WO2002023758A1 - System and method and apparatus for enabling dynamic utilization of all available spectrum and dynamic allocation of spectrum - Google Patents

System and method and apparatus for enabling dynamic utilization of all available spectrum and dynamic allocation of spectrum Download PDF

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Publication number
WO2002023758A1
WO2002023758A1 PCT/US2001/028768 US0128768W WO0223758A1 WO 2002023758 A1 WO2002023758 A1 WO 2002023758A1 US 0128768 W US0128768 W US 0128768W WO 0223758 A1 WO0223758 A1 WO 0223758A1
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Prior art keywords
spectrum
service
network
step
underutilized
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PCT/US2001/028768
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French (fr)
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WO2002023758A8 (en
Inventor
Keith Fleming
Lehmann Li
Dan Molino
Sharon Wheeler
Greg Zancewitz
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Efficient Spectrum, Inc.
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Priority to US60/232,033 priority
Application filed by Efficient Spectrum, Inc. filed Critical Efficient Spectrum, Inc.
Publication of WO2002023758A1 publication Critical patent/WO2002023758A1/en
Publication of WO2002023758A8 publication Critical patent/WO2002023758A8/en

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    • HELECTRICITY
    • H04ELECTRIC COMMUNICATION TECHNIQUE
    • H04WWIRELESS COMMUNICATION NETWORKS
    • H04W16/00Network planning, e.g. coverage or traffic planning tools; Network deployment, e.g. resource partitioning or cells structures
    • H04W16/14Spectrum sharing arrangements between different networks

Abstract

A system and method for dynamic utilization of all available spectrum (Fig. 1) obtains service requests from communication stations such as a wireless unit (004). The system takes the request in a real time, and in advance, identifies underutilized spectrum to match the uderutilized spectrum to the service request. In addition the system is a signaling system that interconnects different wireless networks to enable them to exchange information.

Description

SYSTEM AND METHOD AND APPARATUS FOR ENABLING DYNAMIC UTILIZATION OF ALL AVAILABLE SPECTRUM AND DYNAMIC ALLOCATION OF SPECTRUM

RELATED APPLICATION

The present application relates back to the provisional application, Serial Number 60/232,033, filed September 12, 2000 entitled "METHODS AND APPARATUS ENABLING THE DYNAMIC UTILIZATION OF ALL AVAILABLE SPECTRUM AND THE EFFICIENT ALLOCATION OF SPECTRUM TO THE MOST HIGHLY VALUED COMMUNICATIONS SERVICES," and incorporated herein by reference.

FIELD OF THE INVENTION

The present invention generally relates to wireless communications systems. More particularly, the present invention relates to novel and improved systems and methods for utilizing radio spectrum more efficiently by: (1) dynamically identifying and utilizing any and all underutilized spectrum; and (2) dynamically allocating spectrum to the most highly valued communications services.

BACKGROUND

Almost all types of wireless services may need additional capacity at any given time. The present mvention defines wireless networks wishing to operate in underutilized spectrum as Service Demand Entities (SDE) (see DEFINITION Section for a more complete definition) and wireless networks with underutilized spectrum as Spectrum Supply Entities (SSE) (see DEFINITIONS Section for a more complete definition).

In recent years, most operators of Commercial Mobile Radio Service (CMRS) have experienced demand for wireless service that exceeds available supply, particularly during peak times and in urban areas. However, operators of other wireless services have also experienced periods when demand for their service exceeds available supply. For example, the public safety organizations often experience times when their networks become congested.

In addition, operators of many wireless services want greater access to spectrum on a long-term basis. In the U.S., the regulatory body responsible for licensing spectrum is the Federal Communications Commission (FCC), which faces requests for licenses to operate in spectrum that significantly exceeds the available supply of spectrum.

At the same time some operators of wireless services face demand that exceeds supply, other wireless operators may not fully utilize the spectrum in which they are licensed to operate.

OBJECTS OF THE INVENTION

The present invention includes the following objectives:

1. Expand capacity of wireless networks. The present invention aims to enable all wireless networks, in general, and mobile networks, in particular, to transmit and receive more traffic than they would in the absence of the invention.

2. Increase the speed of transmission. The present invention aims to enable all wireless networks, in general,* and mobile networks, in particular, to transmit traffic faster than they would in the absence of the invention.

3. Enable wireless networks to provide differentiated services. The present inyention aims to enable all wireless networks, in general, and mobile networks, in particular, to treat different traffic differently and allocate traffic to the channel resource best suited for its transmission.

4. Minimize interference with Incumbent Licensees. The present invention aims to ensure that any additional traffic transmitted over the channel resource of Incumbent Licensees does not cause undue interference with the transmissions of Incumbent Licensees.

5. Minimize total cost. The present invention aims to minimize the total cost of implementing the methods and apparatus. The total costs should be less than the value that customers would place on the incremental amount of available channel resources enabled by the invention.

6. Utilize existing and projected infrastructure as much as possible. The present invention aims to utilize existing hardware, software, and protocols deployed by Incumbent Licensees and Wireless Operators requesting channel resources.

SUMMARY OF THE INVENTION

The present invention describes a general approach of utilizing underutilized spectrum more efficiently than under existing approaches. The approach involves the SDE and the station subscribing to the wireless service provided by the SDE (Service Demand Station or SDS) transmitting and receiving signals to and from each other over a carrier frequency of the underutilized spectrum. To enable the general approach of utilizing underutilized spectrum, the present invention includes systems, methods, and apparatus that individually and collectively: *

1. Obtain requests for service, both in real-time and in advance.

2. Identify underutilized spectrum, both in real-time and in advance.

3. Match underutilized spectrum to service requests.

4. Transmit relevant information about such allocations to the SDE to enable the SDE and SDS to operate in the underutilized spectrum.

5. Ensure that the exchange of signals between the SDE and SDS do not cause undue interference with the signals exchanged between the SSE and its own stations.

The present invention applies to all wireless operators requesting service and identification of underutilized spectrum of all wireless operators. That is, the present invention enables any wireless operator needing additional spectrum to request spectrum. These operators include without limitation: CMRS operators like Verizon Wireless, television broadcast operators, either digital or analog, and satellite operators, either fixed or wireless.

DEFINITIONS

Azimuth. The angle between a reference point and some remote point that lies in the plane tangent to the earth that contains both points.

Azimuthal. Of or relating to or in azimuth.

'Brokers. An entity other than a Spectrum Supply Entity (SSE) or Service Demand Entity (SDE) that purchases, offers to purchase, sells, or offers to sell channel resources.

Channel Resource. A set comprising certain frequency, time, code, space, and polarization resources that can be used to enable a communications channel between two nodes or stations within a wireless network.

Code Resource. Channel coding and modulation techniques that enable multiple messages to be transmitted simultaneously in time using a shared communication channel.

Elevation. The angle between a reference point and some remote point that lies in the plane perpendicular to the earth that contains both points; of or relating to or in elevation.

Ellipticity. The ratio of the length of the semi-major axis to that of the semi-major axis of an ellipse. In the context of polarization, ellipticity is computed from the trajectory of the electric field vector after rotating into a coordinate system with zero tilt (see below).

Fractional Allocation. A method of channel resource allocation which allocates underutilized spectrum from some SDE's network, some other wireless network, and/or some combination of all wireless networks in response to some, but not all, service demand from the SDE.

Frequency Resource. A radio frequency band that can be used to enable a communications channel between two nodes within a wireless network.

Gateway. A node within a communications network equipped for interfacing with another network that uses different protocols.

Headers. Layer Control Information that is prepended to data that has been passed down from upper Open System Interconnection (OS1) layers.

Incumbent Licensee. The wireless operator holding the original license to operate in any given spectrum.

Information Unit. All Layer Control Information and data that has been passed down from an upper OSI layer.

Layer Control Information. Specific requests and instructions that are exchanged between peer OSI layers.

Layer Service Provider. An OSI protocol layer that provides services to Layer Service Users.

Layer Service User. An OSI protocol layer that requests services from an adjacent OSI layer.

Leading Demand Indicator. Any event or information that provides some indication of the timing and/or amount of spectrum an Incumbent Licensee will utilize in the future.

Methods. Procedures within object-oriented software.

Object-Oriented. An attribute of software that contains a collection of related procedures and data. Procedures within object-oriented software are often referred to as methods. Data within object-oriented software are often referred to as variables. Polarization Resource. A particular electromagnetic wave polarization state that may be employed by a station within a wireless network to enable a communications channel with another station within the same network. Polarization states may be defined in terms of the relative amplitudes and phases of each of two orthogonal components; by polarization state tilt and ellipticity; by a Poincarέ sphere representation; or by means of any other equivalent representation.

Poincare Sphere. A representation of the possible polarization states of an electromagnetic wave. Each point on the

Poincarέ sphere maps to a unique polarization tilt and ellipticity. i

Protected Coverage Area. A geographical area within which a station of some Incumbent Licensee is legally permitted to operate without undue interference from other stations. Regulations generally define protected coverage areas in terms of some minimum signal level received from the Incumbent Licensee's station along with a minimum acceptable desired-to-undersired signal ratio that must be respected within the coverage area.

Poynting Power Density. The power density in watts per square meter or equivalent units present in a propagating electromagnetic wave.

Request for Service (RFS). A request by a wireless operator for access to spectrum subject to the following factors, including without limitation: (a) time constraints; (b) cost constraints; (c) space constraints; (d) performance requirements; and (e) flow metrics.

Service. A set of requirements associated with transport of traffic over a network, including without limitation: time during which traffic must be transported; network performance level which must be supported while traffic is being transported; amount of traffic to be transported; and reliability with which traffic must be transported.

Service Access Point (SAP). A conceptual location at which one OSI layer can request the services of another OSI layer.

Sharing Operator. The wireless operator wishing to operate in the same spectrum as an Incumbent Licensee.

Space Resource. A channel resource defined in terms of the relation between geographical area of interest and the power density of signals being transported within a particular channel. Because wired networks employ guided transmission media, signals from one transmitting node can be transported to one or more intended receiving nodes in the network in such a way that the signal energy reaching other unintended receiving nodes is negligible. In wireless networks, the transmission medium is not guided. Therefore, the signal energy reaching unintended receiving nodes can be significant. Since a specific confined route cannot be chosen to minimize signal energy at unintended receivers, wireless networks employ transmitter output power and receiver and transmitter antenna gains to manage the sharing of space resources within a wireless network.

Spectrum Demand Entity (SDE). An entity that commits to buy underutilized spectrum. The entity could be: (1) a wireless service provider that operates its own network; (2) a wireless service provider that resells the services of other wireless service providers that operate their own network; (3) a third party acting as a broker between such operators and the Allocator and/or SSEs; (4) a party that commits to buy underutilized spectrum for speculative purposes; or (5) any other party committing to buy underutilized spectrum.

Spectrum Supply Entity (SSE). An entity that commits to provide any wireless operator access to underutilized spectrum. The entity could be: (1) an Incumbent Licensee that does not fully utilize all resources in its spectrum; (2) a wireless service provider that resells the services of other wireless service providers that operate their own network; (3) a third party acting as a broker between Incumbent Licensees and the Allocator and/or SDEs; (4) a party that commits to supply underutilized spectrum for speculative purposes; or (5) any other party committing to provide any wireless operator access to underutilized spectrum.

Stations. Any device that either transmits signals to and or receives signals from a wireless network. Such devices can be either fixed or mobile. Till. The angle through which a given coordinate system must be rotated so that the two orthogonal components of an electric field lie along the semi-major and semi-minor axes of an ellipse, where the component with lesser magnitude (including zero) lies along the semi-minor axis.

Time Resource. The time interval corresponding to the availability of frequency, code, space, and polarization resources within a communications channel. Trailers. Layer Control Information that is appended to data that has been passed down from upper OSI layers. s

Total Allocation. A method of channel resource allocation which allocates underutilized spectrum from some SDE's network, some other wireless network, and/or some combination of all wireless networks in response to all service demand from the SDE.

Underutilized Spectrum. Spectrum that serves as the frequency resource for any given Incumbent Licensee's channel for which sufficient time, code, space, or polarization resources exist such that another wireless operator could also use the same frequency resource to enable other channels on separate networks. In order for another wireless operator to use the same frequency resource owned by an Incumbent Licensee, the Sharing Operator must utilize a communications channel employing distinct time, code, space, and/or polarization resources.

Unprotected Coverage Area. Area outside of the protected coverage area of a station of some Incumbent Licensee.

Variables. Data within object-oriented software.

BRIEF DESCRIPTION OF THE DRAWINGS

Figure 1 is a block diagram of System A-l in accordance with one embodiment of the present invention.

Figure 2 is a flow chart illustrating the process for implementing System A-l in accordance with another embodiment of the present invention.

;Figure 3 is a block diagram of Apparatus A-3 in accordance with one embodiment of Method A-2.

Figure 4 is a block diagram illustrating the preferred embodiment of Method B-l in accordance with one embodiment of the present invention.

Figure 5 is a flow chart illustrating the process for implementing Method B-l in accordance with one embodiment of the present invention.

Figure 6 is a diagram illustrating how the present invention would implement Method C-2 in a particular geographical framework in accordance with one embodiment of the present invention.

Figure 7 is a block diagram illustrating the preferred embodiment of Method C-l in accordance with one embodiment of the present invention.

Figure 8 is a flow chart illustrating the process for implementing Method C-l in accordance with one embodiment of the present invention.

Figures 9 and 10 are diagrams illustrating a portion of the preferred embodiment of Method C-2 in accordance with one embodiment of the present invention.

Figures 11 and 12 are flow charts illustrating the process for implementing Method C-2 in accordance with one embodiment of the present invention.

Figure 13 is a diagram illustrating the preferred embodiment of Method C-3 in accordance with one embodiment of the present invention.

Figure 14 is a diagram illustrating the preferred embodiment of Method C-4 in accordance with one embodiment of the present invention.

Figure 15 is a block diagram illustrating the preferred embodiment of Method A-2 in accordance with one embodiment of the present invention.

Figure 16 is a flow chart, illustrating the process for implementing Method A-2 in accordance with one embodiment of the present invention.

Figure 17 is a diagram illustrating one example of an embodiment of Method D-l in accordance with one embodiment of the present invention.

Figure 18 is a block diagram illustrating the preferred embodiment of Method D-2 in accordance with one embodiment of the present invention.

Figure 19 is a flow chart, illustrating the process for implementing Method D-2 in accordance with one embodiment of the present invention.

Figures 20-21 are diagrams illustrating the preferred embodiment of Method C-6 in accordance with one embodiment of the present invention. DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS

The present invention includes the following overall systems, methods, and apparatus:

A.1. Overall System. An overall system of obtaining service requests, identifying underutilized spectrum, and matching underutilized spectrum to service requests.

,A.2. Overall Method. An overall method of obtaining service requests, identifying underutilized spectrum, and matching underutilized spectrum to service requests. *

A.3. Overall Apparatus. An overall apparatus that performs the functions of obtaining service requests, identifying underutilized spectrum, and matching underutilized spectrum to service requests.

A.4. Inter- Wireless Network Signaling System (IWNSS . A system of interconnecting different wireless networks to enable them to exchange information among each other.

A.1. Overall System

The present invention includes an overall system of enabling entities requesting service to operate in any underutilized spectrum.

SYSTEM A-l: Overall System of Enabling Entities Requesting Service to Operate in Underutilized Spectrum.

System A-l as illustrated in Figs. 1 and 3, is an overall system that includes three general functions: (1) obtaining requests for service (see DEFINITION Section) from SDEs wishing to operate in underutilized spectrum and/or forecasting requests for such service; (2) obtaining information on the availability of underutilized spectrum and/or forecasting the availability of underutilized spectrum; and (3) allocating underutilized spectrum to service requests and transmitting information about such allocations to both the wireless operator generating the service request and the wireless operator with underutilized spectrum. a. Structure of Block Diagram

Figures 1 and 3 show a block diagram of the components involved in System A-l. System A-l involves four groups of components in any given geographical area. i. Service Demand Entities

The first group comprises those components that are part of wireless networks managed by operators requesting service or SDEs 0228. These components generate requests for service and transmit such requests to an allocation system like Allocator 0044. This group includes without limitation:

(1) Stations that transmit electromagnetic signals to and receive signals from their respective wireless networks, including Mobile Stations 0078 and 0080 and a Non-Mobile Station 0082, which could include without limitation: a television set, a FM receiver, and fixed transmitter/receivers. Typically, vendors configure these stations to operate within specific radio frequency (RF) bands. In the present invention, these stations can operate across wider and/or additional RF bands, in particular, the RF bands made available by SSEs 0226. To achieve this objective, these stations include one or more antennas and other communications circuitry that enable these stations to operate over any desired and available spectrum.

(2) Transceivers that transmit signals to and receive signals from stations. The transceivers 0066, 0068, and 0070 represent the transceivers for a sample mobile operator A, another sample mobile operator B, and a sample fixed wireless operator C, respectively. Typically, vendors configure these transceivers to operate within specific RF bands. In the present invention, these transceivers can operate across wider and/or additional RF bands, in particular, the RF bands made available by SSEs 0226. To achieve this objective, these transceivers include one or more antennas and other communications circuitry that enable these transceivers to operate over any desired and available spectrum. System A-l can operate regardless of whether there exist one transceiver or multiple transceivers that can operate across a very wide or multiple RF band(s).

(3) Radio Frequency Channels (RFC) that represent the predetermined means by which the stations and transceivers communicate. The predetermined means include agreements about the following parameters, which include without limitation: (a) spectrum, e.g., center frequency and bandwidth; (b) transmit power; (c) modulation scheme, e.g., Frequency Modulation (FM), Quadrature Phase Shift Keying (QPSK), and Gaussian Minimum Shift Keying (GMSK); and (d) Media Access Control (MAC) scheme, e.g., Frequency Division Multiple Access (FDMA), Time Division Multiple Access (TDMA), and Code Division Multiple Access (CDMA), along with the necessary parameters, e.g., carrier frequency for FDMA, carrier frequency and time slot for TDMA, and code, offset, and power level for CDMA. The RFCs 0072 and 0074 represent the RFCs for a sample mobile operator A and another sample mobile operator B, respectively. The RFC 0076 represents the RFC for a sample fixed wireless operator C.

(4) Gateways that perform two functions: (a) transport signals from public and private backbone networks, including without limitation the Public Switched Telephone Network (PSTN) 0084 generally used for voice communications and Packet Switched Data Network (PSDN) 0086 for data communications, the latter of which in turn includes both private networks and public networks like the Internet, to transceivers and vice versa, a function the present invention calls Information Transmission (IT); and (b) provide a link or Signaling Channel (SC) for transporting signaling information between the wireless network and the Allocator 0044, a function the present invention calls Signaling. The gateways 0052, 0054, and 0056 represent the gateways for sample mobile operator A, another sample mobile operator B, and a sample fixed wireless operator C, respectively.

(5) Brokers or other third parties (which the present invention collectively calls Brokers 0058) that can act as intermediaries between wireless networks managed by operators requesting service and the Allocator 0044. Acting as an intermediary can involve the following activities including without limitation: (a) acting simply as a conduit for transmitting service requests from one or more SDEs 0228 to the Allocator 0044; and (b) collecting and analyzing service requests from one or more SDEs 0228 and transmitting such requests to the Allocator 0044. An example of a Broker 0058 performing the first activity is a network that already has links with the SDE 0228 and Allocator 0044, which would obviate the need for the SDE 0228 to construct a separate link directly to the Allocator 0044. An example of a Broker 0058 performing the second activity is an entity in the business of collecting and transmitting service requests from SDEs 0228 to the Allocator 0044. Spectrum Supply Entities

The second group comprises those components that are part of wireless networks managed by operators with underutilized spectrum or SSEs 0226. These components identify underutilized spectrum and transmit information about such spectrum to an allocation system. This group includes without limitation:

(1) Stations that transmit signals to and receive signals from their respective wireless networks, including without limitation: Mobile Stations 0002 and 0004, Television Set 0006, and Satellite Transceiver 0008.

(2) Transceivers that transmit signals to and receive signals from stations. The transceivers 0018 and 0020 represent the transceivers for a sample mobile operator D and another sample mobile operator E, respectively. The antenna 0022 represents the antenna for a sample television operator F. The antenna 0024 represents the satellite transponder for a sample satellite operator G. (3) RFCs that represent the predetermined means by which the stations and transceivers communicate. The predetermined means include agreements about the following parameters, which include without limitation: (a) spectrum, e.g., center frequency and bandwidth; (b) transmit power; (c) modulation scheme, e.g., FM, QPSK, and GMSK; and (d) MAC scheme, e.g., FDMA, TDMA, and CDMA, along with the necessary parameters, e.g., carrier frequency for FDMA, carrier frequency and time slot for TDMA, and code, offset, and power level for CDMA. The RFCs 0010 and 0012 represent the RFCs for a sample mobile operator D and another sample mobile operator E, respectively. The RFC 0014 represents the RFC for a sample television operator F. The RFC 0016 represents the RFC for a sample satellite operator G. *

(4) Gateways that enable Information Transmission and Signaling. The gateways 0034 and 0036 represent the gateways for sample mobile operator D and another sample mobile operator E, respectively. The gateway 0038 represents the gateway for sample television operator F. The gateway 0040 represents the gateway for a sample satellite operator G.

(5) Brokers 0058 that can act as intermediaries not only between wireless networks managed by operators requesting service and the Allocator 0044, but also wireless networks managed by operators with underutilized spectrum and the Allocator 0044. These Brokers 0058 can act in the same ways as the Brokers 0058 discussed in Section AJ.a.i.(5) except they focus on dealing with underutilized spectrum. These Brokers 0058 can either: (a) specialize in acting as intermediaries between SDEs 0228 and the Allocator 0044; (b) specialize in acting as intermediaries between SSEs 0226 and the Allocator 0044; or (c) act as intermediaries among SDEs 0228, SSEs 0226, and the Allocator 0044. iii. Monitoring Network

The third group comprises those components that are under the control of wireless networks managed by operators requesting service or SDEs 0228 and wireless networks managed by operators with underutilized spectrum or SSEs 0226. In addition, the third group comprises those components that are outside the control of such wireless networks and managed by either the operator managing the Allocator 0044 and/or third parties. These components collectively constitute a Monitoring Network (MN) 0230.

The components in the first group of SDEs 0228 described in Section AJ.a.i. generate requests for service in real-time and in advance. In contrast, to identify requests for service in real-time and in advance, the components in the third group monitor data and events outside the control of or inaccessible to SDEs 0228. In most current wireless networks, the components in the first group obtain and evaluate information to generate requests for service by evaluating data at OSI Layer 1 through Layer 3, the physical layer through routing layer, respectively. The components in the third group obtain and evaluate information to forecast requests for service by evaluating data at OSI Layer 1 through Layer 7, the physical layer through application layer, respectively.

The components in the second group of SSEs 0226 described in Section A.l.a.ii. identify underutilized spectrum in real-time and in advance. In contrast, to identify underutilized spectrum in real-time and in advance, the components in the third group monitor data and "events outside the control of or inaccessible to SSEs 0226. Some components in existing wireless networks can evaluate data at OSI Layer 1 through Layer 3, the physical layer through routing layer, respectively. The components in the fourth group can obtain and evaluate information to forecast requests for service by evaluating data at OSI Layer 1 through Layer 7, the physical layer through application layer, respectively.

For example, System A-l can forecast requests for service by a SDE 0228 by evaluating the size of a file requested by a station subscribing a service provided by SDE 0228. Assume that the SDE 0228 is fully utilizing the spectrum in which it is licensed to operate at time 0900 and a station requests a file that the SDE 0228 cannot service. System A-l can forecast the SDE 0228 request for service only by evaluating data about the file requests. Such data can reside in OSI layers like Layer 7, which cannot be evaluated by hardware and software operating at Layer 1 through Layer 3. The components in the third group can evaluate such data at the higher layers.

The components in the third group include without limitation:

(1) Monitoring stations under the control of SDEs 0228 and SSEs 0226 that monitor the parameters needed by the Allocator 0044 to identify service requests and underutilized spectrum in real-time and in advance. The present invention discusses these parameters in Sections BJ and C.4. The monitoring stations can be located in any or all SDEs 0228 and any or all SSEs 0226. *

For a representative SDE 0228, the monitoring stations can include without limitation: (a) Autonomous Monitoring Stations (AMS) 0096, which is hardware and software that can monitor such parameters and can be located anywhere within the SDE's network, including without limitation the following locations: (i) the network's transceivers that transmit signals to and receives signals from stations; and (ii) any other location within the network's geographical area; and (b) Embedded Monitoring Stations (EMS) 0094, which is hardware and software that can monitor such parameters and is located at stations, either located near them, attached to them, or embedded inside them.

For one representative SSE 0226, the monitoring stations can include without limitation: (a) Autonomous Monitoring Stations (AMS) 0092, which is hardware and software that can monitor such parameters and can be located anywhere within the SSE's network, including without limitation the following locations: (i) the network's transceivers that transmit signals to and receives signals from stations; and (ii) any other location within the network's geographical area; and (b) Embedded Monitoring Stations (EMS) 0090, which is hardware and software that can monitor such parameters and is located at stations, either located near them, attached to them, or embedded inside them.

(2) Monitoring stations outside the control of SDEs 0228 and SSEs 0226 that monitor the parameters needed by the Allocator 0044 to identify service requests in real-time and in advance and underutilized spectrum in real-time and in advance. The monitoring stations can include without limitation: (1) Allocator Monitoring Node (AMN) 0224, which is hardware and software that can monitor such parameters and is located at the Allocator 0044; and (2) External Monitoring Stations (EXMS) 0098, which is hardware and software that can monitor such parameters and is located outside the Allocator 0044.

System A-l may need EXMSs 0098 where AMS 0092 and EMS 0090 may not exist. For example, when monitoring Unlicensed Channels (see Section A.l.b.iii.(3)(c)), System A-l needs EXMSs 0098 because no SSE 0226 operates in such Channels and thus no AMS 0092 or EMS 0090 can exist. The operator managing the Allocator 0044 and/or a third party would need its own monitoring stations like EXMSs 0098 to identify underutilized spectrum in real-time and in advance. iv. Allocator 0044

The fourth group comprises those components involved in allocating underutilized spectrum to service requests and transmitting information about such allocations to both the SDE 0228 generating the service request and the SSE 0226 with underutilized spectrum. This group includes without limitation:

(1) An Allocator 0044, which performs the overall allocation function, which comprises the functions performed by the three following entities.

(2) A Service Request Engine (SRE) 0050, which is hardware and software that is part of the Allocator 0044 that identifies service requests in real-time and in advance, and processes and stores information about service requests and/or forecasted demand for service. (3) A Spectrum Identification Engine (SIE) 0046, which is hardware and software that is part of the Allocator 0044 that identifies underutilized spectrum in real-time and in advance, and processes and stores information about underutilized spectrum and/or forecasted supply of underutilized spectrum.

(4) A Spectrum Allocation Engine (SAE) 0048, which is hardware and software that is part of the Allocator 0044 that attempts to match underutilized spectrum with service requests and transmits all relevant information to the SDE 0228 and SSE 0226. Functional Relationships in Block Diagram i. Overall Functional Relationships s

At an overall level, the three groups are related to each other in the following ways.

(1) The gateways 0052, 0054, and 0056 of the wireless operators needing spectrum (SDEs 0228) and/or Brokers 0058 generate requests for service and transmit such requests to the SRE 0050. In addition, the monitoring stations, including 0096, 0094, 0098, and 0260, identify requests for service in real-time and in advance. Also, the SRE 0050 forecasts demand for service.

(2) The gateways 0034, 0036, 0038, and 0040 of the wireless operators with underutilized spectrum (SSEs 0226) and/or Brokers 0058 identify underutilized spectrum and transmit information about such spectrum to the SIE 0046. In addition, the monitoring stations, including 0092, 0090, 0098, and 0224, identify underutilized spectrum in real-time and in advance. Also, the SIE 0046 forecasts supply of underutilized spectrum.

(3) The Allocator 0044 matches underutilized spectrum with service requests. The Allocator 0044 can match:

(a) Underutilized spectrum, including such spectrum identified by the SSEs 0226, Brokers 0058, and SIE 0046 in real-time, such spectrum identified by the SSEs 0226 and/or Brokers 0058 in advance, and such spectrum forecasted by the SIE 0046; and

(b) Service Requests, including such requests transmitted by SDEs 0228, Brokers 0058, and SRE 0050 in real-time, such requests transmitted by SDEs 0228 and/or Brokers 0058 in advance, and such requests forecasted by the SRE 0050.

After the Allocator 0044 performs such matching, the Allocator 0044 transmits the information needed by the SDEs 0228 to operate in such underutilized spectrum by utilizing underutilized frequency, time, code, space, and/or polarization resources. In addition, the Allocator 0044 transmits the information needed by the SSEs 0226 to ensure that they do not utilize the frequency, time, code, space, and/or polarization resources assigned by the Allocator 0044 to the SDEs 0228. ii. Functional Relationships Regarding Service Requests

System A-l includes the functions of allocating underutilized spectrum to any given SDE 0228 for part or all of its traffic. That is, a SDE 0228 like Mobile Operator A could transmit a request through Gateway 0050 to an Allocator 0044 to allocate underutilized spectrum in the following ways, including without limitation:

(1) Total Allocation

The Allocator 0044 could allocate underutilized spectrum from the SDE's network, some other wireless network, and or some combination of all wireless networks to all signals that a SDE 0228 receives from a public or private backbone network (e.g., PSTN 0084, PSDN 0086, or Virtual Private Network (VPN)) on one side of its gateway and from its stations on the other side of its gateway (Total Allocation). Even where the SDE 0228 may have sufficient capacity on its own network for all signals to and from its stations, the SDE 0228 may still utilize the Allocator 0044 to assign some or all of these signals to underutilized spectrum from other wireless networks. A SDE 0228 might request such service in cases, for example, where the Allocator 0044 has functionality that the SDE 0228 does not possess.

(2) Fractional Allocation

The Allocator 0044 could allocate underutilized spectrum from the SDE's network, some other wireless network, and/or some combination of all wireless networks to some signals that a SDE 0228, receives from a public or private backbone network (e.g., PSTN 0084, PSDN 0086, or VPN) on one side of its gateway and from its stations on the other side of its gateway (Fractional Allocation). A SDE 0228 could request an Allocator 0044 to allocate the following combinations of signals the SDE 0228 wants to transport to and from its stations:

Constant Bit Rate Traffic Variable Bit Rate Traffic

All All

All Some

All Excess

All None

Some All

Some Some

Some Excess

Some None

Excess All

Excess Some

Excess Excess

Excess None

None All

None Some

None Excess

The first combination of "All CBR Traffic, All VBR Traffic" represents the special case of Total Allocation. All other combinations listed above represent cases of Fractional Allocation. The "combination of "None CBR Traffic, None VBR Traffic" represents a case in which the SDE 0228 does not utilize the Allocator 0044 for any functions.

Constant Bit Rate (CBR) traffic requires a fixed bit rate so that the operator transports data at a constant rate. Variable Bit Rate (VBR) traffic generally requires some specified average capacity (bits per second), but does not require that all data be transmitted at a constant rate. CBR and VBR traffic impose different requirements on the creation and maintenance of links between nodes of a network exchanging traffic. CBR transmissions are generally circuit switched, meaning that a dedicated physical or virtual channel is reserved or created for the exclusive use of the network nodes that are exchanging traffic. An operator assigns the channel to the nodes for some specified time interval negotiated beforehand or through some signaling protocol such as Signaling System 7 (SS7). By contrast, VBR transmissions are generally packet switched, meaning that channels between nodes are only dedicated to those nodes for the time needed to exchange some Protocol Data Unit (PDU) - a block of data whose size is defined by some standard protocol agreed to by all nodes participating in a given network. Examples of VBR protocols include without limitation: 802.x (Ethernet) protocols, X.25, Transmission Control Protocol/Internet Protocol (TCP/IP), and User Datagram Protocol/Internet Protocol (UDP/IP).

"All" means all signals of a particular type (either CBR or VBR) a SDE 0228 wants to transport to and from its stations. "Some" means some fraction of those signals of a particular type a SDE 0228 wants to transport to and from its stations, regardless of whether it has more capacity available on its own network.

"Excess" means those signals of a particular type a SDE 0228 wants to transport to and from its stations, but cannot because it has no more capacity available on its own network. Excess represents a special case of the "Some" category.

"None" means no signals of a particular type a SDE 0228 wants to transport to and from its stations.

For example, the combination of "All VBR, Excess CBR" means that the SDE 0228 requests the Allocator 0044 to assign underutilized spectrum to: (1) all VBR traffic that a SDE 0228 wants to transport, regardless of whether the SDE 0228 has sufficient capacity on its own network; and (2) only that CBR traffic that a SDE 0228 wants to transport, but cannot because it has no more capacity available on its own network. iii. Functional Relationships Regarding Spectrum Identification

System A-l includes the functions of identifying underutilized spectrum among Incumbent Licensees. The functional relationships regarding the identification of underutilized spectrum include without limitation:

(1) Timing of Identification

System A-l can identify underutilized spectrum either in real-time or in advance:

In practice, in order for a SDE 0228 to operate in any underutilized spectrum, System A-l must identify such underutilized spectrum in advance. To ensure that the transmission of the SDE 0228 does not interfere with the transmission of the SSE 0226, System A-l must know the start time and stop time of the underutilized spectrum the SSE 0226 is making available for utilization by a Sharing Operator. Therefore, the SSE 0226 must provide and/or System A-l must forecast the stop time of the underutilized spectrum.

However, the present invention defines "real-time" identification of underutilized spectrum as identification of underutilized spectrum in response to or concurrently with the reception of a service request by the Allocator 0044.

The present invention defines identification of underutilized spectrum "in advance" as underutilized spectrum identified before reception of a service request by the Allocator 0044.

System A-l can identify underutilized spectrum in real-time and in advance in the following ways, including without limitation:

(a) SSE 0226 identifies underutilized spectrum and transmits parameters regarding such spectrum to SIE 0046.

(b) AMS 0092 identifies underutilized spectrum and transmits parameters regarding such spectrum to SIE 0046.

(c) EMS 0090 identifies underutilized spectrum and transmits parameters regarding such spectrum to SIE 0046.

(d) AMN 0224 identifies underutilized spectrum and transmits parameters regarding such spectrum to Estimator/Predictor 0206. (e) EXMS 0098 identifies underutilized spectrum and transmits parameters regarding such spectrum to SIE 0046.

(2) Type of Underutilized Spectrum by Access Method

System A-l utilizes different techniques for identifying underutilized spectrum depending on the method employed by an Incumbent Licensee for controlling access by multiple parties to the spectrum in which it is licensed to operate. The present invention divides such methods into the following categories, which include without limitation:

(a) Fixed Assignment

J'The present invention defines fixed assigned (FA) channels as channels to which specific frequency, time, code, space, and polarization resources have been dedicated. Examples include without limitation: analog and digital television broadcasters, AM and FM radio broadcasters, satellite broadcasters, and point-to-point microwave and millimeterwave backhaul links.

(b) Demand Assignment

The present invention defines demand assigned (DA) channels as channels employed in networks where stations demand resources through some dedicated signaling channel from certain network entities responsible for allocating time, frequency, code, space, and polarization resources. Examples of networks employing DA channels include without limitation: CMRS operators employing FDMA, TDMA, or CDMA transmission protocols; land mobile radio (LMR) systems employing trunked FM or single sideband (SSB) channels; and wireless systems employing resource auction multiple access (RAMA) algorithms.

(c) Random Assignment

The present invention defines random access (RA) channels as channels employed in networks where stations contend for access to the channel using methods that may lead to overlapping or colliding simultaneous transmissions, which in turn may require stations to retransmit after a random time period to reduce the probability of colliding again. Different types of random access schemes can include without limitation: fixed schemes in which stations transmit without coordinating access with other stations; or adaptive channel-sensing schemes in which stations first sense the channel to gain channel state information. Examples of networks that employ fixed RA schemes include without limitation: networks that employ pure ALOHA, slotted ALOHA, and group random access protocols. Examples of networks that employ adaptive channel-sensing RA schemes include without limitation: networks that employ persistent and non-persistent Carrier Sense Multiple Access (CSMA), CSMA with Collision Detection (CSMA/CD), packet reservation multiple access (PRMA), and busy tone multiple access (BTMA) protocols.

In System A-l, the present invention employs in all three categories the following hardware and software to identify underutilized spectrum: AMS 0092, EMS 0090, AMN 0224, and EXMS 0098. This hardware and software monitor certain parameters discussed in Section C that may be located at and collected from the following locations, including without limitation: stations like 0002, RFCs like 0010, transceivers like 0018, and gateways like 0034.

(3) Type of Underutilized Spectrum by Control Over Access

Control over access to spectrum can be divided into the following categories, including without limitation:

(a) Exclusive Channels Exclusive Channels represent spectrum licensed to one or more operators, each of which controls how its stations access the spectrum. For example, the U.S. FCC licenses the 824- 849 MHz band for exclusive use by one CMRS operator in a given geographical area. That CMRS operator controls how its stations access the 824-849 MHz band.

Stations access Exclusive Channels through any one of the three multi-access types: fixed assignment, demand assignment, and random assignment.

(b) Shared Channels

Shared Channels represent spectrum licensed to a wireless service not under the control of -any operator. For example, the U.S. FCC licenses the 50-54 MHz band, among other bands, for use by Amateur Radio Service. Any individual passing an examination can receive a license to operate Amateur Radio Service. Each licensed amateur operator can access the spectrum licensed for amateur radio service without obtaining permission of any centralized entity.

Stations access Shared Channels through random assignment.

(c) Unlicensed Channels

Unlicensed Channels represent spectrum not licensed to any wireless service.

Currently, stations are not licensed to access Unlicensed Channels. If regulators permit SDEs 0226 to access Unlicensed Channels, the stations subscribing to services provided by such SDEs 0226 could access such Channels through any one of the three multi-access types: fixed assignment, demand assignment, and random assignment.

The present invention draws the distinction among Exclusive Channels, Shared Channels, and Unlicensed Channels for at least two reasons. First, identifying underutilized spectrum will differ among such channel categories.

• Exclusive Channels. System A-l identifies underutilized spectrum in Exclusive Channels by obtaining parameters about such spectrum from the operator controlling access to the spectrum. System A-l obtains such parameters from hardware and software under the control of SSEs 0228 like AMS 0092 and EMS 0090 and hardware and software not under the control of SSEs 0228 like AMN 0224 and EXMS 0098.

• Shared Channels. System A-l identifies underutilized spectrum in Shared Channels by obtaining parameters about such spectrum from hardware and software not under the control of SSEs 0228 like AMN 0224 and EXMS 0098. Because no centralized entity typically controls access to Shared Channels, System A-l must rely on such hardware and software to identify underutilized spectrum.

• Unlicensed Channels. System A-l identifies underutilized spectrum in Unlicensed Channels by obtaining parameters about such spectrum from hardware and software like AMN 0224 and EXMS 0098. Because no Incumbent Licensee controls access to Unlicensed Channels, System A-l must rely on the following hardware and software to monitor usage of such Channels, including without limitation: EMSs 0090 that typically operate in channels other than Unlicensed Channels; AMN 0224 located at the Allocator 0044; and EXMS 0098 managed by either the operator managing the Allocator 0044 and/or third parties.

Second, auctioning underutilized spectrum in Shared Channels and Unlicensed Channels will differ from auctioning underutilized spectrum in Exclusive Channels. • Shared Channels. Because no centralized entity controls access to Shared Channels, there exist no entity that can change over time an ask price for operating in Shared Channels. While an association of users licensed to operate in Shared Channels and/or a regulatory agency like the FCC could set a fixed ask price, any system of ask prices that does not reflect varying supply of underutilized spectrum will not utilize such spectrum efficiently.

• Unlicensed Channels. Because no centralized entity controls access to Unlicensed Channels, there exist no entity that can change over time an ask price for operating in Unlicensed Channels. While a regulatory agency like the FCC could set a fixed ask price, any system of ask prices that does not reflect varying supply of underutilized spectrum will not utilize such spectrum efficiently. iv. Functional Relationships Regarding Spectrum Allocation

(1) An Allocator 0044, which performs the overall allocation function, which comprise the functions performed by the three following entities.

(2) A Service Request Engine (SRE) 0050, which performs the functions of validating and processing raw information associated with requests for service, including without limitation: time constraints; performance requirements; reliability and availability requirements; station locations and capabilities; and traffic flow metrics. Such information may come from SDEs 0228 or a MN 0230, which can include without limitation: AMS 0096, EMS 0094, AMN 0224, and EXMS 0098. The SRE 0050 may also forecast demand for service using information provided by or derived from any other source, including without limitation: SSEs 0226, SDEs 0228, a MN 0230.

(3) A Spectrum Identification Engine (SIE) 0046, which performs the functions of validating and processing raw information associated with supply of underutilized spectrum, including without limitation: any time, code or modulation, space, or polarization constraints associated with using such spectrum. Such information may come from SSEs 0226 or a MN 0230, which can include without limitation: AMS 0092, EMS 0090, AMN 0224, and EXMS 0098. The SIE 0046 may also forecast supply of underutilized spectrum using information provided by or derived from any other source, including without limitation: SSEs 0226, SDEs 0228, and or a MN 0230.

(4) A Spectrum Allocation Engine (SAE) 0048 that includes hardware and software and implements algorithms, which perform a number of dynamic resource allocation functions, including without limitation:

(a) Identify potential partitions of available channel resources that could map into service requests.

(b) Evaluate both the performance and utility of potential network designs that employ candidate channel mappings.

(c) Select optimal or suboptimal channel mappings that meet some goal, which includes without limitation the following objectives: performance, utility, and/or financial.

(d) If desired or appropriate, exchange information with SDEs 0228 and SSEs 0226 in real-time to modify parameters regarding service requests and underutilized spectrum, for example, asking if SDEs 0228 want to raise their bids for underutilized spectrum if demand is high and supply is low.

(e) If desired or appropriate, exchange information on factors like pricing with SDEs 0228 and SSEs 0226 in real-time to enable SDEs 0228 and SSEs 0226 to change the quantity of their demand for service and supply of underutilized spectrum, respectively. • Shared Channels. Because no centralized entity controls access to Shared Channels, there exist no entity that can change over time an ask price for operating in Shared Channels. While an association of users licensed to operate in Shared Channels and/or a regulatory agency like the FCC could set a fixed ask price, any system of ask prices that does not reflect varying supply of underutilized spectrum will not utilize such spectrum efficiently.

• Unlicensed Channels. Because no centralized entity controls access to Unlicensed Channels, there exist no entity that can change over time an ask price for operating in Unlicensed Channels. While a regulatory agency like the FCC could set a fixed ask price, any system of ask prices that does not reflect varying supply of underutilized spectrum will not utilize such spectrum efficiently. iv. Functional Relationships Regarding Spectrum Allocation

(1) An Allocator 0044, which performs the overall allocation function, which comprise the functions performed by the three following entities.

(2) A Service Request Engine (SRE) 0050, which performs the functions of validating and processing raw information associated with requests for service, including without limitation: time constraints; performance requirements; reliability and availability requirements; station locations and capabilities; and traffic flow metrics. Such information may come from SDEs 0228 or a MN 0230, which can include without limitation: AMS 0096, EMS 0094, AMN 0224, and EXMS 0098. The SRE 0050 may also forecast demand for service using information provided by or derived from any other source, including without limitation: SSEs 0226, SDEs 0228, a MN 0230.

(3) A Spectrum Identification Engine (SIE) 0046, which performs the functions of validating and processing raw information associated with supply of underutilized spectrum, including without limitation: any time, code or modulation, space, or polarization constraints associated with using such spectrum. Such information may come from SSEs 0226 or a MN 0230, which can include without limitation: AMS 0092, EMS 0090, AMN 0224, and EXMS 0098. The SIE 0046 may also forecast supply of underutilized spectrum using information provided by or derived from any other source, including without limitation: SSEs 0226, SDEs 0228, and/or a MN 0230.

(4) A Spectrum Allocation Engine (SAE) 0048 that includes hardware and software and implements algorithms, which perform a number of dynamic resource allocation functions, including without limitation:

(a) Identify potential partitions of available channel resources that could map into service requests.

(b) Evaluate both the performance and utility of potential network designs that employ candidate channel mappings.

(c) Select optimal or suboptimal channel mappings that meet some goal, which includes without limitation the following objectives: performance, utility, and/or financial.

(d) If desired or appropriate, exchange information with SDEs 0228 and SSEs 0226 in real-time to modify parameters regarding service requests and underutilized spectrum, for example, asking n s _._^ want to raise their yids for unueruuπzeu spectrum n dem d is nig" an i' supply is low.

(e) If desired or appropriate, exchange information on factors like pricing with SDEs 0228 and SSEs 0226 in real-lime to enable SDEs 0228 and SSEs 0226 to change the quantity of their demand for service and supply of underutilized spectrum, respectively. (f) Transmit information about the decision made by the Allocator 0044 to both the SDEs 0228 generating the service request and the SSEs 0226 identifying underutilized spectrum. The Allocator 0044 can decide either to: (i) allocate channel resources; or (ii) not allocate channel resources,

(g) Enable billing transactions between SDEs 0228 and SSEs 0226.

(h) Maintain a common reference lime base for all entities utilizing the Allocator 0044, including without limitation: agreements to monitor and reference time bases associated with other services, including without limitation: Global Positioning System (GPS); time bases which may be derived from signals of opportunity such as digital broadcasters; or time bases accessible directly from CMRS operators. Discussion of System A-l

In general, System A-T supports cases where the wireless operator generating requests for service or SDE 0228 is different from the wireless operator with underutilized spectrum or SSE 0226. The SSE 0026 could offer the same wireless service as the SDE 0228 or a different service than the SDE 0228. For example, if the SDE 0228 is a CMRS operator like Verizon Wireless, the SSE 0226 could be another CMRS operator like AT&T Wireless or a Private Operational Fixed Microwave Service (POFMS) operator like WorldCom.

However, System A-l could support cases where the SSE 0226 and SDE 0228 is the same entity. That is, a CMRS operator like Verizon Wireless could request that an Allocator 0044 in Figure 1 allocates part or all of Verizon Wireless's traffic to the spectrum in which Verizon Wireless is licensed to operate. A SDE 0228 might request such service in cases, for example, where the Allocator 044 has functionality that the SDE 0228 docs not possess.

In addition, a wireless operator can be a SDE 0228 at one time and a SSE 0226 immediately after. That is, a wireless operator at time 0900 can experience demand that exceeds supply and thus generate a request for service and at time 0901 can experience demand that falls short of supply and thus have underutilized spectrum. Moreover, a wireless operator can be a SDE 0228 and SSE 0226 at the same time. That is, a wireless operator at time 0900 can generate a request for service because demand exceeds supply at time 0900. However, if it can determine at time 0900 that it will have underutilized spectrum at time 0915, it can transmit information about such underutilized spectrum al lime 0900.

The wireless networks A-G are examples of networks granted a license from a regulatory agency, e.g., the FCC in the United States and the Office of Telecommunications (Oftel) in the United Kingdom, to provide a wireiess service within a given amount θι spectrum witnm a given geographical space ubj ct to certain restrictions.

The wireless networks A-G are examples of networks that transport electromagnetic signals that can carry dala types, which include without limitation: voice, audio, video, images, and data. These networks iio un SUι-n oigUαlo tO oiαuuπs, in*-tuuϊug. ϊϊlϋuiiς: c αwuUS, e.g., υυϋi αnu uuut, υi uλc jααuϋus, e.g.,

0006 and 0008, Examples of such networks include without limitation; the current second generation (2G) ccilular/PCS systems (including without limitation: Global System for Mobile communications

Figure imgf000021_0001
In most markets, entities increase or decrease their demand for goods/services when the price falls or rises, respectively, and entities increase or decrease their supply of goods/services when the price rises or falls, respectively. System A-1 enables SDEs 0228 and SSEs 0226 to respond to price changes by changing the quantity of their demand for service or supply of underutilized spectrum. This functionality has the advantage of enabling the present invention to reduce the probability that demand exceeds supply of spectrum by utilizing market forces. System A-l provides such functionality by exchanging with SDEs 0228 and SSEs 0226 information they need to make decisions to adjust demand and supply, including without limitation: pricing, numbers of bids and offers, and historical data on demand-supply imbalances. System A-l includes both; (1) the components utilized by SDEs 0228 and SSEs 0226 to make decisions about adjusting their demand for service or supply of underutilized spectrum; and (2) the methods utilized by SDEs 0228 and SSEs 0226 to make such decisions.

The present mvention covers the identification of any and all underutilized spectrum and allocation of such spectrum. While the present invention discusses wireless systems that transmit electromagnetic signals, in particular, radio waves, the present invention applies to any type of electromagnetic signal.

A.2. Overall Method

The present invention includes an overall method of enabling entities requesting service to operate in any underutilized spectrum.

METHOD A-2: Overall Method of E?tabling Entities Requesting Service to Operate in Underutilized Spectrum

Method A-2 is an overall method of obtaining service requests, identifying underutilized spectrum, and matching underutilized spectrum to service requests, a. Relationship to System A-l

Method A-2 is the process by which the present invention enables wireless networks requesting service (SDEs 0228) to operate in underutilized spectrum, System A-1 is the system of components that enable the process outlined in Method A-2. b Steps for Executing Method in IUC pic encu ciπuOuiIUcπi ui mc i cociiϊ invention, ivicniϋu

Figure imgf000022_0001
mCiuuca wiiπυui mimαuuu me following steps;

At Step 0100, Monitoring Network 0230 identifies in advance one or more service requests and underutilized spectrum. Monitoring stations under the control of SDEs 0228 and SSEs 0226 like the ones uw C iϋC ill -I JII n.. x.α.1.^1^ l Ciiuij ill uv u^ b Cliuui lC dr-aLS α l UIIUV.I ULII ^. U b uuui.

Monitoring stations not under the control of SDEs 0228 and SSEs 0226 like the ones described in Section A.l ,a.i.(2) identify in advance service requests and underutilized spectrum.

At Step 0102, monitoring stations that are part of Monitoring Network 0230 transmit to the Allocator 0044 information about service requests and underutilized spectrum identified in advance.

At Step 0104, SRE 0050, which is part of Allocator 0044, processes and stores information about service requests identified in advance.

At Step 0106, SIE 0046, which is part of Allocator 0044, processes and stores information about underutilized spectrum identified in advance.

At Step 0108, SRE 0050 forecasts the demand for service by SDEs 0228. At Step 0110, SIE 0046 forecasts the supply of underutilized spectrum from SSEs 0226.

At Step 011'2, a particular SDE "0228 generates a service request and transmits such request to the SRE 0050.

At Step 0114, SRE 0050 processes real-time (RT) service request.

AL 'SlcpOTlβ, SRE 0050 estimates the total demand or service requests based on inputs from Steps 0104, 0108, and 0114,

At Step 0118, SRE 0050 formats the data generated by Step 0116 and transmits the data to SAE 0048.

At Step 0120', SIE 0046 identifies in real-time underutilized spectrum.

At Step 0122, SIE 0046 estimates the total supply of underutilized spectrum based on inputs from Steps 0106, 0110, and 0120.

At Step 0124, SIE 0046 formats the data generated by Step 122 and transmits the data to SAE 0048.

At Step 0126, SAE 0048 identifies potential partitions of available channel resources that could map into service requests.

At Step 0128, SAE 0048 evaluates both the performance and utility of potential network designs that employ candidate channel mappings.

At Step 0130, SAE 0048 exchanges information with SDEs 0228 and SSEs 0226 in real-time to modify parameters regarding service requests and underutilized spectrum, if needed or appropriate,

At Step 0132, SAE 0048 exchanges information on factors like pricing with SDEs 0228 and SSEs 0226 in real-time to enable SDEs 0228 and SSEs 0226 to change the quantity of their demand for service and supply of underutilized spectrum, respectively. S E 0048' can exchange such information in real-time so that SDEs 0228 and SS s 0226 change their demand for service and supply of underutilized spectrum immediately. Alternatively, SAE 0048 can exchange such information in advance so that SDEs 0228 and SSEs 0226 can change in advance their future demand for service and future supply of underutilized spectrum, respectively. An example of how a SSE 0226 could change the supply of underutilized spectrum it makes available to the SAE 0048 is by changing the composition of traffic on its network, e.g., delaying VBR traffic like email packets on its network and thus increasing its supply of underutilized spectrum when it receives information that the price of spectrum rises significantly.

At Step 0134, SAE 0048 selects optimal or suboptimal channel mappings that meet some goal, which includes without limitation the following objectives; performance, utility, and/or financial,

At Step 0136 SAE 0048 transmits information about allocation based on Step 0132 to both the SDEs 0228 generating the service request and the SSEs 0026 identifying underutilized spectrum

At Step 0138, SAE 0048 enables billing transactions between SDEs 0228 and SSEs 0226. t tep w i ή-0,

Figure imgf000023_0001
xrαnsrπus mrGrrπαtϊon about a common reierence time base to an entities uύiizmg the Allocator 0044, including without limitation: agreements to monitor and reference time bases associated with other services, including without limitation: Global Positioning System (GPS); time bases which may be derived from signals of opportunity such as digital broadcasters; or time bases accessible directly from CMRS operators. Discussion In an alternative embodiment of the present invention, Method A-2 can enable SDEs 0228 to transport information over not only the channel resources of an Incumbent Licensee, but also over the actual network of fhe'ϊncumbeπt'Liceπsee. That is, after identifying underutilized spectrum and allocating underutilized spectrum to service requests, Method A-2 enables a SD 0228 to transport information to the stations subscribing, to its service through the network hardware, software,, and algorithms of an Incumbent Licensee, including without limitation, its transceivers.

' In another alternative embodiment of the present invention, Method A-2 can enable hardware and software located at stations to identify underutilized spectrum and operate in such spectrum, While the present invention enables such operation, . the preferred embodiment of Method A-2 generates the following, advantages: i. It is less' costly' or Incumbent'Lieensees to provide information about underutilized spectrum to one centralized system like Apparatus A-3 than to a large number of distributed stations. ii. Distributed stations will be less able to identify underutilized spectrum in advance, because it will be easier for one centralized system like Apparatus A-3 than for large number of stations to cooperate with Incumbent Licensees to generate and obtain such formaiion. iii. A centralized system like Apparatus Λ-3 is better able to administer an auction or exchange process than distributed stations. iv. Because distributed stations would have' to utilize some type of random assignment system, they would not fully utilize all available underutilized spectrum. When collisions occur, both parties must back off and retransmit. However,, the underutilized spectrum available at the time of the collision would be wasted.

In yet another alternative embodiment of the present invention, Method A-2 can allocate underutilized spectrum by utilizing a combination of a centralized and distributed system.

A.3. Apparatus for Obtaining Service Requests, Identifying Underutilized Spectrum, and Allocating Underutilized Spectrum to Service Requests

The present invention includes an apparatus for obtaining service requests, identifying underutilized spectrum, and allocating such spectrum to service requests. The apparatus collects and processes: (1) data about spectrum utilization αiong with forecasted suppiy or unuerutinzed spectrum; and ^.) data α out service requests aiong witn forecasted demand for service. The apparatus allocates channels that will enable available spectrum to fulfill requests for service.

The information utilized by the overall allocation process may be deterministic or stochastic. In the deterministic case, the Allocator 0044 knows with certainty the availability of underutilized spectrum and the requirements of

Figure imgf000024_0001
requirements of service requests.

In the stochastic case, the Allocator 0044 may allocate underutilized spectrum to reflect the probability of interference. For example, suppose that a SSE 0226 is licensed to operate two channels of equal bandwidth and thai it is willing to share the channels with a SDE 0228 transmitting at sufficiently low power levels. The transmissions of the SDE 0228 should not. cause undue interference with the transmissions of the SSE 0226 because of the lower power levels employed by the SDE 0228. However, the transmissions of the SDE 0228 will probably interfere with the transmissions of the SDE 0228 if the latter transmits at the same time as the SSE 0226. If the SDE 0228 is attempting to transmit low priority packet data, il can retransmit in case of collision with the transmission of the SSE 0226. If the SIE 0046 forecasts thai Channel A, for example, will be randomly available 20% of the lime and Channel B will be randomly available 50% of the time, the Allocator 0044 could use these percentages to determine the probabilities of collision and allocate the shared spectrum accordingly.

APPARATUS A-3: Apparatus for Identifying Underutilized Spectrum and Allocating Spectrum in Response to Service Demands,

Apparatus A-3 is an apparatus that implements the hardware, software, and algorithmic requirements of Method Λ-2. Apparatus Λ-3 comprises three principal blocks (see Figure 3): a Spectrum Identification Engine (SIE) 0046, a Spectrum Allocation Engine (SAE) 0048, and a Spectrum Request Engine (SRE) 0050. * a. Relationship to Overall Figure 1

Apparatus A-3 implements the function of Allocator 0044 in Figure 1. SDEs 0228 include without limitation the group shown in Figure 1 wilh poinls-of-presence (POPs) represented by gateways 0052, 0054, and 0056. SSEs 0226 in Figure 3 include without limitation the group shown in Figure 1 with POPs presence represented by gateways 0034, 0036, 0038, and 0040. The MN 0230 shown in Figure 3 includes without limitation: AMS 0092,. EMS 0090, AMS 0096, EMS 0094, AMN 0224, and EXMS 0098. b. Structure of Block Diagram

The Allocator 0044 consists of a STE 0046, a SAE 0048, and a SRE 0050. The Allocator 0044 implements the functions described in Method A-2.

The SIE 0046 consists of an Estimator 0200, an Estimator Predictor 0206, a Predictor 0202, and an Overall Estimator 0204. The SIE 0046 implements the functions described in Method Λ-2. The Estimator 0200 obtains raw spectrum availability data, validates the information, and estimates the values of any missing data that will be required by the SAE 0048, The Estimator/Predictor 0206 implements the same functions as the Estimator 0200, but is also capable of predicting spectrum availability based on historical, current, and other data. The Predictor 0202 is capable of predicting spectrum availability based on historical, current, and other data. The Overall Estimator 0204 receives from components 0200, 0206, and 0202 multiple estimates and/or predictions and forms definitive resource availability estimates.

Figure imgf000025_0001
time base to coordinate transact ons and usage of spectrum.

AiiC WJ J_- \ \JJ\ wιi_-ιbvb \} αϊi ϊ /_*liιιιcil.vι V-.1W, dii -i--oliill t i/A iv iUt'-u v/._,j_-r, x l liviui VΛ IO, aiiu c l wwtuj

Estimator 0220. The SRE 0050 implements the functions described in System A-l. The Estimator 0218 obtains raw service demand data, validates the information, and estimates the values of any missing data that will be required by the SAE 0048. The Estimator/Predictor 0224 implements the same functions as the Estimator 0218, but is also capable of predicting service demand based on historical, current, and other data. The Predictor 0216 is capable of predicting service demand based on historical, current, and other data. The Overall Estimator 0220 receives from components 0218, 0224, and 0216 multiple estimates and/or predictions and forms definitive service demand estimates. c. Functional Relationships in Block Diagram

SSE 0226 provides raw spectrum availability data to Estimator 0200 via a dedicated signaling link 0250. A Monitoring Network 0230 provides via a dedicated signaling link 0262 raw data on any spectrum availability observations it has made to the Estimator/Predictor 0206. A Monitoring Network 0230 provides via a dedicated signaling link 0264 raw data on service demand observations it has made to the Estimator/Predictor 0222, which predicts availability of any spectrum of interest thai may be affected. SDEs 0228 may also provide via a dedicated signaling link 0256 raw data on current or anticipated service demands to Predictor 0202, which also predicts availability of any spectrum of interest that may be affected.

Overall Estimator 0204 processes all estimates and predictions and forms definitive and unambiguous spectrum availability estimates for use by the SAE 0048. Estimates that are ambiguous are grouped and associated with a set of statistics, including without limitation: expected values and other central moments and estimated probability distributions. All estimates arc sent together with any associated statistics together to the Resource-to-Demand Mapper 0214 within the SAE 0048.

SDE 0228 provides raw service demand data to Estimator 0218 via a dedicated signaling link 0260. A Monitoring Network 0230 provides via a dedicated signaling link raw data on any sendee demand it has made to the 'Estimator/Predictor 0222 via dedicated signaling link 0264. A Monitoring Network 0230 provides via a dedicated signaling link 0262 raw data on spectrum utilization observations it has made to the Estimator Predictor 0206, which predicts demand for any service of interest that may be affected. SSEs 0226 may also provide via a dedicated signaling link 0254 raw data on current or anticipated spectrum utilization to Predictor 0216, which also predicts demand for any service of interest that may be affected.

Overall Estimator 0220 processes all estimates and predictions and forms definitive and unambiguous service demand estimates for use by the SAE 0048. Estimates that are ambiguous are grouped and associated with a set of statistics, including without limitation: expected values and other central moments and estimated probability distributions, All estimates are sent together with any associated statistics together to the Rcsourcc-to-Dcmand Mapper 0214 within the SAE 0048.

The Resource-to-Demand Mapper 0214 processes deterministic and stochastic estimates of spectrum availability and service demand and determines possible mappings of available resources into service demands. Estimates are considered deterministic unless they are associated with a statistic, in which case they are considered stochastic.

The Optimizer 0212 evaluates possible mappings identified by the Resource-to-Demand Mapper 0214. The Optimizer 0212 implements evaluation by means which include without limitation: objective functions evaluating channel performance and overall network utility, accounting for factors including without limitation; the certainty of underlying data and current seller and buyer price specifications and mechanisms.

The Exchange/Synchronizer 0210 enables financial transactions in advance or in real time for resources that enable service demands processed by the SAF. 0048. The Exchange/Synchronizer's functions include witnϋut limitation bid anu SS pπce notiiication, maintenance of a ivance agreements limitation Service Level Agreements), all associated billing functions, and maintenance

Figure imgf000026_0001
base to coordinate market transactions and usage. The Exchange/Synchronizer 0210 also enables markets, including without limitation: (1) physical markets for resource commodities, e.g., "spot" markets, without regard to any specific service requirement; and (2) markets for derivatives, including without limitation options, lύtures, aπo. lUtures options.

The Exchange/Synchronizer 0210 connects to SSEs 0226 via dedicated signaling link 0252 and to SDEs 0228 via dedicated signaling link 0260.

Figure imgf000026_0002
limitation: a base station or a mobile or fixed station.

A.4. System of Interconnecting Different Wireless Networks

To implement most of the functions outlined in Sections A.1.-A.3., SDEs and SSEs must exchange certain information in a format that can be easily understood by all entities. However, not only are most wireless networks offering one type of service not connected to wireless networks offering other types of services, many wireless networks offering the same type of service are not connected to each other. For example, broadcast television networks generally cannot communicate with CMRS networks. Moreover, one broadcast network generally cannot communicate with another broadcast network,

In general, each wireless service tends to have a unique set of technologies for communication among the nodes of such service. For example, broadcast television service has its own means of transporting signals from studio to .antenna to receiver over spectrum in which it is exclusively licensed to operate. CMRS lias its own means of transporting signals from public and private backbone networks to antenna to transceiver and in the reverse direction over spectrum in which it is exclusively licensed to operate. Broadcast television service utilizes modulation techniques and access systems that are unique to broadcast television service, while CMRS operators utilize modulation techniques, and access systems that arc unique to CMRS and could be even unique among different CMRS operators. '

To determine the availability of any underutilized spectrum and enable SDEs to operate in such spectrum, there must exist some type of system that interconnects all those wireless networks wishing to make available or operate in underutilized spectrum.

The present invention includes a system of interconnecting different wireless networks to enable them to exchange information among each other. The present invention calls such a system an Inter-Wireless Network Signaling System (IWNSS), which comprises SDEs, SSEs, one or more Allocators 0044, and a number of monitoring stations attached to the networks of the SDEs and/or SSEs and/or acting autonomously under the control of the Allocator 0044 or some third party. The IWNSS includes links among some or all of the IWNSS nodes. These links could be wired or wireless. The IWNSS could utilize reserved or dedicated channels for transporting signaling information or it could share the same channels wireless networks utilize to transport information Lo and from their stations.

SDEs and SSEs could conceivably connect to each other directly. However, the large number of SDEs and SSEs makes such direct connections inefficient. It is more efficient for a large number of SDEs and a large number of SSEs each to make one connection to a centralized system like an Allocator 0044. For example, suppose that there are 20 SDEs and 20 SSEs, To connect each SDE to every SSE, there would have to be 400 (20 x 20) connections, However, if each SDE and SSE connected to one centralized system like an Allocator 0044, there could be as few as 40 connections (20 + 20).

In the preferred embodiment of the present invention, the IWNSS interconnects different wireless networks for the purpose of exchanging signaling information, However, the physical links can carry any kind of information, whether signaling or information or services wireless networks exchange with their stations.

In the preferred embodiment of the present invention, the IWNSS includes a set of network standards specifying how different wireless networks should exchange information for the purpose of signaling,

B. Requests for Service

B.1. Overall Method for Generating Service Request

The overall allocation process matches a supply of channel resources with demands for service by Sharing Operators. The present invention defines channel resources as comprising resources in time, frequency, code, space, and polarization that Incumbent Licensees make available (see Section 01). Λ service request consists of a number of parameters, including without limitation: s a. Time constraints, including without limitation: fixed start and stop times for which a channel is required. b. Cost constraints, including without limitation: the maximum acceptable price which the Sharing Operator is willing to pay for a channel; and the form of market in which the Sharing Operator is willing to participate (e.g., auction, exchange). c. Performance goals and/or requirements that the Sharing Operator cither identifies explicitly or implies through some method of service differentiation. Service differentiation may be implemented through the following methods, including without limitation:

• Relative priority marking methods, such as IPv4 precedence marking

• Service marking methods, such as TPv4 TQS labeling

• Label switching methods, such as those employed in Frame Relay, ATM and other Multi-Protocol Label Switching (MPLS) networks

• Integrated Services/RSVP methods, which employ signaling messages to differentiate services and reserve resources in advance.

• Static classification and forwarding policies, such as Service Level Agreements (SLA).

• Categorization by flow, such as that employed in the flow labeling employed in IPv6.

Quantified performance constraints and goals that are processed by the Allocator 0044 include without limitation: i. Maximum required bit rate. ii. Minimum guaranteed bit rate, iii. Maximum required PDU size. iv. Possible PDU sizes supported. v. Minimum required bit error rate (BER). vi. Minimum required PDU error rate. vii, PDU delivery order requirements. viϊi. Minimum required transfer delay. ix. Traffic handling priority. x. Allocation and retention priorities. d. Station locations. tation c p citi , ncluding wituout limitation; explicit limitations station equipment may nave m operating in the time, frequency, code, space, and polarization domains.

Flow metrics, including without limitation: total known or estimated flow size and known or estimated fraction of How transmission completed. The present invention can measure flows at different OSI layers, including without limitation: frames at the MAC layer (Layer 2), packets at the Network layer (Layer 3), datagrams at the Transport layer (Layer 4), and messages at Session through Application layers (Layers 5- 7).

Reliability requirements, including without limitation: channel availability and channel mean-time- between-failure (MTBF). h. Statistical measures associated with service request information, including without limitation uncertainties in any estimated key service information such as station locations.

METHOD B-l: Overall Method of Generating Service Requests.

Method B-l is a method that enables the SRE 0050 functions in Apparatus A-3. a. Relationship to Overall Figure 1

The SRE 0050, which is a component of Allocator 0044, generates service requests. SRE 0050 processes information received by entities including without limitation: Brokers 0058, or SDEs 0052, 0054, or 0056. t b. Structure of the Block Diagram

Figure 4 shows a block diagram of the components involved in Method B-l . i. Demand Validator/Estimator 2604 accepts raw service demand data, validates the information, and estimates the values of any missing data that will be required by the SAE 0048. ii. Demand Estimator/Predictor 1110 Implements the same functions as the Demand Estimator but is also capable of predicting service demand based on historical and current service demand and spectrum utilization data. iii. Demand Predictor 1106 predicts service demand based on historical and current spectrum utilization data. iv. SDE Database 1 104 stores historical service demand data. v. OSL Database 11 8 Stores historical spectrum utilization data. vi. MN Database 1112 stores historical service demand and spectrum utilization data. vii. Overall Demand Estimator 11 14 accepts multiple estimates and/or predictions and forms definitive service demand estimates. c Functional Relationships in Block Diagram

; i. vr α..MuuAα..*ι-..—ι/ric- iM.-.'i~ι-ιια..i!-u,.r- n i i n ϋiώ α»- c _+ι,, _ raw sc -i . v,l:,C.c.. ti ,ιc,..i-i-.ia.._iiu,ι u .io..*ta,. a , nu i a „+i,ϋ.-i ca δc «i .:i,.c.. , U3g, —iπ „α„-π,u,! u .1d...i.o.. ι—u databases 2608. ii. Demand Estimator/Predictor 1110 accepts raw service demand and spectrum utilization data and stores dala in databases 1 1 12 iii Demand Predictor 1 106 accepts raw spectrum utilization data and stores spectrum utilization data in SSE Database 1 108. iv Overall Demand Estimator 1 1 14 processes estimates and predictions provided by Demand Validator/Estimator 2604, Demand Estimator/Predictor 1 1 10, and Demand Predictors I 106, Overall Demand Estimator 1114 forms definitive and unambiguous service demand estimates for use by the SAE. Estimates that are ambiguous are grouped and associated with a set of statistics, including without limitation expected values and other central moments and estimated probability distributions. d. Steps Executed in Method

Figure 5 shows a flow chart of the steps needed to execute Method B-l . The SRE 0050 is hardware and software that is part of Allocator 0044 that identifies service requests in real-time and in advance and it processes and stores information about service requests and/or forecasted demand for service.

At Step 1000, SRE 0050 receives input from SSE and SDE and routes this data to Steps 1002, 1010, and 1016.

At Step 1002, Demand Validator/Estimator 1102 accepts raw demand data, validates the information, <aαd estimates the values of any missing data that will be required by the SAE.

At Step 1004, Demand Validator/Estimator 1102 stores the service demand data in a database.

Λt Step 1006, Demand Validator/Estimator 1 102 validates the service demand data.

At Step 1008, Demand Validator/Estimator 1102 estimates incomplete data and forwards this information to 1024.

Λt Step 1010, Demand Predictor 1106 receives spectrum utilization data from the SSE and predicts service demand based on historical and current service demand data and at Step 1012 stores this information.

At Step 1014, Demand Predictor 1106 predicts demand from available SSE history and passes this data to Step 1024.

At Step 1016, Demand Estimator/Predictor 1110 receives data from 1000 that forwards data from MN.

At Step 1018, along with 1020 and 1022, Demand Estimator/Predictor 1110 predicts service demand based on spectrum usage and service demand history and forwards this data to Step 1 24,

At Step 1024, Overall Demand Estimator 1114 estimates demand from inputs from Steps 1008, 1014, 1020, and 1022.

At Step 1026, Overall Demand Estimator 1 114 formats data from Steps 1024 and 1028 transmits the data for the SΛE 0048.

Discussion ^ embodiment

Figure imgf000030_0001
i l d i h li i i h f ll i f

• Encapsulation of procedures and data. Encapsulation means that each object contains both the data and the procedures required Lo process the daLa. For example, the object described below is

SβϊrvιcβRec[ϋβst(_)bj βct. T s object woulu iuc ude without limitation: variables rei tcu to tue service request; equations, functions, or expressions describing the relationships among the variables; and the procedures required by the SAE to enable SAE functions which depend on or process SRE

0050 data. « Messages supporting polymorphism across objects. Polymorphism means that each object can have a unique response to the same message, β ("lasses that implement inheritance within class heirarchies. Inheritance means that one class of objects (e.g., a subclass) can be defined as a special case of a more general class (e.g., a superclass).

Examples of computer syntaxes that support the above features include without limitation: all versions of Smalltalk, C++, Java, Eiffel, Object COBOL, and recent versions of Ada. An example of a service request object (SRO) encoded with Java-like syntax which implements the above embodiment follows: class ServiceRequestObject {

\\ Local private variables private double start time- private double stop time; private PerformanceRequirement performance_requirement; private liocati oπθb-]ect locati on_l ; private LocationOb ect iocation_2; private StationCapability oapnbility_l; private Sl.al.ionCapabilil.y capabilil.y 2; private FlowMetrics flow metrics; private ReliabilityRequircments reliability requirement;

public ServiceRequestOb ec () { \\ Constructor

\\ Methods providing access to private variables public; double. SI rt-Time () { start__time;

1 public double StopTimef) { stop time; } public Performance ( ) { performance requi ement; }

ui HiauiiivΛ-

Figure imgf000031_0001
ill software are different from the "Methods" described in the present invention) needed to (I) maintain data related to a service request by a Sharing Operator; and (2) provide data and procedures needed by the SAE to allocate spectrum efficiently to Sharing Operators The private, local variables contained within each instance of ScrvicoRcquustOb3 CCt include without limitation all data associated with the time constraints, cost constraints, performance goais, station locations, station capabilities, flow metrics, and reliability constraints, as discussed above

The present invention defines many of the private, local variables themselves in terms of objects rather than conventional data structures (e g double precision real variables, or integers) As an example, the present invention de nes tuβ private variable performance requirement as an instance 0ι the Ciass PerformanceRequirement, which might be defined as follows class PerformanceRequirement { privαLe double mαx_biL_xαLe; \\ Maximum required bit mLc private double min bit rate; \\ Minimum required bit rate private int max pdu size; \\ Maximum required PDU size private double mιn_ber; \\ Minimum required B R private double rain delay; \\ Minimum required transfer delay public MaxBitRate () { max biL_rαl.e;

} public MinBitRatc () { min bit rate; }

}

The program invokes constructor ServiceRequestOb ect ( ) each time that the object is instantiated (i.e. created) and is designed to invoke all methods necessary to acquire the raw data necessary to the allocation process.

An example object could contain the variables and methods listed above, including without limitation: β s Lar L_Lime: a local variable containing the lime al which llie service is required

• H l.op_l.ixtιe: a local variable containing the time at which the service will no longer be required

• locationl, location2: Local variables that arc instances of the class Location, which contain information about the geographical locations of the service requesters. LoeaLionObj ecL, for example, may be represented by an array of Cartesian coordinates in some geocentric coordinate system such as WGS-84 or in terms of a latitude, longitude, and altitude in some equatorial system of coordinates.

• station_caρabilityl, station_capability2: Local variables that are instances of the class StationCapability, which contain information about the capabilities of the stations of the SDE. StationCapability, for example, may include without limitation information regarding the waveforms, power levels, and sensitivities of the transceiver at each station.

• fiow_metrics: a local variable that is an instance of the class i'lowMetrics, which contains information about the traffic flow associated with the service request. A FiowMetrics object, for example, may contain information regarding the total flow size and the percentage of the flow that remains to be transmitted.

• reliability_requirements: a local variable that is an instance of Re"! i abi 1 i tyRequ i remeπts, which contains information about the service requester's reliability requirements. ReiiabiiityRequirements could include, for example, numerical values for availability (e.g. 99.9998), fai urc-in-timc (I'll) rates, or mcan-timc-bctwccn-faiiurc MTBE).

The present invention defines a flow as a sequence of PDUs or their equivalent that have the same source, destination, and quality of service. The flow could be a sequence of P Us with without limitation liles like jpeg m sy or a sequence of PDUs ith indefinite

Figure imgf000032_0001
limitation: a streaming broadcast or multicast).

The ServiceRequestObj ect serves as the parent (i.e. superclass) for other classes (i.e. subclasses) defining specific types of Sharing Operators. Subclasses may or may not overload or override llie original ServiceRequestObj ect methods. For example, specific subclasses of the superclass Servi ceRequestObj ect, TSBSServi ce.Re.quest, might be defined for service requests arising from 1S-95 mobile operators using standard protocols in a non-standard frequency band. The present invention could define such an object with a unique constructor such that when the method Performance ( ) is invoked, the object could execute a procedure that translates IS95 standard requirements into the generic format defined by the PerformanceRequirement class.

In an alternative embodiment of Method B-l, the SAE 0048 would collect and process information about service requests using relational databases such as Microsoft Access or Personal Oracle and structured queries implemented through syntaxes such as the Data Definition and Data Manipulation Languages available within the Structured Query Language (SQL). A relational database could also coexist with and/or support an object-oriented implementation provided some application-layer bridge such as the Java Database Connectivity (JDBC) library is available.

C. Identification of Underutilized Spectrum

C.1. Channel Resource Definitions

Identification of underutilized spectrum requires a clear understanding of: (a) how the Incumbent Licensee controls access to the spectrum in which it is licensed to operate; and (b) how another wireless operator will control access to ,such spectrum if it shares that spectrum. Ihc former is critical to the process of identifying underutilized spectrum and the latter is critical to allocating such spectrum. s

Models for media access control in wired networks employing baseband digital signal transmission at the physical layer are well developed and well understood. Design and optimization of these networks are generally straightfoπvard, since the physical layer connections consist of discrete segments with deterministic and unambiguous transmission properties that do not vary as a function of segment length or location. However, controlling how parties access wireless networks is more complex because of key differences in the physical layer of wireless networks:

• Electromagnetic signals propagate through unguidcd rather than guided media. Consequently, the design, optimization, and operation of wireless networks must consider variations in power density of signals propagating through network segments. In contrast, wired networks generally ignore such variations. Further, because signals in wireless networks arc unguidcd, multi-access interference is unavoidable and ubiquitous, which must be considered in any channel resource allocation scheme.

• Two transmission segments of identical lengths in a wireless network could have very different transmission properties depending on their locations and timing of transmission.

• The transmission properties of wireless networks segments are stochastic, while those o wired network segments are ueterminϊstic.

Identification of underutilized spectrum requires determining, among other things, whether specific frequencies arc available in specific geographical areas at specific times. The fact that stations attached to the Incumbent Licensee's network does not per se imply that the spectrum is fully utilized, since additional stations could possibly operate using the same spectrum without causing undue interference to the Incumbent Licensee's service. The degree to which the transmissions of the Sharing Operator will interfere with the transmissions of the Tncumbent Licensee depends largely on the types of signals and power levels that the Incumbent Licensee and Sharing Operator arc employing. i-j ~lιi α-10ιϊ θi SpCCLΪ'ϋiϊi ύ lϊ CumbCiit. l-yϊCCUSCCS Call DC qu litiilCu ill tCΪ'mS Ox li C CX.LCI ~ LO WiilCil jLΪiCumϋCi L

Licensees allocate available channel resources to stations operating within the radio frequency (RF) band of interest. Channel resources include not only the actual spectrum itself (i.e., frequency), but also resources in the time, code, space, and polarization domains.

Figure imgf000034_0001
uαiul Lnαl ,αll υ uatΛi to enable a commun cat ons c anne etween two nodes within a w reless b. Time Resources. Time domain resources include without limitation: specific time slots in which messages, packets, frames, segments, or other transmission units can be transmitted from one station within the network to another station in the same network or another network. For example, TDMA systems employ lime domain resources. c. Code Resources. Code domain resources include all channel coding and modulation techniques that enable multiple messages to be transmitted simultaneously in time using a shared communication channel. The coding or modulation sequences include without limitation: orthogonal modulation techniques like those employed in CDMA with pscudo-noisc (PN) coding or Orthogonal Frequency Division Multiplexing (OFDM); non-orthogonal basic modulation techniques like amplitude modulation (AM), frequency modulation (FM), phase modulation (PM), amplitude shift keying (ASK), frequency shift keying (FSK), phase shift keying (PSK); and spread spectrum multiple access techniques (SSMA) like Frequency Hopping Spread Spectrum (FHSS) or Direct Sequence Spread Spectrum (DSSS). d. Space Resources. Spatial domain resources within wired networks typically consist of different physical routes for electromagnetic signals. Spatial domain resources within wireless networks must be treated differently because the electromagnetic signals employed at the physical layer are uπguided rather than guided. While signal power densities in wired networks are confined within some well defined transmission path, signal power densities in wireless networks extend in all directions from the source. Therefore, allocation of spatial domain resources within wireless networks requires specifying desired and/or allowable interfering power densities at all points within the coverage areas of both the Incumbent Licensee's network and any wireless network wishing to share spectrum. The means for controlling power density include without limitation; power control and antenna beamf rming using either fixed beam or smart antennas. Spatial domain resources may be allocated cither statically, through the use of techniques including without limitation advance site and frequency planning, or dynamically through the use of techniques including without limitation real time power control and adaptive antenna beamforming. e. Electromagnetic Field (Polarization) Resources. Propagating electromagnetic waves that are distant from the radiating source comprise a single electric field component and a single magnetic field component, each of which is orthogonal to the other. Because the two field components are orthogonal, separate transmitters may be colocated and share identical frequency, time, code, and space domain resources so long as they are generating electric and/or magnetic fields that arc orthogonal to the electric and magnetic fields of the original transmitter. For example, separate transmitters could be colocated and share frequency, time, code, and space domain resources if one transmitter employed a vertically polarized antenna and another employed a horizontally polarized antenna, thus generating orthogonal electric and magnetic fields. This scheme is commonly classified as Polarization Division Multiple Access (PDMA), Electromagnetic field multi-access schemes such as PDMA are not generally practical in mobile wireless systems due to distortion of the field components by the propagation medium and due to difficulties in implementing stable receiving platforms. However, such systems arc practical in a number of fixed wireless systems when the linc-of-sighl (LOS) between transmitter and receiver is unobstructed and multipath reflections arc minimal.

A PDMA system may employ more than two orthogonal channels (e.g. a horizontally polarized and vertically polarized channel) if it can tolerate multiaccess interference (MAI). For example, an operator could implement a system with a horizontal channel, a vertical channel, and a 45-dcgrcc slant linearly polarized channel. The resulting carrier-to-inlerference ratio between the slant linear and vertical or horizontal channel in this case would be 3 dB, which is tolerable under some appropriate modulation and/or coding scheme.

C.2. Channel Resource Sharing Examples

In order to share a frequency resource with another operator, the Incumbent Licensee must be assured that the Sharing Operator will not also contend for any of the remaining resources employed within its active channels. The following examples illustrate some representative scenarios. a. Example: Sharing with Incumbent Commercial Broadcasters. A wireless operator operating outside the protected coverage area 2202 (see DEFTNTTTON Section) of incumbent commercial broadcast operators (see Figure 6) has essentially access to the following resources: i. Frequency. The wireless operator can access the spectrum within the broadcasters' frequency channel. ii. Time. The wireless operator can operate during all time periods. iii. Code. The wireless operator can employ any modulation or coding scheme. iv. Space. The wireless operator is restricted to control its effective radiated power (ERP) within certain limits in certain directions within its coverage area. The coverage area of the wireless operator must fall outside the protected coverage area of all broadcasters operating in any given frequency channel. The wireless operator can control ERP through the following ways, including without limitation: antenna pattern coverage, transmitter output power control, other techniques, or any combination of the foregoing. v. Polarization. The wireless operator can employ all polarization resources. b. Example: Sharing with a FDMA Wireless Operator. A wireless operator operating within the protected coverage area of another incumbent wireless operator employing Advanced Mobile Phone System (AMPS), which employs FDMA, has access to the following resources: i. Frequency. The wireless operator can access the spectrum within a particular FM voice channel assigned by the Incumbent Licensee, ii. Time. The wireless operator is restricted to operate during a certain time period specified b s the

Tπcumbent Licensee, iii. Code. The wireless operator can employ any modulation or coding scheme, iv. Space. The wireless operator can operate within the coverage area of the Incumbent Licensee, v. Polarization. Because the wireless operator is not attempting to cany separate information on two orthogonal polarization states, it can employ all polarization resources. c. Example: Sharing with a CDMA Wireless Operator with Conventional Sector Coverage. This example involves a wireless operator operating within the protected coverage area of another incumbent wireless operator employing 1S-95 CDMA. 1S-95 systems can continue to function with interference in both the downlink and uplink channels so long as the interference docs not cause the canier-to-ύitcrlcrcnce-f-noisc- ralio (C1NR) to fall below some threshold value. When few users are operating within the protected coverage area of the Incumbent Licensee, other wireless operators could conceivably operate within the same spectrum provided that the resulting co-channel MAI is acceptable. The wireless operator has access to the following resources: i. Frequency. The wireless operator can access the spectrum within a particular RF channel assigned by the Incumbent Licensee. ii. Time. The wireless operator is restricted to operate during a certain time period specified by the

Tncu bent Licensee, iii. Code. The wireless operator can employ any modulation or coding scheme so long as the power spectral density of the resulting signal is limited such that the resulting co-channel interference to the

Incumbent Licensee's stations falls within some acceptable limit, iv. Space. The wireless operator can operate within the coverage area of the incumbent Licensee to the extent that the power control and modulation schemes employed do not produce undue co-channel interference, as described above. v. Polarization. Because the wireless operator is not attempting to carry separate information on two orthogonal polarization states, it can employ all polarization resources. d. Example: Sharing with a W-CDMA Wireless Operator with SDMA-enabled Sectors. W-CDMA will enable CDMA operators to increase significantly the number of users per sector through the use of multiple

Figure imgf000036_0001
wireless operator wishing to share the Incumbent Licensee's spectrum has access resources: i Frequency. The wireless operator can access the spectrum within a particular RF channel assigned by the Incumbent Licensee. n. i e. Tn wireiess operator is restricted to operate dunng a certain time period specified uy tuc Incumbent Licensee iii. Code. The wireless operator can employ any modulation or coding scheme so long as the power spectral density of the resulting signal is limited such that the resulting co-channel interference to the Incumbent Licensee's stations falls within some acceptable limit. iv. Space. The wireless operator can operate within coverage areas of the Incumbent Licensee that do not intersect those areas actively allocated to the Tncumbent Licensee's users under SDMA, Like the previous example, power control and modulation schemes employed may not produce undue co- channel interference. v. Polarization. Because the wireless operator is not attempting to carry separate information on two orthogonal polarization slates, it can employ all polarization resources. e. Example: Dynamic Allocation of PN Code Offsets Within a Single CDMA Network. In current 1S-95 networks, the operator statically allocates PN code offsets to base stations. A base station within a CDMA sector typically employs a set of PN codes along with a fixed offset from codes employed by other CDMA base stations. Base stations operating at other cells and/or sectors may employ the same RJ7 carrier frequency and PN code as long as they employ different PN offsets and satisfy other interference criteria. The availability of multiple PN offsets within W-CDMA may make dynamic allocation of PN offsets attractive. In this case, different base stations that are part of the network of the same Incumbent Licensee have access to the following resources: i. Frequency. The sharing base stations can access the same RF' carrier frequency. ii. Time. The sharing base stations can operate in the same time period. iii. ("ode. Each base station is allocated a unique PN code offset. iv. Space. The base stations can operate in overlapping or co-localed coverage areas. v. Polarization. The base stations can employ all polarization resources. f. Example: Sharing with a Fixed Wireless Local Multipoint Distribution Service (LMDS). LMDS operators typically operate at high microwave or millimctcrwavc frequency, often above the 28 GHz region. Because of the directivity that antennas arc able to achieve practically at these frequencies, mullipalh reflections at receive stations are minimal. Further, receive and transmit stations generally have the same polarization states (e.g. horizontal, vertical, slant linear, or right-hand or left-hand circular). Provided that the Tncumbent LMDS operator manages power densities and space and frequency resources so that the cross- polarization response of the incumbent LMDS operator remains within some acceptable limit, a second wireless operator could share the incumbent Licensee's spectrum provided that the second wireless operator operated with a polarization orthogonal to that employed by the Incumbent Licensee. Given the constraints on cross-polarization response, the Sharing Operator would also likely operate a fixed, rather than mobile, wireless network. The Sharing Operator has access to the following resources: i. Frequency. The wireless operator can access the spectrum within a particular RF channel assigned by the Incumbent Licensee, ii. Time. The wireless operator can operate during any specific time period, iii. Code. The wireless operator can employ any modulation or coding scheme so long as the power spectral density of the resulting signal is limited such that the resulting cross-polarization interference iv. Space. The wireless operator can operate within coverage areas of the Incumbent Licensee provided that it controls ERP in conjunction with modulation such that the resulting cross-polarization interference to the Incumbent's stations falls within some acceptable limit. v. Polarization. The wireless operator is restricted to use of a polarization orthogonal to that employed by the Incumbent Licensee. in general, an incumbent Licensee is not fully utilizing the spectnim in which it is licensed to operate since the other associated channel resources, time, code, space, or polarization, may be available to some extent. As the above examples illustrate, even when operators are operating simultaneously within the same spectrum, other associated resources may be available such that both operators can construct viable communications channels. Whether the level of utilization of both the spectrum of interest and the other associated channel resources makes one or more channels available for use by other wireless operators will be addressed by the allocation system in Section D of the present invention.

C.3. Channel Resource Assignment Schemes Employed by Incumbent Licensees

The definition of methods that identify spectrum and other channel resources that are underutilized by Incumbent Licensees depends largely on how the Incumbent Licensees manage allocation of these resources to stations within their own networks. The procedures used by Incumbent Licensees to assign the channel resources described above fall under one of three general categories: (a) fixed assignment (FA) control schemes; (b) demand assignment (DA) control schemes; and (c) random access (RΛ) control schemes. Each scheme provides unique challenges for entities outside the incumbent Licensee's network attempting to identify whether or not the Incumbent Licensee is underutiliziπg available resources.

For example, a commercial broadcaster is a network that employs a FA control scheme to allocate a single frequency resource over a well-defined, limited geographical area. In the four-dimensional channel resource space, the Incumbent Licensee's frequency is essentially unoccupied in those locations outside the incumbent Licensee's protected coverage area. Within the protected coverage area, certain modulation (code) resources can be considered unallocated (e.g. another operator could employ a FHSS signal at a certain power level while occupying the same time, frequency, space, and polarization as the Incumbent Licensee). An example of a network utilizing a DA control scheme would be an analog AMPS wireless system with 30 kHz channels, requested as needed by mobile stations within the network. Finally, an example of a RA control scheme would be a link between two stations operating in the unlicensed 2.4 GHz band.

C.4. Overall Method for Identifying Underutilized Spectrum i ιι present invention includes an over&il metnϋd for identifying underutilized spectrum as wen as speciπc metuous targeted for use with incumbent networks employing specific channel resource assignment schemes to which the previous section refers. The present invention defines underutilized spectrum as spectrum that serves as the frequency resource for any given Incumbent Licensee's channel for which sufficient time, code, space, or polarization resources exist, such that another wireless operator could also use the same frequency resource to enable other channels on separate networks.

In general, this broad definition suggests that all spectrum could likely be considered underutilized, since there likely exists at least some small subset of time, code, space, and polarization resources that could be employed in a second channel. While the task of the allocation system will address the identification of practical subsets of channel resources, the task of the spectrum identification system is to identify the set of available channel resources within some predefined coverage area that could be associated with any particular frequency resource to form a new channel.

METHOD C-l: Overall Method of Identifying Underutilized Spectrum. In Method C-l, an Allocator 0044 monitors spectrum utilization by all wireless stations within a certain geographical coverage area that are

U dating in lii IVI υauxiΑ \

Figure imgf000038_0001
jl nuci a. Relationship to Overall Method A-2

In Figure 1, the Allocator 0044 includes a component SIE 0046, which generates channel resource data. SIE 0046 processes information received by entities, including without limitation: Brokers 0058 or SSEs 0034, 0036, 0038, and 0040. SIE 0046 includes the components involved in Method C-l . b. Structure of Block Diagram

Figure 7 shows a block diagram of the components involved in Method C-l .

: li present invention notes tn t IVietnϋd v--l lϋrrns estimates θι underutilized spectrum υy obtaini d a from both SSEs 0226 and SD s 0228. Method C- l evaluates service demand data because a wireless network with low service demand relative to its capacity should generally have more underutilized spectrum than a wireless network with high service demand relative to its capacity. Method C-l evaluates service demand data from SDEs 0228 to forecast whether SDEs will have underutilized spectrum al later time periods, in which case the present invention would consider them as SSEs. i. Supply Validator/Estimator 2102 accepts raw service demand data, validates the information, and estimates the values of any missing data that will be required by the SAE 0048. ii. Supply Estimator/Predictor 2112 implements the same functions as the Supply Validator/Estimator 2102, but can also predict service demand based on historical and current service demand data. iii. Supply Predictor 2106 predicts service demand based on historical and current spectrum utilization data. iv. SSE Database 2104 stores historical service demand data. v. SDE Database 2108 stores historical spectrum utilization data. vi. Overall Supply Estimator 2110 accepts multiple estimates and/or predictions and forms definitive service demand estimates. Functional Relationships in Block Diagram i. Supply Validator/Estimator 2102

The Supply Validator/Estimator 2102 and Supply Estimator/Predictor 21 12 accept raw channel resource data. Supply Validator/Estimator 2102 and Supply Estimator/Predictor 2112 store channel resource data in at b se ._.ι0-r and il IT, respectively. ii. Supply Predictor 21 6

The Supply Predictor 2106 accepts raw service demand data and stores service demand data in SSE Database 2108. iii. Supply Estimator/Predictor 21 12 i ilc u jjiy ι-;aι.nιιαtur/ι i cuiviOi -I ii impl m nts lo adlπc lUπCiiOiia α» uι6 Upplj

Validator Estimator 2102 but is also capable of predicting service demand based on historical and current service demand data from MN database 2114. iv. Overall Supply Estimator 21 10

Overan uρpιy Estimator . \ J processes estimates and predictions provided by upply Validator/Estimator 2102, Supply Estimator/Predictor 21 12, and Supply Predictor 2106. Overall Supply Estimator 2110 forms definitive and unambiguous channel resource estimates for use by the SAE 0048. Overall Supply Estimator 2110 groups ambiguous estimates and associates them with a set of statistics, including without limitation: expected values and other central moments and estimated probability distributions.

After obtaining key channel resource information through these approaches, the Allocator 0044 determines and/or estimates, for any given band of frequencies, the state of channel resources that correspond to that band of frequencies. Such channel state information includes without limitation:

• Time for which the state estimate is valid.

« Location at which the state information is valid.

» Azimuthai (see ϋriNii OiN 'Section) and/or elevation angles (sec DErir i'i'iO Section) .over which the state information is valid. » Estimated incident Po nting power densities (see DEFINITION Section) resulting from incumbent transmitters at a receiver at any given location and from any given direction.

• Estimated incident Poynting power densities resulting from unidentified sources, whether natural or man-made.

• Maximum allowed ERP at any given location and in any given direction.

• Limitations on coding (modulation) techniques that may be employed . • Polarizations of signals received at all locations. The information gathered in spectrum identification must be sufficient so that a corresponding allocation method can configure resources to form usable shared frequency channels when the appropriate resources are available. d. Steps Executed in Method

Figure 8 shows a flow chart of the steps needed to execute Method C-l .

A SIE 0046 is hardware and software that is part of the Allocator 0044 and that identifies underutilized spectrum in real-time and in advance, processes and stores information about underutilized spectrum, and/or forecasts supply of underutilized spectrum. Figure 8 describes the operation of the SIE as follows:

At Step 2000, SIE 0046 receives input from SSE 0226 and SDE 0228 and routes this data to Steps 2002, 2010, and 2016.

At Step 2002, Supply Validator/Estimator 2102 accepts raw utilization data and validates the information.

At Step 2004, Supply Validator/Estimator 2102 stores the information in a database.

At Step 2006, Supply Validator/Estimator 2102 validates the spectrum utilization data.

At Step 2008, Supply Validator/Estimator 2102 estimates incomplete data and forwards this information to Step 2024.

At Step 2010, Supply Predictor 2106 receives service demand data from the SDE 0228 and predicts service demand based on historical and current service demand data.

At Step 2012, Supply Predictor 2106 stores this information.

At Step 2014, Supply Predictor 2106 predicts spectrum utilization from available SSE history and passes this data to Step 2024.

At Step 2016, Supply Estimator/Predictor 2112 receives data from Step 2000 that in turn receives data from

MN 0230.

At Step 2018, along with Steps 2020 and 2022, Supply Estimator/Predictor 21 12 predicts spectrum utilization based on spectrum utilization and service demand history and forwards this dala to Slep 2024

At Step 2024, Overall Supply Estimator 21 10 estimates available resources from inputs at Steps 2008, 2014, 2020, and 2022

At Step 2026, Overall Supply Estimator 21 10 formats the data from Step 2024 r Λ Jt. Q-li-ϋc—jμ 1 -Λυ_oO, / v^.V .c...i.α..1l1i Q,U ,„„!i.. ϋ ι-.a ,Jl.:i~m.α..ιι.O,,_ι 1 ^. Ii 1 ιΛ-J * i-i .α.-i.iamiTa 4 t.ri.. u .J.α.Jt.α.. 4 t.,, 4 t.iic.. o CA A tt?. Λ uΛmΛ Oo. c Discussion

In the preferred embodiment of Method C-l , the SIE 0046 implements the object-oriented approach introduced in Method B- l An example of a channel resource object (CRO) encoded with Java-like syntax which implements the object-oriented embodiment is as follows. class ChannclRcsourccOb cct {

\\ Local private variables private double start_frccχucncy; private double stop frequency; private double start_ti e; pr ivate double ∑s Lop Lime ; private PolarizationObj ect polari: ation; private LocationObj cct location; private AngleObj ect angle;

public ChannelResourceObject (} { \\ Constructor

\\ Methods providing access to private variables public doubl Start Hrecπjency () { start_frequency; 1 public double St.opFrequenπy { ) {

KLop_I_:equency; } public double StartTime() { start_time; public double StopTiiαe O { stop_time; i > public AngleObject Angle () { angle; } public l.ocati onObηect liocati on () { location; }

\\ Methods providing data to allocator public PoyntingDensity IncidentPoyntingDensity ( Kim fterObj r.f emi ter) {

} public ERP Maxi umERP (ReceiverObject receivers

) f ι publ i c Modu1 atι on All owedModu1 at i on ( ) f }

The present invention intends an instance of ChannelResourceOb ct to hold all variables and methods ("methods" in software are different from the "Methods" described in the present invention) needed to: (1) maintain data on channel resource allocation by the incumbent Licensee; and (2) provide data needed by the Allocator 0044 to allocate spectrum efficiently to Sharing Operators

An example object could contain without limitation the variables and methods listed above' • start_f requency: a local variable containing the start frequency associated with the resource object.

• stop_frequency: a local variable containing the stop frequency associated with the resource object.

• BLarl_Lime: a local variable containing the time at which the resource becomes available.

• stop t ime: a local variable containing the time at which the resource will no longer be available.

• polarization: a local variable that is an instance of the class PolarizationObj ect describing the polarization associated with the resource object. For example, the object may represent Polciri l.ionObj ecL as an array of ellipticilies and eccentricities IhaL define a polarization slate. β location: a local variable that is an instance of the class LocationObj ect, which contains information about the geographical location associated with the resource object. For example, the object may represent hoc.af.i onGbj er.f. as an array of Cartesian coordinates in some geocentric coordinate system such as WGS-84 or in terms of a latitude, longitude, and altitude in some equatorial system of coordinates.

• angle; a local variable that is an instance of the class AngleObj ect, which contains information about the angular sector associated with the resource object. For example, the object may represent AngleObj ect as a pair of azimuth and elevation angles.

• Start H'requency 0 : a method (procedure) that returns the value of the corresponding private (internal) variable start frequency.

• StopFrequeney ( ) ( ) : a method (procedure) that returns the value of the corresponding private (internal) variable stop_f requency.

• StartTi e ( ) ( ) : a method (procedure) that returns the value of the corresponding private (internal) variable start time.

• Stop i me ( ) ( ) : a method (procedure) that returns the value of the corresponding private (internal) variable a Lop_Liιue.

• Polarization ( ) : a method (procedure) that returns the value of the corresponding private (internal) variable polari zation .

• Location { ) : a method (procedure) that returns the value of the corresponding private (internal) variable location.

• Inoidenl.PoynLingDei ji l.y ( ) : a method (procedure) thai calculates and returns the value of the power density in watts per souare meter or some equivalent measure of all ignals incident at the location and in the direction specified by location and angle at the specified polarization . lncidenti'oyntingDensity ( ) takes as an argument an object or objects of class EmitterObj ot, where an EmitterOb ect would contain all of the information required to compute the intcrfcrcr incident power density, including without limitation: emitter location, polarization, output power, Frequency, anu antenna gain.

• MaximumERP ( ) : a method (procedure) that calculates and returns the value of the maximum permitted effective radiated power (ERP) from the location and in the direction specified by location and angle at the specified polarization . IncidcntPoyntingDensity ( ) takes as an argument an object or objects of class ReceiverObj ect, where a ReceiverObj ect would contain all of the information required to compute the maximum permissible ERP, including without limitation: receiver location, polarization, frequency, antenna gain, and maximum tolerable interference level.

• AllowedModulation ( ) a method (procedure) that identifies restrictions on modulation that can be used by an emitter at the location and in the directions specified by the resource object.

The ChannelResouroeObj ot serves as the parent for other classes which may define for specific types of Incumbent Licensees and which may or may not overload or override the original CiιaιιιιeiRetiouι.ceObj ecL methods. The constructor method Cii nnelRetiourceObj cL ( } is invoked each time Channel ResourceObi ect is instantiated. Such method may require application of one type of method when collecting resource data from a fixed access channel such as a DTV broadcaster in an outlying area, where regulatory information may be adequate; and another type of method when collecting resource data from within the geographical coverage area of a random access network, where data from distributed monitoring stations may be required.

In an alternative embodiment of Method C-l, an Allocator 0044 would collect information about identification of underutilized spectrum through using relational databases such as Microsoft Access or Personal Oracle and structured queries implemented through syntaxes such as the Data Definition and Data Manipulation Languages available within the Structured Query Language (SQL), A relational database could also coexist with and/or support an object-oriented implementation provided some application-layer bridge such as the Java Database Connectivity (JDBC) library is available. '

C.5. Deterministic Methods for Identifying Underutilized Spectrum

The present invention includes deterministic methods for identifying underutilized spectrum in three generic types of channels, a. Fixed Assigned Channels

The present invention defines fixed assigned (FA) channels as channels to which specific frequency, time, code, space, and polarization resources have been dedicated. Examples include without limitation analog and digital television broadcasters, AM and FM radio broadcasters, satellite broadcasters, and point-to-point microwave and millimeterwave backhaul links. π H_F A ΛuinΛ-fnLe f %_,- -._»... l MU„.r.l,ιιιiΛιι.„U,u(;u.,ι„ι Λjf ; { ιi„i.JΛt- U.,ιιιii;[;j_.t„,ι,&j i ftj ,fc.vCy- u,.iπ i ;l,l. i v 'i.v.ϊc-u ■■/ ΛLjr.Λr,iιgrrt.fc...C,-tI

Figure imgf000043_0001
i. Relationship to Overall Method A-2

SIE 0046, which is a component of Allocator 0044, generates channel resource data associated with underutilized spectrum within FA channels. SIE 0046 processes information received by entities including without limitation: Brokers 0058, or SSEs 0034, 0036, 0038, and 0040. ii. Structure of Block Diagram

Incumbent Licensees operate wireless networks with fixed assigned channels in protected coverage areas 2202 (see Figure 6). The protected coverage areas 2202 surround an area 2204 in which coverage by the incumbent networks is not protecteu. i wo stations wituin anotner wireiess networ , ^.^,06 a d L-υo, establish a link in which either or both station(s) operate, within the frequency band assigned to the Incumbent Licensees. iii. Functional Relationships in Block Diagram n- OOήu aintains a map ._.jQ._. o t»e area encompassing both the protected coverage areas ϋ.02 and the unprotected coverage area 2204 (see Figures 6 and 9). In one embodiment, SIE 0046 divides the map 2302 into discrete grid squares 2304 (sec Figure 10). SIE 0046 associates each grid square 2304 with a set of discrete angular sectors 2306 that correspond to angular coverage areas of any transmitter that would be located al the center of grid square 2304. iv Steps Executed in Method

Figures 1 1 and 12 show the steps executed in Method C-2.

The process begins at Step 2402 in Figure 11. At Step 2404, Method C-2 identifies the specific time intervals to be considered. At Step 2406, Method C-2 selects the first time step. At Step 2406, Method C-2 identifies the specific frequency interval to be considered which corresponds to the time step of interest is identified. Λl Step 2412, Method C-2 selects the first frequency step within the current frequency interval.

At Step 2408, Method C-2 identifies the set of polarization states to be considered for the time and frequency step of interest. Method C-2 can convey polarization state information in a number of equivalent fashions including without limitation: phase and amplitude of each of two orthogonal components (including without limitation horizontal and vertical; right hand circular and left hand circular; or any combination of two orthogonal slant linear polarizations); polarization ellipticity and tilt (see DEFTNTTTON Section); or latitude and longitude of the polarization when defined as a specific point on a Poincare sphere (see DEFINITION Section). At Step 2414, Method C-2 identifies a specific polarization.

At Step 2416, Method C-2 identifies the spatial resource constraints associated with the combination of time, frequency, and polarization resources under consideration through a process that begins with Step 2500.

Figure 12 show steps 2500 through 2568.

At Step 2502, Method C-2 collects and retrieves all data regarding Incumbent Licensees. This data includes without limitation; information regarding the frequency allocations, times of operation, geographic locations, effective radiated powers, and protected coverage areas of Incumbent Licensees.

At Step 2504, the SIE 0046 defines discrete grid squares within the protected area 2202 and unprotected area 2204 (see Figure 6). The Supply Validator/Estimator 2102 chooses the dimensions of the grid squares sucn tuαt the estimated power spectrai density θι emitted i π is within tne square is not expected to vary by more than some predetermined percentage. The resulting map will serve as a template for the remainder of the process.

At Step 2506, Method C-2 selects a specific Incumbent Licensee and creates a new map from the template defined in Step 2504.

At Step 2508, Method C-2 selects a grid square from the current map.

each grid square within using models, such

Figure imgf000044_0001
k d l

At Step 2512, Method C-2 makes a decision. If all grid squares within the current map have not been considered, Method C-2 executes Steps 2508 through 2 12 until all grid squares have been considered.

I at Step 2512, all grid squares have been considered, Method C-2 makes a decision at Step 2514. If all Incumbent Licensees of interest have not been considered, Method C-2 executes Steps 2506 through 2514 until all Incumbent Lice ee nave been considered. if, at Step 2514, ail Incumbent Licensees have been considered, Method C-2 executes Step 2515.

At Step 2515, Method C-2 creates a new map from the template defined in Step 2504.

At Step 2516, Method C-2 selects a grid square from the current map.

At Step 2518, Method C-2 segments each grid square into a number of angular sectors (Sec Figure 6). The resolution of each sector should be such that the gain of an antenna located within the grid square does not vary from one extreme of the sector to another by more than some predetermined percentage. At Step 2520, Method C-2 selects an angular sector from the current grid square.

At Step 2530, the Supply Validator/Estimator 2102 estimates the total interference from Incumbent Licensees within each grid square from all directions based on the maps created for each Tncumbent Licensee in Steps 2502 through 2514.

At Step 2532, Method C-2 makes a decision. If all angular sectors have not been considered for the current grid square, Method C-2 executes Steps 2520 through 2532 until all angular sectors have been considered.

If, at Step 2532, all angular sectors have been considered for the current grid square, Method C-2 executes Step 2534.

At Step 2534, Method C-2 makes a decision. If all grid squares on the current map have not been considered, Method C-2 executes Steps 2516 through 2534 until all squares have been considered.

If, at Step 2534, all grid squares within the current map have been considered, Method C-2 executes Step 2536.

At Step 2536, Method C-2 selects a new grid square within the current map.

At Step 2538, Method C-2 collects and/or retrieves all data regarding other sources of man-made or natural interference, This data includes without limitation: any other information available including without limitation calculations or prior measurements.

At Step 2540, Method C-2 makes a decision. If no new interference data is available for the current grid square, then Method C-2 executes Step 2536.

If, at Step 2540, new information regarding the current grid square is available, then Method C-2 executes Step 2542.

At Step 2542, Method C-2 selects an angular sector within the current grid square.

.r Step ώjm, tho .- makes a composit interference estimate from new information Outai d in Step 2536 and from the Tncumbent Licensee estimates made in Steps 2502 through 2514. Method C-2 makes the composite estimate by adding individual contributions accordingly. Interference that can be represented by additive white Gaussian noise (AWGN), for example, adds non-coherently (i.e., on a "10 basis), while interference thai is fully correlated may add coherently (i.e., on a "20 log" or

Figure imgf000045_0001

At Step 2548, Λiethod C-2 makes a decision. If all sectors within the current grid square have not been considered, then Method C-2 executes Steps 2542 through 2548 until all sectors have been considered.

If, at Step 2548, all sectors have been considered, Method C-2 makes a decision in Step 2550.

At Step 2550, if all grid squares have not been considered on the current map. Method C-2 executes Steps 2536 through 2550 until all grid squares have been considered. if, at Step 2550, all grid squares have been considered, Method C-2 executes Step 2551.

Λt Step 2551, Method C-2 creates a new map from the template defined in Step 2504.

At Step 2552, Method C-2 selects a grid square from the current map.

At Step 2554, the Supply Validator/Estimator 2102 determines the maximum permitted uπdesired-to- desired signal ratios and/or interfering signal power density limits within each grid square within the protected coverage areas 2204 of the incumbent Licensees. This information should be available from the regulatory body responsible for licensing spectrum (Regulator), either directly or from regulations promulgated by the Regulator.

At Step 2556, Method C-2 makes a decision. If all grid squares have not been considered, Method C-2 executes Steps 2552 through 2556 until all grid squares have been considered.

If, at Step 2556, all grid squares have been considered, Method C-2 executes Step 2557.

At Step 2557, Method C-2 creates a new map.

At Step 2558, Method C-2 selects a new grid square from the current map.

At Step 2560", Method C-2 selects an angular sector from the current grid square.

At Step 2562, the Supply Validator/Estimator 2102 estimates the maximum ERP that would be allowed at a transmitter within the center of the grid square in order to maintain the maximum permitted uπdesired-to- dcsircd signal ratios and/or interfering signal power density limits within each grid square within the protected coverage areas 1000 of the Incumbent Licensees. The maximum ERP is calculated using the formula:

ERP = 4πR2/F2(rs,rκ) where Ris the radiai distance in meters between the source and receiver; rs and rR represent the coordinates of the source and receiver in some system of geocentric coordinates (e.g. VVGS-84); and F(rs,,ru) is the magnitude of the field propagation factor that applies to the path between the source and receiver. Metliod C-2 can determine the factor F^ΓR) from standard propagation models, such as the Longley-Rice or Okurnura-Hata models.

At Step 2564, Method C-2 makes a decision. If all angular sectors have not been considered, then Method C-2 executes Steps 2560 through 2564 until all sectors have been considered.

If, at Step 2564, all angular sectors have been considered, Method C-2 executes Step 2566. nt Step ._J6U, Method ^-^, a decision, if ah grid squares have not ueen considered, Metnod ^-^ executes Steps 2558 through 2566 until all grid squares have been considered.

At Step 2568, Method C-2 executes to Step 2418 (Figure 1 1). ic Λ-t l ϋ, IVicuiuu V^-Λ v lu tes an ϊliυuulaiiυii i-OUoti aiUi uiai m« ' Dc piai-cu un a uiianng vJ ci aiOi .

At Step 2420, the Overall Supply Estimator 2110 creates a channel resource data structure, such as the Channel Resource Object described in the preferred embodiment.

Al _> /p .i-T^..-., ivx Lii U *-,-.-, aCllda iiamlw l LaOul CC αtα tυ tiiv. O.TJ-. υυ-ru.

At Step 2424, Method C-2 makes a decision. T all polarizations have been considered for the current time and frequency slot. Method C-2 executes Step 2426. Otherwise, Method C-2 executes Step 2414.

At Slop 2426, Method C-2 makes a decision. If all frequency slots have been considered for the current time slot, Method C-2 executes Step 2428. Otherwise, Method C-2 executes Step 2412.

At Step 2428, Method C-2 makes a decision. Tf all time slots have been considered for the current time slot, Method C-2 exits at Step 2430. Otherwise, Method C-2 executes Step 2410. and Assigned Channels The present invention defines demand assigned (DA) channels as channels employed in networks where stations demand resources through some dedicated signaling channel from certain network entities responsible for allocating time, frequency, code, space, and polarization resources. Examples of networks employing DA channels include without limitation; CMRS operators employing FDMA, TDMA, GSM, or CDMA transmission protocols; land mobile radio (LMR) systems employing trunkcd FM or single sideband (SSB) channels; and wireless systems employing resource auction multiple access (RAMA) algorithms.

METHOD C-3: Identification of Underutilized Spectrum in Demand Assigned Channels. i. Relationship to Overall Method A-2

SIE 0046, which is a component of Allocator 0044, generates channel resource data associated with underutilized spectrum within DA channels. STE 0046 processes information received by entities including without limitation: Brokers 0058, or SSEs 0034, 0036, 0038, and 0040. ii. Structure of Block Diagram

Figure 13 shows a network employing DA channels that is operated by an Incumbent Licensee within coverage area 2602. Stations 2610 within the incumbent network demand channel resources from some network entity 2604 (e.g., a base station) using dedicated signaling link 2606. The network entity 2604 assigns channel resources to enable an information transmission link 2606. iii. Functional Relationships in Block Diagram

Network entity 2604 notifies Exchange 2612 about the disposition of channel resources, including spectrum, at the disposal of the network.

Stations 2614 are within different coverage areas, but are part of the Incumbent Licensee's service and share some of the same channel resources as the network lo which stations 2610 and 2604 are attached. iv. Steps for Executing Method

The steps for executing Method C-3 are similar to the steps for executing Method C-2. The steps listed below reflect the different steps necessary to accommodate the identification of demand assigned channels.

(1) The Exchange 2612 implements Method C-2 in order to identify resource configurations under which the sharing network and incumbent network would operate simultaneously with tolerable levels of

(2) The Exchange 2612 next identifies but does not store resource configurations under which the sharing network would operate with tolerable levels of MAI in remote coverage areas 2614, without regard to interference to the nearby coverage area. Method C-3 implements this step through the relevant steps

.-.r \ Λ,-.ιt,.-..-l •■»

(3) The Exchange 2612 receives from incumbent network entity 2604 the times at which the configurations in Step 2 are available. For example, these times could represent times within coverage area 2602 at which certain FDMA channels arc available or times during which additional non- wn l iit, J.VJ_ΓU ui LUI αilu vviniin α K^J ^±VXΓX liαim i.

(4) The Exchange 2612 associates the time intervals determined in Step 3 with the resource configurations determined in Step 2 to build complete CROs.

(5) The Exchange 2612 builds and maintains the valid CROs. c. Random Access Channels The present invention defines random access (RA) channels as those channels employed in networks where stations contend for access to the channel using methods Lhat may lead to overlapping or colliding simultaneous transmissions, which in turn may require stations to retransmit. Different types of random access schemes can include without limitation; fixed schemes in which stations transmit without coordinating access with other stations; or adaptive channel-sensing schemes in which stations first sense the channel to gain channel state information. Examples of networks that employ fixed RA schemes include without limitation: networks that employ ALOHA, slotted ALOHA, and group random access protocols. Examples of networks that employ adaptive channel-sensing RA schemes include without limitation: networks that employ persistent and non- persistent CSMA, CSMA with collision detection (CSλ-TA/CD), packet reservation multiple access (PRMA), and busy tone multiple access (BTMA) protocols.

The present invention can consider a channel a RA channel even if stations occupying the channel are not employing an RA protocol, but are operating within an independent, uncoordinated network. Examples include without limitation networks which implement open and proprietary fixed and/or demand assignment schemes within unlicensed frequency bands. Although the individual networks may not implement random access schemes, the network as a whole is accessing the channel in a random fashion from the perspective of any other service on the channel. uccause i v πetwor s do not coordinate ch nnel access decisions, deterministic identification oi underutilized spectrum in advance is impractical. However, statistical techniques such as the method proposed below can provide a degree of advance identification. Further, because random access networks frequently defy well- defined coverage boundaries, identification of resources through information provided by some entity central to the incumbent network is also impractical. The lack of clear boundaries and central allocating authorities requires a disliibu-Cu rather than ccii αii c c iio χθ iucnliiymg uiiucrutiiizcci spectrum.

METHOD C-4: Identification of Underutilized Spectrum in Random Access Channels. i. Relationship to Overall Method A-2

SIE 2656 (equivalent to SIE 0046), which is a component of Allocator 0044, generates channel resource data associated with underutilized spectrum within RA channels. SIE 2656 processes information received by entities including without limitation: Brokers 0058, or SSEs 0034, 0036, 0038, and 0040. ii. Structure of Block Diagram i Igui G I T δnυwδ α nctwOi r. cuψiuy ing ι . αUn l Inαt iS o e ting vviliiiii i α -uj_, nicd -υj~ ma ϋι may not be a protected coverage area, whether by authority of the Regulator or by agreements with networks operating within area 2652. iii. Functional Relationships in Block Diagram tatϊϋns lϋ a n wo k Oi mt i lerence monitoring stations WniCn may L» operating entirely outside area 2652 (as shown) or entirely or partially within area 2652 All stations 2654 within the network are connected to a SIE 2656 via dedicated signaling links 2658. The network monitoring stations 2654 may also be eventual members of the network that will contend with the RA network for resources, in which case the interference monitoring functions required are embedded within the hardware of the stations. iv. Steps for Executing Method

The steps for executing Method C-4 are similar to the steps for executing Method C-2. The steps listed below reflect the different steps necessary to accommodate the identification of random assigned channels.

(1) The SIE 2656 implements Step 2504 of Method C-2 and creates a detailed map of all relevant (2) If area 2652 is considered a protected coverage area, the SIE 2656 first identifies and stores resource configurations under which the sharing network and incumbent network would operate simultaneously with tolerable levels of MAT to the incumbent network within all coverage areas under consideration (2602 and 2614). Method C-4 implements this step through the relevant steps of Method C-2,

(3) If area 2652 is not considered a protected coverage area, the SEE 2656 monitors interference reports from monitoring stations 2654. Based on the interference reports received, the SIE 2656 estimates through interpolation or some other means the interference power density within each grid square of the map defined in Step 1. Finally, the STF. 2656 creates and stores RCRs for each grid square*and each frequency channel under consideration that include the interference estimates gathered. v. Discussion

The present invention applies Method C-4 to Unlicensed Channels described in Section A.l .b.iii.(3)(c). The present invention assumes that Regulators may permit Sharing Operators to operate in those channels not licensed to any Incumbent Licensee, e.g., unprotected coverage areas of licensed television broadcasters or any RF band not licensed by Regulators to any Incumbent Licensee regardless of geographical area. The present invention treats Unlicensed. Channels as RA channels. Because no Incumbent Licensee can control access to Unlicensed Channels, any Sharing Operator must access Unlicensed Channels with the expectation that other Sharing Operators may also try to access such Channels,

C.6. Statistical Methods for Identifying Underutilized Spectrum a. Stochastic Channel Resource Objects in the above methods, the present invention identifies the time resource in the following deterministic ways, including without limitation: i. From static allocation information associated with fixed assignment channels. ii. From dynamic allocation information provided by Incumbent Licensees operating demand assignment channels, iii. From an implicit claim on the time resource employed in random access channels.

duration defined by the start and slop limes specified in the associated CRO. In general, resource availability may not be deterministic, but, in fact, may be a stochastic process (i.e., a process that varies in time in a non- deterministic fashion) that is also possibly non-stationary (i.e., the statistics of the process themselves vary with time).

When allocations are based on instantaneous short-term observations of a stochastic process, chaotic network behavior could result. In such cases, the present invention must make an accommodation for estimation and

.,..., .1: ..4.: — : . r. „ .- -..1 — -r. ... — *-: — r^ n.. ι ς;uιt.uυn in mc ciici αl i uv-cuui c ιυι ui cαtmg v^K ^s,

Figure imgf000049_0001

METHOD C-5: Overall Method for Identifying Underutilized Spectrum Under Stochastic Channel Resource

A vailabilily The relationship of Method C-5 to Overall Method A-2, the structure of the block diagram, and functional relationships in the block diagram are identical to those listed under Method C- l . i. Steps for Executing Method

The SIE 0046 implements Methods C-l through C-4 to identify underutilized spectrum within some time interval in fixed assignment, demand assignment, and/or random access channels operated by other Sharing Operators or incumbent Licensees. Based on resource availability histories, predictions, or any a priori information available regarding future disposition of channel resources, the SIE 0046: (a) defines a discrete set of available resource configurations (frequency, code, space, polarization) that may occur within the time interval specified; and (b) estimates the discrete probability mass function over the space of potential channel resource configurations.

The preferred embodiment of Method C-5 implements a new channel resource object known as a stochastic channel resource object (SCRO). Λ SCRO consists of a ORO associated with some probability. Method C-5 can implement the space of possible SCROs as an array. An example of one possible SCRO implementation encoded with Java-like syntax is as follows: class StochasticChannelResourceOb ect { private Channel KesoυrceObject cro; private, doubl prob;

public StochasticChannelResourceObject (

ChannelRcsourccObjcct c, double p) { cro - c; prob - p;

} public Probability ( ) { prob ;

1

}

C.7. Identification of Channel Resources in Advance i he identification oi channel resources advance requires eitner direct advance uϋ iiiCαtϊϋn by resource owners

(Incumbent Licensees) or some other source of information from which resource availability the present invention can infer in either a deterministic or probabilistic fashion. Licensee has has rendered *

Figure imgf000050_0001
tn-.„ n Λ InI,ϋ, ....+iυ.,-i.

0044 infers via some other means information regar ng the availability of resources.

Figure 20-2 shows the means by which information reaches the Allocator 0044. Figure 20-2 shows a particular embodiment of the Allocator 0044 called a "Spectrum Router".

In the overall spectrum sharing paradigm, the present invention considers two parallel networks: an Information Transmission (TT) network and a Signaling network. The IT network operates simultaneously at multiple layers. In Figure 21, for example, suppose that a wireless network establishes an http connection between nodes 1 and 5, where node 1 is a multimedia server and node 5 is a web-enabled mobile station. Further suppose that nodes 1 and 5 connect through a proxy server at node 2. Layer C in the figure illustrates the OST Application Layer (Layer 7) connections.

Suppose that the multimedia server (1), proxy server (2), and mobile station (5) all connect via an IP network that includes a router (3) at the Mobile Switching Center (MSC). Layer B in the figure illustrates the OSI Network Layer (Layer 3) connections. i

Finally, suppose that the MSC router (3) connects to the mobile station (5) via some Base Transceiver Station (BTS) (4) over the wireless operator's standard air interface. The physical connections among the other nodes are via some other wired network protocol. Layer A in the figure illustrates the OSI Physical and Data Link (Layers 1-2) connections.

Wireless networks are unique in that they are essentially broadcast networks at the physical layer, whether . intentionally or not. The figure illustrates this concept with the multiple arrows originating at the BTS (4) in the figure's Layer A depiction. The figure assumes some other station (6) to be monitoring transmissions of the BTS (4) over its air interface, where the station may or may not be able to extract useful higher layer information from the transmissions.

The second column illustrates what the present invention refers to as the Spectrum Router Signaling Network (SRSN). The SRSN consists of the Spectrum Router itself, various monitoring stations, and (not shown) other entities with which the Spectrum Router communicates to enable other functions of the overall Efficient Spectrum system.

The figure illustrates how each layer of the IT network may have one or more monitoring stations associated with individual nodes, For example, at Layer A, the BTS (4) and mobile station (5) may include functions that; (1) monitor various channel resources, including without limitation; modulation, incident power density, and polarization; and (2) tracks their usage over time and frequency. Autonomous nodes such as (6) may also provide these functions. At Layer B, the MSC router (3) provides key packet information collected from IP transmissions, including without limitation packet size, packet source address, packet destination address, and packet flow category. Finally, at Layer O, the proxy server (2) provides additional key flow information from the application layer connections between 1 and 5, including without limitation: message sizes and percentages of messages sent or remaining.

The present invention may implement the Signaling Network as a separate network outside the IT Network (e.g., like SS7 in the PSTN) or by embedding functions within the IT Network (e.g., similar to IP and RSVP).

This model of the Spectrum Router monitoring functions is extremely general. In general, the present invention enables spectrum supply monitoring functions by any arbitrary monitoring node within the SRSN at the lowest layers nd enables demand monitoring lunctions at any arbitrary monitoring node at any other layer witnm tne SRSN, including without limitation; network, transport, session, and application, Furthermore, the simultaneous operation of various monitoring nodes at multiple layers permits the present invention to associate demand behavior with supply behavior and vice versa. The overall system, through learning or predefined algorithms, can make predictions of future supply of underutilized spectrum and/or future demand for service through real-lime and/or historical observations from all monitoring nodes within the SRSN.

Figure 21 illustrates interfaces between the layers of an Information Transmission network and the SRSN. Tn fact, one or more Incumbent Signaling Networks (ISNs) may also be associated with the Information Transmission network. The present invention defines ISNs a network separate from the IT network employed to establish, maintain, and terminate connections within the IT network. ISNs focus on signaling information required by a particular wireless network. In contrast, the SRSN focuses on signaling information required to interconnect different wireless networks. Figure 22 shows links between the multimedia server (1) and the proxy server (2) and one TSN that may, tor example, implement the advance resource reservation function required under RSVP provisions of the internet Protocol (IP) operating at Layer B. A second ISN associated with Layer B may implement the control functions required at the mobile station, BTS, and MSC. The ISNs may offer one or more POPs (or points-of-presence) for the SRSN, as Figure 22 shows by connection between ISN nodes and the Spectrum Router node.

METHOD C-6: Overall Method for Identifying Underutilized Spectrum in Advance.

The overall method for identifying underutilized spectrum in advance implements the functions required to identify frequency, time, code, space, and polarization resources which are expected to become available on cither a scheduled or unscheduled basis. Method C-6 utilizes POPs at both the Signaling Network and Information Transmission Network of Incumbent Licensees. i. Relationship to Overall Method A-2

Method C-6 is the overall method utilized by SiE 0046 to identify underutilized spectrum in advance. ii. Structure of Block Diagram

A SRSN includes a number of Monitoring Nodes as well as Allocator 0044. One or more stations operated by a particular wireless operator participates in a multilayer Information Transmission Network (TTN), where the participating stations arc nodes within the ITN.

Incumbent Licensees or other entities with nodes participating in the ITN may participate in one or more

ISNs. iii. Functional Relationships in Block Diagram

Monitoring nodes within the SRSN maintain POPs at certain nodes within both the TTN and ISN. ITN nodes provide the Spectnim Router with layer-specific information including without limitation: the layer's service user data, service provider data, and any other data available from the layer Service Access Point (SAP) (see DEFINITION Section). nodes provide tne Spectrum Router with irnoi mαtion regarding mu i-access resources that an Tncumbent Licensee has, is, or will allocate to a particular TSN connection. Information could include without limitation that information a mobile telephony control channel would provide regarding channel resource assignments, including without limitation: time, frequency, code, space, and polarization; message transfer, signaling connection, telephone usage, ISDN usage, or transactions capabilities information that a jjlgilαiiiϊg _J y 3 1J.A / ^-J / JLIVJLYVUI Λ. uuiu i υviuυ, αiiu/ Ui Ixiiuϊ Iil LiUii yi O v IU w iLiixii -.nt-- u bϋui wv/

Reservation Protocol (RSVP) reservation request, path, error and confirmation, and teardown messages. iv. Steps for Executing Method 3J.L- ll uv^a αu vαϊUΛ, atJ Cti uIIi uLiii,e.ai .v-i-<l uαtα ι VJA x-/ά, -i. i iiu±ii -J.1— ;.> via UJ , ivAUiii uIulg υ υa within the SRSN and implements Steps 2002 through 2008 or Method C-l .

SIE 0046 receives advance service demand data (OST Layers 2-7) from SDEs via SSE Monitoring Nodes within the SRSN and implements Steps 2010-2014 of Method C-l

SIE 0046 receives advance service demand data (OSI Layers 2-7) and advance spectrum utilization data (OSI Layer I) from other Monitoring Nodes within the SRSN and implements Steps 2016 through 2022 of ict uu r~ 1 .

SIE 0046 implements the remaining steps of Method C-l (Steps 2024-2028). v. Discussion

In the preferred embodiment, the SRSN transports information about service requests identified in real-time and/or in advance and underutilized spectrum identified in real-time and or in advance. Tn an alternative embodiment, the SRSN can transport not only signaling information, but also actual information or content transmitted by wireless networks.

C.8. Identification of Any and All Underutilized Spectrum

Section C has described a variety of methods for identifying underutilized spectrum in real-time and in advance. In igeneral, the present invention classifies all spectrum utilization by Tncumbent T/icensees in terms of how Tncumbent Licensees utilize frequency, time, code, space, and polarization resources. The present invention defines a channel resource as a unique set of frequency, time, code, space, and polarization resources. The present invention classifies underutilized spectrum as all channel resources not utilized by an Incumbent Licensee. The present invention notes explicitly that underutilized spectrum can include channel resources in frequency bands licensed to incumbent Licensees or frequency bands not licensed to any entity.

While the present invention proposes several methods for identifying underutilized spectrum, it notes that there may exist other methods for such identification. Regardless of how underutilized spectnim is identified or what method may be utilized, the present invention utilizes all such underutilized spectrum for llie purpose of enabling any, some, or all SDEs 0228 to operate in such underutilized spectrum. The present invention utilizes any combination of frequency, time, code, space, and polarization resources not utilized by an Tncumbent Licensee.

D. Allocation of Underutilized Spectrum to Requests for Service

D.1. Spectrum Allocation Engine

Allocation of channel resources requires a method that: (a) interprets service demand data from one or more parties to derive channel resource requirements; (b) identifies partitions of available resources which would fulfill the requirements of SDEs 0228; (c) enables the free-market exchange of resources between buying and selling parties; >and (d) suggests alternative partitions and/or additional resource offerings to suppliers when the current supply cannot meet demand requirements. *

Although one can draw an analogy between the market exchange function of a channel resource allocator and a commodities exchange^ the analogy is not perfect. Within a commodities exchange, buyers bid for and sellers offer a single good. The buyer's intended use of the good is not relevant. Although the exchange could conceivably implement a method for analyzing the buyer's particular use and derive the quantity of the commodity the buyer would need, this process would add no value for the buyer or the seller.

As discussed previously, spectrum by itself is not a useful commodity unless additional associated resources - time, code, space, and polarization - are adequate. Because the combination of resources that will support a particular service demand is not, in general, unique, a particular buyer's choice of bid is ambiguous. For example, the Shannon capacity theorem states that the capacity of a particular communications channel in bits per second (bps) depends on the bandwidth of the channel in Hertz (Hz) and on the signal-to-noisc ratio at the receiver;

C = B \og2 +S/N) if a particular service uemaπd requires ι Mc capacity, tne ύemaπu coulu be l liihed by any channel ιo which:

B = l/(log2(l+iW)) could fulfill such demand (e.g., a 1 MHz channel with a signal-to-noise ratio of 1 , a 500 kHz channel with a signal- to-noise ratio of 3, etc.).

The channel resource allocation method defined in the present invention adds value for both buyer and seller. It adds value for the buyer by translating service requirements into unambiguous resource requirements. Tt adds value for ne sener vy' ensuring tnαt resource dimensions are considered in tn allocation process, tnereby maximizing spectrum utilization.

D.2. odel for Channel Resource Allocation

The present invention uennes tne channel resource alloc tion problem as lUllows:

Some number of Incumbent Licensees serve as the ultimate suppliers of channel resources, where the present invention defines a channel resource as some set of time, frequency, code, space, and polarization resources, as defined above.

In the channel resource allocation problem, one or more SSEs 0226 offer a number of channel resource sets, or parcels, where the number of parcels offered may vary with time. The SSEs 0226 offering these resources can clude without limitation tnose entities listed m the DEFTNTTTON Section uπ er OJ S. The present invention denotes the time-varying offered resource supply by R(t). The present invention associates with the offered supply R(t) a set of pricing specifications, Λ(t), which includes without limitation such information as the minimum asking price and preferred exchange method (e.g. auction).

At the same time that SSEs 0226 are offering channel resources, SDEs 0228 are presenting a number of service demands, where the demands may vary with time. The SDEs 0228 presenting these demands can include without limitation those entities listed in the DEFINITION Section under "SDEs." The present invention denotes the time- varying set of service demands by S(t). The present invention associates with demand set S(t) a set of bidding specifications, B(t), which includes without limitation such information as the maximum bid price and type of order (e.g., market or limit).

For any given R(t) and S(t), the set of all possible ordered pairs (R;,Sj) of resource parcels with service demands is given by;

M = R(t) X S(t) = { (RLS , (RlsS2) (Ri,Sj) (RNR, SNS) } where NR is the number of available resource parcels and Ns is the number of pending service requests.

The power set of M, PPVT], consists of all possible subsets of ordered pairs within M, including the empty set, φ. Each subset of M represents a potential set of channel mappings of some or all of the available resources R(t) into some or all of the pending service demands S(t).

As an example, consider the following scenario: i li resources associated with a ρaι ucul&r nMro channel are v ilabl at time t and la eled as parcei ι .j.

Figure imgf000055_0001
the same time, the resources associated with a particular CDMA channel are also available. The example denotes the resource as parcel R2. Furthermore, a CDMA operator needing an additional voice channel that would be defined using standard CDMA protocol presents a demand for service at the same time, t. The example denotes the service demand as Sj. In this case:

R(t) = { R R2 }

S(t) = { S! }

The set of all possible pairings of resource parcels with the pending service request is:

M = {J iAY

Figure imgf000055_0002
}

The first pair, (Rj,Sι), implies that the AMPS resource is paired with the CDMA service request. The second pair, R2,Sι), implies that the CDMA resource is paired with the CDMA service request.

The power set of M - the set of all possible subsets of M - is:

ΓL""J - l Ψ> i I I»->I; /. 1

Figure imgf000055_0003
> ϊ The interpretation for each clement is as follows: φ: Corresponds to the case where no resources are assigned and the service request is left unfulfilled. (RijSi) } : Corresponds to the ease where the AMPS resource is paired with the CDMA service request. { ( 2,Sι) j: Corresponds to the case where the CDMA resource is paired with the CDMA service request { (Ri.Si), .Si) } ; Corresponds to the case where both resources are paired with the CDMA service request.

In the above example, the present invention makes no attempt to determine which of the possible mappings within PLMj was preferred - the present invention simply enumerates potential mappings. To determine which of the possible mappings is preierreu, the present invention ue es a series of O ject ve lUnctions: a. A performance objective function, Ψp ( i') is defined as a function that produces some numerical output that depends solely on the pairings ( i,Sj) within M4' and nothing else, where Mt' is defined as the i-th subset of M within in P MJ that is to be considered. b. A utility objective ) is defined as a function that produces some numerical output that depends not only

Figure imgf000055_0004
id and ask price specifications A;' and B;' that correspond to the elements of S and R, respectively, within Mi'. The sets formed by these elements are denoted S;' and R;', respectively. c. An overall objective function is denoted by Ψ(Ψp, Ψu).

D.3. General SAE Algorithms

The present invention defines a number of general algorithms for the SAE 0048 below. These algorithms form* the basis for a number of methods to be defined later: a. Resource Partitioning: Identify useful mappings, M', of R(t), the channel resource supply into service demands S(f), as defined above. b. Evaluation: Evaluate the performance and utility of each mapping f identified. c. Free-Market Exchange; Enable the free-market exchange of resources between suppliers and demaπders in a manner which meets the pricing specifications within A(t) and the bidding specifications within B(t).

D.4. Overall Method of Channel Resource Allocation a. Description of Overall Method of Channel Resource Allocation

METHOD D-l: Overall Method of Channel Resource Allocation in Response to Service Reψiests. Method D-l is a method for pairing available channel resource parcels identified by the SIE 0046 with service requests identified by the SRE 0050. i. Relationship to Overall Method A-2

Method D-l implements the function of the SAE 0048 within the Allocator 0044. SDE 0228 may be Sharing Operators such as 0052 or 0056, SSE 0226 may be Tncumbent Licensees such as 0034 or 0038. ii. Stmcture of Block Diagram i-igure ι-t Snows the entities required to implement the cnanne! resource allocation process, n. s rvic Request Queue 3030 stores pending service requests provided by the Service Request Engine 0050, A Resource Database 3010 stores data on all available resources provided by the SiE 046. A Channel Mapper 3016 identifies possible mappings of available resources to service requests. A Network Performance E valuator 3014 estimates, predicts, and/or evaluates the performance of a given network according to some predefined judgment criteria, where the network is defined by a resource partition, a service partition, and the relation between the two partitions, A "Network Utility valuator 3008 estimates, predicts, and or evaluates the utility of a given network according to some predefined judgment criteria. A Network Optimizer 3006 decides whether a given network is acceptable or if additional operations need to be performed. An Exchange 3004 processes ask and bid price ecific io as oci ted wim some et Ox avαiiαOiC resources nti service requests. A

Figure imgf000056_0001
Allocator 3002 manages the eventual assignment and management of available resources and service demands. A Billing Application 3026 manages bill processing. A Billing Database 3028 stores bill processing output. A Network Synchronizer 3022 ensures that two or more SDEs 0228 or SSEs 0226 have access to the same reference clock. iii. Functional Relationships in Block Diagram

The Channel Mapper 3016 reads as a set some or all of the service requests within the Service Request Queue 3030 and loads available channel resource data from Resource Database 3010, The number of requests read from the Queue 3030 may vary with implementation. If the Allocator 0044 implements a First Come First Serve (FCFS) allocation algorithm, for example, the algorithm will read or process only one request at a time. Tf the Allocator 0044 implements an algorithm which jointly allocates a group of resources to a group of service requests, then the algorithm will process a group of requests from the Service Request Queue 3030 during any given time period.

An example of how an algorithm might jointly allocate a group of resources to a group of service demands follows (see Figure 16). Assume that:

• At time Ti, Allocator 0044 receives from SDEi a service request for transport of a low-priority transmission, e.g., a packet that is part of an email message.

• At time T2 shortly after Tt, Allocator 0044 receives from SDE2 a service request for transport of a liigh-priority transmission, e.g., a frame or packet that is part of a CBR transmission. β At time T1% Allocator 0044 receives from SSE, information about underutilized spectrum that is available long enough to support the size of the service request from DE2.

• At time T2, Allocator 0044 receives from SSE2 information about underutilized spectrum that is not available long enough to support the size of the service request from SDE2.

A FCFS allocation algorithm would first allocate the low-priority packet to the underutilized spectrum available from SSEj. However, the result is delay of the high-priority CBR transmission because the underutilized spectrum available from SSE2 cannot support transmission of the high-priority CBR transmission.

An algorithm that jointly allocates a group of resources to a group of service demands during some time period could better reflect the differing priorities of individual service requests. In this example, such an algorithm would allocate the high-priority CBR transmission to the underutilized spectrum available from SSEi, even though the Allocator 0044 receives the high-priority CBR transmission after it receives the low-priority email transmission.

For some number, including without limitation all, possible pair of resource and service demand subsets, the Channel Mapper 3016 creates and identifies possible onc-to-onc mappings of resource subset elements onto service demand elements.

The Network Performance Evaluator 3014 evaluates each mapping by some predefined performance criteria embodied in a network performance objective function. The Network Performance Evaluator 3014 evaluates network performance without considering bid and ask price specifications submitted by the SDE 0228 and SSE 0226. The Network Performance Evaluator 3014 objective function outputs may include without limitation: other sets, vectors, or scalars.

The Network Utility Evaluator 3008 associates bid and price specifications with each network relation considered, evaluates each relation by evaluating the value of the objective function computed by the Network Performance Evaluator 3014, and evaluates the bid and ask price specifications themselves. The Network Utility Evaluator 3008 employs some predefined objective function that depends on network performance, bid price specifications, and ask price specifications. The Network Utility Evaluator 3008 objective function outputs may include without limitation other sets, vectors, or scalars The Network Utility Evaluator 3008 receives ask and bid price specifications from the

Figure imgf000057_0001

The Network Optimizer 3006 interprets the value of the objective fimction computed within the Network Utility Evaluator 3008 and Network Performance Evaluator 3014 for the mappings being considered. The Network Optimizer 3006 may compute an overall objective function based on the individual utility and performance objective functions described above.

The Network Optimizer 3006 also issues instructions to the Exchange 3004. These instructions may include without limitation: instructions to notify SDEs 0228 (buyers) and/or SSEs 0226 (sellers) of pending channel assignments, instructions to solicit additional bids, requests to change the quantity of service requests or underutilized spectrum, or denials of service requests.

The Network Optimizer 3006 may exercise control over the Channel Mapper 3016 in order to impose a preference for certain channel mappings over others. The present invention may implement this feature for optimization methods including without limitation: first and higher order gradient searches and evolutionary algorithms such as genetic algorithms, neural network based algorithms, or simulated annealing methods.

The Exchange 3004 receives hid and ask price specifications from SDEs 0228 (buyers) and SSEs 0226 (sellers), respectively, and provides price specifications as required to the Network Utility Evaluator 3008. The Exchange 3004 implements negotiations between buyers and sellers and/or their respective agents (Section D.5. discusses the role of agents). The present mvention considers a transaction cleared when some buyer is willing to assume ownership, temporary or otherwise, of some particular resource being offered and when some seller is willing to transfer ownership of such resource. In addition, the present invention considers a transaction cleared when the Exchange 3004 eliminates a bid or ask price specification for any other reason.

SDEs 0228 may withdraw or modify their service requests by notifying the Allocator 0044 via the SRE 0050. SSEs 0226 may withdraw or modify their resource offerings by notifying the SIE 0046. SDEs 0228 and SSEs 0226 modifying their respective requests and offerings must also simultaneously notify the Exchange 3004, since the bid and/or ask price specifications will no longer be meaningful.

The Exchange 3004 may impose conditions on the bid and ask price specifications, including without limitation: the time after which the specifications are considered to have expired if an associated transaction has not cleared.

When the Exchange 3004 determines that a transaction has cleared, it notifies the Channel Allocator 3002, The Channel Allocator 3002 updates the Resource Database 3010, updates the Service Request Queue 3030, notifies the Billing Application 3026, and notifies the SDE(s) and SSE(s) affected.

The Billing Application 3026 manages tracking, invoicing, and billing for resources transferred between parties. The Billing Application 3028 maintains a record of all activities within a Billing Database.

The Network Synchronizer 3022 synchronizes all time bases of the Allocator 0044, SDE(s) 0228, or SSE(s) 0226 as required in order to remove ambiguity from any interpretation of rime resources or constraints.

Figure imgf000058_0001
iv. Steps for Executing Method i igure i * conta s a no cπart detailing the αuove procedure, m tnϋd L/-1 executes teps -> i 0^, 3 iw, and 3106 concurrently. At Step 3102, the Service Request Queue 3030 loads service demands. At Step 3104, the Resource Database 3010 loads available resource data. At Step 3106, SDEs 0028 and SSEs 0026 transmit pricing specifications to the Exchange 3004.

At Step 3108, the Channel Mapper 3016 identifies possible mappings of resources into services.

At Step 3110, the Channel Mapper 3016 selects a mapping. At Step 31 12, the Network Performance Evaluator 3014 evaluates performance of the communications channels defined by the mapping as described above.

At Step 3114, the Network Utility Evaluator 3008 evaluates the utility of the communications channels defined by the mapping as described above.

At Step 31 16, the Network Optimizer 3006 performs an overall evaluation of the Network that reflects the performance and utility evaluations executed by the Network Utility Evaluator 3008 and* the Network Performance Evaluator 3014.

At Step 118, the Network Optimizer 3006 determines whether some predetermined halting condition has been reached in the optimization process. The halting condition can include without limitation: a limit on the lime of the search, a limit on the number of iterations, a condition in which the Network Optimizer 3006 evaluates all possible mappings, and when the Objective Function has reached a value that is within some predetermined tolerance.

If the halting condition has been reached at Step 3118, the Network Optimizer 3006 selects the particular set of resource and service partitions and the mapping relating the two partitions, which meet some prcdctcπnlned condition on the objective functions calculated in the Network Performance Evaluator 3014 and/or Network Utility Evaluator 3008 and on the overall objective function calculated within the "Network Optimizer 3006.

If the halting condition has not been reached at Step 31 18, then Method D-l returns to Step 31 10 to select a new mapping,

If the halting condition has been reached, the Network Optimizer 3006 determines at Step 3122 whether SDEs 0228 and SSEs 0226 need to be notified before allocating channels to the SDE 0228. This case may occur, for example, when the ask price specifications contain a bidding provision that requires some delay before allocation to accommodate additional bids. Tf Step 3122 requires notification, the Channel Allocator 3002 notifies at Step 3124 the relevant SDEs 0228 and/or SSEs 0226 and the process returns to Step 3100. If not, then the Network Optimizer 3006 executes Step 3 126.

At Step 31 6, the Channel Allocator 3002 allocates the resources associated with the selected mapping to the service request associated with the selected mapping.

At Step 3128, the Channel Allocator 3002 updates the Resource Database 3010.

At Step 3130, the Channel Allocator updates the Service Demand Queue 3030.

At Step 3132, the Exchange 3004 notifies SDE 0228 and SSE 0226 of all allocations.

At Step 3134, the Exchange 3004 notifies the Billing Application 3026 to execute Step 3136 and Method D- 1 returns to Step 100.

At Step 3136, the Billing Application 3026 updates the Billing Database 3028.

A special case occurs when at otep -> i^Q tne selected mapping is an empty set. THIS mapping implies that no mapping of resources to services was viable, Tn this case, the process executes as indicated, but many of the individual actions arc trivial. At Step 3128, for example, the set of allocated resources is empty; at Step 3130, the action of updating the Resource Database 3010 is a null action; etc. mple Application No. I: AMPS and CDMA Operator Contending for Underutilized Spectrum At time 0900 on any given day, a SSE 0226 offers 30 kHz of spectrum for 1 hr within a particular coverage area. It does not restrict use of specific modulations and polarizations. It offers the spectrum at $3.00 ($0.05/rπiπ>.

A particular CDMA operator requires 1.25 MHz of spectrum for intermittent downstream data transmissions from time 0900 to time 1000. The CDMA operator's coverage area coincides with that associated with the resource offered. The CDMA operator bids $ 1.80 for the service ($0.03/min).

A particular AMPS operator requires 30 kHz for intermittent voice calls during the same time interval *and also lies within the same coverage area. The operator bids $1.20 ($0.02/min).

In this particular embodiment of the SAE 0048, the present invention defines a network performance objective fimction, Tp, as the number of services that a given mapping can fulfill within a given mapping.

The present example assigns the network utility objective function, Ψu, a value of one if the bid and ask prices are equal and zero otherwise. The present example assigns the utility objective function a value of zero if the mapping evaluated is an empty set.

The present example computes the overall objective function as the product of Ψpand Ψu.

The Network Optimizer 3006 will select the mapping resulting in the highest value of Ψ unless that value is zero. Tf Ψ - 0 tor all mappings, then the "Network Optimizer 3006 will classify as "best" the partitions and mapping which result in the highest value of ψp unless that value is also zero. If Ψp= 0 for all mappings, the Network Optimizer 3006 will return the empty set.

The halting condition for the Network Optimizer 3006 occurs when it has evaluated all possible mappings. (In this example, the halting condition occurs with exhaustive search. However, as discussed earlier, Method D-1 includes halting conditions other than exhaustive search.) in this example, the Optimizer will not consider alternative mappings from resources that have not been made available.

Figure imgf000060_0001

The STE 0046 processes the resource data and the SRE 0050 processes the service request data above.

Following the process above, the actions listed in the table below occur:

Figure imgf000060_0002
Figure imgf000061_0001

At this point, both SDEs 0228 realize that the SAE 0048 will not fulfill their requirements. Because the SDEs 0228 and SSE 0226 can observe the outcome of the actions of the SAE 0048, they may choose to modify resource offerings, service requests, and/or bid and ask prices. Tn this case, assume that: (a) the SSE 0226 lowers the ask price from $0.05/rnin to $0.04/min; (b) the CDMA operator requests 30 kHz instead of 1.25 MHz, intending to use alternative equipment capable of operating in 30 kHz; (c) the CDMA operator simultaneously increases the bid to $0.04/min; and (d) the AMPS operator increases its bid to $0.03/min.

Figure imgf000061_0002
Figure imgf000062_0001
c. Example Application No. 2; Real-Time Spectrum Auction

The present invention defines sets A(t) and B(t) in general as asking and bid price specifications, although in the previous example they were embodied as actual prices. In an auction scenario, the present example can structure A;(t) such that it takes the value of the highest corresponding bid price for three consecutive iterations. Tf the highest bid is increased during that time, then the first wait interval is cancelled and a new one begins. If no higher bid is received, then after three intervals A,-(t) automatically converts to a standard ask price and the transaction may be cleared.

The rest of the example will follow Example I, but with Ihc following initial conditions:

Figure imgf000062_0002

The results of the SAE process are as follow

Figure imgf000062_0003

Following the above notification, the second operator elects to bid $1.83, which beats Bl. If the first operator elects not to outbid the second, the following actions take place:

Figure imgf000062_0004
Figure imgf000063_0003
d. Example Application No. 3: Maximizing and Balancing Throughput Under Service Level Agreement

Tn this example, R(t) consists of 1000 1-kHz parcels of spectrum in the 700 MHz band that will be available within a particular coverage area for some specified time. The SSE 0226 imposes a restriction on the coverage area - the space resource - that limits the output power of any transmitting station to 1 watt. The SSE 0226 imposes no restrictions on polarization or code resources.

Two sharing operators require a downlink channel for data transmission. A Service Level Agreement (SLA) between the two operators and the owner of the shared spectrum requires that spectrum be allocated to the two users such that capacity is maximized and such that no user is permitted greater throughput than the other.

Both oIJhc operators' base stations arc colocated within the coverage area, but the mobile station in the first operator's network is 1 km away from the base station, whiie the second mobile station is 2 km away, The present example assumes all stations to employ isotropic antennas (equal coverage in all directions).

For simplicity, the present example assumes both mobile stations to have identical receivers and both downlinks to be in free space with spectral efficiencies of 0.5 times the theoretical (Shannon) limit. The receiver noise temperatures are I wu r . Tn present e ampl also assumes that botn u anu ouiie stations employ software defined radios (SDRs) that can fimction over arbitrary channel bandwidths from 700-701 MHz.

Method D-l defines the resource and service request domains:

Figure imgf000063_0001

S(t) = { Sl, S2 j

Method D-l defines the channel performance objective function, Ψp, in terms of the theoretical Shannon capacity limits in free space for the links that will use the channel. r = B log2(l + S/N) where C is the theoretical capacity in bits per second, B is the channel bandwidth in Hz, and S/N is the channel signal-to-noise ratio. The channel signal power can be determined from the Friis equation for free space transmission:

Figure imgf000063_0002
where P? is the transmitter output power in watts, R is the line-of-sight distance from the transmitter to the receiver, λ is the wavelength in free space (cjj, where /is the carrier center frequency in Hz and c0 is the propagation velocity of light in free space).

The receiver noise power, N, can be approximated from the Rayleigh-Jeans formula:

N = kTB where k is Boltzman's constant, '/' is the receiver noise temperature in Kelvin, and B, again, is the channel bandwidth. Thus, the complete expression for the theoretical link capacity is;

C-=B log2 ( 1 + ( J4πR )2 (P,l(kTB)) )

Given that Ii] = 2R2, where Rj is the distance from the base station location to the first operator's mobile station and Rj - 2R is the distance from the base station location to the second mobile station; and that each operator will be sharing some maximum amount of spectrum. Bf the individual capacities can be written:

Figure imgf000064_0001

C2= (l- )^log2( l + γ0/(l-α) ) where 0= (c0l4%Ra.ff (PτKkTB0))

Figure imgf000064_0002

In order to balance throughputs, Method D-l defines the channel mapping objective function to the ratio of C, to C2: τf _ r. I τ p- '^2

Method D-l defines the utility objective fimction, Ψ-_ as unity; sets the overall objective fimction, Ψ, equal to Ψp The overall goal of the Network Optimizer will be to force Ψ to a value of Ψ= 1. Method D-l will halt the process when this condition occurs.

Following the format of the previous example,

Figure imgf000064_0003

The results of the AE process are as follow

Figure imgf000065_0002

Note that M466 is not the only mapping that would satisfy the halting condition; only the one that produced contiguous blocks of spectnim. Any mapping that would allocate about 47% of the available spectnim to SI and 53% to S2 would have satisfied the objective. Since the present invention assumes that receivers and transmitters are SDRs, they could have implemented, for example, a frequency hopping sequence using the same amount of noncontiguous spectrum, e. Example Application No. 4: Enabling Transmission of CBR Traffic Across Different Spectrum Bands

In tnis example, Method u- \ reserves channel resources to enauie the transmission Oi ueiay-sensitive

Figure imgf000065_0001

Operator A: 30 kHz in the 869-896 MHz band from time 1100-1120 at $Q.Q3/mϊn Operator B: 30 kHz in the 1 30-1990 MHz band from time 1 1 15-1140 at $0.025/min Operator C: 30 kHz in the 869-896 MHz band from time 1140-1200 at $0.025/min Operator D: 30 kHz in a 700 MHz band from time 1100-1200 at $0.03/min

The SSEs 0226 impose no restrictions on modulation or polarization. The SSEs 0226 restrict power to the normal operating power limits of the Sharing Operator. In this example. Method D-l uses the following objective functions: (1) the network performance objective function, Ψp, as the number of services that a given mapping can fulfill; (2) the network utility function, Ψu, as I if the bid price specification is met, and 0 otherwise; and (3) the overall objective function, Ψ, as the product of the two underlying objective functions.

Method D-l defines the halting condition so that the process will halt as soon as viable allocation (Ψ = 1) is found or until it considers all alternatives. No notification is required before, as defined in Step 3 122.

The scenario conditions are summarized as follows:

Figure imgf000066_0001

The process executes Steps 3100 through 3108 as before. At Step 108, the SAE Resource-to-Demand Mapper 0214 identifies the following possible mappings;

Figure imgf000066_0002
i at process proceeu Js- a ,s. lO.1n1o- ws

Figure imgf000066_0003
Figure imgf000067_0002

Because of the actions of the SAE 0048, allocations witiiin 2 different bands at three different time intervals will fulfill a single service request, SI.

D.5. Method for Employing Software Agents in Automating Spectrum Markets

The present invention cluύes a metnOύ that uses intelligent software agents ιor automating tne process oi uuymg and selling underutilized spectnim, Tn the present invention, an intelligent software agent is an autonomous, collaborative, persistent, mobile, and adaptive software component that can infer and execute required actions, and and make decisions on txl lljtLtiig ut αgtylita ilvJύilir αj t i u ln^ uxbtjαtwiiCu ύy iu xx ' ll to users, The that launched it is removed

Figure imgf000067_0001

Agent technology lias yielded benefits in a number of application categories, including without limitation;

• User mobility where there is: (1) intermittent connectivity, (2) low bandwidth, and (3) limited local storage;

• Information retrieval in heterogeneous networks with local real-time interaction requirements;

• Robust transaction with remote servers; and

» Large scale asynchronous transactions such as internet commerce.

Other applications of the agenl technology include personal assistance, secure brokering, telecommunication networks services, and monitoring and notification.

Tn the preferred embodiment of the present invention, intelligent software agents will operate on behal of SDEs 0228 and SSEs 0226 in the buying and selling, respectively, of underutilized spectnim. Unlike methods of bandwidth auction implemented in other markets, the Exchange docs not notify SDEs directly when SSEs make underutilized spectrum available for auction. Furthermore, software agents, operating on behalf of SDEs and SSEs, can adjust their negotiation strategies based on feedback received. The agents can use rules, knowledge, facts, and patterns gathered from historical auction or exchange data, SSEs, and SDEs to gain new knowledge to use when negotiating for available spectrum.

METHOD D-2: Metho of Employing Software Agents in Automating Spectrum Markets.

» Method D-2 uses intelligent software agents for automating the process of buying and selling underutilized spectrum, * a. Relationship to Overall Method A-2

In one embodiment of the present invention, Method D-2 implements the functions of Exchange 3044 within the Allocator 0044 by utilizing intelligent software agents. The intelligent software agents use data provided by SDEs 0228 and SSEs 0226 to automate the buying and selling of available spectrum. b. Structure of Block Diagram

Figure 19 shows the entities required to implement an agent-based exchange of available spectrum. i. Bidding Price (BP) agents 3302 operate on behalf of SDEs 0228. ii. Asking Price (AP) agents 3304 operate on behalf of SSEs 0226. iii. The BP Agent Database (BPDB) 3306 stores the information Method D-2 needs to buy underutilized spectrum efficiently, including without limitation; profiles, rules, facts, patterns, and historical data from sources of such information, including without limitation: auctions, exchanges, or SDEs 0228. iv. The AP Agent Database (APDB) 3308 stores the information Method D-2 needs to sell underutilized spectrum efficiently, including without limitation: rules, facts, patterns, and historical data from sources ϋi such iniormation, including witnout limitation; auctions, exchanges, or

Figure imgf000068_0001
v. The Exchange 3004 processes ask and bid specifications from the SSEs 0226 (i.e., sellers) and SDEs 0228 (i.e., buyers), respectively. vi. The Exchange 3004 manages the creation of and negotiations between BP agents 3302 and AP agents 3304, in addition to implementing the functions specified in Method D-1 , c. Functional Relationships in Block Diagram

The AP agent 3304 operates on behalf of the SSE 0226 and provides information to the Exchange 3004 on asking pricing specifications for available resources. Once the SSE 0226 has registered with the Exchange 3004, both parties create an AP agent 3304 as the representative of the SSE 0226. The AP agent 3304 provides ask price specifications to the Exchange 3004. The Exchange 3004 communicates any instructions received from the Network Optimizer 3006 to the AP agent 3304. if the ask price specifications arc not met, the AP agent 3304 can based on learning and reasoning use the information received from the Exchange 3004 and the APDB 3308 lo determine whether to adjust asking price specifications and resubmit the ask price specifications. Upon completing any transactions between the agents, the Exchange 3004 stores detailed data at the APDB 3308 about the exchange or auction.

The APDB 3308 stores the information Method D-2 needs to sell underutilized spectrum efficiently, including without limitation: profiles, rules, facts, patterns, or other data sources of such information, including without limitation: auctions, exchanges, or SSEs 0226. When a SSE 0226 registers with the Exchange 3004, the Exchange 3004 creates a profile of the SSE 0226 and stores the profile in the APDB 3308. The profile may include without limitation contact information, registration information, user preferences, asking price facts and rules, and/or special instructions. Tn addition to using information received from the Network Optimizer 3006 via the Exchange, the AP agent 3304 may also use information retrieved from the APDB 3308 to gain knowledge and create new negotiation strategies and/or profiles. Upon completing any transactions between the agents, the Exchange 3004 stores detailed data in the APDB 3308 about the exchange or auction,

The BP agent 3302 operates on behalf of the SDE 0228 and provides information to the Exchange 3004 on bidding price specifications and services requested by SDEs 0228. Once the SDE 0228 registers with the Exchange, both parties create a EP agent 3302 as the representative of Hie SDE 0228. The BP agent 3302 provides bid price specifications to the Exchange. The Exchange 3004 communicates any instructions received from the Network Optimizer 3006 to the BP agent 3302. Tf the bid price specifications are not met, the BP agent 3302 can based on learning and reasoning use the information received from the Exchange 3004 and the BPDB 3306 to determine whether to adjust bidding price specifications and rcsubmil Ihc "bid price specifications. Upon completing any transactions between the agents, the Exchange 3004 stores detailed data at the BPDB 3306 about the exchange or auction.

The BPDB 3306 stores the information Method D-2 needs to sell underutilized spectrum efficiently, including without limitation: profiles, nilcs, facts, patterns or other data sources of such information, including without limitation; auctions, exchanges, or SDEs 0228. When a SDE 0228 registers with the Exchange 3004, the Exchange 3004 creates a profile of the SDE 0228 and stores the profile in the BPDB 3306. The profile may include without limitation: contact information, registration information, user preferences, bidding price facts and rules, and/or special instructions. Tn addition to using information received from the Network Optimizer 3006 via the Exchange, the BP agent 3302 may also use information retrieved from the BPDB 3306 to gain knowledge and create new negotiation strategics and/or profiles. Upon completing any transactions between the agents, the Exchange 3004 stores detailed data in the BPDB 3306 about the exchange or auction.

The Exchange 3004 handles all communication between the BP agents 3302, AP agents 3304, Network

Figure imgf000069_0001
Steps for Executing Method

± xgtxxw x.y vuixtαixxa α iivjw ixαx t u tdlxxixg txl αtiuvt ι x ul_ l>_.

At Steps 3202 and 321 , the Agent-Based market exchange begins with checking for incoming ask or bid price specifications. ii. CIDΆ. JJ X C cj *_Λ-- i α ii~t VΛiot, utvμ supplier has not registered, Method D-

Figure imgf000069_0002

At Step 3206. the Exchange 3004 creates a profile of the supplier.

At Step 3208, the Exchange 3004 stores the supplier registration information and pricing specifications in the APDB 3308.

At Step 3210, Method D-2 creates an AP agent 3304 to function as the supplier's representative. Consequently, if the supplier already registered with the Exchange 3004, Method D-2 executes only Steps 3208 and 3210. If bid price specifications exist, Step 3214 verifies that the demander registered with the Exchange. If the de ander has not registered, Method D-2 executes Steps 3216-3220.

At Step 3216, Exchange 3004 creates a profile of the demander is created.

At Step 3218, the Exchange 3004 stores the service demander registration information and pricing specifications in the BPDB 3306.

At Step 3220, Method D-2 creates a BP agent to function as the demander's representative. Consequently, if the demander already registered with the Exchange 3004, Method D-2 executes only Steps 3218 and

-J Ofl

At Step 3222, any pending pricing specifications arc passed to the Exchange.

At Step 3224, the Exchange 3004 passes the pricing data to the Network Utility Evaluator to identify and select the best mappings for the market. v

At Step 3226, the Exchange 3004 processes instructions resulting from the Network Optimizer in Step

3224,

If, at Step 3228, the Exchange 3004 determines that the transaction should be terminated, the Exchange clears the transaction in Step 3246, and notifies the SDEs 0228 and SSEs 0226 in Step 3248.

At Steps 3230 and 3238, if the ask and bid price specifications are met, the Exchange clears the transaction in Step 3246", updates the APDB 3308 and BPDB 3306 in Step 3252, and notifies the Channel Allocator in Step 3250 to allocate available resources to service demands as appropriate. if the bid specification is met in Step 3230 and the ask specification is not met in Step 3238, the Exchange 3004 notifies AP agent 3304 in Step 3240.

At Step 3242, the AP agent 3304 operates as the SSE's representative and requests rales, facts, patterns, historical data, and other information from the APDB 3308,

If at Step 3244 the AP agent 3304 can infer new ask price specifications based on knowledge gained in Step 3242, the Exchange 3004 executes Steps 3222 through 3228 until it clears the transaction. If the AP agent 3304 cannot infer new ask price specifications, the Exchange 3004 clears the transaction in Step 3246, updates the APDB 3308 and BPDB 3306 in Step 3252, and notifies the SDEs and SSEs in Step 3248.

If the bid specification is not met in Step 3230, Exchange 3004 notifies the BP agent in Step 3232.

At Step 3234, the BP agent 3302 operates as the SDE"s representative and requests rules, facts, historical data, and other information from the BPDB 3306.

Tf at Step 3236 the BP agent can infer new bid price specifications based on knowledge gained in Step 3234, the Exchange 3004 executes Steps 3222 through 3228 until it clears the transaction. If the BP agent 3302 cannot infer new bid price specifications, the Exchange 3004 clears the transaction in Step 3246, updates the APDB 3308 and the BPDB 3306 in Step 3252, and notifies the SDEs and SSEs in Step 3248 Example: Agent Negotiation for Underutilized Spectrum

At 0900 on a particular day, a supplier offers 30 kHz of spectnim for 1 hr within a particular coverage ai"ca. The supplier docs not restrict use of specific modulations and polarizations. The supplier offers the spectrum at $2.50/min. A particular CDMA operator requires 1.25 MHz of spectrum for intermittent downstream data transmissions from 0900 to 1000. The CDMA operator's coverage area coincides with that associated with the resource offered. The CDMA operator bids $1.80/mm for the service.

A particular AMPS operator requires 30 kHz for intermittent voice calls during the same interval and also lies within the same coverage area. The operator bids $1.40/min.

The following table summarizes these conditions:

Figure imgf000071_0001

Negotiation Rules to be used by Agents;

R1-Ru1e1 Adjust original ask price only after bid price is rejected once and services can be filled,

R1-Rule2 Tf bid price is within 20% of original ask price, accept bid price.

R1-Rule3 If" more than one bid price within 20% of original ask price, accept highest bid price.

SI No les.

S2-Rule1 Tf bid price is rejected and services can be filled, adjust current bid price by 1 % and resubmit bid.

S2-Ru1e2 A bid may be resubmitfed a maximum of 3 times.

S2-Rule3 | Maximum bid price cannot exceed $2.00/min.

Method D-2 executes the following process:

Figure imgf000071_0002
Figure imgf000072_0001
f. Discussion tn an alternative embo ximent of tne present invention, tne present invention can implement tn iuπctions of tn Exchange 3004 within the Allocator 0044 by utilizing means other than intelligent software agents to enable market-based allocation of underutilized spectrum to service requests.

The present application has described the present inventions in detail with particular reference to preferred embodiments, sequence of steps, and number of steps. However, other embodiments, step sequences, and a larger or srnsner numb r of steps can achieve the same results, v riations anu modifications i tne present inventions will be obvious to those skilled in the art. The present invention covers all such variations, modifications, and equivalents.

Claims

What is claimed is:
I . A system for efficient spectrum utilization comprising: a plurality of communications networks, each of said networks including a group of communication stations providing communication services in a corresponding frequency spectrum; a p uraiity of sai communications stations operating as service demand mi o vv i tiui: cαvn Oi iui iiOlvvi/i rt ti iii iiii tin ig,
Figure imgf000073_0001
vv i mi «.ιι
Figure imgf000073_0002
frermerir'- cneMi-nrπ
Figure imgf000073_0003
tn ritfipr fnrnTmmi n intic etjrKnnς'
a plurality of said communication stations operating as service supply entities within each of said networks capable of providing underutilized spectrum available for sharing by at least one of said service demand entities; and a spectrum allocator unit configured to receive all requests for spectrum from said service demand entities; said spectrum allocator unit also configured to receive all underutilized frequency spectrum available for share by said service demand entities, so that said service demand entities are enabled to provide communication services Within said available underutilized spectrum provided by- said-service suppiy
V/l l ll tlV .
2. The system according to claim 1 wherein each of said service demand entities is capable to operate within any of available frequency spectrums utilized by said plurality of communications networks.
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