5G与认知无线：异构移动网络的高级共享技术提升

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《认知无线电、移动通信与无线网络》是一本新出版的高清英文版专著，由Mubashir Husain Rehmani和Riadh Dhaou共同编辑，收录在EAI/Springer创新通信与计算系列中，该系列的系列编辑由Imrich Chlamtac担任，他来自意大利CreateNet公司，Trento分部。本书旨在探讨信息技术对现代社会产生的深远影响，以及这些技术背后的驱动力。在5G网络中，通过密集部署异构移动网络（HMNs）所实现的利益可以进一步提升，而本书特别关注了利用先进的谱共享技术来增强这一潜力。认知无线电技术是核心话题之一，它是一种智能无线通信系统，能够动态地感知、理解和利用无线频谱资源，从而提高频谱效率和可用性。在移动通信领域，书中会深入研究多用户、多信道环境下的协作通信、自适应调制编码和无线接入技术，以及如何通过网络切片和边缘计算优化用户体验。此外，作者还将讨论无线网络设计中的关键问题，包括频谱管理、多天线技术和无线传输理论。移动通信的章节可能涵盖了蜂窝网络架构、无线接入点部署策略、以及移动互联网的演变。书中还会涉及物联网(IoT)的最新发展，包括智能家居、智慧城市和工业4.0中的无线连接应用。另外，本书将探讨智能电网、能源管理和绿色通信技术，这些都是随着云计算和大数据增长而产生的关键领域。计算和数据处理能力的增强，使得云计算、边缘计算和分布式计算成为无线网络的重要组成部分。同时，书中也将关注无处不在的连接性和用户体验优化，包括服务质量(QoS)保证、无缝漫游和网络切片技术。《认知无线电、移动通信与无线网络》不仅提供了一个全面的技术全景，还强调了创新技术如何塑造未来的信息社会，以及在实现高效、安全和可持续的无线通信方面所起的关键作用。对于通信工程、计算机科学以及对无线网络技术感兴趣的读者来说，这本书无疑是一份极具价值的参考资料。

1.2.4 Citizen Broadband Radio Service with Spectrum Access

System

The Citizens Broadband Radio Service (CBRS) sharing model is a three-tier sharing

model introduced by the Federal Communications Commission (FCC) in the USA

for a 3550–3700 MHz band [18]. It enables additional usage on a band with existing

incumbent usage on both licensed and license-exempt basis, while protecting the

incumbent’s rights. It introduces additional licensed users (Priority Access Licenses

(PALs)), which have operational certainty similar to the LSA licensees, as well as

additional license-ex empt General Authorized Access (GAA) users. These GAA

users need to be registered as CBRS users so there will be a ﬁnite number of GAA

users and their operations are not protected from other CBRS users as PALs. The key

component for the management of interference in this concept is the Spectrum

Access System (SAS). It coordinates the spectrum usage of the CBRSs to protect

the incumbents and PALs from other CBRS users. SAS is a combination of control

functions and database for the coordination of inte rference. Additionally, the CBRS

concept has adopted environmental sensing capability (ESC) for monitoring the

incumbent activity which would detect the appearance of speciﬁc incumbents.

The US three-tier CBRS model is a more complex sharing model than the LSA

concept as it introduces a third tier of opportunistic access which is not present in the

LSA. The CBRS model provides a rich ecosystem by paving the way for new

players to access the market. It enable s more dynamic operations and improves the

spectrum usage efﬁciency. However, the complexity of the concept is high. PAL

licenses are issued on a census track level, which may result in very small areas for

the licenses and complicated interference scenarios.

1.2.5 Pluralistic Licensing

The main idea of pluralistic licensing was proposed as an innovative approach to

spectrum sharing between primary and secondary players (operators) [17]. It can be

understood as the award of lice nses under the assumption that opport unistic second-

ary spectrum access will be allowed and that interference may be caused to the

primary with parameters and rules that are know n to the primary at the point of

obtaining the license [17]. Here we assume that the primary operator will choose

from a range of offered pluralistic licenses, each with a different fee structure, and

each specifying alternative opportunistic access rules that can be mapped to associ-

ated interference characteristics [6, 19]. As the core license is still granted to the

primary operator, the main control mechanisms are kept by the primary. The primary

might trade-off the form and degree of opportunistic access for a various licensing

fees or another incentive. The decisions under pluralistic licensing can be made on

short- or long-term, as well as on the geographical basis. It is worth noting that there

might be some control mechanisms applied between co-primary operators at the

1 Towards Spectrum Sharing in Virtualized Networks: A Survey and an Outlook 7

same locations. Once the decisions are made and the offers are available to inte rested

secondary operators, a cognitive mechanism is used by the operators to access the

band. The details of the access mechanism (i.e. if the use of sensing or databases will

be required, etc.), as well as its radio characteri stics, depend on the context within

which the band is chosen to operate. This context (agreed by the primary operator)

deﬁnes the extent to which the secondary must avoid interfering with the primary.

Like any dynamic solution, the concept of pluralistic licensing creates new

degrees of freedom in the system design and management. The spectrum holders

(operators) can create their own rules for spectrum sharing depending on their

respective priorities associated with, e.g. company development strategy, ﬁnancial

status, or geographical conditions (such as expected trafﬁc). On the other hand, a

natural consequence of increasing system ﬂexibility is the increase in the complexity

of its management.

1.2.6 Licensed Assisted Access (LAA)

The use of unlicensed frequency band located around 5 GHz has been garnering

signiﬁcant attention recently. In particular, the use of the long-term evolution (LTE)

technology in the unlicensed bands has led to the development of LTE-Unlicensed

(LTE-U) solution. The use of unlicensed band requires coexistence of WiFi and

LTE-U users. One way to enable this is to dynamically select clear channels, which

would lead to avoidance of WiFi interference. However, the presen ce of vacant WiFi

channels is not always guaranteed. Thus, clear channel assessment (CCA) or listen-

before-talk (LBT) approach is needed for such unlicensed spectrum use. Further-

more, LAA introduced in Rel. 13 of the LTE standard is based on the assumption

that unlicensed band can be used with the licensed one. Different scenarios can be

considered relevant here, for example, transmitting control data using licensed band

and user data transmission using aggregation of licensed and unlicensed bands. This

is under the assumpti on that the unlicensed bands will be vacated in the case where

trafﬁc will be low enough to be suppor ted by using licensed bands. Usually, LAA is

considered for supporting downlink trafﬁc by the use of unlicensed spectrum bands.

This issue has been discu ssed extensively in a number of recent studies [20–25].

1.2.7 Co-primary Shared Access

Co-primary shared access (CSA) is a relatively recent concept, which assumes that

operators (that are peers) decide to jointly utilize a certain portion of their licensed

spectrum. For details see [5, 26]. Speciﬁcally, two CSA cases can be deﬁned: mutual

renting, where operators keep their respective licenses, but they can mutually rent

8 F. Ahmed et al.

part of the spectrum under certain conditions; and spectrum pooling, in which case

the dedicated chunk will be in common use, based on the group licenses. It is

important to note that mutual renting can be regarded as a speciﬁc form of LSA

among a limited set of operators. On the other hand, different cooperation-based

approaches can be considered in the case of spectrum pooling.

1.3 Legal Regulations for Spectrum Sharing

The proliferation of networks, services, and subsequently the ever-increasing

demands for more radio spectrum has pushed the netw ork operators, researchers,

and regulators to look beyond simple licensed and unlicensed spectrum use and

adopt more efﬁcient sharing and management concepts in future network architec-

tures. The level of attention a particular technology receives from these main players

is usually a good indicator of its true potential. Spectrum sharing and its different

application models have received particular attention from networks researchers as

can be assessed by the amoun t of research literature available on these topics. In

recent history, the regulators have also followed suit and looked at different ways to

facilitate inter-operator/networks spectrum sharing in many spectrum bands. Theo-

retically, a simpler approac h towards meeting the demands of mobile networks for

more radio spectrum is to rearrange the existing allocation. A simple rearrangement

of spectrum allocation can free up more radio spectrum for licensed and unlicensed

use and keep the existing primitive metho d of spectrum sharing, i.e. division/

partitioning into different spectrum bands for different mobile networks. Practically,

however, this approach incurs many costs associated with upgrading the infrastruc-

ture and devices of the network operators and users together with many administra-

tive challenges. For example, in the USA, vacating 1710–1755 MHz band for

commercial use cost an estimated 1.5 billion US dollars and took 6 years to clean

up the spectrum. Additionally, this rearrangement approach does not solve the

spectrum underutilization problem. Therefore, spectrum sharing must be incorpo-

rated in future network architectures not only through techno logy development but

also through well-deﬁned rules and regulations.

Legal regulations pertaining to spectrum use in different parts of the world are

determined by country-/region-speciﬁc regulatory bodies. In the recent past, many

initiatives have been taken by different regulators across the world to adopt some of

the above-mentioned spectrum sharing models. The main drivers for these initiatives

have been the demands for more spectrum and the potential new revenue streams

which could be generated from not only basic spectrum sharing but also through

sophisticated business models among the network operators. This section summa-

rizes some of the recent regulatory efforts for facilitating spectrum sharing in current

and future networks scenarios.

1 Towards Spectrum Sharing in Virtualized Networks: A Survey and an Outlook 9

1.3.1 Spectrum Sharing Regulations in the USA

Determining spectrum access regulations in the USA is the responsibility of the FCC

and National Telecommunications and Information Administration (NTIA) who

jointly formulate the rules for spectrum access in the country. They regulate the

RF spectrum from 3 KHz to 300 GHz and jointly decide upon Federal (Fed) and

Nonfederal (NFed) use. A cursory look at these regulations shows that a stronger

focus has recently been laid on its adoption and facilitation in future networks

landscape. As the list of spectrum sharing initiatives by FCC and NTIA in different

spectrum bands is long, this section only provides a concise summary. In 2013,

based on a US presidential memorandum, the FCC and NTIA initiated a report on

their activities for facil itating spectrum sharing in the USA. Subsequently, 13 differ-

ent initiatives were taken to support both conventional and new models of spectrum

sharing in different spectrum bands ranging from 50 MHz to 100 GHz. These

initiatives focus on supporting secondary use (licensed and unlicensed) in presence

of existing Fed, NFed, and broadcast (e.g. TV) incumbent users. The coordination

for spectrum access between primary and secondary users in these initiatives is based

on manual coordination, TV white space databases, dynamic spectrum selection,

spectrum access system, and directional transmissions with emission bounds. In

addition, many federal agencies in the USA are exerting signiﬁcant R&D efforts on

spectrum sharing driven by $100 million funding throu gh the National Science

Foundation, NTIA, DARPA, and the National Institute of Standards and Technology

(NIST). Under this umbrella, several research groups including Wireless Spectrum

Research and Development (WSRD), Enhancing Access to the Radio Spectrum

(EARS), National Spectrum Consortium (NSC), etc. have been formed to primarily

focus on RF spectrum utilization. A complete list and description of these initiatives

together with technical speciﬁcations can be found in [27].

1.3.2 Spectrum Sharing Regulations in Europe

Regulators in Europe have also identiﬁed spectrum sharing as a key technology to

support mobile broadband applications and have taken several steps for its realiza-

tion in future netw orks. As the formulation of actual regulations on spectrum sharing

can only follow a detailed research and analysis, the EC has initiated several works

to assess the costs, beneﬁts, and challenges of the different spectrum sharing models.

In 2012, a special Radio Spectrum Policy Program (RSPP) was approved by EC with

the mandate to harmonize spectrum use across Europe and support efﬁcient use and

management. In this respect, collective use of spectrum (CUS) and LSA have been

identiﬁed as two broad classes of spectrum sharing. The CUS essentially looks to

offer more RF spectrum for license-free access to many networks and is therefore

hindered by spectrum re-farming and capacity issues. Nevertheless, several trials

under the RSPP have demonstrated successful CUS implementation in

10 F. Ahmed et al.

863–870 MHz frequency range, sharing spectrum among a large number of wireless

microphones, sensors, and tracking devices. The LSA concept on the other hand is

based on shared spectrum rights. It provides a more predictable level of QoS over the

shared spectrum guaranteed by the spectrum regulators. The LSA approach and its

different variants are considered withi n Europe as the enable r for MBB within the

2.3–2.4 GHz frequency range. Another main activity for supporting shared spectrum

access in Europe is based around the TV white space utilization for secondary

access, where a white space is deﬁned as a time-/location-speciﬁc spectrum access

opportunity. A preliminary assessment was carried out for white space devices

(WSDs) in the UHF frequency band between 470 and 790 MHz for the adoption

of a geolocation database and other technical requirements to enable the operation of

WSDs. The development of telecommunication standards within EU falls under the

responsibility of ETSI. Recently, ETSI Reconﬁgurable Radio Systems (RRS) group

has produced server technical reports on spectrum sharing and have explored

different scenarios including spectrum on demand [28], and the applicability of

cognitive radio concepts [29]. In addition, the group has exerted efforts on mapping

high-level functions required for LSA [30] and the realization of WSDs through

geolocation database. The advancements in mobile communication networks in

Europe are guided by 3GPP through different releases. The concept of Multi-

Operator Core Network was formulated in release-6 to not only support core

network but also spectrum sharing among different network operators. The more

recent releases have expanded the concept to other related topics such as traf ﬁc

ofﬂoading to unlicensed bands and LAA. Spectrum sharing has been identiﬁed to

play a key role in realizing the objectives of 5G networks, and many EU projects are

focusing on exploring its true potential under the EU 2020 vision such as 5G-XHaul,

COHERENT, METIS-II, etc.

1.3.3 Spectrum Sharing Regulations Elsewhere

The Australian Communications and Media Authority (ACMA) is the organization

responsible for managing the RF spectrum in Australia. ACMA produced a technical

report that discusses different spectrum management issue in Australia and an

outlook for the state in year 2019 [31]. The report focuses on generating incentives

to suppor t spectrum sharing including dynamic spectrum access and cognitive radio

concepts (underlay and overlay) in 400 MHz, 800–900 MHz, and 1800 MHz bands.

In New Zealand, the Radio Spectrum Management (RSM) is a business unit of the

Ministry of Business, Innovation, and Employment (MBIE) and is responsible for

spectrum allocation and management in the country. In 2014, it facilitated a tempo-

rary arrang ement to enable access to TV white spaces without the need of a

geolocation database with the only requirement that they comply with FCC rules

or ETSI standard EN 301 598. Similar initiatives have been undertaken in other

countries such as Canada, Singapore, China, and Korea. To summarize, the regula-

tions with respect to spectrum sharing are not very mature in the current global

1 Towards Spectrum Sharing in Virtualized Networks: A Survey and an Outlook 11

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