Cover: Spectrum Sharing by Constantinos B. Papadias, Tharmalingam Ratnarajah, Dirk T.M. Slock

Spectrum Sharing

The Next Frontier in Wireless Networks

 

 

Edited by

Constantinos B. Papadias

The American College of Greece

Athens

Greece

Tharmalingam Ratnarajah

University of Edinburgh

Edinburgh

UK

Dirk T.M. Slock

EURECOM

Sophia Antipolis

France

 

 

 

 

 

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About the Editors

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Constantinos B. Papadias is the Executive Director of the Research, Technology and Innovation Network (RTIN) of The American College of Greece, where he is also a faculty member, since Feb. 1, 2020. Prior to that, he was the Scientific Director / Dean of Athens Information Technology (AIT), in Athens, Greece, where he was also Head of the Broadband Wireless and Sensor Networks (B-WiSE) Research Group. He is currently an Adjunct Professor at Aalborg University and at the University of Cyprus. He received the Diploma of Electrical Engineering from the National Technical University of Athens (NTUA) in 1991 and the Doctorate degree in Signal Processing (highest honors) from the Ecole Nationale Supérieure des Télécommunications (ENST), Paris, France, in 1995. He was a researcher at Institut Eurécom (1992–1995), Stanford University (1995–1997) and Lucent Bell Labs (as Member of Technical Staff from 1997–2001 and as Technical Manager from 2001–2006). He was Adjunct Professor at Columbia University (2004–2005) and Carnegie Mellon University (2006–2011). He has published over 200 papers and 4 books and has received over 9000 citations for his work, with an h-index of 43. He has also made standards contributions and holds 12 patents. He was a member of the Steering Board of the Wireless World Research Forum (WWRF) from 2002–2006, a member and industrial liaison of the IEEE's Signal Processing for Communications Technical Committee from 2003–2008 and a National Representative of Greece to the European Research Council's IDEAS program from 2007–2008. He has served as member of the IEEE Communications Society's Fellow Evaluation and Awards Committees, as well as an Associate Editor for various journals. He has contributed to the organization of several conferences, including, as General Chair, the IEEE CTW 2016 and the IEEE SPAWC 2018 workshops. He has acted as Technical Coordinator in several EU projects such as: CROWN in the area of cognitive radio; HIATUS in the area of interference alignment; HARP in the area of remote radio heads and ADEL in the area of licensed shared access. He is currently the Research Coordinator of the European Training Network project PAINLESS on the topic of energy autonomous infrastructure-less wireless networks as well as the Technical Coordinator of the EU CHIST-ERA project FIREMAN on the topic of predictive maintenance via machine learning empowered wireless communication networks. His distinctions include the Bell Labs President's Award (2002), the IEEE Signal Processing Society's Young Author Best Paper Award (2003), a Bell Labs Teamwork Award (2004), his recognition as a “Highly Cited Greek Scientist” (2011), two IEEE conference paper awards (2013, 2014) and a “Best Booth” Award at EUCNC (2016). He was a Distinguished Lecturer of the IEEE Communications Society for 2012–2013. He was appointed Fellow of IEEE in 2013 and Fellow of the European Alliance of Innovation (EAI) in 2019.

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Tharmalingam Ratnarajah is currently with the Institute for Digital Communications, the University of Edinburgh, Edinburgh, UK, as a Professor in Digital Communications and Signal Processing. He was a Head of the Institute for Digital Communications during 2016–2018. Prior to this, he was with McMaster University, Hamilton, Canada, (1997–1998), Nortel Networks (1998–2002), Ottawa, Canada, University of Ottawa, Canada, (2002–2004), Queen's University of Belfast, UK, (2004–2012). His research interests include signal processing and information theoretic aspects of 5G and beyond wireless networks, full-duplex radio, mmWave communications, random matrices theory, interference alignment, statistical and array signal processing and quantum information theory. He has published over 400 publications in these areas and holds four U.S. patents. He has supervised 15 PhD students and 20 post-doctoral research fellows, and raised $11 million+ USD of research funding. He was the coordinator of the EU projects ADEL in the area of licensed shared access for 5G wireless networks, HARP in the area of highly distributed MIMO, as well as EU Future and Emerging Technologies projects HIATUS in the area of interference alignment and CROWN in the area of cognitive radio networks. Dr Ratnarajah was an associate editor IEEE Transactions on Signal Processing, 2015–2017 and Technical co-chair, The 17th IEEE International workshop on Signal Processing advances in Wireless Communications, Edinburgh, UK, 3–6, July, 2016. Dr Ratnarajah is a member of the American Mathematical Society and Information Theory Society and Fellow of Higher Education Academy (FHEA).

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Dirk T.M. Slock received an electronics engineering degree from Ghent University, Belgium in 1982. In 1984 he was awarded a Fulbright scholarship for Stanford University, USA, where he received the MSEE, MS in Statistics, and PhD in EE in 1986, 1989 and 1989 resp. While at Stanford, he developed new fast recursive least-squares algorithms for adaptive filtering. In 1989–91, he was a member of the research staff at the Philips Research Laboratory Belgium. In 1991, he joined EURECOM where he is now professor. At EURECOM, he teaches statistical signal processing (SSP) and signal processing techniques for wireless communications. His research interests include SSP for wireless communications (antenna arrays for (semi-blind) equalization/interference cancellation and spatial division multiple access (SDMA), space-time processing and coding, channel estimation, diversity analysis, information-theoretic capacity analysis, relaying, cognitive radio, geolocation), and SSP techniques for audio processing. He invented semi-blind channel estimation, the chip equalizer-correlator receiver used by 3G HSDPA mobile terminals, spatial multiplexing cyclic delay diversity (MIMO-CDD) now part of LTE, and his work led to the Single Antenna Interference Cancellation (SAIC) integrated in the GSM standard in 2006. Recent research keywords are MIMO interference channel, multi-cell, distributed resource allocation, variational and empirical Bayesian techniques, large random matrices, stochastic geometry, audio source separation, location estimation and exploitation.

In 25 years, he has graduated over 35 PhD students, 9 of which are in academia (6 professors), and about 10 others are in research in industry. His research led to: h-index: 41, total citations: 8800, 10 book chapters, 50 journal papers, 500 conference papers. In 1992 he received one best journal paper award from IEEE-SPS and one from EURASIP. He is the coauthor of two IEEE Globecom'98, one IEEE SIU'04, one IEEE SPAWC'05, one IEEE WPNC'16 and one IEEE SPAWC'18 best student paper award, and an honorary mention (finalist in best student paper contest) at IEEE SSP'05, IWAENC'06, IEEE Asilomar'06 and IEEE ICASSP'17. He has been an associate editor for various journals, and conference organizer of SPAWC'06, IWAENC'14, EUSIPCO'15. He was a member of the IEEE-SPS Awards Board 2011–13 and of the EURASIP JWCN Awards Committee. Over the past 10 years he has participated in the French projects ERMITAGES, ANTIPODE, PLATON, SEMAFOR, APOGEE, SESAME, DIONISOS, and DUPLEX (which he coordinated), MASS-START and GEOLOC, summing to over 2M€ in funding, and in the European projects K-SPACE, Newcom/++/#, WHERE(2), CROWN, SACRA, ADEL and HIGHTS summing up to over 2.5M€ in funding. He has also had a number of direct research contracts with Orange (6), Philips, NXP, STEricsson, Infineon, and Intel, and scholarships for 10 PhD students. He cofounded in 2000 SigTone, a start-up developing music signal processing products, and in 2014 Nestwave, a start-up developing Ultra Low-Power Indoor and Outdoor Mobile Positioning. He has also been active as a consultant on xDSL, DVB-T and 3G systems. He is a Fellow of IEEE and EURASIP. In 2018 he received the URSI France medal.

List of Contributors

  • Dani Anderson
  • Department of Electronic and Electrical Engineering
  • University of Strathclyde
  • Glasgow
  • United Kingdom
  • Adrish Banerjee
  • Department of Electrical Engineering
  • Indian Institute of Technology Kanpur
  • Kanpur
  • India
  • Sudip Biswas
  • Indian Institute of Information Technology
  • Guwahati
  • India
  • M. Majid Butt
  • Nokia Bell Labs
  • Paris-Saclay
  • France
  • Ali Cagatay Cirik
  • Ofinno Technologies
  • USA
  • Youjia Chen
  • Fuzhou University
  • Fuzhou
  • P.R. China
  • David Crawford
  • Department of Electronic and Electrical Engineering
  • University of Strathclyde
  • Glasgow
  • United Kingdom
  • Ming Ding
  • Commonwealth Scientific and Industrial Research Organisation (CSIRO)
  • Eveleigh
  • Australia
  • María Dolores (Lola) Pérez Guirao
  • Sennheiser Electronic GmbH & Co. KG
  • Wedemark
  • Germany
  • Miltiades C. Filippou
  • Intel Deutschland GmbH
  • Neubiberg
  • Germany
  • Kalyana Gopala
  • Institut Eurecom
  • Communication Systems Department
  • Biot Sophia Antipolis
  • France
  • Abhishek K. Gupta
  • Department of Electrical Engineering
  • Indian Institute of Technology Kanpur
  • Kanpur
  • India
  • Tero Henttonen
  • Nokia Bell Labs CTO
  • Espoo
  • Finland
  • Eduard A. Jorswieck
  • TU Braunschweig
  • Braunschweig
  • Germany
  • Faheem Khan
  • School of Computing and Engineering
  • University of Huddersfield
  • Queensgate
  • Huddersfield
  • United Kingdom
  • Vireshwar Kumar
  • Virginia Tech
  • Arlington
  • USA
  • Markku Kuusela
  • Nokia CSD Digital Automation
  • Lahti
  • Finland
  • Daniela Laselva
  • Nokia Bell Labs
  • Aalborg
  • Denmark
  • William Lehr
  • Massachussetts Institute of Technology
  • Cambridge
  • USA
  • Fan Liu
  • Department of Electronic & Electrical Engineering
  • University College London
  • London
  • United Kingdom
  • David Lópéz-Pérez
  • Nokia Bell Labs
  • Dublin
  • Ireland
  • Christos Masouros
  • Department of Electronic & Electrical Engineering
  • University College London
  • London
  • United Kingdom
  • António J. Morgado
  • Instituto de Telecomunicações
  • Aveiro
  • Portugal
  • Markus Mueck
  • Intel Deutschland GmbH
  • Neubiberg
  • Germany
  • Konstantinos Ntougias
  • University of Cyprus
  • Nicosia
  • Cyprus
  • Taiwo Oyedare
  • Virginia Tech
  • Arlington
  • USA
  • Constantinos B. Papadias
  • Research, Technology and Innovation Network
  • The American College of Greece
  • Athens
  • Greece
  • Georgios K. Papageorgiou
  • Heriot-Watt University
  • Edinburgh
  • United Kingdom
  • Jung-Min (Jerry) Park
  • Virginia Tech
  • Arlington
  • USA
  • David Lópéz-Pérez
  • Nokia Bell Labs
  • Dublin
  • Ireland
  • Marius Pesavento
  • Darmstadt University of Technology
  • Darmstadt
  • Germany
  • Sofie Pollin
  • KU Leuven
  • Heverlee
  • Belgium
  • Sreeraj Rajendran
  • KU Leuven
  • Heverlee
  • Belgium
  • Rao Yallapragada
  • Intel Corp.
  • San Diego
  • USA
  • Tharmalingam Ratnarajah
  • University of Edinburgh
  • Edinburgh
  • United Kingdom
  • Mika Rinne
  • Nokia Technologies
  • Espoo
  • Finland
  • Claudio Rosa
  • Nokia Bell Labs
  • Randers
  • Denmark
  • Mathini Sellathurai
  • School of Engineering & Physical Sciences
  • Heriot-Watt University
  • Edinburgh
  • United Kingdom
  • K.A. Shruthi
  • Department of Electronic and Electrical Engineering
  • University of Strathclyde
  • Glasgow
  • United Kingdom
  • Dirk T.M. Slock
  • EURECOM
  • Communication Systems Department
  • Biot Sophia Antipolis
  • France
  • Srikathyayani Srikanteswara
  • Intel Corp.
  • OR
  • USA
  • Christian Steffens
  • Hyundai Mobis
  • Frankfurt
  • Germany
  • Robert W. Stewart
  • Department of Electronic and Electrical Engineering
  • University of Strathclyde
  • Glasgow
  • United Kingdom
  • Andrew Stirling
  • Larkhill Consultancy
  • Surrey
  • United Kingdom
  • Richard Womersley
  • LS Telcom
  • Germany

Preface

Our efforts over the years to tame the air as a communication medium have been hampered by the electromagnetic spectrum's limiting nature since the early days of radio. Unlike wired communication over, for example, copper wires or fiber, where new channels can be added simply by using more cables, wireless communication systems and networks have always had to struggle to fit as many communication links as possible into a given geographic area through the same medium. Given the finite available spectrum (due to nature, regulation and to the transmitter and receivers' capabilities) and Shannon's fundamental law of channel capacity, electromagnetic spectrum management has become a crucial ongoing need that accompanys all types and generations of wireless systems and networks.

The canonical paradigm in spectrum allocation has been to provide orthogonal channels to the different users in a given geographic area – and then of course to reuse the same spectrum in other geographic areas. This simple principle, including a careful frequency planning and dimensioning of the resulting interference, has allowed cellular networks to develop rapidly since the late 1980s all the way to today's phenomenal success of 4G and emerging 5G networks, which have impacted all types of human activity and have changed the way we interact, do business, and provide various services to citizens. In order to meet the cellular networks' growing demands in data rates, capacity, and quality-of-service (QoS) requirements, more and more spectrum keeps being allocated, typically through government-based licensing that provides exclusive (often national level) rights of use to a number of operators, usually for a high fee, following the orthogonal allocation paradigm mentioned earlier. The orthogonal model has permitted operators to provide QoS guarantees to their users.

However, in parallel with the strict paid licensing model mentioned above, unlicensed use of the spectrum has been also allowed for a number of applications that do not need to provide QoS guarantees to their users and whose range and user density are smaller than that of cellular networks. Such applications included, in the early years, amateur radio, cordless phones, and even non-communication uses such as microwave ovens and other appliances. A big boost to the unlicensed use of spectrum was undoubtedly given by the proliferation of wireless local area networks (LANs) that rely on Wi-Fi-type systems. In spite of the lack of QoS guarantees (and benefiting from continuously improved protocols), Wi-Fi has become a huge success, largely due to its fee-free use and little interference in several, typically static, environments (such as the home or the office). As a result, these networks carry an amount of wireless data that is comparable to that of their cellular counterparts.

In parallel with the above core models of spectrum usage (licensed and unlicensed), a third paradigm has emerged over the last two decades, wherein unlicensed operators would make use of licensed spectrum. This concept originated with the advent of cognitive radio and has gone through various phases since. It relies on the key requirement that the operator who does not hold a license should not interfere with the ones who do. This may be easier in cases of sparse usage as well as when the licensed spectrum is largely unused, but is much more challenging in dense usage and crowded spectrum situations; hence, in order to succeed, this model requires a very good awareness of the spectrum activity in a given area (attained via either spectrum sensing or geolocation databases, or both), as well as of course a careful design of the wireless communication protocol used.

Collectively called “spectrum sharing,” these techniques are gaining increased traction and have evolved significantly over the last decade. This is largely due to the continued (exponential-like) growth of wireless service demands, the “addiction” of users to unlicensed broadband access, the saturation of existing licensed spectrum usage in many areas, the emergence of new types of operators and service models, the proliferation of research activity in spectrally efficient technologies, and the rather slow and bureaucratic nature of spectrum auctioning.

The purpose of this book has been to collect, in a single volume, the key technologies and approaches related to spectrum sharing, dating back to the inception of the cognitive radio concept and going all the way to today's novel approaches and emerging research concepts. Our goal has been to capture all the related dimensions, including the technical, key regulatory, standardization, and financial aspects.

We have been privileged to collaborate in the context of two important collaborative research projects that have received funding from the European Commission (under its 7th Framework Program), whose generous support is herein gratefully acknowledged. These projects are FET Open project CROWN (Cognitive Radio Oriented Wireless Networks) which ran from 2009 to 2012, and Future Networks project ADEL (Advanced Dynamic spectrum 5G mobile networks Employing Licensed shared access), which ran from 2013 to 2016. Key spectrum sharing concepts were introduced in these projects ahead of their time (such as that of horizontal sharing even within the same operator suggested in CROWN, now used in LTE Licensed Assisted Access (LAA), and sensing-assisted Licensed Shared Access proposed in ADEL, now used in the Spectrum Access System (SAS) in the USA). These projects allowed us not only to participate in the fascinating research on spectrum sharing, introducing to it several PhD students and young researchers, but also to stay in touch with the most current trends, interact with all types of stakeholders (from industrial to regulatory to end users), and contribute to exciting proof-of-concept demos of emerging solutions. They also helped us to establish numerous research collaborations with a growing number of research teams that have continued and expanded beyond these projects and due to which this endeavor is largely owed.

Given the spurt of activity in spectrum sharing and our personal involvement and interactions, we felt that the time was right for a comprehensive edited volume on the topic, written by some of the top experts in all related areas. We were highly encouraged by the many positive responses for chapter contributions and are grateful to all the authors for their inputs and for allowing us to cover all the topics that we deemed important, including very recent ones such as full duplex-based spectrum sharing, communication-radar coexistence, mmWave, massive MIMO, and machine learning-based spectrum monitoring, among others.

Our addressable audience includes readers from the academic (students, professors), industrial (engineers, practitioners), as well as regulatory/standardization sectors, who share an interest on how spectrum has been used to date and how it can be best used and shared in the coming years.

To the extent that the interested reader will find the answers they are looking for and acquire a well-rounded knowledge of spectrum sharing technology and its surrounding ecosystem, our goal will have been met. We hope that all readers will do so and that this book becomes a useful item of their library and a reference for years to come!

Constantinos B. Papadias

Athens, Greece

Tharmalingam Ratnarajah

Edinburgh, United Kingdom

Dirk T.M. Slock

Sophia Antipolis, France

Dedicated to the many researchers and engineers whose contributions over the years have made this book possible.