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Are you involved in designing the next generation of wireless networks? With spectrum
becoming an ever scarcer resource, it is critical that new systems utilize all available
frequency bands as efficiently as possible. The revolutionary technology presented in
this book will be at the cutting edge of future wireless communications.
Dynamic Spectrum Access and Management in Cognitive Radio Networks provides
you with an all-inclusive introduction to this emerging technology, outlining the fun-
damentals of cognitive radio-based wireless communication and networking, spectrum
sharing models, and the requirements for dynamic spectrum access. In addition to the dif-
ferent techniques and their applications in designing dynamic spectrum access methods,
you’ll also find state-of-the-art dynamic spectrum access schemes, including classifica-
tions of the different schemes and the technical details of each scheme. This is a perfect
introduction for graduate students and researchers, as well as a useful self-study guide
for practitioners.
DUSIT NIYATO
Nanyang Technological University (NTU)
ZHU HAN
University of Houston
CAMBRIDGE UNIVERSITY PRESS
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore,
São Paulo, Delhi, Dubai, Tokyo
Published in the United States of America by Cambridge University Press, New York
www.cambridge.org
Information on this title: www.cambridge.org/9780521898478
© Cambridge University Press 2009
Part I Introduction 1
References 442
Index 484
Preface
Frequency spectrum is a limited resource for wireless communications and may become
congested owing to a need to accommodate the diverse types of air interface used in next
generation wireless networks. To meet these growing demands, the Federal Communica-
tions Commission (FCC) has expanded the use of the unlicensed spectral band. However,
since traditional wireless communications systems also utilize the frequency bands allo-
cated by the FCC in a static manner, they lack adaptability. Also, many studies show that
while some frequency bands in the spectrum are heavily used, other bands are largely
unoccupied most of time. These potential spectrum holes result in the under-utilization
of available frequency bands.
The concepts of software-defined radio and cognitive radio have been recently intro-
duced to enhance the efficiency of frequency spectrum usage in next generation wireless
and mobile computing systems. Software radio improves the capability of a wireless
transceiver by using embedded software to enable it to operate in multiple frequency
bands using multiple transmission protocols. Cognitive ratio, which can be implemented
through software-defined radio, is able to observe, learn, optimize, and intelligently adapt
to achieve optimal frequency band usage. Through dynamic spectrum access, a cognitive
wireless node is able to adaptively and dynamically transmit and receive data in a chang-
ing radio environment. Therefore, techniques for channel measurement, learning, and
optimization are crucial in designing dynamic spectrum access schemes for cognitive
radio under different communication requirements.
In fact, cognitive radio based on dynamic spectrum access has emerged as a new design
paradigm for next generation wireless networks. Cognitive radio aims at maximizing
the utilization of the limited radio bandwidth while accommodating the increasing
number of services and applications in wireless networks. The driving force behind
this cognitive radio technology is the new spectrum licensing paradigm initiated by the
FCC, which will be more flexible to allow unlicensed (or secondary) users to access
the spectrum as long as the licensed (or primary) users are not interfered with. This
new spectrum licensing paradigm will improve the utilization of the frequency spectrum
and enhance the performance of wireless systems. Dynamic spectrum access (DSA) or
opportunistic spectrum access (OSA) is the key approach in a cognitive radio network
which is adopted by a cognitive radio user (i.e. an unlicensed user) to access the radio
spectrum opportunistically. Development of dynamic spectrum access-based cognitive
radio technology has to deal with technical and practical considerations as well as
regulatory requirements. Therefore, there is increasing interest in this technology from
xiv Preface
researchers in both academia and industry, and engineers in the wireless industry, as
well as from spectrum policy makers.
Design, analysis, and optimization of dynamic spectrum access require multidis-
ciplinary knowledge, namely, knowledge of wireless communication and networking,
signal processing, artificial intelligence (e.g. for learning), decision theory, optimization,
and economic theory. A comprehensive introduction to the dynamic spectrum access
and spectrum management problem in a cognitive radio network therefore needs to cover
the basic concepts/theories for designing dynamic spectrum access methods as well as
state-of-the-art of dynamic spectrum access and management methods.
This book provides a comprehensive treatment of the dynamic spectrum access and
spectrum management problem in cognitive radio networks. The topics covered include
the following: introduction to cognitive radio and the basic concepts of dynamic spectrum
access; the analysis, design, and optimization of dynamic spectrum access techniques
for cognitive radio; and state-of-the-art of dynamic spectrum access techniques. The key
features of this book are as follows:
r a unified view of dynamic spectrum access for cognitive radio networks,
r coverage of a wide range of techniques for design, analysis, and optimization of
dynamic spectrum access for cognitive radio networks,
r comprehensive treatment of state-of-the-art dynamic spectrum access techniques, and
r outlining the key research issues related to dynamic spectrum access.
The book is divided into three parts: Part I (Introduction), Part II (Techniques for
design, analysis, and optimization of dynamic spectrum access and management), and
Part III (Dynamic spectrum access and management). Part I comprises Chapters 1 and
2, which provide an introduction to the different wireless technologies and cognitive
radio networks. The topics covered include the basics of cellular wireless, wireless local
area network (WLAN), wireless metropolitan area network (WMAN), wireless personal
area network (WPAN), wireless regional area network (WRAN) technology and related
standards; the basic components, features, and potential applications of cognitive radio;
an introduction to dynamic spectrum access; the motivations for cognitive radio-based
wireless access technology; and the research issues in the different layers of the protocol
stack for a cognitive radio network.
In Part II, different techniques which can be applied to the problem of the design,
analysis, and optimization of dynamic spectrum access mechanisms in cognitive radio
networks are introduced. In Chapter 3, the signal processing techniques (e.g. techniques
for parameter estimation, filtering, and prediction) which are required for a wireless node
to observe and gain knowledge of the ambient radio environment in order to access the
radio spectrum dynamically are described. Optimization techniques, which are useful
to obtain the optimal dynamic spectrum management scheme, are discussed in Chap-
ter 4. Major variations of optimization techniques (e.g. unconstrained and constrained
optimization, non-linear optimization, combinatorial optimization) are presented. Also,
stochastic optimization based on dynamic programming, the Markov decision process
(MDP), and stochastic programming for dynamic spectrum access in a random radio
environment are discussed. In Chapter 5, game theory techniques are discussed in the
Preface xv
context of designing dynamic spectrum access methods. Game theory is an attractive tool
to model the dynamic spectrum sharing problem in a cognitive wireless network. The
basics of different game theory models, namely, non-cooperative, repeated, cooperative
(i.e. bargaining and coalition), and evolutionary game models are presented. Intelligent
algorithms (i.e. learning techniques) are fundamental to cognitive radio design, and pro-
vide the ability to observe, learn, plan, and optimize the decision of dynamic spectrum
access in a cognitive radio network. An introduction to different machine learning tech-
niques including supervised learning, unsupervised learning, and reinforcement learning
is provided in Chapter 6. Example applications of these techniques are discussed in the
context of cognitive radio. Intelligent techniques based on genetic algorithms and fuzzy
control are also discussed.
Part III deals with the modeling, design, and analysis of dynamic spectrum access
and management schemes in cognitive radio networks. In Chapter 7, different models
of spectrum access/sharing are discussed. Different approaches for spectrum sensing,
which is a key component of dynamic spectrum access, are reviewed. A comprehensive
review of the different medium access control (MAC) protocols developed for dynamic
spectrum access is presented. Dynamic spectrum access and management architectures
can be either centralized or distributed. In the centralized approach, a central controller
collects information about the radio environment and controls the spectrum access by
cognitive radio users. In Chapter 8, different schemes for centralized dynamic spectrum
access are reviewed. Chapter 8 also introduces the concept of spectrum auction, which
requires a centralized auctioneer for dynamic spectrum access and management. If there
is no central controller available in a cognitive radio network, the cognitive radio users
have to make their spectrum access decisions independently in a distributed manner.
Chapter 9 introduces the concept of distributed dynamic spectrum access. Two major
approaches to distributed dynamic spectrum access, namely, the cooperative and the non-
cooperative approach are discussed. Chapter 10 deals with the application of learning
algorithms in distributed dynamic spectrum access. The signaling protocols required
to support distributed spectrum access are also reviewed. While dynamic spectrum
access and management can be designed by considering only the technical issues,
the economic issues are also important, especially under the new spectrum licensing
paradigm. Chapters 11 and 12 address the economic aspects of spectrum sharing and
management in a cognitive radio network. Chapter 11 introduces the concept of spectrum
trading and reviews the different spectrum trading schemes. Through spectrum trading,
the licensed users (or primary service provider) are able to sell a portion of the unused
spectrum to the unlicensed users (or secondary service provider). The basic economic
theories which can be used in dynamic spectrum access are reviewed. Chapter 12 provides
an extensive review of economics-inspired dynamic spectrum access and management
models. The first two models are based on competitive dynamic spectrum access and
pricing. The concept of collusion among cognitive radio users in the context of spectrum
trading is discussed. A spectrum trading model for IEEE 802.22-based wireless regional
area networks (WRANs) is presented.
To use this book, if the reader is familiar with wireless technologies and the concept
of cognitive radio, the first chapter can be skipped. Also, if the reader is an experienced
xvi Preface
researcher, some of the chapters in Part II can also be skipped. Since each chapter is
quite independent, skipping any chapter will not affect following the rest of the book.
The authors would like to acknowledge the research support from Telecommuni-
cations Research Laboratory (TRLabs), Winnipeg, Canada, the Natural Sciences and
Engineering Research Council (NSERC) of Canada, and Boise State University, Idaho,
USA, during the writing of this book.
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