Cognitive Radio Technology

Second Edition

Bruce A. Fette Editor

AMSTERDAM • BOSTON • HEIDELBERG • LONDON NEW YORK • OXFORD • PARIS • SAN DIEGO

SAN FRANCISCO • SINGAPORE • SYDNEY • TOKYO Academic Press is an imprint of Elsevier

Contents

Preface xiii

Acknowledgments xvii

Chapter 1 History and Background of Cognitive Radio Technology l Bruce A. Fette

1.1 The Vision of Cognitive Radio 1 1.2 History and Background Leading to Cognitive Radio 1 1.3 A Brief History of Software Denned Radio 3 1.4 Basic SDR 6 1.5 Cognitive Radio 13 1.6 Spectrum Management 16 1.7 US Government Roles in Cognitive Radio 21 1.8 How Smart Is Useful? 22 1.9 Organization of This Book 23

Chapter 2 Communications Policy and Spectrum Management 27 Paul Kolodzy

2.1 Introduction 27 2.2 Cognitive Radio Technology Enablers 28 2.3 New Opportunities in Spectrum Access 30 2.4 Policy Challenges for Cognitive Radios 39 2.5 Telecommunications Policy and Technology Impact on

Regulation 48 2.6 Global Policy Interest in Cognitive Radios 54 2.7 Summary 61

Chapter 3 The Software-Defined Radio as a Platform for Cognitive Radio 65 Max Robert, Bruce A. Fette

3.1 Introduction 65 3.2 Hardware Architecture 67 3.3 Software Architecture 79

vi Contents

3.4 SDR Development and Design 82 3.5 Applications 94 3.6 Development 97 3.7 Cognitive Waveform Development 99 3.8 Summary 102

Chapter 4 Cognitive Radio: The Technologies Required 105 John Poison

4.1 Introduction 105 4.2 Radio Flexibility and Capability 105 4.3 Aware, Adaptive, and Cognitive Radios I l l 4.4 Comparison of Radio Capabilities and Properties 114 4.5 Available Technologies for Cognitive Radios 115 4.6 Funding and Research in Cognitive Radios 123 4.7 Timeline for Cognitive Radios 133 4.8 Update of CR-Specific Technologies 135 4.9 Summary 138

Chapter 5 Spectrum Awareness and Access Considerations 143 Preston Marshall

5.1 Dynamic Spectrum Awareness and Access Objectives 143 5.2 Prior Work in Spectrum Awareness and Access 144 5.3 Some End-to-End DSA Example Implementations 146 5.4 Dynamic Spectrum Awareness 147 5.5 Front-End Linearity Management 161 5.6 Dynamic Spectrum Access Objectives 176 5.7 Spectral Footprint Management Objectives 186 5.8 Implications on Network-Level Decision Making 188 5.9 Summary 191

Chapter 6 Cognitive Policy Engines 195 Robert J. Wellington

6.1 The Promise of Policy Management for Radios 195 6.2 Background and Definitions 195 6.3 Spectrum Policy 197 6.4 Antecedents for Cognitive Policy Management 199 6.5 Policy Engine Architectures for Radio 205 6.6 Integration of Policy Engines into Cognitive Radio 210 6.7 The Future of Cognitive Policy Management 216 6.8 Summary 219

Chapter 7 Cognitive Techniques: Physical and Link Layers 223 Thomas W. Rondeau, Charles W. Bosttan

7.1 Introduction 223 7.2 Optimizing PHY and Link Layers for Multiple Objectives

Under Current Channel Conditions 224

Contents vii

7.3 Defining the Cognitive Radio 225 7.4 Developing Radio Controls (Knobs) and Performance

Measures (Meters) 226 7.5 Multiobjective Decision-Making Theory and Its Application

to Cognitive Radio 232 7.6 The Multiobjective Genetic Algorithm for Cognitive

Radios 240 7.7 Advanced Genetic Algorithm Techniques 252 7.8 Need for a Higher-Layer Intelligence 256 7.9 How the Intelligent Computers Operate 258 7.10 Summary 260

Chapter 8 Cognitive Techniques: Position Awareness 265 John Poison, Bruce A. Fette

8.1 Introduction 265 8.2 Radio Geolocation and Time Services 266 8.3 Network Localization 270 8.4 Additional Geolocation Approaches 272 8.5 Network-Based Approaches 281 8.6 Boundary Decisions 281 8.7 Example of Cellular Phone 911 Geolocation for First

Responders 285 8.8 Interfaces to Other Cognitive Technologies 286 8.9 Summary 287

Chapter 9 Cognitive Techniques: Three Types of Network Awareness 289

Jonathan M. Smith 9.1 Introduction 289 9.2 Applications and their Requirements 289 9.3 Network Awareness: Protocols 291 9.4 Situation-Aware Protocols in Edge Network Technologies 295 9.5 Network Awareness: Node Capabilities and Cooperation 297 9.6 A Distributed System of Radios—The Radio Team 298 9.7 Network Awareness: Node Location and Cognition for

Self-Placement 300 9.8 Summary 302

Chapter 10 Cognitive Services for the User 305 Joseph P. Campbell, William M. Campbell, Alan V. McCree, Scott M. Lewandowski, Clifford J. Weinstein

10.1 Introduction 305 10.2 Speech and Language Processing 306 10.3 Concierge Services 320 10.4 Summary 322

viii Contents

Chapter 11 Network Support: The Radio Environment Map 325 Youping Zhao, Bin Le and Jeffrey H. Reed

11.1 Introduction 325 11.2 REM: The Vehicle for Providing Network Support to CRs 326 11.3 Obtaining Cognition with REM: A Systematic Top-Down

Approach 330 11.4 High-Level System Design of REM 338 11.5 Network Support Scenarios and Applications 352 11.6 Example Applications of REM to Cognitive Wireless

Networks 355 11.7 Summary and Open Issues 363

Chapter 12 Cognitive Research: Knowledge Representation and Learning 367 Vincent J. Kovarikjr.

12.1 Introduction 367 12.2 Knowledge Representation and Reasoning 371 12.3 Machine Learning 382 12.4 Implementation Considerations 393 12.5 Summary 395

Chapter 13 The Role of Ontologies in Cognitive Radios 401 Mieczyslaw M. Kokar, David Brady, Kenneth Baclawski

13.1 Overview of Ontology-Based Radios 401 13.2 Knowledge-Intense Characteristics of Cognitive Radios 401 13.3 Ontologies and Their Roles in Cognitive Radio 406 13.4 A Layered Ontology and Reference Model 412 13.5 Examples 418 13.6 Open Research Issues 423 13.7 Summary 426

Chapter 14 Cognitive Radio Architecture 429 Joseph Mitola HI

14.1 Introduction 429 14.2 CRA-I: Functions, Components, and Design Rules 431 14.3 CRA-II: The Cognition Cycle 448 14.4 CRA-III: The Inference Hierarchy 453 14.5 CRA-IV: Architecture Maps 461 14.6 CRA-V: Building the CRA on SDR Architectures 467 14.7 Cognition Architecture Research Topics 478 14.8 Industrial-Strength CR Design Rules 478 14.9 Summary and Future Directions 480

Contents ix

Chapter 15 Cognitive Radio Performance Analysis 483 James О. Neel, Jeffrey H. Reed, Allen B. MacKenzie

15.1 Introduction 483 15.2 The Analysis Problem 485 15.3 Traditional Engineering Analysis Techniques 491 15.4 Applying Game Theory to the Analysis Problem 502 15.5 Relevant Game Models 511 15.6 Summary 529

Chapter 16 Cognitive Radio in Multiple-Antenna Systems 535 Jae Moung Kim, Sung Hwan Sohn, Ning Han, Seungwon Choi, Cbiyoung Ahn, Gyeonghua Hong, Yusuk Yun

16.1 Introduction 535 16.2 Multiple-Antenna Techniques 536 16.3 Cognitive Capability in an MA System 541 16.4 Application to neXt-Generation Wireless Communications 553 16.5 Summary 555

Chapter 17 Cognitive Radio Policy Language and Policy Engine 557 Grit Denker, Daniel Elenius, David Wilkins

17.1 Introduction 557 17.2 Benefits of a Policy-Based Approach 559 17.3 NeXt-Generation Spectrum Policy Architecture 561 17.4 Policy Language and Engine Design 563 17.5 SRI Spectrum Policy Language 567 17.6 SRI Policy Engine 573 17.7 SRI Policy Engine Demonstration 582 17.8 Lessons Learned and Future Work 588 17.9 Summary 590

Chapter 18 Spectrum Sensing Based on Spectral Correlation 593 Chad M. Spooner, Richard R Nicholls

18.1 Introduction 593 18.2 The Statistical Nature of Communication Signals 604 18.3 Spectrum Sensing Based on Spectral Correlation 613 18.4 Application to Modern Communication Signals 616 18.5 Summary 629

Chapter 19 Rendezvous in Cognitive Radio Networks 635 Luiz A. DaSilva, Ryan W. Thomas

19.1 Introduction 635 19.2 The Use of Control Channels 637 19.3 Blind Rendezvous 638

x Contents

19.4 Link Maintenance and the Effect of Primary Users 643 19.5 Summary 644

Chapter 20 Spectrum-Consumption Models 645 John A. Stine

20.1 Introduction 645 20.2 Reconciling DSA and Spectrum Management 646 20.3 The Location-Based Method to Specify RF Spectrum

Rights 653 20.4 Optimized Data Structures for the LBSR 669 20.5 Constructing Rights 676 20.6 Applications 682 20.7 Future Research and Work 685 20.8 Summary 686

Chapter 21 Protocols for Adaptation in Cognitive Radio 689 Michael B. Pursley, Thomas С Royster IV

21.1 Introduction 689 21.2 Modulation 690 21.3 Error-Control Codes 691 21.4 Performance Measures for a Code-Modulation Library 692 21.5 Special Subsets of the Code-Modulation Library 696 21.6 Receiver Statistics 698 21.7 Initial Power Adjustment 699 21.8 Adaptive Transmission 710 21.9 Protocol Throughput Performance for Dynamic Channels 712 21.10 Summary 718

Chapter 22 Cognitive Networking 723 Ryan W. Thomas, Lutz A. DaSilva

22.1 Introduction 723 22.2 Current CN Research 727 22.3 Research Holes and Future Directions 736 22.4 Summary 739

Chapter 23 The Role of IEEE Standardization in Next-Generation Radio and Dynamic Spectrum Access Developments 743 Ralph Martinez, Donya He

23.1 Introduction 743 23.2 Definitions and Terminology 747 23.3 Overview of the IEEE Standards Activities 749 23.4 IEEE 802 Cognitive Radio-Related Activities 751 23.5 IEEE SCC41: Dynamic Spectrum Access Networks 760 23.6 Potential for New Products and Systems 772 23.7 Summary 774

Contents xi

Chapter 24 The Really Hard Problems 777 Bruce A. Fette

24.1 Introduction 777 24.2 Discussion and Summary of CR Technologies 777 24.3 Services Offered to Wireless Networks Through Infrastructure 784

Glossary 791

Index 803