Spectrum Policy Research Articles

Regulatory and spectrum policy challenges for combined airspace and non-terrestrial networks

The recent advancements in the aviation and space industries facilitate new types of users in the sky, e.g., electrical vertical take-off and landing (eVTOL) aircraft. To unlock the full potential of these innovations, it is crucial to create interconnected three-dimensional networks that integrate airspace and non-terrestrial networks (NTNs) with their terrestrial counterparts, also known as Combined Airspace and Non-Terrestrial Networks (ASN). Combined ASN needs a flexible and adaptive network architecture with multiple, and partly converging technologies, such as air-to-ground, satellite, and high-altitude platforms, with a focus to cover both ground and aerial users. In addition to technical challenges, spectrum policy and regulatory aspects will affect the wireless network design and management schemes in three-dimensional space. Hence, this paper introduces regulatory and spectrum policy challenges posed by the development of combined ASN. This paper investigates a hypothetical urban air mobility use case with an eVTOL aircraft that operates as a flying taxi.

Light-speed, contemporary war, and Australia’s national defence strategic review

In our hyperconnected contemporary world, military and civilian digital and cyber technologies rely upon uncontested and uncongested access to frequencies in the electromagnetic spectrum (EMS). This reliance enables light-speed signalic connectivity, interconnectivity, operability, and interoperability of the systems and devices that perpetuate twenty-first century modes of information, remote, hybrid, and digital warfare. Informed by cultural theorist Paul Virilio’s commentaries on speed, light-speed, and war, this article examines speed as an inflection that insidiously underpins the Australian Government’s 2023 National Defence: Defence Strategy Review (DSR) (public version). This is not an exhaustive study of light-speed or the DSR. Rather, this article aims to show how speed and light-speed, used as investigatory lenses, can provide critical insights into relationships between contemporary technology, and war. To this end, the article refers to US and UK defence and government electromagnetic spectrum policy statements, interpolating them into motivations for AUKUS, and the DSR’s positioning.

Using spectrum allocations to address indigenous rights claims: The case of New Zealand

In February 2022, the New Zealand Government announced that a yet-to-be-formed “Māori Spectrum Entity” would “receive an ongoing allocation of 20 percent of future national commercial spectrum allocations, at no cost.” This is in addition to the 25 percent of spectrum designated for 5G technology (mid-band, 3.4–3.8 GHz) under the Māori Spectrum Working Group agreement. The novel arrangement, which creates a perpetual obligation rather than simply a one-off transfer, appears to settle a long-standing dispute between the Māori indigenous people of New Zealand and the Government regarding a claim under an 1840 treaty that Māori were entitled to a share of spectrum due to their historic property rights and the Government's obligation to ensure that their language could flourish. Further support apparently derives from New Zealand's obligations as a signatory to the United Nations Declaration on the Rights of Indigenous Peoples.The decision is notable for the lack of analysis of the expected effects on long-standing sector competition and efficiency objectives in the New Zealand telecommunications industry. Importantly, it introduces a tension into New Zealand spectrum policy between the (historic) allocation of spectrum rights to achieve the most economically efficient future outcome for the benefit of all New Zealanders (including all Māori), and the (post-memorandum) allocation where a preferential set-aside has been created to address a narrow distributional objective in spectrum “ownership” and governance involving only a subset of the population identifying as Māori.While raising the latter question, this paper addresses the competition and economic efficiency issues absent so far in official consideration of the arrangement. Using comparative economic and policy analysis, we find that while wealth and control is transferred from the Crown to the Māori entity, the Māori entity faces very different opportunities and incentives to deploy the spectrum in the most socially-useful manner compared to commercial operators. The “set-aside” creates both artificial scarcity for commercial spectrum and alters the strategic options for all parties due to the Māori rights being perpetual and not subject to the same terms and conditions as commercial spectrum. Additional burdens are imposed on New Zealand telecommunications service consumers not borne by those in jurisdictions without such policies, and relative to the counterfactual of full open auction of the relevant rights.We conclude that the agreement effectively subjugates sector competition and efficiency objectives to distributional concerns. Furthermore, granting specific policy development rights to the Māori entity suggests the agreement is not simply a vehicle for administering Māori spectrum but instead establishes a constitutional “co-governance” partnership between a state agency and the Māori entity governing future New Zealand spectrum policy. These fundamental changes to spectrum policy are unprecedented internationally.

Investigating Spectrum Allocation Policies to Accommodate New Entrants in the Market: A Case Study of South Africa

One of the goals of the telecommunications industry is to provide universal connectivity to its consumers. Achieving this goal is highly dependent on the allocation of radio frequency (RF) spectrum. The RF spectrum refers to the frequencies assigned to diverse services such as mobile, fixed, and satellite services. These allocations are regulated by international, regional, and local authorities. Countries across the globe have embarked on the journey to transform their RF spectrum allocation policies to be more inclusive and hybrid in nature. Such changes in some countries, have enabled new entrants and incumbent operators to provide low-cost connectivity into small rural communities, bridging the digital divide gap. Due to current policies by some regulators and perceived anti-competitive laws, new entrants and small operators find it difficult to penetrate the telecommunications market in South Africa. To address this challenge, the overall and ongoing study, proposes an alternative and inclusive framework for universal coverage and low-cost connectivity that accommodates both incumbent and new entrant operators in South Africa. To achieve this aim, a qualitative desktop research approach was used to analyze publicly available information, including journal articles, RF spectrum policy documents from various countries, International Telecommunication Union (ITU) documents and other academic sources. The objective of this paper is to contribute to the ongoing discussions regarding the policy on the allocation of RF spectrum. As this is an ongoing study, preliminary findings indicated that auctions remain a popular RF spectrum allocation model of choice, despite being perceived by some scholars as less competitive and inflexible. The final study findings, which would be in a subsequent research paper, aim to develop a new RF spectrum framework that may help achieve universal coverage and low-cost connectivity in South Africa.

Coexistence and Spectrum Sharing Above 100 GHz

[...] This paper explores how spectrum policy and spectrum technologies can evolve to enable sharing among different stakeholders in the above 100 GHz spectrum, without introducing harmful interference or disrupting either security applications or fundamental science exploration. This portion of the spectrum presents new opportunities to design spectrum sharing schemes, based on novel antenna designs, directional ultra-high-rate communications, and active/passive user coordination. The paper provides a tutorial on current regulations above 100 GHz, and highlights how sharing is central to allowing each stakeholder to make the most out of this spectrum. It then defines - through detailed simulations based on standard International Telecommunications Union (ITU) channel and antenna models - scenarios in which active users may introduce harmful interference to passive sensing. Based on this evaluation, it reviews a number of promising techniques that can enable active/passive sharing above 100 GHz. The critical review and tutorial on policy and technologies of this paper have the potential to kickstart future research and regulations that promote safe coexistence between active and passive users above 100 GHz, further benefiting the development of digital technologies and scientific exploration.

The FCC's Auction Authority, the 3.1–3.45 GHz Conundrum, and NTIA's Spectrum Strategy

Spectrum regulation and policy have been the recent focus of many discussions at the Congress, Federal Communications Commission (FCC) and the National Telecommunications and Information Administration (NTIA). This column will provide a brief overview of three recent developments that promise to have an impact on future spectrum policy.

Ultra-Reliable Low-Latency Communication (URLLC) in 5G Networks: Enabling Mission-Critical Applications

In 5G networks, Ultra-Reliable Low-Latency Communication (URLLC) is a critical technology that supports mission-critical applications in various industry sectors. This study investigates the importance, difficulties, and policy consequences of URLLC deployment. A thorough assessment of the literature, an analysis of the underlying technologies, performance evaluation methods, and the effect of URLLC on mission-critical systems are all part of the process. Principal discoveries underscore the revolutionary possibilities of URLLC in healthcare, transportation, industrial automation, and public safety. However, they also point to obstacles to technological optimization, spectrum distribution, security, and interoperability. The significance of proactive steps in spectrum policy, regulatory frameworks, data protection, and research funding is highlighted by policy implications as they aid in successfully implementing URLLC. Stakeholders may fully realize the potential of URLLC to build a connected world where incredibly dependable communication enables people, companies, and communities to prosper and innovate in the digital era by tackling these issues and accepting policy actions.

Starting 2023

Happy New Year! IEEE Wireless Communications continues to strive for excellence in the field of wireless communications. In 2022, it achieved the highest bibliometric level because of its inauguration with an impact factor of 12.777, Eigenfactor of 0.01708, article influence score of 3.063, and CiteScore of 22. Kudos to our readers, authors, reviewers, editors, and the publication staff! In 2022, we published a total of 114 articles, of which 51 were derived from nine special issues (SI) and feature topics, covering topics in network slicing, 6G, enhanced fronthaul, security, protocols and algorithms, blockchain, emergency communications, artificial intelligence, and coexistence of drone and terrestrial networks. Thanks to our column editors, we were able to enlighten readers via column articles in Spectrum Policy and Regulatory Issues, Industry Perspectives, Book Reviews, and Scanning the Literature.

Rethinking Spectrum Governance After the FAA and FCC’s Turf War Over 5G

The rollout of 5G technology promised transformative benefits for consumers and the economy. But a protracted dispute between the FCC and FAA relating to 5G interference with airplane safety equipment prevented a smooth 5G rollout. While the FCC was giving wireless companies the green light to roll out 5G service, the FAA was warning of apocalypse if they did. What resulted was a turf war between the FAA and FCC, revealing a dysfunctional process (or lack thereof) for handling spectrum interference concerns. This Comment argues that the United States’ spectrum management system needs an overhaul to prevent similar agency turf wars over spectrum policy. This overhaul can be achieved partly by consolidating some spectrum management authority, currently dispersed between multiple agencies, in a single agency. And it can be achieved by enhancing coordination and cooperation between agencies where authority over spectrum policy remains dispersed.

Outcomes of children involved with child protection in Manitoba, Canada: a demonstration project for working in partnership across government, community organizations, and academia.

ObjectivesSPECTRUM is a unique multi-disciplinary, cross-sector collaborative research partnership between academics, government, and community organizations in Manitoba working together to address complex social problems. In our first research project, partners identified the need for quantitative evidence around outcomes of children involved with Child Protection Services (CPS), using linked administrative data. ApproachFrom the SPECTRUM partnership, a research team with CPS expertise was established, including government policy-makers, community organizations representing First Nations families, and academics from multiple disciplines. The research is guided by an Advisory Circle of First Nations Knowledge Keepers. Linking health, education, CPS, and justice data we developed a matched cohort identifying children involved with CPS (2007-2018) for whom there was discretion in the decision to 1) place them in out-of-home care (n=19,718), or 2) keep them in their family home while providing services (n=28,154). Instrumental Variable analysis, with CPS agency as the instrument, will be used to compare outcomes. ResultsFollowing the trajectories of these two groups of CPS-involved children over time, we will compare their mental and physical health, educational achievement, and justice system involvement while accounting for individual-level (e.g., age, sex, chronic health conditions) and family-level (e.g., family income, maternal mental health, number of siblings) factors that may contribute to these outcomes. Preliminary findings will be workshopped with the SPECTRUM partnership to facilitate discussions on framing the evidence for policy makers. The SPECTRUM policy team will then prepare policy recommendations for government to consider. The Advisory Circle and a youth advisory squad will facilitate contextualizing and mobilizing findings. Actions taken by government in response to material provided will be monitored and will inform the development of subsequent research projects conducted by SPECTRUM. ConclusionGovernment and community stakeholder involvement throughout bolsters the likelihood of evidence translating into program and policy changes. This is not a situation where academics are telling government how to do their jobs – this is government, community organizations, and academics working together with the shared goal of better outcomes for children.

Elite-CAM: An Elite Channel Allocation and Mapping for Policy Engine over Cognitive Radio Technology in 5G.

The spectrum allocation in any auctioned wireless service primarily depends upon the necessity and the usage of licensed primary users (PUs) of a certain band of frequencies. These frequencies are utilized by the PUs as per their needs and requirements. When the allocated spectrum is not being utilized in the full efficient manner, the unused spectrum is treated by the PUs as white space without believing much in the concept of spectrum scarcity. There are techniques invented and incorporated by many researchers, such as cognitive radio technology, which involves software-defined radio with reconfigurable antennas tuned to particular frequencies at different times. Cognitive radio (CR) technology realizes the logic of the utility factor of the PUs and the requirements of the secondary users (SU) who are in queue to utilize the unused spectrum, which is the white space. The CR technology is enriched with different frequency allocation engines and with different strategies in different parts of the world, complying with the regulatory standards of the FCC and ITU. Based on the frequency allocation made globally, the existing CR technology understands the nuances of static and dynamic spectrum allocation and also embraces the intelligence in time allocation by scheduling the SUs whenever the PUs are not using the spectrum, and when the PUs pitch in the SUs have to leave the band without time. This paper identifies a few of the research gaps existing in the earlier literature. The behavioral aspects of the PUs and SUs have been analyzed for a period of 90 days with some specific spectrum ranges of usage in India. The communal habits of utilizing the spectrum, not utilizing the spectrum as white space, different time zones, the requisites of the SUs, the necessity of the applications, and the improvement of the utility factor of the entire spectrum have been considered along with static and dynamic spectrum usage, the development of the spectrum policy engine aligned with cooperative and opportunistic spectrum sensing, and access techniques indulging in artificial intelligence (AI). This will lead to fine-tuning the PU and SU channel mapping without being hindered by predefined policies. We identify the cognitive radio transmitter and receiver parameters, and resort to the same in a proposed channel adaption algorithm. We also analyze the white spaces offered by spectrum ranges of VHF, GSM-900, and GSM-1800 by a real-time survey with a spectrum analyzer. The identified parameters and white spaces are mapped with the help of a swotting algorithm. A sample policy has been stated for ISM band 2.4 GHz where such policies can be excited in a policy server. The policy engine is suggested to be configured over the 5G CORE spectrum management function.

Dynamic spectrum sharing between active and passive users above 100 GHz

Sixth-generation wireless networks will aggregate higher-than-ever mobile traffic into ultra-high capacity backhaul links, which could be deployed on the largely untapped spectrum above 100 GHz. Current regulations however prevent the allocation of large contiguous bands for communications at these frequencies, since several narrow bands are reserved to protect passive sensing services. These include radio astronomy and Earth exploration satellites using sensors that suffer from harmful interference from active transmitters. Here we show that active and passive spectrum sharing above 100 GHz is feasible by introducing and experimentally evaluating a real-time, dual-band backhaul prototype that tracks the presence of passive users (in this case the NASA satellite Aura) and avoids interference by automatically switching bands (123.5–140 GHz and 210–225 GHz). Our system enables wide-band transmissions in the above-100-GHz spectrum, while avoiding harmful interference to satellite systems, paving the way for innovative spectrum policy and technologies in these crucial bands.

Spectrum Administration for Mobile Services in India: Need for a Regime Change

ABSTRACT India’s spectrum management policies have transitioned from administrative allocation of spectrum to market-based assignment methods through auction, technological neutrality of licenses, and stronger ownership rights. Yet, the mobile service market in India has experienced financial distress, exit of operators, and growing concentration. 5G technologies will require wider access to spectrum resources, capital investment, and business innovation. This article examines how regulatory policies for availability and pricing of spectrum have impacted India’s mobile markets. Based on a comparative analysis of international spectrum policy trends, it concludes that India’s spectrum regime would require essential policy changes to meet the requirements of 5G.

Spectrum flexibility and mobile telecommunications development

We study the effects on the mobile telecommunications market from three specific spectrum policies: the presence of a secondary market, a technological neutrality approach, and the possibility of sharing agreements among operators. We find that when these policies are jointly adopted, investment is 35.9% larger than when that is not the case. After two years, network coverage and service penetration can be increased by 9.8% and 0.9%, respectively, and prices can be reduced by 5.8%. When considering an extended period, dynamic effects result in enhanced outcomes. The findings support policies that promote flexible approaches towards spectrum management for mobile development.

Possible Use of MIMO/Massive MIMO Technology to Increase Spectrum Access by Controlling Interservice Interference

Most wireless technology researchers view obtaining access to spectrum as a specialty for others who focus solely in spectrum policy. Thus, the researcher finds out from others what bands are available for their application. In many cases, the question of whether band x can be used for application <tex>$y$</tex> ultimately depends on whether this application in this band will cause interference to other users in either the same band or nearby bands. This type of problem is usually approached by developing power budgets for both the desired transmitter to desired receiver path as well as from the new band user transmitter to incumbent receiver path and checking what the desired-to-undesired-signal ratios are and whether they will result in harmful interference. Generally, the design of equipment for new spectrum uses has not been greatly influenced by the need to protect incumbent spectrum uses. Rather, spectrum regulators often base use decisions on traditional technology and whether such technology might result in interservice interference to incumbent systems.

Happy New Year 2022!

In 2021, IEEE Wireless Communications has made tremendous achievements again thanks to the great contributions of readers, authors, reviewers, editors, and the publications staff. In 2021, we published nine special issues and feature topics, with special topics on full duplex communications, edge intelligence, e-health applications, IoT applications, aerial computing, AI-assisted wireless communications, and intelligent surfaces for 5G and beyond. We received 302 submissions and published 71 high-quality articles in those nine special issues and feature topics. In addition, we received 274 open call submissions in 2021 and published 72 excellent articles in the six issues in 2021. Moreover, we also published special column articles in Scanning the Literature, Book Reviews, Industry Perspectives, and Spectrum Policy and Regulatory Issues in each of the six issues in 2021, thanks to the contributions of the column editors. I am very happy to announce that IEEE Wireless Communications received better bibliometrics in the 2020 edition of the Journal Citation Reports. The new impact factor is 11.979, the eigenfactor is 0.01575, and the article influence score is 2.829. I would like to take this opportunity to thank all the people again who have made significant contributions to this magazine! In the new year 2022, IEEE Wireless Communications will continue to meet the new challenges and serve our community in developing next generation wireless technologies.

Enabling Universal Connectivity via Data-Driven Policymaking: A North American Case Study

The lack of universal broadband connectivity is becoming a significant hurdle in today's growing digital world. Despite considerable efforts via numerous grant programs, subsidies, private investments, and research initiatives, the disparity between urban and rural communities continues to widen. The COVID-19 pandemic has further emphasized the importance of affordable high-speed Internet to access many social and economic opportunities including remote work, distance learning, and telemedicine. Nevertheless, with the rise of big data, it is now possible to better understand this digital divide from a data-driven perspective. In this article, we leverage a massive crowd-sourced dataset of smartphone device measurements to extract key insights regarding the current state of the digital divide in North America. Specifically, we quantify the extent of the gap, examine the impact of the COVID-19 pandemic, and explore possible socioeconomic factors that may be influential in operator business models. Finally, we demonstrate how crowdsourced datasets can be leveraged to monitor the impact of emerging technologies, to better direct federal broadband funds, and to make more informed spectrum policy decisions.

Spectrum Flexibility and Mobile Development

In this paper we study the effects on mobile market outcomes from three specific attributes linked to a flexible spectrum policy: the presence of a secondary market for spectrum trading, a technological neutrality approach, and the possibility of conducting sharing agreements among operators. In terms of market outcomes, we identify four possible variables: capital investment, network coverage, service pricing, and adoption. After designing a precise causal approach linking the above-mentioned variables, we were able to identify a significant impact on the four independent variables from the spectrum policies. When those three policies are jointly adopted, mobile capital investment is 35.9% larger than when that is not the case. In addition, promoting these policies can increase network coverage by 9.8% after two years, bring down mobile broadband prices by -5.8%, and increase mobile broadband unique subscribers’ penetration by 0.9%. When we consider a wider period of 5-years, dynamic effects take over, resulting in mobile broadband prices being reduced in -14.3% and mobile broadband unique subscribers’ penetration potentially increasing in 2.4%. These results were verified to be robust after the addition of control variables and when controlling for potential endogeneities associated to these causal frameworks. In sum, we believe, based on this evidence, that a flexible approach towards spectrum management that allows for secondary trading, technological neutrality and network sharing can contribute significantly to the development of the mobile sector, thereby maximizing socioeconomic welfare.

방송통신기자재 적합성 평가제도 개선 방안에 관한 연구

The purpose of a conformity assessment system is to facilitate the supply and sale of radio and telecommunication and broadcasting equipment in the market in compliance with technical standards to prevent electromagnetic interference with other equipment and harmful effects on human health. The conformity assessment system in South Korea is significantly oriented towards pre-regulation and constitutes a government-centered regulatory framework based on the grand principles of regulatory legislation, which mainly focus on minimal and post-regulatory processes. In this paper, the original purpose of the conformity assessment system is described and desirable policy alternatives are suggested to eliminate administrative inefficiency and to secure consumer interests and national competitiveness. In addition, it is stated that the National Radio Research Agency (RRA) should aim towards the overall management of radio spectrum policies, such as the recognition, management, and supervision of certification institutes, and follow-up collaborative governance between government and private sectors when the latter conduct certification and post-regulatory processes under the supervision of the RRA.

Multi-Block Ascending Auctions for Effective 5G Licensed Shared Access

Licensed Shared Access (LSA) is a new concept proposed by the radio spectrum policy group in order to optimize spectrum usage: a Mobile Network Operator (MNO) can access temporarily to other incumbent's spectrum after obtaining a license. The licensing process is made via an auction mechanism. The mechanisms proposed in the literature for the LSA context are one-shot auction mechanisms which allocate all the available spectrum as a unique block. In this paper, we first show how to increase the performance of those auctions (in terms of revenue, efficiency and fairness of the allocation) while preserving truthful bidding, by splitting spectrum and converting single block auctions into multi-block auctions. Simulation results illustrate how appropriately choosing the number of blocks allows to increase the aforementioned metrics. Second, we show how to convert one-shot mechanisms to equivalent ascending mechanisms (in terms of allocations and payments) so that we add transparency and privacy to the auction.