The term “cognitive” has recently entered into the lexicon of wireless networks in an attempt to describe a functionality that is inherently distributed within not only a given network but also potentially a network of networks. Consider, for example, a network of unlicensed band WiFi* access points and stations providing Internet access for the population of a metropolitan area, operating alongside a public safety network,

* WiFi is a mark of the Wi-Fi Alliance.


including police, fire, and ambulance communications in the same band, with both networks sharing information that allows them to coexist. This new cognitive functionality provides a mechanism for peaceful coexistence among multiple networks and the potential for equitable sharing of RF spectrum. As the term “cognitive” implies, at the heart of the new technology is knowledge, that is, information that is gathered and stored in possibly a distributed manner throughout the network of networks. The concepts of collaboration and consent are equally important; that is, some policy agreement exists that defines the objectives and constraints of the participating networks (cf. policy-based radios). Throughout this standard, that cognitive and related functionality may be shared throughout the network, network nodes, and the radios in the network nodes. No attempt is made to define exactly how these functions are distributed because that is an implementation issue.

Virtually all radios on the market today use some form of digital signal processing involving a microprocessor and software of some form to perform even the simplest function (e.g., changing the operating frequency). Yet, the term “software-defined radio” is commonly used to distinguish a certain class of radios, and usually it is meant to convey a meaning that goes beyond merely implying the existence of some software in the device. The term is used to describe certain functionality that is performed or managed differently because it is driven by software rather than by hardware.

It is important to realize that communications nodes and networks with primitive cognitive, adaptive, and software-defined functionality exist today. The current IEEE 802.11a/b/g standard specifies a Carrier Sense Multiple Access/Collision Avoidance (CSMA/CA) Media Access Control (MAC) protocol that involves a “stop, look and listen … watch out for the cars” cognitive functionality. It is inherently adaptive and can be instantiated in software. This represents the early stages of an advanced and evolving communications technology with objectives including the ability to offer more robust, maximum-channel capacity usage, increased spectrum-usage efficiency, as well as fault-tolerant and ubiquitous information-conveyance capabilities for one or more users. Communication nodes and networks with cognitive functionality can potentially use contextual information to devise and implement solutions that ideally best serve the current and anticipated information transfer requirements. This contextual information can be derived from the physical (node state and device resources, spatial, environmental, network topology, and communications channel information), regulatory and policy (frequency spectrum usage rules and etiquettes, licenses, user access rights), social (individualistic or collaborative and distributed network existence), and economic (payment mechanisms, spectrum market environment) domains.

In the framework of wireless networks, whether it is a portion of the network or the entire network, network management procedures imply the management of the available transmission spectrum, which in turn impacts system performance, resource allocation, quality-of-service, and so on. To this extent, network management is directly related to spectrum management; therefore, comprehension of network management concepts is necessary when discussing spectrum management.

In this standard, some terms are related (i.e., some terms are defined and then used in the definitions of other terms). Terms that appear in the definition of other terms are placed in bold in the definition for the higher level term (see, for example, the term software-defined radio and the term software defined).

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vi Copyright © 2008 IEEE. All rights reserved.


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viii Copyright © 2008 IEEE. All rights reserved.

Participants

At the time this standard was completed, the P1900.1 Working Group had the following membership:

James Hoffmeyer, Chair Dennis Stewart, Vice Chair Dennis Stewart, Secretary

H. Stephen Berger Bernard C. Eydt Frederick Frantz Fabrizio Granelli Kalle Kontson

David Murotake Keith Nolan Przemyslaw Pawelczak R. Venkatesha Prasad

Richard Roy Mark Scoville Douglas Sicker Darcy Swain Peter Tenhula

The following members of the individual balloting committee voted on this recommended practice. Balloters may have voted for approval, disapproval, or abstention.

Kwok Shum Au Phillip Barsky Bradford Benbow H. Stephen Berger William Byrd John Chapin Yi-Ming Chen Aik Chindapol Keith Chow Thomas Dineen Carlo Donati Vern Dubendorf Marc Emmelmann Bernard C. Eydt Bruce Fette Andre Fournier Prince Francis Frederick Frantz Avraham Freedman Mariana Goldhamer Fabrizio Granelli Randall Groves

Edward Hare Werner Hoelzl James Hoffmeyer Stuart Holoman Daniel Hoolihan Sergiu Iordanescu Raj Jain Poitr Karocki Kalle Kontson Thomas Kurihara Arthur Light William Lumpkins Peter Martini Edward Mccall Gary Michel Apurva Mody Ronald G. Murias David Murotake Michael S. Newman Paul Nikolich Keith Nolan

Donald Parker Przemyslaw Pawelczak Subburajan Ponnuswamy R. Venkatesha Prasad Leonard Pucker Maximilian Riegel Robert Robinson Richard Roy Michael Rush John Sargent Mark Scoville Thomas Starai Dennis Stewart Walter Struppler Alourdes Sully Darcy Swain Peter Tenhula Thomas Tullia Aron Viner Barry Wallen Stephen Whitesell Kevin Zheng Zhang

When the IEEE-SA Standards Board approved this standard on 12 June 2008, it had the following membership:

Robert M. Grow, Chair Tom A. Prevost, Vice Chair Steve M. Mills, Past Chair Judith Gorman, Secretary

Victor Berman Richard DeBlasio Andrew Drozd Mark Epstein Alexander Gelman William R. Goldbach Arnold M. Greenspan Kenneth S. Hanus

James Hughes Richard H. Hulett Young Kyun Kim Joseph L. Koepfinger* John Kulick David J. Law Glenn Parsons Ronald C. Petersen

Chuck Powers Narayanan Ramachandran Jon Walter Rosdahl Anne-Marie Sahazizian Malcolm V. Thaden Howard L. Wolfman Don Wright

*Member Emeritus


Also included are the following nonvoting IEEE-SA Standards Board liaisons:

Satish K. Aggarwal, NRC Representative

Michael H. Kelley, NIST Representative

Don Messina

IEEE Standards Program Manager, Document Development

Matthew J. Ceglia IEEE Standards Program Manager, Technical Program Development

ix Copyright © 2008 IEEE. All rights reserved.


Contents

1. Overview .....................................................................................................................................................1

1.1 Scope .....................................................................................................................................................1 1.2 Purpose ..................................................................................................................................................1 1.3 Flow of the document............................................................................................................................2

2. Definitions of advanced radio system concepts ..........................................................................................2

2.1 Adaptive radio .......................................................................................................................................2 2.2 Cognitive radio .....................................................................................................................................2 2.3 Hardware-defined radio (see hardware radio).......................................................................................3 2.4 Hardware radio......................................................................................................................................3 2.5 Intelligent radio .....................................................................................................................................3 2.6 Policy-based radio .................................................................................................................................3 2.7 Reconfigurable radio .............................................................................................................................3 2.8 Software-controlled radio......................................................................................................................4 2.9 Software-defined radio ..........................................................................................................................4

3. Definitions of radio system functional capabilities .....................................................................................4

3.1 Adaptive modulation .............................................................................................................................4 3.2 Cognitive control mechanism................................................................................................................5 3.3 Frequency agility...................................................................................................................................5 3.4 Geolocation capability...........................................................................................................................5 3.5 Location awareness ...............................................................................................................................5 3.6 Policy-based control mechanism...........................................................................................................5 3.7 Radio awareness ....................................................................................................................................6 3.8 Software controlled ...............................................................................................................................6 3.9 Software defined ...................................................................................................................................6 3.10 Transmit power control .......................................................................................................................6

4. Definitions of network technologies that support advanced radio system technologies .............................6

4.1 Cognitive radio network........................................................................................................................6 4.2 Composite network................................................................................................................................6 4.3 Reconfigurable networks.......................................................................................................................7 4.4 Dynamic spectrum access networks ......................................................................................................7

5. Spectrum management definitions ..............................................................................................................7

5.1 Allocation ..............................................................................................................................................7 5.2 Clear channel assessment function........................................................................................................7 5.3 Coexistence ...........................................................................................................................................7 5.4 Coexistence mechanism ........................................................................................................................7 5.5 Cognitive interference avoidance ..........................................................................................................8 5.6 Collaboration.........................................................................................................................................8 5.7 Collaborative decoding..........................................................................................................................8 5.8 Collaborative spectrum usage................................................................................................................8 5.9 Communications mode..........................................................................................................................8 5.10 Prioritized spectrum access .................................................................................................................8 5.11 Distributed radio resource usage optimization ....................................................................................8 5.12 Dynamic channel assignment .............................................................................................................9

x Copyright © 2008 IEEE. All rights reserved.


5.13 Dynamic frequency selection .............................................................................................................9 5.14 Dynamic frequency sharing.................................................................................................................9 5.15 Dynamic spectrum access....................................................................................................................9 5.16 Dynamic spectrum assignment............................................................................................................9 5.17 Dynamic spectrum management .......................................................................................................10 5.18 Electromagnetic compatibility...........................................................................................................10 5.19 Frequency hopping............................................................................................................................10 5.20 Frequency sharing .............................................................................................................................10 5.21 Hierarchical spectrum access ............................................................................................................10 5.22 Horizontal spectrum sharing .............................................................................................................10 5.23 Interference........................................................................................................................................11 5.24 Interference event ..............................................................................................................................11 5.25 Interoperability ..................................................................................................................................11 5.26 Negotiated spectrum access...............................................................................................................11 5.27 Noncollaborative coexistence mechanism.........................................................................................11 5.28 Opportunistic spectrum access ..........................................................................................................11 5.29 Opportunistic spectrum management ................................................................................................12 5.30 Performance metric ...........................................................................................................................12 5.31 Policy traceability..............................................................................................................................12 5.32 Precedence assertion..........................................................................................................................12 5.33 Protocol agility ..................................................................................................................................12 5.34 Quality of service ..............................................................................................................................13 5.35 Quality-of-service management ........................................................................................................13 5.36 Radio quiet zone................................................................................................................................13 5.37 Restricted dynamic spectrum access etiquette...................................................................................13 5.38 Spatial awareness ..............................................................................................................................13 5.39 Spectral opportunity ..........................................................................................................................14 5.40 Spectrum access ................................................................................................................................14 5.41 Spectrum access behavior .................................................................................................................14 5.42 Spectrum availability beacon ............................................................................................................14 5.43 Spectrum broker ................................................................................................................................14 5.44 Spectrum efficiency...........................................................................................................................15 5.45 Spectrum etiquette .............................................................................................................................15 5.46 Spectrum leasing ...............................................................................................................................15 5.47 Spectrum management ......................................................................................................................15 5.48 Spectrum overlay...............................................................................................................................15 5.49 Spectrum owner.................................................................................................................................15 5.50 Spectrum pooling ..............................................................................................................................15 5.51 Spectrum sensing...............................................................................................................................16 5.52 Spectrum sharing...............................................................................................................................16 5.53 Spectrum underlay.............................................................................................................................16 5.54 Spectrum utilization ..........................................................................................................................16 5.55 Spectrum utilization efficiency..........................................................................................................17 5.56 Unrestricted dynamic spectrum access etiquette ...............................................................................17 5.57 Vertical spectrum sharing..................................................................................................................17 5.58 Wireless network efficiency..............................................................................................................17

6. Glossary of ancillary terminology .............................................................................................................18

6.1 Air interface.........................................................................................................................................18 6.2 Firmware .............................................................................................................................................18 6.3 Machine learning.................................................................................................................................18 6.4 Machine-understandable policies ........................................................................................................18 6.5 Interference temperature......................................................................................................................19 6.6 Ontology..............................................................................................................................................19 6.7 Policy...................................................................................................................................................19 6.8 Quality of spectral detection................................................................................................................19

xi Copyright © 2008 IEEE. All rights reserved.


6.9 Radio ...................................................................................................................................................19 6.10 Radio node.........................................................................................................................................20 6.11 Radio spectrum..................................................................................................................................20 6.12 Receiver.............................................................................................................................................20 6.13 Software ............................................................................................................................................20 6.14 Transmitter ........................................................................................................................................21 6.15 Waveform..........................................................................................................................................21

Annex A (informative) Implications of advanced radio system technologies for spectrum management ..22

Annex B (informative) Explanatory notes on advanced radio system technologies and advanced spectrum management concepts....................................................................................................................25

Annex C (informative) List of acronyms and abbreviations .......................................................................44

Annex D (informative) Bibliography ............................................................................................................47

xii Copyright © 2008 IEEE. All rights reserved.


IEEE Standard Definitions and Concepts for Dynamic Spectrum Access: Terminology Relating to Emerging Wireless Networks, System Functionality, and Spectrum Management

IMPORTANT NOTICE: This standard is not intended to assure safety, security, health, or environmental protection in all circumstances. Implementers of the standard are responsible for determining appropriate safety, security, environmental, and health practices or regulatory requirements. This IEEE document is made available for use subject to important notices and legal disclaimers. These notices and disclaimers appear in all publications containing this document and may be found under the heading “Important Notice” or “Important Notices and Disclaimers Concerning IEEE Documents.” They can also be obtained on request from IEEE or viewed at http://standards.ieee.org/IPR/disclaimers.html.

1 Overview

1.1 Scope

This standard provides definitions and explanations of key concepts in the fields of spectrum management, cognitive radio, policy-defined radio, adaptive radio, software-defined radio, and related technologies. The document goes beyond simple, short definitions by providing amplifying text that explains these terms in the context of the technologies that use them. The document also describes how these technologies interrelate and create new capabilities while at the same time providing mechanisms supportive of new spectrum management paradigms such as dynamic spectrum access.

1.2 Purpose

New concepts and technologies are rapidly emerging in the fields of spectrum management, policy-defined radio, adaptive radio, software-defined radio, reconfigurable radio, and networks and related technologies. Many of the terms used do not have precise definitions or have multiple definitions. This document facilitates the development of these technologies by clarifying the terminology and how these technologies relate to each other.

1 Copyright © 2008 IEEE. All rights reserved.


IEEE Std 1900.1-2008 IEEE Standard Definitions and Concepts for Dynamic Spectrum Access: Terminology Relating to Emerging

Wireless Networks, System Functionality, and Spectrum Management

1.3 Flow of the document

Because of the complexity and interrelationship of some of the terms used in discussing advanced radio system technologies, additional tutorial material is provided in informative annexes and NOTES. It is the purpose of this additional tutorial material to amplify and clarify the briefer definitions. However, it is not the intent of this informative text to provide an exhaustive description of these technologies and new spectrum management concepts, but to provide high-level descriptive information to supplement the brief definitions.

Clause 2 of the document provides definitions of advanced radio system terms, whereas Clause 3 defines the functional capabilities associated with these systems. Clause 4 defines some network technologies that support the distributed functionality of these systems. Spectrum management terms and definitions are found in Clause 5. Ancillary terms are found in Clause 6. The annexes are non-normative (not part of the standard) but are included to provide additional information on the advanced radio system and spectrum management concepts that are the focus of this standard.

2 Definitions of advanced radio system concepts

For the purposes of this document, the following terms and definitions apply. The Authoritative Dictionary of IEEE Standards Terms [B7]1 should be referenced for terms not defined in Clause 2 through Clause 6. Annex B provides information (non-normative text) that illustrates the relationship of terminology, including reconfigurable radio, software-defined radio, and software-controlled radio.

2.1 Adaptive radio

A type of radio2 in which communications systems have a means of monitoring their own performance and a means of varying their own parameters by closed-loop action to improve their performance.

2.2 Cognitive radio3, 4

a) A type of radio in which communication systems are aware of their environment and internal state and can make decisions about their radio operating behavior based on that information and predefined objectives.

NOTE—The environmental information may or may not include location information related to communication systems.5

b) Cognitive radio [as defined in item a)] that uses software-defined radio, adaptive radio, and other technologies to adjust automatically its behavior or operations to achieve desired objectives.

1 The numbers in brackets correspond to those of the bibliography in Annex D. 2 In this standard, words in the definition of a term are typed in bold font if they are defined elsewhere in the standard. For example, the word “radio” is typed in bold in the definition of “cognitive radio” because the term “radio” is defined elsewhere in this standard. 3 The IEEE recognizes that the terminology commonly used is “cognitive radio.” However, generally the cognitive functionality may be outside the boundary normally associated with a radio (e.g., environment sensing is a cognitive function that is not normally part of a radio). 4 The IEEE notes that the terms “dumb radio,” “aware radio,” and “smart radio” are used in the technical literature, but the IEEE does not define these terms at this time. They are additional descriptive terms that are sometimes applied to radios. 5 Notes in text, tables, and figures are given for information only and do not contain requirements needed to implement the standard.






2.3 Hardware-defined radio (see hardware radio)

2.4 Hardware radio A type of radio that implements communications functions entirely through hardware such that changes in communications capabilities can only be achieved through hardware changes. Contrast: software-defined radio. NOTE 1—Replacing a hardware component with an identical component containing different stored data or executable instructions is considered to be a physical modification of the device. Furthermore, a device having regulated parameters that can be changed without physical modification is not considered a hardware radio, even if such change requires specialized equipment or proprietary procedures. NOTE 2—For consistency with regulatory definitions of software-defined radio, regulators often consider a hardware radio to be a type of radio, regardless of the communications function implementation technique, in which regulated emission or reception parameters cannot be changed in the field, post manufacture, without physically modifying the device. NOTE 3—This term represents an idealized abstraction that is useful in designating categories of radio devices (e.g., hardware radio, software-defined radio, and cognitive radio) to which certain regulatory provisions or functional capabilities may apply. The term is also useful in describing the general evolution in the software reconfigurability of radio devices with hardware radio not being software reconfigurable and software-defined radio being software reconfigurable.

2.5 Intelligent radio

A type of cognitive radio that is capable of machine learning. See also: machine learning.

NOTE―Intelligent radio is considered a subset of software-controlled radio. This dependency occurs because the definition for machine learning in 6.3 requires an intelligent radio to adapt the decision-making process, which implies dynamic reprogramming. The reprogramming of radio control would not be possible unless the radio were also software controlled. However, such a radio need not be software defined since it would be possible for an intelligent radio to use software control to adapt the decision-making process controlling how or when a fixed set of hardware-defined physical layer implementations are used. A software-defined, software-controlled intelligent radio would have the additional ability to change the physical layer implementation dynamically under software control.

2.6 Policy-based radio

A type of radio in which the behavior of communications systems is governed by a policy-based control mechanism. See also: policy-based control mechanism.

NOTE 1―Policies may restrict behaviors (e.g., policies constraining time, power, or frequency use) associated with a specific set of radio functions, but they do not necessarily change the functional capability of a radio. Because policies often do not change basic radio functionality, a policy-based radio need not also be a reconfigurable radio.

NOTE 2―Because the definition for the term policy-based control mechanism in 3.6 considers radio policy to be a type of radio control software, the policy-based radio is considered a subset of software-controlled radio.

2.7 Reconfigurable radio

A type of radio whose functionality can be changed either through manual reconfiguration of radio modules or under software control.

NOTE 1―Software reconfiguration control of such radios may involve any element of the radio-communication network.




NOTE 2―Manual reconfiguration of the radio includes the physical change or removal of hardware components.

2.8 Software-controlled radio

A type of radio where some or all of the physical layer functions are software controlled.

2.9 Software-defined radio

A type of radio in which some or all of the physical layer functions are software defined. Contrast: hardware radio.

NOTE 1―Radios in which the communications functions are implemented in software are considered hardware radios for regulatory purposes if the regulated emission or reception parameters cannot be changed in the field, post manufacture, without physically modifying the device. However, a device having regulated parameters that can be changed without physical modification is considered a software-defined radio, even if such a change requires specialized equipment or proprietary procedures.

NOTE 2―This term represents an idealized abstraction that is useful in designating categories of radio devices (e.g., hardware radio, software-defined radio, and cognitive radio) to which certain regulatory provisions or functional capabilities may apply. The term is also useful in describing the general evolution in the software reconfigurability of radio devices with hardware radio not being software reconfigurable and software-defined radio being software reconfigurable. Software-defined radios include software reconfigurable hardware such as microprocessors, digital signal processors, and field programmable gate arrays that are used with software to implement communications functions. The degree of software reconfigurability will depend on the radio implementation.

NOTE 3―U.S. Federal Communications Commission Definition: A radio that includes a transmitter in which the operating parameters of frequency range, modulation type, or maximum output power (either radiated or conducted), or the circumstances under which the transmitter operates in accordance with Commission rules, can be altered by making a change in software without making any changes to hardware components that affect the radio frequency emissions (U.S. Federal Communications Commission FCC05-57 [B26]).

NOTE 4―ITU-R Definition (ITU-R M.2063 [B17] and ITU-R M.2064 [B18]) (including the text in the dashed list):

A radio in which RF operating parameters including but not limited to frequency range, modulation type, or output power can be set or altered by software, or the technique by which this is achieved.

⎯ Excludes changes to operating parameters that occur during the normal preinstalled and predetermined operation of a radio according to a system specification or standard.

⎯ SDR is an implementation technique applicable to many radio technologies and standards.

⎯ Within the mobile service, SDR techniques are applicable to both transmitters and receivers.

NOTE 5―For the purposes of this standard, the term “SDR” may be applied to radios consisting of one or more transmitters, receivers, or combinations of both. It is noted that the FCC definition of SDR is applicable only to the transmitter portion of the radio. The ITU-R and IEEE definitions of software-defined radio are applicable to both the transmitter and the receiver.

3 Definitions of radio system functional capabilities

3.1 Adaptive modulation

A radio system function for adjusting the modulation format.

NOTE―Typically, these adjustments are in response to link and other external conditions and are used to achieve desired performance (e.g., bit error ratio, data rate, robustness, and range).





3.2 Cognitive control mechanism

A component of a cognitive radio that assesses inputs such as environmental, spectral, and communications channel conditions and predefined objectives to make decisions about radio operating behavior.

3.3 Frequency agility

The ability of a radio to change its operating frequency automatically; typically these changes are rapid or span a wide frequency range or have both of these change characteristics.

NOTE 1―The timing of frequency changes and the sequence of tuned frequencies may be preset or adaptive in response to changing conditions such as detected interference or jamming.

NOTE 2―Some applications of frequency agility include frequency hopping to reduce the effects of interference or jamming, frequency diversity transmission to reduce the effects of frequency-dependent multipath signal propagation, and dynamic spectrum access to operate on underutilized spectrum opportunistically or to operate on spectrum available through short-term agreements.

3.4 Geolocation capability

The ability to locate one’s position in respect to the surface of the Earth.

NOTE―An adaptive radio having a geolocation capability may use awareness of its position as an input that influences its behavior. Accurate location awareness could improve the performance of dynamic spectrum access and support the implementation of radio-based policies having geographic constraints. Geolocation awareness may be in terms of absolute coordinates (e.g., GPS) or relative to other radios (e.g., multilateration using precise signal time of arrival measurements).

3.5 Location awareness

The ability of a radio to determine its location.

NOTE―Location may refer to geographical coordinates (longitude, latitude, and altitude) or to other information such as what country or city the radio is in.

3.6 Policy-based control mechanism

A mechanism that governs radio behavior by sets of rules, expressed in a machine-readable format, that are independent of the radio implementation regardless of whether the radio implementation is in hardware or software.

NOTE 1―The definition of rules and associated modification of radio functionality can occur:

a)

b)

c)

d)

During manufacture or reconfiguration

During configuration of a device by the user or service provider

During over-the-air provisioning

By over-the-air or other real-time control

NOTE 2―As implied by the scope of this standard, the control of radio dynamic spectrum access behavior is expected to be a typical application of a policy-based control mechanism. However, the concepts of policy-based control could be applied to network management policies as well. Policy sources include spectrum regulators, manufacturers, and network operators.





3.7 Radio awareness

An attribute or characteristic incorporated in a radio to maintain internally information about its own location, spectrum environment, and internal state, and to detect changes in that information.

NOTE―Radio awareness is required to support the cognitive control mechanisms.

3.8 Software controlled

The use of software processing within the radio system or device to select the parameters of operation.

3.9 Software defined

The use of software processing within the radio system or device to implement operating (but not control) functions.

3.10 Transmit power control

A mechanism to adjust automatically, or in response to a received command, the transmission power of a radio.

4 Definitions of network technologies that support advanced radio system technologies

4.1 Cognitive radio network

A type of radio network in which the behavior of each radio is controlled by a cognitive control mechanism to adapt to changes in topology, operating conditions, or user needs.

NOTE―Nodes in a cognitive wireless network do not have to be cognitive radios. Rather a cognitive network is a network of radio nodes in which the nodes are subject to cognitive control mechanisms. Each node may have cognitive capabilities, or it may receive instructions from another node with such capabilities. The cognitive capabilities potentially include awareness of the network environment, network state and topology, and shared awareness obtained by exchanging information with other nodes (typically neighboring nodes) or other network-accessible information sources. Cognitive decision making considers this collective information, and this decision making may be performed in coordination or collaboration with other nodes. Cognitive networks can adjust the radio behavior of each node to adapt to changes in topology, operating conditions, or user needs.

4.2 Composite network

A type of wireless communication network that consists of multiple radio access technologies under single or multiple network management control to support efficient communication.

NOTE―In a composite network, cognitive radio techniques may be applied to enable the radio to select the best available option for communication. Composite networks differ from heterogeneous networks in that the focus of composite networks is on sharing of resources, particularly spectrum resources; this is not the focus of heterogeneous networks. An example of composite networks is WiFi, WiMAX, Digital Audio Broadcasting, Digital Video Broadcasting, and second-, third-, and fourth-generation commercial wireless radio access technologies controlled by dynamic resource management (Bourse et al. [B2]).






4.3 Reconfigurable networks

Networks that have a capability to be reconfigured dynamically (e.g., change in network topology) or a capability to change communication protocols dynamically under the control of network management services.

NOTE 1―Reconfigurable networks do not require reconfigurable radios.

NOTE 2―The term “Protocols” is defined in The Authoritative Dictionary of IEEE Standards Terms [B7].

4.4 Dynamic spectrum access networks

Wireless networks that employ dynamic spectrum access functionality. See also: dynamic spectrum access.

5 Spectrum management definitions

5.1 Allocation

Entry in the Table of Frequency Allocations of a given frequency band for the purpose of its use by one or more terrestrial or space radiocommunications services or the radio astronomy service under specified conditions. This term shall also be applied to the frequency band concerned. (adapted from ITU-R Radio Regulations [B14])

NOTE―In the above definition, the Table of Frequency Allocations refers to the ITU Table of Frequency Allocations or any other appropriate regional or national allocation table. An example of using the term to refer to the allocation of a frequency band is as follows: the 2450 MHz to 2483.5 MHz band allocation to the mobile service.

5.2 Clear channel assessment function

A function for ascertaining via RF sensing that the communications channel is not in use prior to initiating a transmission. The RF measurement may be made by a radio at a single point or involve the collaborative sharing of measurements made by multiple radios at multiple locations and times.

NOTE―For IEEE 802.11 WLANs [B9], the term is defined as follows: “That logical function in the physical layer (PHY) that determines the current state of use of the wireless medium (WM).”

5.3 Coexistence

The ability of two or more spectrum-dependent devices or networks to operate without harmful interference. See also: interference.

NOTE―IEEE 802.15 WPAN Task Group 2 [B11] has defined this term as follows: “The ability of one system to perform a task in a given shared environment where other systems have an ability to perform their tasks and may or may not be using the same set of rules.”

5.4 Coexistence mechanism

A technique for supporting or facilitating coexistence that may be implemented at any layer of the protocol stack.




NOTE―IEEE 802.15 WPAN™ Task Group 2 [B11] has defined this term as follows: “A method for reducing the interference of one system, which is performing a task, on another different wireless system, that is performing its task.”

5.5 Cognitive interference avoidance

The process by which a cognitive radio system identifies spectrum-dependent devices with which it may potentially cause or receive interference and adapts its operating parameters to avoid such interference.

NOTE―There are several techniques for cognitive interference avoidance. For example, a cognitive radio may provide a new orthogonal modulation waveform with respect to the interferer or search for available spectrum.

5.6 Collaboration

Any type of cooperative behavior among devices for the purpose of improving performance or increasing the chances of success in achieving an objective.

NOTE―Radio nodes can collaborate in different ways. In some cases, collaboration can occur without direct communication; it may be inherent in the protocol or techniques each radio uses to make spectrum access decisions. In other cases, collaboration involves direct communication between radio nodes, perhaps over a control channel, so that the information used for the basis of spectrum access decisions is shared among several nodes.

5.7 Collaborative decoding

A process for collecting multiple signal observations at disparate locations to improve the chances of decoding the signal even though a single receiver, with one or more antenna, could not decode the signal.

5.8 Collaborative spectrum usage

The process of two or more radio nodes combining their capabilities and spectrum-usage resources via negotiated or predetermined policies and agreements to improve the expected utility of the network.

5.9 Communications mode

An operational configuration of a radio device, comprising selections of particular behaviors at all layers of the protocol stack from among the options supported by the device, specified by the radio access technology (RAT) or supported by the radio access network (RAN) used by the device.

5.10 Prioritized spectrum access

Spectrum access in which the precedence of radio transmissions is determined by message criticality rather than by user class or type.

NOTE―In prioritized spectrum access, a user that might typically be termed secondary might assert precedence in an emergency. For example, public safety users might be secondary users in a frequency band for routine communications but assert precedence to assure spectrum availability during major incidents.

5.11 Distributed radio resource usage optimization

The distributed optimization of radio resource usage by a composite wireless network to satisfy global network objectives and by terminals to satisfy local device and user objectives.






NOTE―This definition is specific to a class of network and device dynamic reconfiguration scenarios that enable coordinated network-device distributed decision making, including spectrum access control in heterogeneous wireless access networks as described in the draft standard IEEE P1900.4TM [B8] being developed by SCC41.

5.12 Dynamic channel assignment

a) The process of selecting and assigning different channels in real time to various entities/devices by making use of the available data regarding the operating environment to enhance performance.

b) The transient radio frequency channel assignments created by radios, radio networks, or other spectrum-dependent systems that engage in dynamic spectrum access. This contrasts with the static channel assignments that result from the traditional static spectrum management process, where radio devices operate in one predefined frequency range.

NOTE―DCA may be performed by external parties that do not take part in the communication process (see also spectrum broker) or by the system/network itself where system/network has one or more logical entity responsible for transient radio frequency channel assignment.

5.13 Dynamic frequency selection

a) A dynamic frequency-sharing technique in which a secondary user uses channel measurements to detect the presence of a primary user and avoids transmitting on frequencies in use by the primary system.

b) The ability of a system to switch to different physical RF channels between transmit and receive activity based on channel measurement criteria. (adapted from IEEE Std 801.16TM-2004 [B12])

NOTE―The term “DFS” was originally coined to describe a method for protecting 5 GHz radars from IEEE 802.11a WLANs (ITU-R M.1652 [B15] and IEEE Std 802.11hTM-2003 [B10]). The term is now being used to describe any dynamic frequency coordination technique in which a secondary user listens at RF for the presence of the primary user and in real time automatically avoids transmitting on frequencies in use by the primary system.

5.14 Dynamic frequency sharing

The implementation of frequency-sharing techniques on a changing basis, possibly in real time, in response to changing circumstances and objectives. Dynamic frequency-sharing techniques are a subset of techniques for implementing dynamic spectrum access.

5.15 Dynamic spectrum access

The real-time adjustment of spectrum utilization in response to changing circumstances and objectives.

NOTE―Changing circumstances and objectives include (and are not limited to) energy-conservation, changes of the radio’s state (operational mode, battery life, location, etc.), interference-avoidance (either suffered or inflicted), changes in environmental/external constraints (spectrum, propagation, operational policies, etc.), spectrum-usage efficiency targets, quality of service (QoS), graceful degradation guidelines, and maximization of radio lifetime.

5.16 Dynamic spectrum assignment

a) The continuous update of assignment of specific frequencies or frequency bands within a wireless network operating in a given region and time to optimize spectrum usage.

b) The dynamic assignment of frequency bands to radio access networks within a composite wireless network operating in a given region and time to optimize spectrum usage.





NOTE―The definition in item b) is specific to a class of network and device dynamic reconfiguration scenarios that enable coordinated network-device distributed decision making, including spectrum access control in heterogeneous wireless access networks as described in the draft standard of IEEE P1900.4 [B8].

5.17 Dynamic spectrum management

A system of spectrum management that dynamically adapts the use of spectrum in response to information about the use of that spectrum by its own nodes and other spectrum-dependent systems.

NOTE―Dynamic spectrum management helps to address the inherent inflexibility of static band allocations and the ability of future networks to carry traffic simultaneously that corresponds to multiple radiocommunications services.

5.18 Electromagnetic compatibility

The condition that prevails when devices and networks are performing their individually designed function in a common electromagnetic environment without causing or suffering unacceptable degradation from unintentional electromagnetic interference to or from other equipment in the same environment. (adapted from NTIA Manual [B22])

5.19 Frequency hopping

A technique in which the instantaneous carrier frequency of a signal is periodically changed, according to a predetermined code, to other positions within a frequency spectrum that is much wider than that required for normal message transmission. (adapted from IEEE Std 802.15.2TM-2003 [B11])

5.20 Frequency sharing

The common use of the same portion of the radio frequency spectrum by two or more users where a probability of interference exists.

NOTE —This definition is from the NTIA Manual [B22].

5.21 Hierarchical spectrum access

A type of spectrum access in which a hierarchy of radio users or radio applications determines which radios have precedence.

NOTE―The most common hierarchy proposed today is one that distinguishes between primary users and secondary users. In this hierarchy, secondary users may only access spectrum when primary users are not occupying it. However, other hierarchies are possible, including the existence of tertiary users or hierarchies based on the type or criticality of the communication. The hierarchy may be determined by a central authority, such as a regulator, or through active collaboration among affected systems. The hierarchy may be static or it may be established dynamically based on the current environment.

5.22 Horizontal spectrum sharing

Spectrum sharing between users that have equal regulatory spectrum access rights.

NOTE―The spectrum sharing in unlicensed spectrum is an example for horizontal spectrum sharing.





5.23 Interference

a) In a communication system, interference is the extraneous power entering or induced in a channel from natural or man-made sources that might interfere with reception of desired signals or the disturbance caused by the undesired power. (adapted from IEEE Std 802.15.2TM-2003 [B11])

b) Radio-frequency interference (adapted from ITU-R Radio Regulations [B14]):

1) Interference: The effect of unwanted energy due to one or a combination of emissions, radiations, or inductions upon reception in a radiocommunication system, manifested by any performance degradation, misinterpretation, or loss of information that could be extracted in the absence of such unwanted energy.

2) Harmful interference: Interference that endangers the functioning of a radionavigation service or of other safety services or seriously degrades, obstructs, or repeatedly interrupts a radiocommunication service operating in accordance with these Regulations.

NOTE―The term “Regulations” in the definition of harmful interference refers to the ITU Radio Regulations.

5.24 Interference event

A circumstance in which a quantified threshold level of interference has been exceeded. Interference events are specified in terms of the relevant variables for a specific scenario (e.g., time, frequency, amplitude, and performance metrics).

5.25 Interoperability

The technical capability of different radio systems or radio networks to interface and exchange information with each other.

NOTE 1―It is recognized that there are aspects of interoperability other than technical aspects (e.g., interoperability may have operational and policy aspects as well as technical aspects).

NOTE 2―Dissimilar systems or networks may achieve interoperability by either changing their operating parameters to a common compatible format or operating through a bridge that translates between incompatible formats.

5.26 Negotiated spectrum access

A spectrum access protocol under which multiple radios or networks agree to mutual use of a common spectrum band via negotiated agreements.

NOTE―Negotiated spectrum access agreements may be prearranged or automatically established on an ad hoc or real-time basis without the need for prior agreements between all parties.

5.27 Noncollaborative coexistence mechanism

A coexistence mechanism not based on the cooperative exchange of information among systems attempting to coexist.

5.28 Opportunistic spectrum access

Dynamic spectrum access by secondary spectrum users that exploits local and instantaneous spectrum availability in a noninterfering manner and without primary user negotiation.




5.29 Opportunistic spectrum management

A type of dynamic spectrum management used to manage opportunistic spectrum access.

5.30 Performance metric

A parameter, which can be measured or estimated, or a function of multiple parameters that quantifies the performance of a system in some way.

NOTE―Examples of performance metrics for spectrum-dependent devices or networks include:

⎯ Throughput

⎯ Latency

⎯ Packet error rate

⎯ Time for a DFS system to change channels

⎯ Probability of detection and probability of false alarm in identifying which channels are occupied as part of a DFS system.

5.31 Policy traceability

The ability to provide nonreputable evidence of the source of a policy.

NOTE―Policy includes machine-readable policy.

5.32 Precedence assertion

In the context of hierarchical spectrum access, a notification to radio systems currently accessing spectrum that a higher precedence radio system intends to use that spectrum.

NOTE―Precedence assertion is the mechanism by which higher precedence systems reclaim spectrum from lower precedence systems. Potential precedence assertion mechanisms include control messages or information sent through spectrum availability beacons, control pilot channels, or predefined embedded signaling properties. In some cases, a radio may assert precedence merely by transmitting regardless of current usage.

5.33 Protocol agility

The ability to change protocols as different networks, or protocols within one network, become available and are used. These protocols include the complete communications and transport layers, from layers 1 through 4, as well as the application layer protocols.

NOTE―As multimode or multinetwork SDR functionality expands, the dynamic discovery and optimization of available protocols becomes possible. Instead of the current technique of specifying a preferred network, its set of available protocols, and backup networks in the event the preferred one is not available (e.g., digital to analog), a protocol agile radio may interrogate its network or scan the available network(s) and service(s) for possible protocols. Such a radio may pick a best protocol for one service and then jump to another. In such a scenario, protocol agile radios will be able to select the protocols that provide the best link, and the best application, in line with the user needs. The radio will need to be aware of possible protocols and how and when to change. Examples of protocol agility that are less cognitive include the awareness necessary for (transmitted signal) adaptive power control, and data rate and modulation agility in WiFi and other protocols where the modulation technique is changed as a function of signal-to-noise ratio (SNR) to maintain a certain bit error rate (BER). In the cognitive approach, multiple parts of the protocols may be changed, possibly at a protocol component level, or at a higher level.






5.34 Quality of service

a) A defined level of service quality provided by a network. In general, it may be defined by throughput, availability, latency, jitter, and error rate.

b) The collective effect of service performance that determines the degree of satisfaction of a user of the service. (adapted from ITU Terms and Definitions [B20])

NOTE 1―The quality of service is characterized by the combined aspects of service support performance, service operability performance, “serveability performance” (as defined by the ITU), service security performance, and other factors specific to each service.

NOTE 2―The term “quality of service” is not used to express a degree of excellence in a comparative sense nor is it used in a quantitative sense for technical evaluations. In these cases, a qualifying adjective (modifier) should be used.

5.35 Quality-of-service management

Management of the network to conform with the QoS requirements for each application as agreed on between the service provider and the end user.

NOTE 1―Agreement between the service provider and the user may be implicit, such as when the provider and the user are related entities, or it may be explicitly defined in a service level agreement.

NOTE 2―Network management systems accommodate different QoS requirements for distinct applications by prioritizing network traffic, as well as by monitoring and maintaining the network as a whole.

5.36 Radio quiet zone

a) A frequency band and corresponding geographic region in which no radio energy emission shall occur.

b) A zone in which spectrum usage must be explicitly coordinated or authorized.

NOTE―This may protect sensitive deep space radio receiver systems, radio astronomy systems, or areas where explosive blasting equipment is in use. Typically, appropriate policies loaded in a policy-based radio would protect these sensitive spectrum uses.

5.37 Restricted dynamic spectrum access etiquette

A type of spectrum sharing etiquette that shares spectrum access only with a known, prespecified set of other systems.

5.38 Spatial awareness

a) Awareness by a device of its relative orientation and position.

NOTE―Radios may use this knowledge to improve network performance and to control the dynamic spectrum access process. For example, a radio may be able to use spatial awareness information to control the operation of an adaptive antenna and thereby to reject undesired signals and enhance reception of desired signals.

b) Capability to geolocate a system or device through the use of mechanisms involving RF signals or related information, or network information.




NOTE―The cognitive application includes the selection and optimization of the techniques, signals, and networks to use for geolocation. This may involve the use of some GPS signals. However, the cognitive approach is more appropriate if GPS signals are totally or partially not available and if signals in the environment, specifically those being used for communications purposes (networks or other specific users), are available. It may also include information available, processed or unprocessed, from the network(s) to which the system or device has access.

5.39 Spectral opportunity

The existence of a frequency band segment, satisfying an availability criterion (e.g., noninterference with primary spectrum users), that dynamic spectrum access or opportunistic spectrum access devices can exploit for their communications purposes.

5.40 Spectrum access

Ability to obtain or make use of the radio spectrum.

NOTE―Spectrum access includes the attributes of frequency, location, time, power (spectral flux density), and angle of arrival. These attributes also may be characterized by additional parameters. For example, modulation further characterizes the frequency attribute of spectrum access.

5.41 Spectrum access behavior

The spectrum access actions and responses of a radio device, system, or network.

5.42 Spectrum availability beacon

Auxiliary transmitters that primary users of the spectrum may deploy to control access of secondary users to specified channels or frequency bands.

NOTE―Beacons can be unmodulated continuous-wave transmitters or more elaborate depending on whether they also transmit information about the availability of spectrum. Beacons may be used to signal either the availability or the unavailability of spectrum.

5.43 Spectrum broker

An entity, device, or device capability responsible for dynamic assignment of spectrum access rights.

NOTE―Typical spectrum broker scenarios: ⎯ A spectrum broker may lease parts of the frequency spectrum to specific parties under certain

policy with or without time constraints.

⎯ A spectrum broker may be owned by the government radio regulators (specific to countries where applicable) or by private or independent organizations. (adapted from Buddhikot and Ryan [B3])

⎯ A spectrum broker may be a cognitive radio or a capability within a cognitive radio having limited authority to negotiate and issue dynamic spectrum access rights to other radios capable of dynamic spectrum access.





5.44 Spectrum efficiency6

A general measure of how well a spectrum segment of interest is being used that is determined from the ratio of the benefits derived from the spectrum usage to the resource costs of providing those benefits.7 See also: spectrum utilization and spectrum utilization efficiency.

5.45 Spectrum etiquette

A set of rules, policies, procedures, and protocols that govern spectrum sharing behavior.

5.46 Spectrum leasing

The act of a secondary user contracting with a license holder or its agent (e.g., a spectrum broker) for access and use of the license holder’s spectrum.

NOTE―The lease period may be long or short in length. The terms of lease may require the secondary user to reimburse the license holder.

5.47 Spectrum management

The process of developing and executing policies, regulations, procedures, and techniques used to allocate, assign, and authorize frequencies in the radio spectrum to specific services and users.

NOTE―Spectrum management is typically performed by governmental agencies or quasi-governmental entities. Nongovernmental entities and individuals, including licensees (license holders), network managers, and service providers also engage in spectrum management. Spectrum sharing is one of the components of spectrum management. Spectrum management seeks to maximize the utility derived from use of the radio spectrum. Historically, spectrum management has involved extensive preplanning and has had difficulty adapting rapidly to changes in requirements and environmental conditions. The inability to react dynamically to change is an obstacle to maximizing utility.

5.48 Spectrum overlay

Dynamic spectrum access by secondary spectrum users that exploits spatial and temporal spectral opportunities in a noninterfering manner. See also: dynamic spectrum access and spectral opportunity. Contrast: spectrum underlay.

5.49 Spectrum owner

An individual, group, corporation, organization, or governmental body that has the sole responsibility and authority over a band of frequencies for a time determinate or indeterminate period.

NOTE―Spectrum ownership rights are typically determined by the government having authority in the particular geographical area or by international treaties.

5.50 Spectrum pooling

The act of multiple spectrum license holders combining or pooling their spectrum allocations for mutual use.

6 The IEEE 1900.1 Working Group prefers the term “spectrum utilization efficiency” because it implies the efficient use of the spectrum from a macro point of view, whereas the term “spectrum efficiency” usually is used in a more limited sense, namely that of the information capacity efficiency of a single link. 7 Additional explanatory information is provided in B.8.





NOTE―Generally, the spectrum footprints of the pooled licenses overlap.

5.51 Spectrum sensing

The action of a radio measuring signal features.

NOTE―For instance, a radio engaging in dynamic spectrum access may use spectrum sensing to determine whether a particular section of spectrum is occupied. Examples of some signal features that could be sensed include energy, bandwidth, periodic features (pilot signals, preambles, chip rates), identity of transmission source, interference tolerance capabilities, and expected duration of spectrum usage.

5.52 Spectrum sharing

The application of technical methods and operational procedures to permit multiple users to coexist in the same region of spectrum. (See also: coexistence)

NOTE―Coexistence may by achieved by numerous methods such as coordinating time usage (e.g., time sharing), geographic separation, frequency separation, directive antennas, orthogonal modulations, and so on. In the past, the employment of these mechanisms has typically been on a static, preplanned basis. In advanced radio systems, the employment and configuration of these features is increasingly dynamic and may be implemented in real time by the radio device or network in response to changing conditions and objectives.

5.53 Spectrum underlay

A type of secondary spectrum access where radiated power limits, power spectral density limits, or modulation requirements on secondary transmissions protect primary users from interference. (Contrast: spectrum overlay)

NOTE―Spectrum underlay is the simultaneous use of spectrum in time and frequency by multiple uncoordinated emitters that takes advantage of modulation techniques such as unlicensed spread spectrum or ultra-wideband to limit interference between systems. Transmitter power output is restricted to limit the possibility of interference even more. Typically at least one of the emitters is a spread spectrum signal with a large amount of processing gain to ensure that the undesired signal power observed by an incumbent licensed user is below a designated threshold.

5.54 Spectrum utilization

a)

b)

The spectrum space denied to other potential users.

NOTE―Transmitters and receivers both use spectrum space. Transmitters use spectrum space by denying the use of that space to certain receivers (other than the intended receiver) that would receive interference from the transmitter. This space is called “transmitter-denied space” or simply “transmitter space.” Receivers use spectrum space by denying the use of nearby space to additional transmitters (assuming that the receiver is entitled to protection from interference). A transmitter operating in that space would cause interference to the receiver’s intended operation. This space is called “receiver denied-space” or simply “receiver space.”

Spectrum utilization may be defined as the product of the frequency bandwidth, the geometrical (geographic) space, and the time denied to other potential users (adapted from Handbook on National Spectrum Management [B13]):

U = B × S × T

where

U is the amount of spectrum space used (Hz × m3 × s)





B is the frequency bandwidth

S is the geometric space (desired and denied)

T is time

NOTE―The determination of the amount of bandwidth, space, and time occupied will be a function of the characteristics of other systems desiring to use or share the same spectrum and may involve numerous assumptions such as the level of protection to be provided or the propagation model used to determine signal loss. Consequently, the comparison of spectrum utilization values may only be meaningful between like systems where the assumed conditions are similar.

5.55 Spectrum utilization efficiency

The spectrum utilization efficiency is defined as the ratio of information transferred to the amount of spectrum utilization (adapted from Handbook on National Spectrum Management [B13]):

SUE = M/U = M/(B × S × T )

where

M is the amount of information transferred

U is the amount of spectrum utilization

NOTE―Because the computation of SUE is primarily of interest in comparing the efficiency of similar types of systems, the quantity M should take the form most meaningful and convenient for the systems being compared. M could be in terms of bits/sec, Erlangs, analog channels, radar channels, and so on.

5.56 Unrestricted dynamic spectrum access etiquette

A type of spectrum sharing etiquette that shares spectrum access with other systems that were unknown at the time the system was designed.

5.57 Vertical spectrum sharing

Sharing spectrum between users that have different regulatory spectrum access rights.

NOTE―Spectrum sharing between primary and secondary users is an example for vertical spectrum sharing.

5.58 Wireless network efficiency

Expressed by the following equation (adapted from the Comments of the IEEE 802 Local and Metropolitan Area Network Standards Committee [B4]):

Weff = (C × Ns)/(B × A)





where

C is the capacity of the system in delivery of information bits per second, after decoding, demodulation, and including the vagaries of the network protocol and duty cycle

Ns is the number of logical connections or users in the network, within the coverage area and using the allocated bandwidth B

B is the allocated bandwidth to the network in Hertz

A is the area covered (in units of square meters) by the radio system over which the bandwidth B is uniquely associated

6 Glossary of ancillary terminology

6.1 Air interface

The subset of waveform functions designed to establish communication between two radio terminals.

NOTE―This is the waveform equivalent of the wireless physical layer and the wireless data link layer.

6.2 Firmware a)

b)

Software that is embedded in a hardware device that allows reading and executing the software, but does not allow modification, e.g., writing or deleting data by an end user. (adapted from FED-STD-1037C [B6])

Modifiable or unmodifiable binary instruction and configuration data that is loaded into a programmable logic device to define its operation.

NOTE―Firmware is a specialized type of software. See also: software.

6.3 Machine learning

The capability to use experience and reasoning to adapt the decision-making process to improve subsequent performance relative to predefined objectives.

NOTE―This notion of learning corresponds most closely to the subdiscipline of machine learning known as reinforcement learning. Learning in the intelligent radio context is meant to exclude learning “by being told”⎯i.e., acquiring information through environmental sensing, messages received from other systems, configuration files, and initialization parameters. Rather learning implies the adaptation of decision making based on direct experience resulting from previous actions.8

6.4 Machine-understandable policies

Policies expressed in a form that allows for a policy-based radio to read and “interpret” them automatically (without requiring human intervention). That is, an automated procedure exists by which the implications of the constraints expressed by the policies are reflected in the actions of the radio.

8 The Authoritative Dictionary of IEEE Standards Terms [B7] defines “learning system” as follows: “An adaptive system with memory. See also: system science.” Committee SCC 41 believes that this definition does not fulfill the needs of terminology needed for advanced radio technologies and spectrum management.





6.5 Interference temperature A metric used to determine the interference threshold to be applied to transmissions from dynamic spectrum access systems. The metric is computed from the dynamic spectrum access system’s signal bandwidth as follows:.

kTBP =

where P is the power, k is Boltzmann’s constant (1.38 × 10-23W/Hz/K), B is the signal bandwidth, and T is the interference temperature (K). NOTE—This way of measuring the interference power is useful since it can be easily quantified. The interference is the harmful power received at the output of an antenna that can disturb the communication on the selected band. It is the ratio of the useful power to the harmful/unsolicited power received at the receiver. Please note that this also includes self interference.

6.6 Ontology

The common words and concepts used to describe and represent an area of knowledge. (adapted from Obrst et al. [B23])

NOTE―An ontology models the vocabulary and meaning of domains of interest: the objects in domains; the relationships among those objects; the properties, functions, and processes involving those objects; and constraints on and rules about those objects.

6.7 Policy a)

b)

a)

b)

c)

A set of rules governing the behavior of a system.

NOTE 1―Policies may originate from regulators, manufacturers, developers, network and system operators, and system users. A policy may define, for example, allowed frequency bands, waveforms, power levels, and secondary user protocols.

A machine interpretable instantiation of policy as defined in (a)

NOTE 2―Policies are normally applied post manufacturing of the radio as a configuration to a specific service application.

NOTE 3—Definition b) recognizes that in some contexts the term “policy” is assumed to refer to machine-understandable policies.

6.8 Quality of spectral detection

A metric of the quality of spectrum-sharing opportunities.

NOTE―Quality of spectral detection implies the specification of a specific level of interference to the primary users of the channel, which will not limit secondary users from using the spectrum when not used by the primary user.

6.9 Radio

Technology for wirelessly transmitting or receiving electromagnetic radiation to facilitate transfer of information.

System or device incorporating technology as defined in item a).

A general term applied to the use of radio waves. (adapted from ITU-R Radio Regulations [B14])






NOTE 1―Users of the term “radio” should understand that it has different meanings depending on its context. For example, it can refer to a general type or class of technology (e.g., AM radio, land mobile radio, or amateur radio) and to instantiation of the technology (e.g., a radio or the radio). Next-generation radio concepts introduce additional ambiguity in the use of the term. For instance, next-generation radio components can be virtual, implemented in software, and geographically distributed using computer networks, all of which can make the boundaries of radio difficult to ascertain. Further confounding the definitional problem is that radio functions are often tightly integrated with a variety of nonradio applications. What should and should not be considered part of a radio may be particularly difficult to determine in the presence of cognitive radio functionality, which can reside on computers physically and logically separated from radio hardware.

NOTE 2―More precise terms than radio are often available to reduce ambiguity and should be used whenever possible. For example, when discussing the source of electromagnetic radiation, “the location of the antenna” is preferable to the “the location of the radio” because what is called “the radio” may be multiple devices in several locations. Similarly, when discussing collaborative decision making, “communication between cognitive control mechanisms” is preferable to “communication between radios” because the cognitive control mechanism may be independent from the system that wirelessly transmits information and may, in some cases, occur over a wired medium.

NOTE 3―To avoid confusion between a device supporting multiple functions and its radio subsystem, the term “radio” should be limited to components providing radio functionality in the form of wireless connectivity with radio-frequency electromagnetic transmission. For example, a smart phone is not a radio, but it contains a radio.

6.10 Radio node

A radio point of presence incorporating a radio transmitter or receiver.

6.11 Radio spectrum

The radio-frequency portion of the electromagnetic spectrum. The frequency ranges are shown in the following table (adapted from The Authoritative Dictionary of IEEE Standards Terms [B7]):

Frequency designation Frequency range Ultra low frequency (ULF) < 3 Hz Extremely low frequency (ELF) 3 Hz to 3 kHz Very low frequency (VLF) 3 kHz to 30 kHz Low frequency (LF) 30 kHz to 300 kHz Medium frequency (MF) 300 kHz to 3 MHz High frequency (HF) 3 MHz to 30 MHz Very high frequency (VHF) 30 MHz to 300 MHz Ultra high frequency (UHF) 300 MHz to 3 GHz Super high frequency (SHF) 3 GHz to 30 GHz Extremely high frequency (EHF) 30 GHz to 300 GHz Submillimeter 300 GHz to 3 THz

6.12 Receiver

Apparatus that accepts a radio signal and delivers information extracted from it.

6.13 Software

Modifiable instructions executed by a programmable processing device.

NOTE―Binary instructions and data that are embedded in a hardware device or that define the operation of a programmable logic device are a specialized type of software called firmware. See also: firmware.




6.14 Transmitter

Apparatus producing radio-frequency energy for the purpose of radiocommunication. (adapted from ITU Terms and Definitions [B20])

6.15 Waveform

a)

b)

c)

The set of transformations and protocols applied to information that is transmitted over a channel and the corresponding set of transformations and protocols that convert received signals back to their information content.

The time-domain or frequency-domain representation of an RF signal.

The representation of transmitted RF signal plus optional additional radio functions up to and including all network layers.





Annex A (informative) Implications of advanced radio system technologies for spectrum management

A growing number of regulatory agencies around the world believe that there is a need for a new approach to spectrum management, spectrum allocation, and spectrum utilization. The new spectrum paradigm is driven, in part, by the increasingly keen competition for spectrum⎯a problem common to many parts of the world and to all segments of the communications industry: government, commercial wireless, public safety, and so on. This annex describes how the advanced radio system technologies defined in this standard potentially have spectrum management and regulatory implications that may lead to a more effective utilization of spectrum worldwide.

A.1 Regulatory issues to which advanced radio system technologies and new spectrum-sharing concepts are applicable

The following list outlines some current regulatory issues that are being considered by various national spectrum regulatory agencies:

⎯ Increasing demands for access to more spectrum

⎯ Requirement for more efficient use of the spectrum

⎯ Spectrum trading

⎯ Dynamic spectrum access

⎯ Dynamic frequency selection

⎯ Dynamic spectrum management

⎯ Relative mixture of different types of spectrum management and transition from one to another

1) “Command and control”: Inflexible frequency assignments

2) “Market mechanisms”: The market manages the spectrum within the constraints of the licenses

3) “License exempt use”: Nobody controls who uses the spectrum; power constraints or other mechanisms restrict usage to reduce interference

⎯ Interrelationship of developments in technology, market, and regulatory practices.

⎯ Pace of technology development: regulation has to keep up

⎯ International coordination

⎯ Security (ensure that disruption to communication services cannot occur as a result of inadvertent or malicious changes to software in advanced communications devices and systems)

⎯ Interference (ensure that users can use the spectrum assigned to them without disruption).

⎯ Interference and noise temperatures

⎯ Certification and conformity issues

⎯ Circulation issues





The terminology for advanced radio system technologies defined in this standard is applicable to many of these issues. For the bands designated by national spectrum regulatory agencies for use for unlicensed services, each regulatory agency is responsible for establishing the rules associated with these bands. Manufacturers are most interested in the use of advanced radio system technologies because of the potential for decreased costs and quicker time to market. Regulatory agencies have demonstrated interest in these technologies because of the potential of dynamic spectrum access to improve the efficiency with which the total spectrum is used.

A.2 New spectrum management concepts

Research and studies conducted under the purview of some national spectrum regulatory agencies have concluded that spectrum management should increasingly depend on the marketplace rather than on administrative systems (U.K. Ofcom [B25], Australian ACA [B1], and Japan MPHPT [B21]). Several questions are associated with the development of a new spectrum management paradigm using advanced radio system technologies such as cognitive radio systems and policy-based radio systems. The questions include:

a)

b)

c)

d)

To what extent can the technologies delineated in this document be applied to spectrum management in the unlicensed bands? How much spectrum should be set aside for the unlicensed bands? These are questions that regulatory agencies may choose to address.

For licensed bands, should national regulators permit cognitive radio access if they wish but not mandate the use of cognitive radio in the band on a secondary use basis? This may be an issue of import to the ITU-R World Radio Conference as well as to national regulatory agencies.

To what extent can the market be relied on as a major part of the new spectrum management concepts?

What, if any, broad framework of international rules are needed to promote new spectrum management concepts and the use of advanced radio system technologies to enhance efficient use of the spectrum and provide other benefits?

A.3 Frequency band consideration in the application of advanced radio system technologies

In general, the advanced radio system technologies defined herein are applicable to all bands. However, there may be practical limitations such as power, size, weight, and cost and legacy considerations that may restrict the use of these advanced radio system technologies. Some national spectrum regulatory agencies have already started investigating the possibility of increased unlicensed spectrum in which advanced radio system technologies could be used.

A.4 Radio network control considerations in the application of advanced radio system technologies

There is currently much research and investigation by many industrial organizations and national spectrum regulatory agencies on the closely related topics of dynamic spectrum management, flexible spectrum management, advanced spectrum management, dynamic spectrum allocation, flexible spectrum use, dynamic channel assignment, and opportunistic spectrum management. Advanced radio system technologies of policy-based radio, cognitive radio, software-controlled radio, and reconfigurable radio are enabling technologies to implement these new spectrum management and usage paradigms. These concepts are equally applicable to a wide variety of mobile communications systems, including public protection and disaster relief (PPDR), government, and commercial wireless.

As noted elsewhere in this document, more efficient use of the spectrum is one benefit associated with software-defined radios and the closely related technologies described herein. To be able to achieve this





benefit, it is necessary for the SDR/PBAR/CR/RR to be controlled in such a way that underused portions of the spectrum can be used more efficiently. This has been called opportunistic spectrum management.

For many scenarios, the method of control needed to achieve opportunistic spectrum management through the use of advanced radio system technologies is a network issue as well as a radio issue. Network control of these advanced radios includes control of the configuration of the radio and the RF operating parameters. Regulatory policies that govern the allowable behavior, i.e., RF operating parameters, are part of this network control. The control policies may, for some scenarios, also include network operator and user policies.

In general, there are two control models for opportunistic spectrum access or flexible spectrum usage, namely the centralized control model and the distributed control model. The centralized control model is one in which the management of spectrum opportunities is controlled by a single entity or node that has been referred to as the spectrum broker. The spectrum broker is responsible for deciding which spectrum opportunities can be used and by which radios in the network. A central broker may use sensors from the distributed nodes or may use other means for sensing and spectrum awareness. One application of centralized control is real-time spectrum markets.

The second opportunistic spectrum access or flexible spectrum usage control model is the distributed control model. In this model the interaction is “peer-to-peer.” In other words, the advanced radio nodes in the network are collectively responsible for identifying and negotiating use of underused spectrum. For some scenarios, the distributed control may be between cooperative radio access networks.





Annex B (informative) Explanatory notes on advanced radio system technologies and advanced spectrum management concepts

B.1 Relationship of terms

A common understanding of the terminology used to describe various interrelated advanced radio system concepts, including software-controlled radio (SCR), software-defined radio (SDR), cognitive radio (CR), and policy-based radio (PBR) is critical to the furtherance of new spectrum management concepts. This annex is provided as “informative” explanatory material to be used in conjunction with the “normative” definitions provided in Clause 2.

Figure B.1 depicts several advanced radio system and radio control concepts. The figure is intended to be notional rather than a complete architectural block diagram. As such, it does not include functionality such as protocol processing and applications.

For many years, there have been conflicting views as to what constitutes a software-defined radio particularly in regard to the radio signal processing via software and in regard to software control of the radio. Figure B.1 is intended to amplify on the definitions contained herein, particularly in regard to software-defined radio functionality and software-controlled functionality as explained below.

Figure B.1 illustrates the differentiation of the radio signal processing functionality and the radio control functionality. Radio signal processing functionality includes all of those operations between the input to the radio and the transmission of the radio signal (upper portion of the figure going from left to right). The radio control functionality is depicted in the lower portion of the figure.

A radio could be considered to be a software-defined radio if:

a)

b)

Some or all of the physical layer functions are accomplished through the use of digital signal processing software, or FPGA firmware, or by a combination of software and FPGA firmware

This software or firmware or both can be modified post deployment

Figure B.1 illustrates the possibility of multiple signal processing configurations that could be switched under software control. In the past, such a radio has been considered by some to be a software-defined radio even if the signal processing is accomplished by hardware. According to the IEEE definitions contained herein, such a configuration would be considered to be a software-controlled radio but not a software-defined radio. For many years, there have been conflicting views as to what constitutes a software-defined radio.

A software-controlled radio has the property that the radio control functionality is accomplished through software. Many of the benefits typically ascribed to software-defined radios, such as improved utilization of the spectrum, can be achieved only if the SDR is under software control. Software-controlled adaptive, cognitive, or intelligent radios possessing either dynamic frequency selection or dynamic spectrum access capability have the potential for improved efficiency in the utilization of spectrum.

A cognitive radio that is also a policy-based radio is able to sense its operational environment and on this basis make appropriate adjustments to radio operating parameters, while remaining within the constraints defined by the policy. In a cognitive radio that is also a software-controlled radio, the cognitive control mechanism is implemented through software processing. However, the radio-specific man−machine





interface for controlling frequency, waveforms, and protocols is replaced by a set of algorithms that enable the software control to adjust dynamically and automatically its radio operating parameters (both at the transmitter and at the receiver side). In both an adaptive radio employing a policy-based control mechanism and in a cognitive radio employing a policy-based control mechanism, policy provides constraints. The difference is that in a cognitive radio, the cognitive control function identifies opportunities to optimize within these constraints. Optimization requires a broader set of sensing capabilities and optimization algorithms. A cognitive radio, employing a policy-based control mechanism, usually performs both policy logic and cognitive reasoning within the host processor.

From receiver

To receiver

I/O T/R

Sw

itch

Var

iabl

e R

F P

ower

A

mpl

ifica

tion

&

Filt

erin

g

IF and RF Section

RF Waveform Processing 1

Man-Machine Interface

Policy-Based Control Mechanism or Cognitive Control Mechanism

Baseband Section

A/D

Baseband Coding & Processing 1

Baseband Coding & Processing 2

Baseband Coding & Processing n

…

Examples of information that may be used by policy-based control and cognitive control mechanisms :

•Policies (regulatory, operational, user)•Sensor information•Available RF bands•Propagation data•Available protocols•Performance requirements•Information from radio network infrastructure

Information to software control processing engine

Control Signals

Radio Signals

LEGEND

RF Waveform Processing 2

RF Waveform Processing n

…

Signal flow from baseband to antenna

Audio

Transmitter

Illustration of switching of alternative H/W or S/W

modules under S/W control.

Signal Selection, Parameter Configuration, and Control

NOTE⎯Receiver functions not shown.

Figure B.1—Illustration of advanced radio system concepts for radio transmitter signal processing and radio functionality control

A reconfigurable radio has functionality that can be changed either through manual reconfiguration of hardware-defined or software-defined radio modules or through software-controlled reconfiguration of these radio modules.

The following summarizes key aspects of these radio technologies:

If any of the physical-layer functions are implemented using software, the radio is a software-defined radio.

a)

b) If the radio uses software for control of any functionality of the radio, it is a software-controlled radio. For example, if the radio provides alternative waveform processing functionalities that are switched under software control, it is a software-controlled radio. However, it is not a software-defined radio unless some of the waveform processing is done in software. A radio is both a SCR and an SDR if both of the following conditions hold:






1) Some portion of the waveform processing is done in software.

2) Control of the waveform processing (e.g., switching to a different waveform processing module) is done via software.

c) A reconfigurable radio is also a software-controlled radio if the waveform processing is selected under software control.

d) Policy-based control and cognitive control mechanisms can be used to as part of a software-controlled radio system.

To aid in understanding the relationships among the terms adaptive radio, cognitive radio, hardware radio, intelligent radio, policy-based radio, reconfigurable radio, software-controlled radio, and software-defined radio that are defined in Clause 2, the set of “radio relationship rules” listed in Table B.1 were developed. These rules follow directly from or are implied by the normative definitions and indicate the combinations of radio types that are consistent with the definitions. These rules can be applied to determine whether a specific combination of radio types⎯for example intelligent, cognitive, adaptive, policy-based, software-controlled, software defined, but not reconfigurable radio—is consistent with the definitions. Since there are eight terms, 256 combinations of these terms are possible, but according to the rules in Table B.1, some of the combinations may be inconsistent with the relationships implied by the definitions. A “truth table” enumerating all possible combinations is presented in Table B.2. Because of rule #1 in Table B.1, which requires a radio to be either a hardware radio or a software-defined radio but not both, the combination of hardware radio and software-defined radio can be represented by a single column, which reduces the number of possible combinations to 128. The radio types are the column headings in the table, and at the intersection of each column and row is an entry of “Yes” or “No” to indicate whether the radio type is present for that combination. The entries below the column heading for hardware radio/SDR are an exception; for this column, the entry is either “hardware” or “SDR.” In addition, a right-most column is provided to indicate, by an entry of “Yes” or “No,” if the particular combination is permitted by the rules, and a left-most column is provided to number the combinations uniquely from 1 to 128.

Rows containing shaded cells correspond to combinations of radio features that violate one or more of the rules listed in Table B.1. The shading below the Radio Features columns indicates the specific feature combinations that are not permitted. Specifically note that rule #7 requires a policy-based radio to also be a software-controlled radio; that rule #8 requires an intelligent radio to also be a cognitive radio; that rule #9 requires a cognitive radio to also be an adaptive radio; and that rule #11 requires an intelligent radio to also be a software-controlled radio. These four rules account for all 84 combinations that are not permitted. In preparing this table, no consideration was given as to the practicality, utility, or commercial value of any combination.

A series of Venn diagram are presented in Figure B.2 to assist in visualizing the relationships and dependencies of the radio types. Figure B.2(a) depicts the relationship of software-defined radio, hardware radio, software-controlled radio, intelligent radio, and policy-base radio as required by rules #1, #5, #7, and #11 in Table B.1. In Figure B.2(b), cognitive radio and adaptive radio have been added and the relationship between these radio types and with other radio types is depicted. This figure illustrates the effect of radio relationship rules #3, #6, #8, #9, and #10. The addition of reconfigurable radio in Figure B.2(c) depicts the relationship among all the radio types. It highlights radio relationship rules #2 and #4 pertaining to reconfigurable radio. To illustrate the consistency between this figure and the radio relationship truth table in Table B.2, the corresponding regions in the figure have been annotated with the row numbers from the table as shown in Figure B.2(d). The size of the “radio regions” and overlapping radio regions depicted in Figure B.2 are not drawn to scale and are not intended to indicate the prevalence, popularity, or future likelihood of any radio type or combination of radio types.

The primary purpose of Table B.1, Table B.2, and Figure B.2 is to illustrate the types of radio relationships, combinations, and dependencies implied by the normative definitions and to assist the reader in understanding the definitions and in correctly applying the radio terminology to specific situations. Each advanced radio type has certain features and functionality associated with it, and the materials in this annex may be useful in understanding the permitted feature sets associated with a specific radio term or combinations of terms. Some terms are tightly coupled and imply a specific hierarchy of features or




functionality. This is evident in the progression from adaptive radio, to cognitive radio, to intelligent radio and implies a sequential timeline in the evolution of these radio technologies. The dependency of intelligent radio and policy-based radio on software-controlled radio illustrates another type of implied progression in technology development.

Table B.1—Rules defining radio terminology relationships interference

Rule # Rule

1 Every radio must either be a software-defined radio or a hardware radio but not both. This rule is derived from the definitions of hardware radio and software-defined radio.

2 A reconfigurable radio may be either a software-defined radio or a hardware radio. This rule is derived from the definition for reconfigurable radio and the notes following the definition.

3

The definitions do not limit the relationship between adaptive radio and hardware radio, software-defined radio, reconfigurable radio, policy-based radio, and software-controlled radio. Consequently, a hardware radio, software-defined radio, reconfigurable radio, policy-based radio, or software-controlled radio may or may not also be an adaptive radio.

4

Except as specified in rule #2, the definitions do not define the relationship between reconfigurable radio and hardware radio, software-defined radio, adaptive radio, policy-based radio, and software-controlled radio. Consequently, a hardware radio, software-defined radio, adaptive radio, policy-based radio, or software-controlled radio may or may not also be a reconfigurable radio.

5 The definitions do not define the relationship between software-controlled radio and hardware radio, software-defined radio, and adaptive radio. Consequently, a hardware radio, software-defined radio, or adaptive radio may or may not also be a software-controlled radio.

6 The definitions do not define the relationship between policy-based radio and hardware radio, software-defined radio, reconfigurable radio, and adaptive radio. Consequently, a hardware radio, software-defined radio, reconfigurable radio, or adaptive radio may or may not also be a policy-based radio.

7

A policy-based radio is a subset of a software-controlled radio since the definition of a policy-based radio requires that the policy is modifiable. Some scenarios for modification of the policy would require software control. Also, the definitions for policy-based control mechanism and software imply that radio-readable policy is a form of software.

8 Intelligent radio is a subset of cognitive radio. This rule is implied by the definition of intelligent radio.

9 Cognitive radio is a subset of adaptive radio. This relationship is implied by the definitions of adaptive radio and cognitive radio.

10

Definition “b)” of cognitive radio implies that cognitive radio must intersect software-defined radio, adaptive radio, and other technologies that enable a radio to adjust automatically its behavior or operations to achieve desired objectives. These other technologies may include reconfigurable radio, policy-based radio, and software-controlled radio.

11 An intelligent radio must be a software-controlled radio. This relationship is implied by the definition of machine learning.





Table B.2—Permitted combinations of radio types

Radio Types Combination Hardware/SDR Reconfigurable SW Controlled Policy-Based Adaptive Cognitive Intelligent Permitted?

1 Hardware Yes Yes Yes Yes Yes Yes Yes 2 Hardware Yes Yes Yes Yes Yes No Yes 3 Hardware Yes Yes Yes Yes No Yes No 4 Hardware Yes Yes Yes Yes No No Yes 5 Hardware Yes Yes No Yes Yes Yes Yes 6 Hardware Yes Yes No Yes Yes No Yes 7 Hardware Yes Yes No Yes No Yes No 8 Hardware Yes Yes No Yes No No Yes 9 Hardware Yes Yes Yes No Yes Yes No

10 Hardware Yes Yes Yes No Yes No No 11 Hardware Yes Yes Yes No No Yes No 12 Hardware Yes Yes Yes No No No Yes 13 Hardware Yes Yes No No Yes Yes No 14 Hardware Yes Yes No No Yes No No 15 Hardware Yes Yes No No No Yes No 16 Hardware Yes Yes No No No No Yes 17 Hardware Yes No Yes Yes Yes Yes No 18 Hardware Yes No Yes Yes Yes No No 19 Hardware Yes No Yes Yes No Yes No 20 Hardware Yes No Yes Yes No No No 21 Hardware Yes No No Yes Yes Yes No 22 Hardware Yes No No Yes Yes No Yes 23 Hardware Yes No No Yes No Yes No 24 Hardware Yes No No Yes No No Yes 25 Hardware Yes No Yes No Yes Yes No 26 Hardware Yes No Yes No Yes No No 27 Hardware Yes No Yes No No Yes No 28 Hardware Yes No Yes No No No No 29 Hardware Yes No No No Yes Yes No 30 Hardware Yes No No No Yes No No 31 Hardware Yes No No No No Yes No 32 Hardware Yes No No No No No Yes 33 Hardware No Yes Yes Yes Yes Yes Yes 34 Hardware No Yes Yes Yes Yes No Yes 35 Hardware No Yes Yes Yes No Yes No 36 Hardware No Yes Yes Yes No No Yes 37 Hardware No Yes No Yes Yes Yes Yes 38 Hardware No Yes No Yes Yes No Yes 39 Hardware No Yes No Yes No Yes No 40 Hardware No Yes No Yes No No Yes 41 Hardware No Yes Yes No Yes Yes No 42 Hardware No Yes Yes No Yes No No 43 Hardware No Yes Yes No No Yes No 44 Hardware No Yes Yes No No No Yes 45 Hardware No Yes No No Yes Yes No 46 Hardware No Yes No No Yes No No 47 Hardware No Yes No No No Yes No 48 Hardware No Yes No No No No Yes 49 Hardware No No Yes Yes Yes Yes No 50 Hardware No No Yes Yes Yes No No 51 Hardware No No Yes Yes No Yes No 52 Hardware No No Yes Yes No No No 53 Hardware No No No Yes Yes Yes No 54 Hardware No No No Yes Yes No Yes 55 Hardware No No No Yes No Yes No






56 Hardware No No No Yes No No Yes 57 Hardware No No Yes No Yes Yes No 58 Hardware No No Yes No Yes No No 59 Hardware No No Yes No No Yes No 60 Hardware No No Yes No No No No 61 Hardware No No No No Yes Yes No 62 Hardware No No No No Yes No No 63 Hardware No No No No No Yes No 64 Hardware No No No No No No Yes 65 SDR Yes Yes Yes Yes Yes Yes Yes 66 SDR Yes Yes Yes Yes Yes No Yes 67 SDR Yes Yes Yes Yes No Yes No 68 SDR Yes Yes Yes Yes No No Yes 69 SDR Yes Yes No Yes Yes Yes Yes 70 SDR Yes Yes No Yes Yes No Yes 71 SDR Yes Yes No Yes No Yes No 72 SDR Yes Yes No Yes No No Yes 73 SDR Yes Yes Yes No Yes Yes No 74 SDR Yes Yes Yes No Yes No No 75 SDR Yes Yes Yes No No Yes No 76 SDR Yes Yes Yes No No No Yes 77 SDR Yes Yes No No Yes Yes No 78 SDR Yes Yes No No Yes No No 79 SDR Yes Yes No No No Yes No 80 SDR Yes Yes No No No No Yes 81 SDR Yes No Yes Yes Yes Yes No 82 SDR Yes No Yes Yes Yes No No 83 SDR Yes No Yes Yes No Yes No 84 SDR Yes No Yes Yes No No No 85 SDR Yes No No Yes Yes Yes No 86 SDR Yes No No Yes Yes No Yes 87 SDR Yes No No Yes No Yes No 88 SDR Yes No No Yes No No Yes 89 SDR Yes No Yes No Yes Yes No 90 SDR Yes No Yes No Yes No No 91 SDR Yes No Yes No No Yes No 92 SDR Yes No Yes No No No No 93 SDR Yes No No No Yes Yes No 94 SDR Yes No No No Yes No No 95 SDR Yes No No No No Yes No 96 SDR Yes No No No No No Yes 97 SDR No Yes Yes Yes Yes Yes Yes 98 SDR No Yes Yes Yes Yes No Yes 99 SDR No Yes Yes Yes No Yes No

100 SDR No Yes Yes Yes No No Yes 101 SDR No Yes No Yes Yes Yes Yes 102 SDR No Yes No Yes Yes No Yes 103 SDR No Yes No Yes No Yes No 104 SDR No Yes No Yes No No Yes 105 SDR No Yes Yes No Yes Yes No 106 SDR No Yes Yes No Yes No No 107 SDR No Yes Yes No No Yes No 108 SDR No Yes Yes No No No Yes 109 SDR No Yes No No Yes Yes No 110 SDR No Yes No No Yes No No 111 SDR No Yes No No No Yes No 112 SDR No Yes No No No No Yes 113 SDR No No Yes Yes Yes Yes No






114 SDR No No Yes Yes Yes No No 115 SDR No No Yes Yes No Yes No 116 SDR No No Yes Yes No No No 117 SDR No No No Yes Yes Yes No 118 SDR No No No Yes Yes No Yes 119 SDR No No No Yes No Yes No 120 SDR No No No Yes No No Yes 121 SDR No No Yes No Yes Yes No 122 SDR No No Yes No Yes No No 123 SDR No No Yes No No Yes No 124 SDR No No Yes No No No No 125 SDR No No No No Yes Yes No 126 SDR No No No No Yes No No 127 SDR No No No No No Yes No 128 SDR No No No No No No Yes

Rows containing shaded cells correspond to combinations of radio types that violate one or more of the rules listed in Table B.1. These rules derive directly or indirectly from the normative definitions. The shading below the Radio Features columns indicates the specific feature combinations that are not permitted.

Figure B.2—Relationship of radio types

Hardware Radios Software Defined RadiosRadios

Policy Based Radios

Intelligent Radios

Software ControlledRadios

(a) Relationship of software-defined radio, hardware radio, software-controlled radio, intelligent radio, and policy-based radio as required by rules #1, #5, #7, and #11






Policy Based Radios

Intelligent Radios

Cognitive Radios

AdaptiveRadios


(b) The addition of cognitive radio and adaptive radio and relationship with other radio types as required by rules #3, #6, #8, #9, and #10



Reconfigurable Radios

AdaptiveRadios

Cognitive Radios

Intelligent Radios

Policy Based Radios

(c) The addition of reconfigurable radio and the relationship with other radio types as required by rules #2 and #4






64 128

Policy Based Radios 32 96

8016 11248


Intelligent Radios

Cognitive Radios

AdaptiveRadios

Reconfigurable Radios

76 1081244 68 100436 66 98234

1 65 9733

40 38 37 101 102 1045 69

8 72

6 70

54 22 86 118

5624 12088

(d) Cross-reference of permitted radio combination shown in Table B.2 to the corresponding regions shown in part (c)

B.2 Vision and roadmap for application of advanced radio system technologies

Figure B.3 provides a visual description of how the technologies referenced in the document are related and indicates the relative time sequence of their development. The figure is based on a qualitative estimation of the foreseen developments in the framework of radio devices, and thus, it should not be considered as an exact timeline.

Within the figure, the advanced radio terminology has been divided into four categories. The first category indicates that the technique for implementing the physical layer of a waveform may either be hardware defined or software defined. Initially, the physical layer of all waveforms was implemented using nonprogrammable hardware. Although hardware-defined implementations will continue, the overall trend over time is increasing use of software-defined radio implementation techniques.

This is part of a larger trend of expanding usage of software reconfigurable devices within radios that extends beyond physical layer signal processing and affects radio control and spectrum access behavior as denoted in the second and third radio feature categories presented in the figure. In simple radio implementations, the operator controls the operation of the radio through a user interface such as control knobs. As radios have become more complex, control is increasingly being performed by software reconfigurable devices. Software control of radio functions may be implemented in both hardware radio and software-defined radio. Often the control software is proprietary to a specific manufacturer and radio device, and consequently, only the manufacturer may be able to reconfigure this software. In advanced radios, such as adaptive, cognitive, or intelligent radio that engage in complex behaviors such as dynamic spectrum access, there may be a need for others such as spectrum regulators to be able to inspect or modify radio control software or to be able to reuse control software across a range of dissimilar hardware platforms. This has given rise to the development of policy-based control mechanisms that use machine-readable rules that are in a format independent of the radio implementation. Such an approach could support the development of standardized policy languages and authoring tools that may be applied to broad categories of advanced radio devices. Ideally, standardization would free policy authors from the need to





have in-depth knowledge of the inner workings of each radio device and allow one set of policies to function correctly in the same category of advanced radio devices. Consequently, over time, increased use of software-controlled radio and policy-based radio is expected.

Radios with a wider range and sophistication of spectrum access behaviors are being developed to support the increasing usage of wireless networks and dynamic spectrum access. Wireless LAN devices incorporating a form of dynamic spectrum access called dynamic frequency selection are an early example of this trend. These types of radios generally fall within the broad category of adaptive radio because they need to be able to monitor their own performance automatically and to vary their parameters of operation to improve their performance. Cognitive radio is a more capable subset of adaptive radio that also has the capability to be aware of its environment and internal state and can make decisions about its operating behavior based on that information and predefined objectives. Intelligent radio improves on cognitive radio by also incorporating a machine learning capability. The use of adaptive, cognitive, and intelligent radio is expected to grow in parallel with the growth of wireless networks and dynamic spectrum access. Other types of radio technologies such as policy-based radio, software-controlled radio, and software-defined radio provide capabilities that contribute to and are in some cases necessary for the development and implementation of adaptive, cognitive, and intelligent radio.

Physical LayerImplementationTechnique

Hardware Radio

Software Defined Radio

· · ·

Radio ControlMechanism

Manually Controlled Radio (i.e., knobs)

Software Controlled Radio

Policy-Based Radio

· · ·

Range and Sophisticationof Automated RadioBehaviors

Adaptive Radio

Cognitive Radio

Intelligent Radio

Non-Adaptive Radio· · ·

RadioReconfigurability Reconfigurable Radio

Non-Reconfigurable Radio· · ·

Radio Technologyor Functionality

Increasing Time· · ·

Cross Feature Interdependenceand Synergy

Figure B.3—Conceptual timeline for advanced radio system technologies

The last radio feature listed in Figure B.3 is radio reconfigurability. Although radio reconfigurability is not new and it is possible to reconfigure hardware modules in a hardware radio, the advent of software-defined radio and software-controlled radio have introduced new aspects and widened the potential scope of reconfiguration. The expanding use and functional capability of software reconfigurable devices within radios will make reconfigurable radio easier to implement and provide added value to manufacturers, users, operators, and regulators. In the past, reconfiguration was often limited to manufacturers or to individuals with special training and tools. Increasingly, reconfiguration will be performed by the user, network operator, network, or spectrum regulators. The growth of reconfigurable radio is expected to increase over time in parallel with the deployment of radios incorporating software reconfigurable devices.





B.3 Explanatory note on software-defined radio

A popular misconception about SDR is that extremely wide RF coverage (e.g., 2 MHz to 2 GHz) is mandatory. Such wide RF coverage is not necessary for many applications, especially in the consumer and commercial industries that operate within limited RF spectrum. Another popular misconception about SDR is that software reconfigurability is needed all the way to the antenna terminals. A radio can be an SDR as long as the characteristics of the transmitted signal can be modified after manufacture through software and/or firmware downloads.

Several different types of software may be part of a radio device, including:

a)

b)

1)

2)

3)

Application software

Ancillary software

Operating system

Middleware

Drivers

Radio devices may have many types of software, but they are not considered to be a software-defined radio device unless they conform to the definition provided in 2.9. Figure B.4 illustrates the software stack representative of many modern communications devices; however, the device is not an SDR device unless it includes software that meets the definition provided in Clause 2. Note that other software stack configurations are possible.

The technical characteristics of software defined radios are described in the following documents: ⎯ ITU-R Report M.2038, “Technology Trends,” describes technology trends, including technical

characteristics of SDR and associated technologies such as reconfigurable processors and radio frequency micro-electro-mechanical systems (RF MEMS) [B16].

⎯ ITU-R Report on M.2064, “Software-Defined Radio in the Land Mobile Service” [B18].

⎯ ITU-R Report M.2063, “The Impact of Software Defined Radio on IMT-2000, the Future Development of IMT-2000 and Systems Beyond IMT-2000” [B17].





Air Interfaces(e.g., GSM, EDGE, cdma2000,

UMTS, others …)

Hardware Radio Software for Programmable Radio

Hardware(DSP, FPGAs, Control chips)

Operating System and device drivers Communications

control

Execution Environment

(e.g., J2EE, MExE, SMS, MMS)

Applications

Communications EnvironmentNon-

Applications Software

cdma2000 – code division multiple access 2000 J2EE – Java 2 Enterprise Edition

DSP – digital signal processor MExE – Mobile Executable Environment

EDGE – Enhanced Data Rates for GSM Evolution MMS – Multimedia Messaging Service

FPGA – Field Programmable Gate Array SMS – Short Messaging Service

GSM – Global System for Mobile Communications UMTS – Universal Mobile Telecommunications Service

Figure B.4—Typical software stack in communications devices

B.4 Explanatory note on cognitive control and cognitive functionality

Some authors have used the term “cognitive” to describe radios with varying levels of adaptive capability. In this standard, the definition of cognitive radio is drawn from technical definitions from the artificial intelligence and computation science disciplines along with specific considerations of the radio communications system domain.

The study of intelligence and reasoning systems in the AI sense can be shown to fall into two broad categories: (1) systems that think and act like humans and (2) systems that think and act in a purely rational (e.g., “logical”) manner (Russell and Norvig [B24]).

In the AI literature, the term “cognitive” is consistently applied to systems that exhibit human-like qualities in its processing. Cognitive science is concerned with modeling machine reasoning processes in accordance with those exhibited by humans. The human-like processes are not limited to purely rational ones, but can encompass processes that are inconsistent with strict rationality when reasoning, problem solving, planning, and learning. Furthermore, the inputs, outputs, and internal behaviors of a cognitive system are consistent with human behavior in both conduct and timing. A system is said to be rational (rather than cognitive) if it does the “right thing,” given what it knows. In this sense, a rational system obeys the well-defined laws of inference and logic in processing information. It may use a combination of deductive and inductive processes for reasoning, problem solving, planning, and learning (Obrst et al. [B23]).





Clearly, a radio that is useful and supportable must be deterministic insofar that it will always obey a set of rules or policies that govern its behaviors. These rules may be regulatory in nature (e.g., ensure the radio is not harmful to other radios) or optimizing (e.g., maximize or minimize a certain aspect of the radio’s operation). Within that deterministic bound, the radio may be free to adapt by whatever processes are deemed appropriate. These processes may be purely rational and deterministic or may incorporate nonrational processes for learning and adaptation.

In 1950, Alan Turing proposed a set of tests (known as the “Turing Test”) for a system to possess intelligence (Obrst et al. [B23]):

⎯ Natural language processing: communicates in human-understandable language

⎯ Knowledge representation: store information (in an ordered manner)

⎯ Automated reasoning: answer questions and develop new conclusions

⎯ Machine learning: adapt to new circumstances and detect/extrapolate new patterns

Looking at the Turing Test criteria, three of the four criteria are applicable to establishing intelligent radio characteristics. Radios with appropriate memory, software, and processing capabilities can store information (knowledge representation), reasoning in an automated manner to develop new conclusions, and employ machine learning processes. Radios, however, do not communicate with each other using human-understandable languages.

Applying practical radio considerations to the AI definitions of cognitive, the characteristics of an intelligent radio emerges:

⎯ Maintains knowledge representation, automated reasoning, and machine learning capabilities in accordance with the Turing test.

⎯ Automated reasoning can be purely rational (deterministic) or can be inconsistent with strict rationality when reasoning, problem solving, planning, and learning.

⎯ For practical implementations, the degree of inconsistent (nondeterministic) rationality must be limited by a deterministic bound such that it consistently obeys a set of rules or policies that govern its behavior.

Cognition as defined in the Webster’s New Collegiate Dictionary [B28] is “the act or process of knowing including both awareness and judgment.” However, this IEEE standard takes a more limited view of the term “cognition” than that in either the AI community as described above or in the classic dictionary definition of “cognition.” In this IEEE standard, the machine learning aspects of cognition (in the AI sense) are associated with intelligent radios but not with cognitive radios as defined herein. Note that “intelligent radios” are considered to be “cognitive radios” that are capable of learning.

B.5 Explanatory note on adaptive radios that employ a policy-based control mechanism

Figure B.5 illustrates the components of an adaptive radio that employs a policy-based control mechanism. The policy-based radio control technology is a mechanism for providing information needed by the software control processing engines of Figure B.1.





Control & Behavior

Algorithms

RF Digital

SoftwareControl

I/0

Radio Capabilities

SpectralOpportunities

SenseEnvironment

- Downloadable- Changeable

RegulatoryPolicies

Interference Avoidance: Frequency, Duty Cycle,

Power, etc.

Policy-BasedControl Mechanism

System/Network OperatorPolicies

Security, Routing, QoS, Mission Priorities, etc.

PolicyBase

Policy Processing• Reasoning/Inference• Conformance Checking• …

Cognitive Engine

Hardwired or Software

Figure B.5—Components of an adaptive radio that employs a policy-based control

mechanism

The need to improve spectrum utilization efficiency is a major driving requirement for radios capable of dynamic spectrum access under policy-based control. The current method of assigning spectrum provides each new service with its own fixed block of spectrum. Since the amount of useable spectrum is finite, as more services are added, there will come a time at which spectrum is no longer available for assignment. We are nearing such a time, especially due to a recent dramatic increase in spectrum-based services and devices.

However, as noted by the FCC [B27], large portions of allotted spectrum are unused when considered on a time and geographical basis. Portions of assigned spectrum are used only in certain geographical areas, and some portions of assigned spectrum are used only for brief periods of time. Studies have shown that even a straightforward reuse of such “wasted” spectrum can provide an order of magnitude improvement in available capacity. Thus, the issue is not that spectrum is scarce⎯the issue is that most current radio systems do not use technology to manage access to it in an effective manner that would satisfy the concerns of current licensed spectrum users. Policy-based radio is one approach for achieving better spectrum utilization, dynamic spectrum management, and flexible spectrum use.

A policy-based radio is a software-controlled radio in which the control information includes: ⎯ Policies (regulatory, operational, user)

⎯ Sensor information

⎯ Propagation data

⎯ Available protocols





⎯ Performance requirements

⎯ Information about the radio network infrastructure

The use of policy-based radio for dynamic spectrum access is an approach wherein static assignment of spectrum is complemented by the opportunistic use of unused spectrum on an “instant-by-instant” basis in a manner that limits interference to primary users. This approach is called “opportunistic spectrum access” spectrum management. The basic parts of this approach are to:

⎯ Sense the spectrum in which one wants to transmit.

⎯ Look for spectrum holes in time and frequency.

⎯ Consistent with radio policies, transmit so that you do not interfere with primary users.

The concept of policy-based radio potentially provides a new regulatory policy framework, particularly for use in unlicensed bands. For licensed bands, it potentially allows licensed holders a method for improved utilization of the spectrum covered by their license. The concept allows for diversity of policy sources from different regulatory bodies. It also allows for policies that change with time and geographical location. The concept will facilitate regulatory traceability provided the computer-coded policies trace to the original regulatory documents.

The key technologies needed for policy-based radio include: ⎯ Real-time, wideband spectrum monitoring capability achieved at low-power consumption.

⎯ The capability to perform waveform identification and characterization within tens of milliseconds.

⎯ The capability to synthesize automatic, dynamic time-frequency-space waveforms.

⎯ The ability to perform network reconfiguration and transformation operations.

⎯ Policy-based meta-language:

1) Translates policy rules into radio behavior controls.

2) Radio control operating rules are based on policies and situations.

3) Decouples the radio technology from the regulatory process.

Several research challenges are presented to this adaptive spectrum management, including: ⎯ Wideband sensing.

⎯ Opportunity identification.

⎯ Network aspects of spectrum coordination when using opportunistic spectrum management.

⎯ Traceability so that sources can be identified in the event that interference does occur.

⎯ Verification and accreditation.

B.6 Explanatory note on dynamic spectrum access

For dynamic spectrum access networks that have implemented cognitive functionality, policy rules and spectrum access protocols are designed to maximize spectral efficiency in a macro sense and to promote “fairness” either according to regulations adopted by appropriate authorities or according to fairness principles agreed to by operating entities desiring to coexist in the same “spectral space” and to maximize the utility thereof. In a simple utopian world, this generally involves sharing of spectral resources with others on a noninterfering, first-come−first-serve basis.





Figure B.6 illustrates one possible configuration of the technological functionalities that are needed to accomplish dynamic spectrum access using a policy-based radio. The black arrows in the figure indicate the sequence in which the process steps comprising dynamic spectrum access are repeatedly performed. The white arrows indicate bidirectional information sharing among processes. Clearly a system approach is needed to accomplish the goals of dynamic spectrum access. The dynamic spectrum access concepts illustrated in Figure B.6, as discussed in this annex, and defined in Clause 5 are broader than the concept of the term “dynamic frequency selection” used in the IEEE 802 standards.

DynamicSpectrumAccess

4. Adapt

• Transition network to new emission plan

1. Spectrum Usage Data Collection• Real-time, wide-band, low-power sensing of

the spectrum environment • Download machine-readable regulatory

policies and spectrum usage information that are both geolocation and time sensitive.

2. Characterize the Data

• Real-time evaluation of the spectrum data

• Rapid waveform determination

3. Plan

• Formulate the best course of action (i.e., what is the most appropriate frequency and waveform to use)

Figure B.6—Key technology components of representative policy-based radio

implementation of dynamic spectrum access

The functionality requirements in Block 1 of Figure B.6 are critical technology drivers. Dynamic spectrum access requires the ability for a real-time, wide-band sensing of the spectral environment. This is the process of sampling the channel to determine occupancy. It should be noted that no consensus has been reached in regard to a definition of when a channel is occupied; several factors are involved, including receiver sensitivity, the sampling time and sampling interval, thresholds for discriminating wide-band noise from signals, and so on. It should also be noted in Block 1 that along with this sensing capability is the need for policy agility, which is the ability to change the policies controlling the behavior of the radio to be changed dynamically. Policy agility allows adaptation to policies changing over time and geography. Such policy changes could be downloaded from the Internet in a machine-readable format. The timescale for such changes, of course, is much different from the frequency agility timescale needed for dynamic spectrum access.

The functionality requirements in Block 2 of Figure B.6 include an analysis of the data to determine whether the particular channel is an opportunity for usage. This identification process includes the characterization of the data and uses this information to determine whether the channel can be used by





another communications service or system. The identification process also includes communication with some subset of its neighbors because what may seem to be a clear channel at one end of the link may not be a clear channel at the other end of the link. For some mobile radio subsystems, this communication may require a low-data-rate control channel. Block 3 of Figure B.6 is the synthesis of the specific dynamic waveform and frequency that are appropriate for use at this time and this location. This leads to the need for the network to adapt (Block 4).

B.7 Explanatory note on collaborative spectrum management

Table B.3 proposes some scenarios that are examples of collaboration in spectrum management for different combinations of legacy (i.e., noncognitive) and cognitive radio systems.

Table B.3—Examples of collaborative scenarios

Scenario Description

1. Noncognitive legacy vs. noncognitive legacy

1. Spectrum access is manually coordinated.

2. Radio networks exchange no information

2a. Noncognitive legacy vs. cognitive

1. Cognitive radio independently senses and avoids legacy radio spectrum.


2b. Noncognitive legacy vs. cognitive

1. Legacy radio signals its presence (e.g., beacon or database or predefined waveform) to cognitive radio

2. Radio networks exchange no other information

3a. Cognitive vs. cognitive 1. Cognitive radios independently sense and avoid spectrum conflicts with each other (e.g., frequency, time, modulation, or space)


3b. Cognitive vs. cognitive 1. Cognitive radios coordinate over a common control channel using a common protocol to avoid spectrum conflicts; various levels of information sharing and collaboration are possible

2. Radio networks exchange no other information

3c. Cognitive vs. cognitive 1. Cognitive radios coordinate over a common control channel using a common protocol to form a common network that avoids spectrum conflicts

2. Radios form a mesh and act as relays

B.8 Explanatory note on spectrum efficiency

The definition of the term “spectrum efficiency” in 5.44 provides a conceptual basis for computing spectrum efficiency. Specification of the benefits derived from spectrum use and of the resource costs will depend on the specific situation. Measures of benefits may relate to the economic or societal value of a communications system or to the value of the information transferred. Information transfer could be valued in terms of its quantity, quality, or importance. Similarly, numerous measures of resource cost can be computed. These measures include the economic cost of acquiring spectrum or the quantity of spectrum





used and denied to others. Various organizations have suggested different ways of quantifying spectrum efficiency. The ITU [B13] has defined an important type of spectrum efficiency measure called spectrum utilization efficiency, in which the benefit is the information transferred and the cost is the amount of spectrum used. The Spectrum Efficiency Working Group of the FCC’s Spectrum Policy Task Force (SPTF) [B27] identified additional measures such as Technical Efficiency and Economic Efficiency. In their comments to the Spectrum Policy Task Force, the IEEE 802 Local and Metropolitan Area Network Standards Committee (LMSC) [B4] suggested a new metric called Wireless Efficiency (“Weff”). Since computed values of spectrum efficiency depend on the metrics chosen, it is usually only meaningful to compare the spectrum efficiency of similar systems for which the same calculation methodology and assumptions are used.

In the IEEE 802 LMSC’s comments to the FCC Spectrum Policy Task Force [B4], the LMSC notes that it is essential for spectrum efficiency measures to account for the ability of spectrum reuse to promote maximum aggregate utilization and recommends that measures of spectrum efficiency include the following components:

a)

b)

c)

d)

Utilization of frequency spectrum delimited by modulation and coding parameters (i.e., signal spectral mask).

Utilization of “time on the air,” or ratio of ON time to OFF time for a particular system, to share spectrum between systems using different modulation and coding parameters, which is essentially time-domain multiple access across different modulation systems.

Spatial utilization using adaptive antennas, processing gain, error coding, and other interference mitigation techniques allowing colocated disparate systems to occupy the same frequency segments on a noninterfering basis.

Protocol-based sharing etiquettes to support sharing among multiple systems.

B.9 Definition of informative terms

B.9.1 Cognitive engine The portion of the cognitive radio system containing the policy and rules, decision database, and decision-making capability that constantly evaluates the inputs from the sensing mechanism and directs the spectrum access of the reconfigurable radio platform. In Figure B.5, the typical elements of a cognitve engine are identified.

B.9.2 Primary users or incumbent users9

Authorized users who are assigned and operate in a particular spectrum band.

B.9.3 Knowledge

Processed data obtained through perception, learning, or reasoning that can be used for decision making.

B.9.4 Radio access technology (RAT)

Technique that is used to access the radio network. Example: UTRA (UMTS Terrestrial Radio Access), CDMA, DECT, and GERAN (GSM EDGE Radio Access Network).

9 The term “incumbent user” is synonymous with the term “primary user.”





B.9.5 Radio access network (RAN)

The network that connects radio base stations to the core network. The RAN provides and maintains radio-specific functions, which may be unique to a given radio access technology, that allow users to access the core network (ITU-T Recommendation Q.1742.3 [B19]).

B.9.6 Reasoning

The process of decision making using the available knowledge or outcomes of the learning process.

B.9.7 Spectrally aware networking

The network layer (of an OSI stack) having the intelligence regarding the availability and occupancy as well as any other details of the spectrum that are being used by its lower layers (PHY). With this knowledge, the network configuration or autoconfiguration is managed so as to increase the efficiency.

B.9.8 Waveform specification

A waveform specification contains the description of a waveform that includes transformations and protocols for at least layer 1 (Physical) of the Open Systems Interconnect (OSI) reference model, and it may include other layers.

B.9.9 Wireless sensor networks

A wireless sensor network is a mesh of small sensor nodes that communicate among themselves using RF signals. The node sensors are programmed to monitor information in the surrounding area and to deliver detailed data about the physical environment to neighboring nodes. Sensor nodes are constrained in power, processing capability, and memory capacity; therefore, information flows in an ad hoc manner toward a larger node that has greater processing power to distribute the information further.






Annex C (informative) List of acronyms and abbreviations

ACS adaptive channel selection

A/D analog/digital

AI artificial intelligence

B bandwidth

BER bit error rate; bit error ratio

CCA clear channel assessment

CDMA code division multiple access

cdma2000 code division multiple access 2000

CR cognitive radio

CRN cognitive radio network

CSMA/CA carrier sense multiple access with collision avoidance

DCA dynamic channel assessment

DECT Digital Enhanced Cordless Telecommunications

DFS dynamic frequency selection

DSM dynamic spectrum management

DSA dynamic spectrum access

DSP digital signal processor

EDGE Enhanced Data Rates for GSM Evolution

FCC Federal Communications Commission

FPGA field programmable gate array

GERAN GSM EDGE radio access network

GPS Global Positioning System

GSM global system for mobile communications




IEEE Institute of Electronics and Electrical Engineers

IMT-2000 International Mobile Telecommunications-2000

I/O input/output

ITU International Telecommunication Union

ITU-R International Telecommunication Union Radiocommunication Sector

J2EE Java 2 Enterprise Edition

J2ME Java 2 Micro Edition

LAN local area network

LMSC Local and Metropolitan Area Network Standards Committee

MAC media access control

MEMS microelectromechanical systems

MExE mobile executable environment

MMS multimedia messaging service

OSI Open Systems Interconnection

PBAR policy-based adaptive radio

PHY physical layer of the OSI model

PPDR public protection and disaster relief

QoS quality of service

RAT radio access technology

RAN radio access network

RF radio frequency

RR reconfigurable radio

SCR software-controlled radio

SDR software-defined radio

SLA service level agreement

SMS short messaging service

SO spectral opportunity

SPTF Spectrum Policy Task Force





T/R transmit/receive

UMTS Universal Mobile Telecommunications System

UTRA UMTS Terrestrial Radio Access

Weff wireless efficiency

WiFi mark of the Wi-Fi Alliance

WiMAX Worldwide Interoperability for Microwave Access

WM wireless medium

WPAN wireless personal area network






Annex D

(informative)

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