Spectrum Management: National Policies,

Technology Advancements and Best Practices

Access Partnership
11 March 2020
 CONTENTS

Contents ...................................................................................................................................... 1
Introduction ................................................................................................................................ 2
Spectrum management: a tool for national policy objectives ........................................................ 4
Technology advances improving spectrum management............................................................... 6
Spectrum Management Best Practices .......................................................................................... 8
Conclusion ................................................................................................................................... 9

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 INTRODUCTION

The availability of affordable and powerful devices for business-to-business, business-to-consumer,

consumer-to-consumer, and machine-to-machine communications, alongside the expanding suite of
cloud based services and applications, as well as voice, data and video content, continues to create
increasing demand for communications. This demand fuels competition among service providers and
intensifies pressure on network operators to maximise capacity and quality of service at lower cost in
an environment of growing commercial scrutiny.
At the same time, policy-makers are increasingly sensitive to the importance of excellent
telecommunications infrastructure to deliver on objectives. These include improved economic
productivity, medical services, education, social mobility, transportation, and defence and security.
This paper examines how improved spectrum management practices and the application of
technology can help meet some of these challenges.
Background

Radio spectrum is the limited natural resource that enables all wireless communications. Wireless
communications and the corresponding use of radio spectrum can be local, national or international
in nature, and encompass a multitude of different radio services and applications which are integral
to our daily lives. It is therefore essential that this finite natural resource is managed effectively.
Spectrum management is the practice of managing the use of radio spectrum to maximise the
commercial and societal return on the use of spectrum while ensuring different technologies and
services can coexist with minimum interference. A few examples of everyday uses of radio spectrum
include, but are not limited to, broadcast and direct-to-home television and radio, wireless broadband,
mobile phones, GPS, radar, radio astronomy, defence, public protection, scientific research, earth
exploration, car keys, baby monitors, smart cards and wireless chargers.
Access to radio spectrum has traditionally been granted by governments, or their national regulatory
authorities, which typically assign spectrum for use by different users and applications through
administrative licensing. This process has commonly included both command and control
(government decides who gets the spectrum) as well as market driven spectrum management models
(for example, an auction decides who gets the spectrum) resulting in licensees having rights of use of
radio spectrum in a specific geographic area for a fixed period of time.
Recognising the ever-increasing demand and that future use of spectrum resources for machine-to-
machine communications will far exceed that of communication between individuals, we consider
that there is a need to modernise spectrum management practices employed by regulatory
authorities. This paper examines why.
Who is Responsible for Spectrum Management?

Internationally, the use of spectrum is governed by the International Telecommunication Union (ITU)
Radio Regulations (RRs) which have treaty status and are binding to ITU Member States. The legal
framework for the ITU are its administrative instruments which includes the ITU Constitution and
Convention and its Administrative Regulations of which the RRs are an integral part.
Governments of member states and their regulatory authorities develop their national radio
frequency plans in line with the RRs and define technical standards for different services and

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applications with their stakeholders at a national level, or in collaboration with regional regulatory
fora or technical standards institutes.
Stakeholders’ authorised access to spectrum in different bands takes place through administrative
licensing or on a licence-exempt basis. Increasingly, tiered spectrum access models are being
introduced, allowing a mixture of both licensed and licence-exempt access within the same band of
frequencies and sometimes also in between. In all cases, however, the overarching technical
framework ensures that different radio applications are compatible with each other without increased
risk of unacceptable interference. Where different users have access to the same spectrum at
different times or locations, access is coordinated to ensure radio compatibility. Depending on the
country, this coordination is performed by the applicant for rights of use of spectrum or by the national
regulatory authority. However, with the explosion of demand for access to spectrum resources new
ways of undertaking this co-ordination are needed and technology must play a larger role. This idea is
being embraced by technologists and service providers alike and we expect that spectrum managers
within national regulatory authorities will become increasingly dependent on technology to solve their
technical and regulatory co-ordination challenges in the coming years.

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 SPECTRUM MANAGEMENT: A TOOL FOR NATIONAL POLICY
OBJECTIVES

When planning spectrum management policy, it is important to recognise the pervasive manner of
spectrum use in society. Spectrum is used by governments, businesses and consumers across an
increasing number of competing and complementary telecommunication infrastructures to support
an ever-expanding number of applications. When determining how best to implement administrative
licensing to permit spectrum access, it is essential to recognise that a “one size fits all” solution is not
optimal and will introduce unnecessary inflexibility and inefficiencies.
A few examples illustrating this point are as follows:
Licensed spectrum access
It is common for national regulatory authorities to license spectrum on a nationwide basis for a set
period. This approach is suited to frequency bands with excellent propagation characteristics –
travelling long distances and covering large geographic areas – for applications with a regulatory
obligation to provide universal service.
Tiered-licensed access
Tiered-licensed access can take many forms, but it is an increasingly important tool used for
maintaining protection of incumbent licensed services, while permitting access to the band by other
users on a secondary licensed or unlicensed basis. Tiered-licensed access is successful when
deployment of incumbent users is limited geographically rather than by specific times. This allows for
opportunistic access to spectrum by other users where the incumbent is not using the spectrum on a
licensed or unlicensed basis, or both.
Examples of tiered-licensed access include:
• Television-band White Spaces (TVWS) – Some administrations, typically in countries where
broadcast spectrum is assigned regionally to avoid interference between neighbouring
regions, have permitted tiered-licensed access to the band by secondary and tertiary users of
TVWS technology and devices, used for program making and special events (PMSE).
• Citizens Band Radio Service (CBRS) – In the US, the Federal Communications Commission (FCC)
has established rules to allow the use of 3550-3700 MHz band by commercial broadband
providers, while protecting incumbent US Department of Defence military radar and Fixed-
satellite services. The FCC’s CBRS rules allow for licensed protection of incumbent users from
secondary and tertiary users, licensed secondary access and unlicensed tertiary access.
Tiered-licensed access provides national regulatory authorities with flexibility to improve efficiency in
how spectrum is used in different geographies, at different times. Examples of such benefits include
accelerated access to spectrum, licensed protection without the financial burden of a primary
licensee, removal of entry barriers and stimulation of new business models and innovation.
Additionally, tiered-license access can leverage existing economies of scale through standardisation
of network and user equipment.
Owing to their relatively limited propagation qualities – travelling relatively short distances – we
anticipate that tiered-spectrum access will play an important role in the deployment of mmWave

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networks. It offers licensed protection for incumbent users of these bands and provides regulatory
certainty necessary to secure investment for opportunistic access to spectrum on a localised basis.
Unlicensed access
Unlicensed spectrum is a set of frequencies that do not have exclusive access. Unlike licensed
spectrum which authorises its use through organisations for a specific purpose, unlicensed spectrum
can be used by anyone that adheres to the rules for access.
Examples of unlicensed spectrum include:
• There are multiple everyday uses of unlicensed spectrum, including WiFi, Bluetooth,
microwave ovens, vehicle radars, cordless telephony, wireless microphones, key-fobs,
wireless chargers, baby monitors, drones and remote-control toys.
Unlicensed access to spectrum provides national regulatory authorities with a regulatory vehicle to
stimulate innovation.
There are existing socioeconomic reasons to identify further spectrum for unlicensed access in
addition to providing a resource for innovation of access technologies such as WiFi. As demand for
mobile data increases, there is an implied demand for more spectrum to increase capacity to meet
the growing demand. Unlicensed spectrum is widely used and is a more cost-effective alternative to
additional licensed spectrum for technologists and innovators. WiFi is designed to operate using
unlicensed spectrum and is well suited to adapt to the growing demand for connectivity, while
complementing cellular-mobile networks. WiFi, along with other technologies designed to operate on
unlicensed spectrum, supports national regulatory authorities in delivering social and economic policy
– with an estimated annual value in excess of USD 2 trillion – while connecting rural communities,
generating efficiencies in healthcare, social-inclusion, transportation and education.

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 TECHNOLOGY ADVANCES IMPROVING SPECTRUM MANAGEMENT

Technology plays a central role in spectrum management. It enables radio-compatibility among

different co-frequency and co-located users and ensures minimum quality of service requirements.
Businesses are driven by making the highest economic return from their product in terms of USD/Hz.
In turn, technologists and service providers strive to ensure that their technologies and services use
spectrum efficiently and effectively. Figure 1 illustrates the growing role of technology in spectrum
management.
Figure 1 - Example of spectrum management in connectivity ecosystem

Examples of technologies that improve spectrum management by ensuring spectrum is used

efficiently and effectively are as follows:
• MU-MIMO: MIMO (Multiple in Multiple Out) antennas increase the capacity of wireless
communication links by using multiple transmission and receiving antennas to exploit radio
signals reaching the same antenna by different paths (for example, reflections from the
ground or buildings). MU-MIMO (Multiple User MIMO) applies this principle to multiple user
terminals, each with one or more antennas, to communicate with each other.
• Small cells: Small cells deliver increased power in smaller cells to increase throughput
(broadband speeds) and the Quality of Service for an increased number of end users.
• HTS: High Throughput Satellites deliver increased power in smaller footprint to increase
throughput (broadband speeds) and the Quality of Service for an increased number of end
users.
• MEC: MEC (Mobile Edge Computing) places computing power at the edge of a network. MEC
reduces latency and improves Quality of Service in communications links, improving
effectiveness for several real time applications including autonomous vehicles, intelligent
transport systems, AR/VR and gaming.
• vRAN and SDN: VRAN (virtual Radio Access Network) and SDN (Software Defined Networking)
is a response to meet increased demand for capacity while reducing or maintaining the cost

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 of network infrastructure and new service offerings. Communication service providers seek to
use general purpose “white box” hardware to run software-based network functions such as
network slicing.
• Geolocation databases: Understanding what spectrum is used where, when, and for what
purpose enables spectrum managers to allow the opportunistic use of spectrum for other
applications on a localised basis or for a specific period.
• Sensing: The ability to sense or detect the local spectrum environment provides network
operators with the ability to select “clean” spectrum on which to transmit and avoid the
possibility of interference to other spectrum users in the area.
• Distributed Ledger Technology (DLT): New approaches to spectrum management will require
fast, secure and trusted verification and sharing of legitimate spectrum users, existing users,
data about them and technical information on how spectrum is being used that would be
suitable for DLT.
• AI: Artificial intelligence and machine learning algorithms applied to network and spectrum
management practices to deliver superior performance. AI is particularly suitable for dynamic
management of network and spectrum resources.
The adoption and application of technology can automate spectrum management processes. This will
minimise the efforts necessary to coordinate access to resources by different radio services and
applications and facilitate dynamic spectrum sharing and network optimisation. Technology is largely
frequency agnostic and provides administrations with a tool that offers advantages to stakeholders
over traditional approaches. These include: (a) speed to market and agility of deployment, (b)
seamless protection of incumbent users, (c) increased spectrum efficiency through opportunistic
spectrum access on a geographic or time dependent basis, and (d) attracting innovative business plans
and the creation of a robust and sizeable ecosystem of suppliers and vendors.

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 SPECTRUM MANAGEMENT BEST PRACTICES

In our highly connected world, the ITU Radio Regulations remain a relevant reference for best
practices of spectrum management. The Radio Regulations are founded on a set of principles that
includes:
• Limit to the number of frequencies and spectrum used to a minimum
• Apply the latest technical advances as soon as possible
• Remember that frequencies and associated orbits are limited resources and must be used
rationally, efficiently and economically
• Operate stations in a way so as not to cause harmful interference to other members’ services
The International Telecommunication Union (ITU), regional regulatory and standards fora, as well as
national regulatory authorities have sought to harmonise the use of radio frequencies for specific
services, both internationally and across geographic regions. The ITU has also worked to identify
geographically harmonised spectrum for specific applications, including International Mobile
Telecommunications (IMT), Global Maritime Distress and Safety Systems, Earth Stations in Motion and
High-Altitude Platform Stations. Platform Stations.
The use of technology for spectrum management practices can facilitate market access for incumbent
and emerging services, and further improve efficiency to ensure spectrum is utilised most effectively.
Policy makers and national regulatory authorities should seek to remove any obstacles regarding the
application of technology for spectrum management practices. This will include ensuring accurate
records of spectrum use on a geographical basis at different times and making the information
accessible for the purposed of spectrum management. This is not often the reality.
Unfortunately, we are now seeing some administrations grant authorisation for applications in
frequency bands without a specific identification in the Radio Regulations, for example IMT in the 28
GHz band. We consider this to be poor spectrum management practice as it changes the radio
interference environment, places further technical and operational restrictions on the incumbent
services and ignores the principle of keeping the number of frequencies used to a minimum. It also
calls into question the purpose of more than four years of studies by national, regional and
international regulatory groups to harmonise frequencies for specific services and applications.
Disregarding the founding principles of the Radio Regulations introduces regulatory uncertainty and
damages investment in new communication infrastructures. Additionally, it jeopardises the
availability of critical network infrastructure in parts of the world not covered by IMT mobile-cellular
networks and is a practice which should be avoided.

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 CONCLUSION

The demand for connectivity stems from all areas of society, from government to emergency services,
businesses and consumers. As the availability of cloud-based services, applications and content
expands, so will the need for additional capacity to accommodate it. As penetration rates increase in
developing economies, this pressure will only intensify.
The ITU Radio Regulations and the principles upon which they were founded continue to provide a
useful framework for best practice spectrum management regulation. The adoption and application
of technology can significantly improve spectrum efficiency and increase the effectiveness of how it is
used. As such, technology can assist national regulatory bodies in authorising spectrum access more
effectively, reducing time to market, agility of deployment, seamless protection of incumbent users,
stimulation of innovation and attract new business plans.
The challenge of delivering existing and future spectrum needs will be significantly reduced through
the application of modern, spectrum management best practices.

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 re are advantages and disadvantages to both options, and the final decision on which to choose will
often depend on the extent to which the transferee would like to be independent from the number
transferor. This is because when transferor remains responsible for numbers – as is the case

VoIP services are free from geographical restrictions and clients are often interested in having either foreign
numbers or “flexible” numbers which do not link them to a certain area. Therefore, understanding of
number use restrictions, allows providers not only to choose the appropriate type of number, but also avoid

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