WO2015048756A1

WO2015048756A1 - Method and apparatus for on-demand spectrum purchasing for shared spectrum management systems

Info

Publication number: WO2015048756A1
Application number: PCT/US2014/058334
Authority: WO
Inventors: Martino M. Freda; Mihaela C. Beluri; Pekka Ojanen; Tan B. LE; Scott Laughlin; Jean-Louis Gauvreau
Original assignee: Interdigital Patent Holdings, Inc.
Priority date: 2013-09-30
Filing date: 2014-09-30
Publication date: 2015-04-02

Abstract

A method and apparatus are described for advertising, selling and purchasing spectrum. A shared spectrum manager (SSM) may categorize spectrum based on specific characteristics, generate spectrum pools based on the categorization, assign a price to each of the spectrum pools, and advertise the spectrum pool pricing, availability and characteristics. The characteristics may include frequency, band, location, spectrum access class, device class, radio access technology (RAT) and a quality measure. The quality measure may include expected or maximum interference power over a band of usage or adjacent bands, an expected or minimum signal-to-interference-plus-noise ratio (SINR), probability of evacuation, rules of spectrum usage, and the like. The spectrum categorized may include a combination of spectrum from multiple Tier 1 users. A spectrum pool message exchange may occur between the SSM and a secondary user, such as a Tier 2 user, which may result in the purchase of spectrum by the secondary user.

Description

METHOD AND APPARATUS FOR ON-DEMAND SPECTRUM

PURCHASING FOR SHARED SPECTRUM MANAGEMENT SYSTEMS

CROSS REFERENCE TO RELATED APPLICATIONS

[0001] This application claims the benefit of U.S. Provisional

Application No. 61/884,693 filed September 30, 2013, the contents of which are hereby incorporated by reference herein.

BACKGROUND

[0002] Spectrum usage rights may be purchased through a spectrum auction. A spectrum auction may be a process in which a regulator or government may use an auction system to sell a license to use a specific band or portion of the band. Depending on how the auction may be organized, this process may last several days or several months from the time in which the opening bid may be given to the time when the final winning bid may be declared. This spectrum purchase procedure may be static because licenses may typically last for a long period of time since the auction process may be itself quite lengthy. Also, the procedure may be inefficient from the spectrum utilization point of view, because existing owners in the spectrum market may purchase large amounts of spectrum which they may not need, specifically for the purpose of preventing competitors or new entrants (which do not have any spectrum) from utilizing the spectrum.

[0003] Recently, it has been widely accepted that the current under- utilization of spectrum may be addressed by the use of spectrum markets, and more specifically, in extending the spectrum market to be implemented in a multi-tier fashion. In an example, the spectrum market may be developed through the negotiation of what a secondary user, such as a Tier 2 user (T2U) or Tier 3 user (T3U), may be willing to pay for the spectrum, and what a primary user, such as a tier 1 user (TIU), may be willing to sell or rent the spectrum for. In an example, a spectrum broker or third party entity may manage a spot market for spectrum, which may consist of a market for spectrum usage for very short periods of time, for example, one day. The broker may determine the price paid for spectrum through either an auction mechanism or through the use of announced prices.

SUMMARY

[0004] A method and apparatus are described for advertising, selling and purchasing spectrum. A shared spectrum manager (SSM) may categorize spectrum based on specific characteristics, criteria or categories, assign a price to the spectrum, generate spectrum pools based on the categorization, assign a price to each of the spectrum pools, and advertise the spectrum pool pricing, availability and characteristics. The characteristics may include frequency, band, location, spectrum access class, device class, radio access technology (RAT) and a quality measure. The quality measure may include expected or maximum interference power over a band of usage or adjacent bands, an expected or minimum signal-to-interference-plus-noise ratio (SINR), an expected out-of-band emission or noise level, an expected power for spurious emissions, probability of evacuation, length of time of interference free spectrum use, maximum power that a T2 user (T2U) can use, and rules of spectrum usage.

[0005] The SSM may advertise the spectrum pool in each characteristic, criterion or category separately so that the advertised price is associated with the spectrum pool in each characteristic, criterion or category. The SSM may maintain and manage a spectrum market which may consist of a periodic auction, a spot market and spectrum for a secondary user, such as a T2U. A secondary user may also include a Tier 3 User (T3U).

[0006] The spectrum prices provided by the SSM may be based on a combination of regulator rules for the spectrum and market driven factors. A spectrum pool message exchange may occur between the SSM and a secondary user, such as a T2U or T3U, which may result in the purchase of a portion of spectrum by the secondary user. The exchange sequence may include one or more of a pool use registration request message, a registration confirm message, an advertisement message, a spectrum inquiry message, a spectrum subscription change message, a subscription change confirm message, a spectrum request message, a spectrum response message and a spectrum confirm message. The SSM may assign to the secondary user the portion of spectrum requested in the spectrum request message and may updated information on available spectrum in the spectrum pools. The secondary user may provide the SSM with preferences of the secondary user regarding spectrum pool characteristics, criteria or categories.

[0007] A market information exchange sequence may occur between the

SSM and a primary user, such as a T1U, so that the primary user may provide spectrum to the SSM for use in at least one of the auction or the spot market. The spectrum categorized may include a combination of spectrum from multiple Tier 1 users (TlUs).

[0008] The prices set by the SSM may be based on a combination of regulator rules and market driven factors. The T1U may take back spectrum during use by a T2U or a T3U. The SSM may provide guaranteed and non- guaranteed spectrum to a T3U.

BRIEF DESCRIPTION OF THE DRAWINGS

[0009] A more detailed understanding may be had from the following description, given by way of example in conjunction with the accompanying drawings wherein:

[0010] Figure 1A is a system diagram of an example communications system in which one or more disclosed embodiments may be implemented;

[0011] Figure IB is a system diagram of an example wireless transmit/receive unit (WTRU) that may be used within the communications system shown in Figure 1A;

[0012] Figure 1C is a system diagram of an example radio access network and an example core network (CN) that may be used within the communications system shown in Figure 1A; [0013] Figure 2 A is a diagram of an example of a hierarchical three-tier access model proposed by the President's Council of Advisors on Science and Technology (PCAST);

[0014] Figure 2B is a diagram of an example of spectrum use license models that shows a comparison between a traditional licensed approach, an unlicensed approach and a licensed shared access (LSA) approach;

[0015] Figure 3 is a diagram of an example of PCAST three-tier spectrum sharing among Tier 1, 2 and 3 users;

[0016] Figure 4 is a diagram of an example of an individual licensing approach;

[0017] Figure 5 is a diagram of an example LSA approach;

[0018] Figure 6 is a diagram of an example of spectrum usage for a single unit of primary user spectrum;

[0019] Figure 7 is a diagram of an example of a geographic area of spectrum assignment.;

[0020] Figure 8 is a diagram of an example use of signal-to-interference- plus-noise ratio (SINR) to denote the portion of an assigned spectrum to a system;

[0021] Figure 9 is a diagram of an example of a spectrum pool concept;

[0022] Figure 10A is a diagram of an example of splitting a Tier 1 User

(T1U) spectrum by geographic area;

[0023] Figure 10B is a diagram of an example of defining a spectrum pool by majority rule;

[0024] Figure 11 is a diagram of an example of different spectrum access classes;

[0025] Figure 12 is a diagram of an example of advertisement message contents.

[0026] Figure 13 is a diagram of another example of advertisement message contents; [0027] Figure 14 is a diagram illustrating an example of messaging between a tier 2 user (T2U) and a shared spectrum manager (SSM) for purchase of spectrum pools in the spot market;

[0028] Figure 15 is a diagram of an example of messaging between an

SSM and a T1U in a committal procedure;

[0029] Figure 16 is a diagram of an example of messaging between an

SSM and a T1U in a non-committal procedure;

[0030] Figure 17 is a diagram of an example of a high-level information flow of a spot market;

[0031] Figure 18 is a flow diagram of an example SSM procedure upon receipt of a spectrum sale request from a T1U;

[0032] Figure 19 is a diagram of an example of a time varying condition of spectrum shortage;

[0033] Figure 20 is a flow diagram of an example of SSM logic during a spectrum request from a T2U;

[0034] Figure 21 is a diagram of an example of a regulator-imposed maximum price for spectrum;

[0035] Figure 22 is a diagram of an example SSM logic for a noncommittal case with an additional incentive;

[0036] Figure 23 is a diagram of example events forcing a tier 3 user

(T3U) to evacuate non- guaranteed Tier 3 (T3) spectrum;

[0037] Figure 24 is an example of an information flow between a guaranteed T3U and an SSM; and

[0038] Figure 25 is an example of an information flow between a non- guaranteed T3U and an SSM.

DETAILED DESCRIPTION

[0039] Figure 1A shows an example communications system 100 in which one or more disclosed embodiments may be implemented. The communications system 100 may be a multiple access system that provides content, such as voice, data, video, messaging, broadcast, and the like, to multiple wireless users. The communications system 100 may enable multiple wireless users to access such content through the sharing of system resources, including wireless bandwidth. For example, the communications systems 100 may employ one or more channel access methods, such as code division multiple access (CDMA), time division multiple access (TDMA), frequency division multiple access (FDMA), orthogonal FDMA (OFDMA), single-carrier FDMA (SC-FDMA), and the like.

[0040] As shown in Figure 1A, the communications system 100 may include wireless transmit/receive units (WTRUs) 102a, 102b, 102c, 102d, a radio access network (RAN) 104, a core network (CN) 106, a public switched telephone network (PSTN) 108, the Internet 110, and other networks 112, though it may be appreciated that the disclosed embodiments contemplate any number of WTRUs, base stations, networks, and/or network elements. Each of the WTRUs 102a, 102b, 102c, 102d may be any type of device configured to operate and/or communicate in a wireless environment. By way of example, the WTRUs 102a, 102b, 102c, 102d may be configured to transmit and/or receive wireless signals and may include user equipment (UE), a mobile station, a fixed or mobile subscriber unit, a pager, a cellular telephone, a personal digital assistant (PDA), a smartphone, a laptop, a netbook, a personal computer, a wireless sensor, consumer electronics, and the like.

[0041] The communications systems 100 may also include a base station

114a and a base station 114b. Each of the base stations 114a, 114b may be any type of device configured to wirelessly interface with at least one of the WTRUs 102a, 102b, 102c, 102d to facilitate access to one or more communication networks, such as the CN 106, the Internet 110, and/or the other networks 112. By way of example, the base stations 114a, 114b may be a base transceiver station (BTS), a Node-B, an evolved Node-B (eNB), a Home Node-B (HNB), a Home eNB (HeNB), a site controller, an access point (AP), a wireless router, and the like. While the base stations 114a, 114b are each depicted as a single element, it may be appreciated that the base stations 114a, 114b may include any number of interconnected base stations and/or network elements.

[0042] The base station 114a may be part of the RAN 104, which may also include other base stations and/or network elements (not shown), such as a base station controller (BSC), a radio network controller (RNC), relay nodes, and the like. The base station 114a and/or the base station 114b may be configured to transmit and/or receive wireless signals within a particular geographic region, which may be referred to as a cell (not shown). The cell may further be divided into cell sectors. For example, the cell associated with the base station 114a may be divided into three sectors. Thus, in one embodiment, the base station 114a may include three transceivers, i.e., one for each sector of the cell. In another embodiment, the base station 114a may employ multiple -input multiple -output (MIMO) technology and, therefore, may utilize multiple transceivers for each sector of the cell.

[0043] The base stations 114a, 114b may communicate with one or more of the WTRUs 102a, 102b, 102c, 102d over an air interface 116, which may be any suitable wireless communication link, (e.g., radio frequency (RF), microwave, infrared (IR), ultraviolet (UV), visible light, and the like). The air interface 116 may be established using any suitable radio access technology (RAT).

[0044] More specifically, as noted above, the communications system

100 may be a multiple access system and may employ one or more channel access schemes, such as CDMA, TDMA, FDMA, OFDM A, SC-FDMA, and the like. For example, the base station 114a in the RAN 104 and the WTRUs 102a, 102b, 102c may implement a radio technology such as universal mobile telecommunications system (UMTS) terrestrial radio access (UTRA), which may establish the air interface 116 using wideband CDMA (WCDMA). WCDMA may include communication protocols such as high-speed packet access (HSPA) and/or evolved HSPA (HSPA+). HSPA may include high-speed downlink packet access (HSDPA) and/or high-speed uplink packet access (HSUPA). [0045] In another embodiment, the base station 114a and the WTRUs

102a, 102b, 102c may implement a radio technology such as evolved UTRA (E- UTRA), which may establish the air interface 116 using long term evolution (LTE) and/or LTE-Advanced (LTE-A).

[0046] In other embodiments, the base station 114a and the WTRUs

102a, 102b, 102c may implement radio technologies such as IEEE 802.16 (i.e., worldwide interoperability for microwave access (WiMAX)), CDMA2000, CDMA2000 IX, CDMA2000 evolution- data optimized (EV-DO), Interim Standard 2000 (IS-2000), Interim Standard 95 (IS-95), Interim Standard 856 (IS-856), global system for mobile communications (GSM), enhanced data rates for GSM evolution (EDGE), GSM/EDGE RAN (GERAN), and the like.

[0047] The base station 114b in Figure 1A may be a wireless router,

HNB, HeNB, or AP, for example, and may utilize any suitable RAT for facilitating wireless connectivity in a localized area, such as a place of business, a home, a vehicle, a campus, and the like. In one embodiment, the base station 114b and the WTRUs 102c, 102d may implement a radio technology such as IEEE 802.11 to establish a wireless local area network (WLAN). In another embodiment, the base station 114b and the WTRUs 102c, 102d may implement a radio technology such as IEEE 802.15 to establish a wireless personal area network (WPAN). In yet another embodiment, the base station 114b and the WTRUs 102c, 102d may utilize a cellular -based RAT, (e.g., WCDMA, CDMA2000, GSM, LTE, LTE-A, and the like), to establish a picocell or femtocell. As shown in Figure 1A, the base station 114b may have a direct connection to the Internet 110. Thus, the base station 114b may not be required to access the Internet 110 via the CN 106.

[0048] The RAN 104 may be in communication with the CN 106, which may be any type of network configured to provide voice, data, applications, and/or voice over Internet protocol (VoIP) services to one or more of the WTRUs 102a, 102b, 102c, 102d. For example, the CN 106 may provide call control, billing services, mobile location-based services, pre-paid calling, Internet connectivity, video distribution, and the like, and/or perform high- level security functions, such as user authentication. Although not shown in Figure 1A, it may be appreciated that the RAN 104 and/or the CN 106 may be in direct or indirect communication with other RANs that employ the same RAT as the RAN 104 or a different RAT. For example, in addition to being connected to the RAN 104, which may be utilizing an E-UTRA radio technology, the CN 106 may also be in communication with another RAN (not shown) employing a GSM radio technology.

[0049] The CN 106 may also serve as a gateway for the WTRUs 102a,

102b, 102c, 102d to access the PSTN 108, the Internet 110, and/or other networks 112. The PSTN 108 may include circuit-switched telephone networks that provide plain old telephone service (POTS). The Internet 110 may include a global system of interconnected computer networks and devices that use common communication protocols, such as the transmission control protocol (TCP), user datagram protocol (UDP) and the Internet protocol (IP) in the TCP/IP suite. The networks 112 may include wired or wireless communications networks owned and/or operated by other service providers. For example, the networks 112 may include another CN connected to one or more RANs, which may employ the same RAT as the RAN 104 or a different RAT.

[0050] Some or all of the WTRUs 102a, 102b, 102c, 102d in the communications system 100 may include multi-mode capabilities, i.e., the WTRUs 102a, 102b, 102c, 102d may include multiple transceivers for communicating with different wireless networks over different wireless links. For example, the WTRU 102c shown in Figure 1A may be configured to communicate with the base station 114a, which may employ a cellular-based radio technology, and with the base station 114b, which may employ an IEEE 802 radio technology.

[0051] Figure IB shows an example WTRU 102 that may be used within the communications system 100 shown in Figure 1A. As shown in Figure IB, the WTRU 102 may include a processor 118, a transceiver 120, a transmit/receive element, (e.g., an antenna), 122, a speaker/microphone 124, a keypad 126, a display/touchpad 128, a non-removable memory 130, a removable memory 132, a power source 134, a global positioning system (GPS) chipset 136, and peripherals 138. It may be appreciated that the WTRU 102 may include any sub-combination of the foregoing elements while remaining consistent with an embodiment.

[0052] The processor 118 may be a general purpose processor, a special purpose processor, a conventional processor, a digital signal processor (DSP), a microprocessor, one or more microprocessors in association with a DSP core, a controller, a microcontroller, an application specific integrated circuit (ASIC), a field programmable gate array (FPGA) circuit, an integrated circuit (IC), a state machine, and the like. The processor 118 may perform signal coding, data processing, power control, input/output processing, and/or any other functionality that enables the WTRU 102 to operate in a wireless environment. The processor 118 may be coupled to the transceiver 120, which may be coupled to the transmit/receive element 122. While Figure IB depicts the processor 118 and the transceiver 120 as separate components, the processor 118 and the transceiver 120 may be integrated together in an electronic package or chip.

[0053] The transmit/receive element 122 may be configured to transmit signals to, or receive signals from, a base station (e.g., the base station 114a) over the air interface 116. For example, in one embodiment, the transmit/receive element 122 may be an antenna configured to transmit and/or receive RF signals. In another embodiment, the transmit/receive element 122 may be an emitter/detector configured to transmit and/or receive IR, UV, or visible light signals, for example. In yet another embodiment, the transmit/receive element 122 may be configured to transmit and receive both RF and light signals. The transmit/receive element 122 may be configured to transmit and/or receive any combination of wireless signals.

[0054] In addition, although the transmit/receive element 122 may be depicted in Figure IB as a single element, the WTRU 102 may include any number of transmit/receive elements 122. More specifically, the WTRU 102 may employ MIMO technology. Thus, in one embodiment, the WTRU 102 may include two or more transmit/receive elements 122, (e.g., multiple antennas), for transmitting and receiving wireless signals over the air interface 116.

[0055] The transceiver 120 may be configured to modulate the signals that are to be transmitted by the transmit/receive element 122 and to demodulate the signals that are received by the transmit/receive element 122. As noted above, the WTRU 102 may have multi-mode capabilities. Thus, the transceiver 120 may include multiple transceivers for enabling the WTRU 102 to communicate via multiple RATs, such as UTRA and IEEE 802.11, for example.

[0056] The processor 118 of the WTRU 102 may be coupled to, and may receive user input data from, the speaker/microphone 124, the keypad 126, and/or the display/touchpad 128 (e.g., a liquid crystal display (LCD) display unit or organic light-emitting diode (OLED) display unit). The processor 118 may also output user data to the speaker/microphone 124, the keypad 126, and/or the display/touchpad 128. In addition, the processor 118 may access information from, and store data in, any type of suitable memory, such as the non-removable memory 130 and/or the removable memory 132. The nonremovable memory 130 may include random-access memory (RAM), read-only memory (ROM), a hard disk, or any other type of memory storage device. The removable memory 132 may include a subscriber identity module (SIM) card, a memory stick, a secure digital (SD) memory card, and the like. In other embodiments, the processor 118 may access information from, and store data in, memory that may be not physically located on the WTRU 102, such as on a server or a home computer (not shown).

[0057] The processor 118 may receive power from the power source 134, and may be configured to distribute and/or control the power to the other components in the WTRU 102. The power source 134 may be any suitable device for powering the WTRU 102. For example, the power source 134 may include one or more dry cell batteries (e.g., nickel-cadmium (NiCd), nickel-zinc (NiZn), nickel metal hydride (NiMH), lithium-ion (Li-ion), and the like), solar cells, fuel cells, and the like.

[0058] The processor 118 may also be coupled to the GPS chipset 136, which may be configured to provide location information (e.g., longitude and latitude) regarding the current location of the WTRU 102. In addition to, or in lieu of, the information from the GPS chipset 136, the WTRU 102 may receive location information over the air interface 116 from a base station, (e.g., base stations 114a, 114b), and/or determine its location based on the timing of the signals being received from two or more nearby base stations. The WTRU 102 may acquire location information by way of any suitable location- determination method while remaining consistent with an embodiment.

[0059] The processor 118 may further be coupled to other peripherals

138, which may include one or more software and/or hardware modules that provide additional features, functionality and/or wired or wireless connectivity. For example, the peripherals 138 may include an accelerometer, an e-compass, a satellite transceiver, a digital camera (for photographs or video), a universal serial bus (USB) port, a vibration device, a television transceiver, a hands free headset, a Bluetooth® module, a frequency modulated (FM) radio unit, a digital music player, a media player, a video game player module, an Internet browser, and the like.

[0060] Figure 1C shows an example RAN 104 and an example core network 106 that may be used with the communications system 100 shown in Figure 1A. The RAN 104 may be an access service network (ASN) that employs IEEE 802.16 radio technology to communicate with the WTRUs 102a, 102b, 102c over the air interface 116.

[0061] As shown in Figure 1C, the RAN 104 may include base stations

140a, 140b, 140c, and an ASN gateway 142, though it may be appreciated that the RAN 104 may include any number of base stations and ASN gateways while remaining consistent with an embodiment. The base stations 140a, 140b, 140c may each be associated with a particular cell (not shown) in the RAN 104 and may each include one or more transceivers for communicating with the WTRUs 102a, 102b, 102c over the air interface 116. In one embodiment, the base stations 140a, 140b, 140c may implement MIMO technology. Thus, the base station 140a, for example, may use multiple antennas to transmit wireless signals to, and receive wireless signals from, the WTRU 102a. The base stations 140a, 140b, 140c may also provide mobility management functions, such as handoff triggering, tunnel establishment, radio resource management, traffic classification, quality of service (QoS) policy enforcement, and the like. The ASN gateway 142 may serve as a traffic aggregation point and may be responsible for paging, caching of subscriber profiles, routing to the core network 106, and the like.

[0062] The air interface 116 between the WTRUs 102a, 102b, 102c and the RAN 104 may implement the IEEE 802.16 specification. In addition, each of the WTRUs 102a, 102b, 102c may establish a logical interface (not shown) with the core network 106. The logical interface between the WTRUs 102a, 102b, 102c and the core network 106 may be used for authentication, authorization, IP host configuration management, and/or mobility management.

[0063] The communication link between each of the base stations 140a,

140b, 140c may include protocols for facilitating WTRU handovers and the transfer of data between base stations. The communication link between the base stations 140a, 140b, 140c and the ASN gateway 142 may include protocols for facilitating mobility management based on mobility events associated with each of the WTRUs 102a, 102b, 102c.

[0064] As shown in Figure 1C, the RAN 104 may be connected to the core network 106. The communication link between the RAN 104 and the core network 106 may include protocols for facilitating data transfer and mobility management capabilities, for example. The core network 106 may include a mobile IP home agent (MIP-HA) 144, an authentication, authorization, accounting (AAA) server 146, and a gateway 148. While each of the foregoing elements are depicted as part of the core network 106, it may be appreciated that any one of these elements may be owned and/or operated by an entity other than the core network operator.

[0065] The MIP-HA 144 may be responsible for IP address management, and may enable the WTRUs 102a, 102b, 102c to roam between different ASNs and/or different core networks. The MIP-HA 144 may provide the WTRUs 102a, 102b, 102c with access to packet-switched networks, such as the Internet 110, to facilitate communications between the WTRUs 102a, 102b, 102c and IP-enabled devices. The AAA server 146 may be responsible for user authentication and for supporting user services. The gateway 148 may facilitate interworking with other networks. For example, the gateway 148 may provide the WTRUs 102a, 102b, 102c with access to circuit- switched networks, such as the PSTN 108, to facilitate communications between the WTRUs 102a, 102b, 102c and traditional land-line communications devices. In addition, the gateway 148 may provide the WTRUs 102a, 102b, 102c with access to the networks 112, which may include other wired or wireless networks that are owned and/or operated by other service providers.

[0066] Although not shown in Figure 1C, it may be appreciated that the

RAN 104 may be connected to other ASNs and the core network 106 may be connected to other core networks. The communication link between the RAN 104 and the other ASNs may include protocols for coordinating the mobility of the WTRUs 102a, 102b, 102c between the RAN 104 and the other ASNs. The communication link between the core network 106 and the other core networks may include protocols for facilitating interworking between home core networks and visited core networks.

[0067] Other network 112 may further be connected to an IEEE 802.11 based wireless local area network (WLAN) 160. The WLAN 160 may include an access router 165. The access router 165 may contain gateway functionality. The access router 165 may be in communication with a plurality of access points (APs) 170a, 170b. The communication between access router 165 and APs 170a, 170b may be via wired Ethernet (IEEE 802.3 standards), or any type of wireless communication protocol. AP 170a may be in wireless communication over an air interface with WTRU 102d.

[0068] Spectrum assignment methods based on spectrum auctions, if applied to the case of shared spectrum, may suffer from a lack of flexibility required by some applications of shared spectrum use. Furthermore, spectrum auctions may in this case require negotiation between primary users (who may be sellers, such as, for example, Tier 1 (users (TlUs)) and secondary users (who may be buyers, such as, for example, Tier 2 (T2) users (T2Us) and Tier 3 (T3) users (T3Us)) in order to come up with the pricing and incentives, and the usage conditions of the spectrum. Such negotiation may be complex and may not always be possible. For example, an immediate request for spectrum, for example, a spot request, may come at any time, and a T1U may not be offering spectrum at the exact same time that may make it possible to satisfy the request through an auction or negotiation procedure. In addition, immediate spectrum requests, such as, for example, frequency spot requests, may make auction mechanisms inappropriate due to the large amount of signaling that may be required.

[0069] Methods, apparatuses and systems are described herein for using shared spectrum, especially where spectrum may be shared using a tiered hierarchy. A shared spectrum manager (SSM) may dynamically manage requests for spectrum. The SSM may also provide some mechanisms for determining in addition to suitable assignments, the pricing and incentives for that spectrum that may motivate both the T1U offering the spectrum and the T2U and T3U making use of the spectrum to use the SSM's services. This management may ensure that sufficient spectrum may be instantly available for spot requests, but that spectrum may be still utilized efficiently in this context, without reserving it unnecessarily. In addition, mechanisms may ensure that pricing and incentive schemes are fair and may be controlled by a regulator. The examples disclosed herein may be equally applicable to the SSM managing requests for spectrum from a T2U as they are to a an SSM managing requests for spectrum from a T3U. [0070] Wireless traffic has significantly increased in the last decade.

Devices, such as smartphones and tablets, may be ubiquitous and, due to the enhanced connectivity and the wide use of applications that require data transmission, these devices and their applications may use significantly more spectrum (from 24 times to 122 times for an iPhone® and iPad® respectively, according to the Federal Communications Commission (FCC)) than feature phones or standard mobile devices. Several studies predict tremendous worldwide growth in the market size of mobile broadband services. For instance, the market may grow from 1 billion users in 2012 to somewhere in the range of 2.5 billion users (assuming conservative growth) to 8 billion users (assuming aggressive growth) in 2015. In addition, global mobile data more than doubled for the fourth year in a row in 2011, and it may continue to do so through 2016. Thus, more spectrum may be needed for mobile broadband use.

[0071] Spectrum use may be based on exclusive utilization of dedicated bands, and additional spectrum for mobile broadband has been created by repurposing of spectrum (i.e., moving incumbents to other bands). This happened in the past, for example, with the 2.5 GHz band in most parts of the world, and more recently with clearing of parts of the ultra-high frequency (UHF) band due to the digital switchover, known as digital dividend. With time, the practice of repurposing has become more difficult and less feasible due to the nature of the incumbent services that may need to be moved to other bands. In particular, repurposing of existing services that are widely in use may be an extremely costly and lengthy undertaking. For example, potential repurposing of the 1755-1850 MHz band may take 10 years and cost some 18 billion dollars. As a result, a procedure other than for repurposing may be used to obtain the new spectrum that may solve the bandwidth crunch.

[0072] Most of the spectrum bands are currently not fully utilized, and portions of them may be available for other use on a geographical or timely basis. New technical solutions are emerging that allow such sharing in bands where it was previously not feasible. In addition, sharing may be being seen as a mechanism or tool that may complement repurposing. For example, in the United States (U.S.), to enable shared access to the Federal spectrum, the President's Council of Advisors on Science and Technology (PCAST) report proposes a hierarchical three-tier access model.

[0073] Figure 2A is a diagram of an example of a hierarchical three-tier access model proposed by PCAST. The PCAST report proposes a three-tier access model where TlUs are the incumbent users (the "Federal Primary Access" users) 210, T2Us ("Secondary Access" users) 220 have a lower priority than Tier 1 when accessing the spectrum, while T3Us ("General Authorized Access" users) 230 have the lowest priority when accessing the spectrum. Under the model, the Tier 1 user 210 may not exclude spectrum use by users of other tiers if the Tier 1 user 210 does not have a current need. A Tier 2 user 220 may need to register with a database and pay a fee to get an individual license for spectrum use. The Tier 2 user 220 may be a high power user. The Tier 3 users 230 are not expected to pay fees for using the spectrum, which they may use in opportunistic manner and with low power. A key feature the three-tier model may be that lower level use may be not allowed to cause harmful interference to higher level use.

[0074] In contrast, the approach to licensed spectrum sharing taken in

Europe may be the licensed shared access (LSA) model, which may be a 2- tiered model. Under the LSA model, Tier 1 are the incumbents (for example, governments, defense users, and the like), and Tier 2 are users authorized for "exclusive use on a shared and binary basis, such as time, location and/or frequency, with the incumbent."

[0075] Figure 2B is a diagram of an example of spectrum use license models that shows a comparison between a traditional licensed approach, an unlicensed approach and an LSA approach. LSA was previously referred to as authorized shared access (ASA). A traditional licensed approach may also be known as the mainstream approach 240 and may include auctions of cleared spectrum for the exclusive use of a group of users who may be ensured a certain QoS. The unlicensed approach 260 may include unrestricted shared use and unpredictable QoS. LSA approach may also be known as the complementary license model 250 and may include shared exclusive use based on time, location, frequency, or a combination of these. This model 250 ensures a certain QoS. The LSA model may be likely a good match for the mobile network operators (MNOs), who may get capacity enhancement when operating as Tier 2 users in shared spectrum.

[0076] Recent technology advances in wireless technology and architecture have increased the feasibility of using shared spectrum. First, the trend in LTE may be towards the use of small cells. Small cells may make spectrum sharing easier, as it increases the reusability of spectrum in a given geographic area and therefore increases the number of systems which may share new bandwidth that may be made available by the incumbent. In addition, new cognitive technologies which have gained popularity in recent years, such as access to a geolocation database to allow spectrum use, as well as sensing, may also fuel the use of shared spectrum.

[0077] MNOs have demand for significantly more bandwidth in the coming years to satisfy increased user demand for spectrum. Since the frequency resource may be limited and it may not be possible to allocate exclusive bands to all operators, shared spectrum to compliment the use of exclusive spectrum today may be a solution which may increase the capacity and capability of a mobile network operator to provide services to the network despite the overall shortage in spectrum.

[0078] It should be noted that there may be also incumbent usages which may allow deployment of larger cells and/or longer term licenses for shared use. This depends on the actual applications and frequency bands.

[0079] The concept of shared access to spectrum, which may effectively make a significant amount of new spectrum available, may enable new entrants to the market, for example, new network operators and virtual network operators. For these new entrants, access to exclusive licenses may not be feasible due to economic or administrative reasons. In addition, these new entrants may have interest in providing services only in a limited area or time, which may not justify the cost of an exclusive long-term licensed. Instead, the ability of having spectrum available for short time periods, or in very localized areas, may allow specific use cases which may benefit the new entrant business model.

[0080] In June 2010, government agencies were requested to make 500

MHz of spectrum available for commercial use within 10 years. This request was intended to enable technology expansion and innovation in the mobile space in the U.S., while recognizing that such innovation may require the creation of new spectrum to be viable. In response to the memorandum, the PCAST report was released in July 2012. The report recommended that the president issue a new memorandum to make it the policy of the U.S. government to share under-utilized Federal spectrum to the maximum extent possible and to identify 1000 MHz of spectrum to implement a new shared-use spectrum policy. A detailed plan for exploiting the new federal spectrum was also recommended in the report.

[0081] In the PCAST report, it was concluded that the provision of additional spectrum may provide the opportunity for significant economic growth, but that doing so by the traditional means of clearing services and relocating spectrum may be unfeasible due to the time, cost, and inefficiency (due to spectrum fragmentation) associated with such approaches. Instead, it was recommended that new sources of spectrum be created by encouraging federal agencies to make efficient use of spectrum by, for example, sharing their spectrum during periods when it may be unused or in areas where other federal or commercial services may be deployed locally without creating harmful interference. The report indicated that a new Federal spectrum architecture governed according to a three-tier hierarchy should be adopted in the future, where the norm for spectrum use should be sharing, not exclusivity. Also recommended was the establishment of a framework for coexistence based on technical characteristics of both transmitters and receivers, this stressing use of receiver performance when making spectrum allocations and the eventual improvement of receiver performance characteristics. Finally, the report recommended that mechanisms to evaluate the use of spectrum be evaluated not solely on the actual use of spectrum in MHz, but also how effectively these mechanisms allow for other services to use the same spectrum and not be precluded.

[0082] In the PCAST hierarchical spectrum model shown in Figure 2A,

Tier 1 users 210 have the highest priority when accessing the spectrum, and are guaranteed protection from interference. When not using the spectrum fully, Tier 1 users may not exclude the spectrum use by other users. Tier 2 users 220, have lower priority when accessing the spectrum, and need to register with a database to get a temporary license for spectrum use. Tier 2 users are expected to pay a fee for the spectrum license. Tier 3 users 230 have the lowest priority when accessing the spectrum, and are not expected to pay fees for using the spectrum. While the PCAST report indicates that "sensing and/or database" may be used to determine access availability, it may be likely that initial implementations of the three-tier sharing model may be database only, and may evolve to hybrid database-sensing approaches in the future.

[0083] Figure 3 is a diagram of an example of PCAST three-tier spectrum sharing among Tier 1, 2 and 3 users. Tier 1 users 310 may include military, public safety and other government users. Tier 2 users 320 may include small cell LTE or Wi-Fi network users. Tier 3 users 330 may be ad-hoc users, consumer users, smart grid users, or a combination of these. The SSM 340 may manage the use of shared spectrum 350 through the use of spectrum requests 370.

[0084] The PCAST report also set out a plan to implement these recommendations over the next 10 years. The spectrum between 2700 MHz and 3700 MHz was identified as substantially underutilized, and targeted for initial trial and implementation of the three-tier approach. Central to the proposed plan may be the design and implementation of a spectrum access system (SAS) which may manage the usage and assignment of spectrum based on the three-tier approach. The creation of a receiver management framework where receiver interference limits may be defined for federal systems, and used by the SAS for making spectrum allocation decisions was also planned. Finally, the report describes the creation of a Test City and Mobile Test Service, respectively for verification of the spectrum sharing environment and to allow compatibility testing with Federal services that cannot be moved to test facilities. Funding for the project may come from a spectrum efficiency fund, which may also be used to reward federal agencies that upgrade their systems to use new spectrum sharing technologies.

[0085] The Notice of Proposed Rulemaking (NPRM) released by the FCC on December 12, 2012 proposed to create a new citizens broadband service (CBS) in the 3550-3650 MHz band, which may be currently utilized for military and satellite operations, utilizing small cells and spectrum sharing. The proposal reflects recommendations made in the PCAST report, as it proposes to structure the CBS according to similar multi-tiered shared access model. The three tiers are called, Incumbent Access (IA, Tier 1), Priority Access (PA, Tier 2), and General Authorized Access (GAA, Tier 3).

[0086] There may be the requirement to protect existing federal systems

(incumbent) operating in the 3.5 GHz band and there may also be the requirement to protect the PA use from harmful interference from the GAA use. The NPRM goes further from the PCAST report in that it addresses a specific band, and it also makes a proposal about the foreseen PA and GAA users. The NPRM foresees that various Quality-of-Service dependent users, possibly including hospitals, utilities, state and local governments and such may be Priority Access users, whereas residential and business users, including network operators may primarily be General Authorized Access users. A difference with the PCAST may be that the NPRM does not address the economic incentive for the Incumbent users, which may be an important aspect in the PCAST report. A Further Notice of Proposed Rulemaking (FNPRM) was released by the FCC on April 23, 2014. The FNPRM may allow network operators as PA users.

[0087] The NPRM also suggests allowed operational areas for each access type based on Zones and fixed limits for the maximum transmit power of the devices. There are numerous detailed proposals, like the possibility to extend the band to include also the band 3650 - 3700 MHz and that the PA usage may only be allowed indoors, but most of the details are open for comments.

[0088] The fact that the PA and GAA usage may be allowed only within specifies Zones, the possibility to utilize band segmentation, and the possibility to define common maximum transmit powers for the devices suggests that the SAS functionalities required by the NPRM may be modeled on the television white space (TVWS) database concept. The SAS functionalities may include additional complexity to handle multiple tiers and more dynamic frequency assignments.

[0089] Regulators in Europe, including both the Conference of European

Postal and Telecommunications Administration (CEPT) and the European Commission, have also realized the importance of spectrum sharing, as efforts have begun to start standardization and policy changes to allow spectrum sharing through LSA, originally known as ASA. The ASA approach was presented to CEPT with the proposal that CEPT should assess the LSA/ASA concept.

[0090] As a consequence, a correspondence group within Working Group

FM was tasked to do the assessment. Based on the report of the correspondence group, a new Project Team FM53 was set up to address Reconfigurable Radio Systems and LSA. In addition, Project Team FM52 was set up to address the band 2300-2400 MHz, in which the deployment of Fixed and Mobile Communication Networks may be expected to utilize LSA. The FM52 may develop an ECC Decision on the frequency arrangements in the band 2300 - 2400 MHz and on guidance how to apply the LSA framework in that band. As the band may be identified for international mobile telecommunication (IMT), the first foreseen technology to be deployed may be IMT. Furthermore, FM52 may develop an Electronic Communications Committee (ECC) recommendation on related border coordination issues. [0091] The LSA idea may be relatively simple: while the current incumbent usage may stay, the unused portions of the band may be exclusively assigned to a secondary user, such as mobile broadband operator, or in some cases to two or more operators. If there are more than two LSA licensees they cannot have exclusive rights to the shared band, and there needs to be some coordination between them in order to allow consistent QoS. The LSA framework itself may be technology and band neutral, but in practice it may first be applied to make additional spectrum available for mobile broadband.

[0092] Figure 4 is a diagram of an example of an individual licensing approach. In an example under this approach, the spectrum licensee 410 may be granted spectrum use rights 415, possibly after application, by the administration or regulator 420. Further the administration or regulator 420 may set condition and timelines to free up spectrum 425 by the incumbent user 430. The spectrum licensee 410 may direct base stations 491, 492 to use the licensed spectrum 475, 477. The base stations 491, 492 may control device access to licensed spectrum 445, 455, such as the access of a device 460 which may use multiple bands.

[0093] Figure 5 is a diagram of an example LSA approach. In an example under the LSA approach, the spectrum licensee 510 may be granted traditional spectrum use rights 515 and ASA spectrum use rights 517, possibly after application, by the administration or regulator 520. The administration or regulator 520 may dynamically determine where and when ASA spectrum may be available 535 to the spectrum licensee 510. Further, the administration or regulator 520 may determine the condition of access to the ASA spectrum 525 while enabling protection of the incumbent user 530. The spectrum licensee 510 may direct a base station 591 to use the traditionally licensed spectrum 577 and a base stations 592 to use the permitted ASA spectrum 575. An incumbent user 593 may continue to use spectrum, per the conditions of access 525. The base stations 591, 592 may control device access to traditionally licensed spectrum and ASA spectrum 545, 555, such as the access of a device 560 which may use multiple bands.

[0094] Several factors may impact how LSA may be organized and implemented in practice. These include, but are not limited to, the bands and spectrum use of the incumbent, and the needs of the LSA licensee(s). For instance, in the case where there may be several bands, incumbents, and LSA licensees, utilization of a centralized entity such as a Spectrum Manager or SAS may be beneficial. On the other hand, in the case where a single incumbent leaves some spectrum available for a single LSA licensee to use in a relatively static way, the sharing may be implemented without a centralized entity. The split of the responsibilities between the stakeholders (administration, incumbent, and LSA licensee), the technical requirements for spectrum access (for example, adjacent channel leakage ratio (ACLR), spectrum masks, and the like), as well as the need or use of economic incentives, are also factors that impact the LSA implementation.

[0095] As mentioned, the 2300 - 2400 MHz band may be expected to become the first band within CEPT where the LSA framework may be utilized. Because the incumbent usage of the 2300 - 2400 MHz varies within the countries of CEPT, it may be assumed that some countries may make at least portions of the 2.3 GHz band available for IMT in a dedicated manner, some may be able to make portions available using the LSA, and some may not be able to make any portions available for IMT. Currently, the CEPT may be working on harmonized conditions to allow deployment of mobile broadband in the band 2300 - 2400 MHz, utilizing LSA, and the European Telecommunications Standards Institute (ETSI) has started the associated standardization process by preparing a System Reference Document (SRDoc) on LSA in the band 2300 - 2400 MHz.

[0096] The main advantage of LSA may be that it may allow more efficient use of spectrum whilst also providing an alternative to exclusive segmentation or re-purposing of a band when there may be a need for find new spectrum. The socio-economic value of shared spectrum access, including its impact on competition, innovation and investment was considered for supporting plans by the European Commission (EC) to address these issues. With demands on the radio spectrum becoming more intense, it may be necessary to use this unique resource as efficiently and productively as possible. One way forward may be to apply innovative and flexible authorization schemes like shared spectrum access. The EC made a recommendation to the member states about the steps leading to shared use of spectrum.

[0097] Even if the Tier 2 usage in the PCAST model and LSA framework has the same main objectives, there are also some differences, some of which are listed in Table 1. In both frameworks the users on the priority level, below the incumbent, may have individually authorized access to the unused portions of the incumbent band. As mentioned, the intention may be that the number of users on that level may be limited. They are individually authorized, and the QoS may be predictable.

Table 1 [0098] In the PCAST, there may be three (3) priority levels for the users, while in the LSA there may be two (2). The LSA model may favor such LSA licensees, which may utilize the unused portions of the spectrum as completely as possible. This may also mean that the preferred LSA use may include medium term to long term spectrum assignments, rather than dynamically changing spectrum use. Therefore, it may seem that LSA may be more geared towards the mobile broadband operators. In the PCAST or NPRM models, the stability of the Priority Access usage or the validating time for the spectrum assignments may be not an issue, as the General Authorized Access usage may fill the possible holes left from the Priority Access use.

[0099] In the LSA model, regulatory certainty, QoS and stability may be typical characteristics and the licensees may typically be mobile broadband operators. As a result, the role of the Administration may be stronger than in the PCAST and NPRM models. The licensing and definition of the technical requirements for the LSA use may rather be done by the Administration than be left to the stakeholders to be agreed mutually, as might be the case in the other models.

[0100] The traditional method for purchasing spectrum usage rights may be through a spectrum auction. A spectrum auction may be a process in which a regulator or government uses an auction system to sell a license to use a specific band or portion of the band. Depending on how the auction may be organized, this process may last several days or several months from the time in which the opening bid may be given to the time when the final winning bid may be declared. This traditional method of spectrum purchase may be both static (i.e., licenses may typically last for a long period of time since the auction process may be itself quite lengthy), as well as having been shown to be inefficient from the spectrum utilization point of view. This may be due to the fact that existing owners in the spectrum market may tend to purchase large amounts of spectrum which they may not need specifically for the purpose of preventing competitors or new entrants (which do not have any spectrum) from utilizing the spectrum. [0101] Mechanisms may be developed by which the SSM controls its spectrum availability, pricing, and incentives, to allow spectrum to be available for immediate (spot) demands for spectrum usage. A method for selling spectrum may be described whereby the SSM categorizes spectrum based on specific criteria, assigns a price to the spectrum, and advertises the spectrum in each category separately so that the advertised price may be associated with the spectrum in each category.

[0102] Possible spectrum categorization methods are described herein based on location, band, rules for returning the spectrum, time to live (TTL) value, allowable radio access technology (RAT), and device capabilities. The information about the categorization (and associated details) may be made available to a T2U as part of a special registration procedure. The advertisement of the price may be implemented by the SSM through either a broadcast/unicast/multicast message or in response to a request by the T2U.

[0103] A T2U may register or subscribe to receive broadcast/unicast/multicast messages associated only with certain categories of spectrum, and this may be based on user preferences provided in the registration or subscription. An algorithm is described herein whereby the SSM may decide how much spectrum to purchase or reserve for the spot market in each spectrum category, as well the price associated with the spectrum in each category based on history of spectrum usage and/or heuristic estimates of supply and demand. The SSM may attempt to maintain an adequate spectrum reserve for each spectrum pool/category based on this algorithm.

[0104] A set of potential policies (enforced by the regulator) to ensure that the algorithm does not become greedy is described herein, which includes a maximum price on each category of spectrum imposed by the regulator, or a maximum difference between the spot price and the incentive paid to the T1U.

[0105] A spectrum market may be maintained by the SSM which consists of a periodic auction, a spot market, and spectrum for T3 whereby the spot market spectrum may consist of spectrum which was not sold during periodic auctions, and which the SSM obtains right to sell to the spot market (either by purchasing from the TIU, or by obtaining the rights to sell with promise to provide compensation in case of sale). The spot market spectrum may be separate from the spectrum available in periodic auctions and the TIU may be given the choice to make spectrum available in either market. Spectrum that may be unsold in either or both of the periodic auction and the spot market may be utilized by Tier 3 spectrum for the period of time when the spectrum may be unavailable, based on whether the Tier 3 user indicates its willingness to allow for this usage of its spectrum.

[0106] A method is described herein whereby a quality measure may be associated with an area of spectrum usage, and this quality measure may be communicated between a T2U and the SSM. In an example, the quality measure may be communicated either by the request from a T2U which indicates the quality needed over the given area, or information by the SSM which indicates the possible values of the quality measure that are allowable over the given area, or a combination of the two. The quality measure may include, but may be not limited to, expected or maximum interference power over the current band incurred by the T2 system, expected or maximum interference from adjacent bands incurred by the T2 system, a measure relating to the reliability or availability of the spectrum, the maximum power or other usage rules that the pricing associated with a spectrum purchase by a T2U may be modified based on the assigned quality measure. The quality measure may serve as a guarantee associated with the spectrum purchase made by a T2U.

[0107] A method is described herein in which the SSM may provide a

TIU information about the spot market through a market information exchange sequence, and may allow the TIU to provide spectrum to either the auction, the spot market, or both. The sequence may allow for exchange of the following information: timing of the auction and spot market; incentive (offered by the SSM) or range of incentive (requested or expected by the TIU), or protection criteria and spectrum reclaim procedures. The SSM may combine spectrum from multiple TlUs.

[0108] A method is described herein whereby the SSM prices spectrum based on a combination of regulator rules associated with the spectrum and market driven factors, the method consisting of the regulator providing a base price per unit spectrum. The regulator, the SSM, or a combination of the two, may determine multiplying factors which further affect the price based on (and not limited to) frequency, location, social benefit, management costs, and level of demand. A T2U may make an application to a regulator from which the factor related to social benefit may be further determined by the regulator based on the application.

[0109] Mechanisms are described herein for addressing the price paid for spectrum when the spectrum may be taken back by a T1U during the time where a T2U may be actively operating in the spectrum, which may include giving the T2U the option of purchasing backup spectrum at a premium in order to ensure that the T2U may be given 100% guarantee of quality of access (QoA), and/or providing the refund details to the T2U during the spectrum request/assignment phase whereby the amount of the refund may be based on the percentage time lost by the T2U on the shared spectrum.

[0110] A method is described herein for providing two types of spectrum to T3Us and informing them of each type of spectrum: dedicated (guaranteed availability) T3 spectrum which may be used at a minimal cost, and non- dedicated purely opportunistic) T3 spectrum which may be free for use by T3U, but which may or may not be present for use at any given time based on the needs of T2Us and TlUs in the same area, and decisions made by the SSM's algorithm. Committal and non-committal markets for TlUs are also described herein.

[0111] Mechanisms are described herein for determining and signaling the price associated with shared spectrum in an SSM-based architecture that are applicable to the spot-market or on-demand spectrum usage. These mechanisms (and therefore discussions in the subsections below) may assume that some underlying payment mechanism exists to ensure that money may be transferred any time payment needs to be made, for example, when a T2U needs to purchase spectrum from the SSM. The payment may be made through some automated credit mechanism (for example, an online or secured account), in which the account information may be provided as part of some initial registration of the user (T1U, T2U or T3U) with the SSM. Other mechanisms are also possible for this payment, such as periodic payments made in person based on tracking accounts maintained by the SSM, and the like.

[0112] In addition, "buying/purchasing/selling" spectrum is described herein. In this case, the usage rights of spectrum for the predetermined time period may be what may be being purchased or sold. This may alternatively be thought of or referred to as renting or leasing. Finally, the terms T1U, T2U, and T3U are used for the entities that interact with the SSM. In a practical case, the T1U, T2U, and T3U may refer to a network operator. The network operator may include some automated equipment in the operator's network that may be designed to interface with the SSM, or some human entity interacting manually with the SSM. They may also represent actual equipment such as a base station (BS) or AP, that may be obtaining spectrum for the cell or BSS managed by the BS/AP (for instance, an LTE BS communicating directly with the SSM to obtain spectrum may be a T2U in the context of this document). Finally, they may also refer to actual devices and/or the users controlling the devices. For example, the owner or user of a handset may be a T2U and the handset itself of the user may communicate with the SSM. The examples described herein concerning a T2U apply equally to a T3U. T2Us and T3Us may also be referred to herein as secondary users.

[0113] The overall architecture assumed is described herein, where the

SSM may be a logical or physical entity which provides the services of managing spectrum and setting the price, determining the spectrum usage restrictions, and providing a market where spectrum may be sold or purchased. One or more SSMs may be given the mandate for managing the spectrum made available by TlUs. This mandate may be granted by a regulator, or may be allowed to several SSMs to allow for full competition between these SSMs. When a T1U has spectrum which it owns but does not need at a given time, it makes the spectrum available for use by potential T2Us and T3Us which may be able to use it and which may provide an incentive (monetary or other incentive) to the T1U in exchange for spectrum use in a specific time period. To ensure efficient use of spectrum and the assurance of an incentive, the T1U may use the services of an SSM to offer and sell the spectrum. Further examples are provided below of interaction with a single SSM. Such examples may also apply to interaction with multiple SSMs.

[0114] Spectrum may be purchased from the SSM in three different example ways (related in time). A periodic spectrum auction may be implemented where the TlUs offer spectrum with some defined protection criteria or guarantee of QoA. This spectrum may be available at some time in the future, and for relatively long periods of time to T2Us.

[0115] Also, a spot market may be implemented where T2Us may purchase spectrum with some defined protection criteria or guarantee of QoA to satisfy immediate demands for spectrum (e.g., to satisfy unexpected congestion or urgent spectrum needs). Further, a T3U market may be implemented where a T3U may obtain access to spectrum that has no QoA guarantees. The T3U spectrum may, however, be purchased with some additional service of coordination or coexistence associated with it. In addition, the T3 market may be further subdivided into two separate classes of T3 spectrum.

[0116] Periodic spectrum auctions may occur at fixed time instances or auction periods. These auctions may be periodic in that they occur regularly at defined time intervals, for example, once a month, once a year, and the like. The time for these auction periods may be known a-priori by TlUs and T2Us, or they may be advertised by the SSM. TlUs and T2Us may register with an SSM in advance for a periodic auction at any time, however, the actual sale of the spectrum involved may take place only at the defined auction period. At the time of each auction, a T1U may sell the usage of spectrum for the duration of one or more auction periods which start either at the time in which the auction terminates, or starting at some specific auction time in the future following the current auction termination. Alternatively, the spectrum usage being sold may have some defined start and end time which does not necessarily coincide with the auction times, especially if the time between the auctions may be long compared to the variances in the spectrum demand.

[0117] Prior to the auction time, the TlUs may communicate the spectrum to be made available to the auction by defining the technical characteristics of that spectrum (for example, geography, bandwidth, required protection criteria, interruptability, evacuation requirements, and the like) and the amount of time for which the spectrum may be being made available (for example, the defined start and end times, or the auction periods in which the spectrum may be available for). In addition, T2Us may make available their requests for spectrum, transmit/receive characteristics and protection criteria.

[0118] At the auction time, the SSM may manage the bids and offers for spectrum to match requests for spectrum by T2Us with available spectrum. Spectrum that may be made available for the auction by a T1U may or may not be sold to a T2U via the auction process. This may depend on the minimum incentive a T1U may be willing to receive and the value on this spectrum placed by T2Us, along with their willingness to pay.

[0119] In one embodiment, the spectrum which may be not sold by the auction process may be sold by the T1U directly to the SSM whereby the SSM may use this spectrum to satisfy short term spot spectrum needs by T2Us. These needs may be satisfied by a spot market for spectrum whereby a T2U may make a request at any time (asynchronously with respect to the auction periods) for spectrum that the SSM may satisfy using spectrum that the SSM itself purchased for this reason. [0120] Other alternatives to having spectrum which may be not sold in the auction purchased by the SSM may also be possible. For instance, in another embodiment, the spectrum that may be not sold in the periodic auction may still be used by the SSM for the spot market, but without the SSM committing to purchase of this spectrum. In this case, the SSM may make the spectrum available for spot purchases and the T1U may be compensated only in the case where the spectrum may be purchased. Alternatively, the spectrum which may be not sold in the auction may be assigned directly for usage of T3Us. If the spectrum may be so assigned, there may either be no spot market, or the spot market spectrum may be obtained from some other portion of spectrum other than the spectrum not purchased in the auction. For example, the spot market spectrum may be obtained from some percentage of the T1U spectrum that may be imposed by the regulator, or some dedicated band that may be assigned only to the spot market.

[0121] In yet another embodiment of how the SSM may manage the long term auctions and spot markets and the relation between them, the auction and spot markets may be independent markets maintained and managed by the SSM. In this case, the T1U may choose to sell spectrum in only one of these markets, and the T1U may have the liberty to sell the spectrum in either of these two markets, based on (for instance) the expected return or incentive that may be obtained by the T1U.

[0122] Figure 6 is a diagram of an example of spectrum usage for a single unit of primary user (T1U) spectrum. Figure 6 shows an example timeline illustrating the usage of spectrum owned by one specific T1U. The spot market spectrum may be derived from the spectrum which may be not sold by the periodic auctions. Spectrum made available for an auction may consist of only spectrum between periodic auction instances. However, spectrum that may be sold in an auction may be available with a specific defined start and end time which do not match the auction times of the SSM. In the first row 610, periods of time are shown when the spectrum may be not available 611 to the shared spectrum market because the spectrum may be being utilized by the TIU. For instance, this may be spectrum owned by the military and used for special exercises or training. In other periods of time, the spectrum may be unused by the TIU and the TIU decides to make it available to the SSM for sale 612. The TIU may determine spectrum eligible for auction 620. Prior to auction time (2) 672, the TIU may indicate that it has spectrum available for sale. The TIU may choose to make the spectrum from time instant (2) 672 to time instant (4) 674 available 621 at the auction which takes place at time instant (2) 672. Alternatively, the spectrum between (2) 672 and (3) 673 may be made available 622 for the auction which takes place at (2) 672, and the spectrum available between (3) 673 and (4) 674 may be made available 623 at time instant (3) 673. The decision of which alternative may be chosen may be made by the TIU itself. The decision may be based on its own policy, knowledge of the future usage of its spectrum, flexibility it may like to maintain for the usage of spectrum it owns, and the like.

[0123] The TIU may determine the actual spectrum sold by auction 630.

The portion 631 represents the spectrum which was purchased by a T2U through the auction managed by the SSM. As shown, a portion of the spectrum which the TIU had made available for sale via auction was not sold 633 due to discrepancy in the asking price and bids. This spectrum 643, along with the spectrum which may be available for periods of time 644, 645, 646 that do not coincide with spectrum that may be sold in the auction, represent spectrum that may be still unutilized by the TIU. This spectrum may be purchased by the SSM to satisfy the demands of the spot market for spectrum 640. As shown in 640, the SSM may choose to purchase all of this spectrum 643, 644, 645, except for a small amount 646 which may be available between auction instant 674 (4) and 675 (5).

[0124] The purchase of this spectrum required for the spot market by the SSM may take place at different time instants. For example, at some time prior to the actual time when the spectrum between auction instant (2) 672 and auction instant (3) 673 becomes available, the TIU may indicate the availability of this spectrum to the SSM and the SSM may then purchase this spectrum. This transaction may take place, for instance, at or prior to auction period (1) 671. In addition, at auction instant (2) 672, the T1U may learn of the inability to sell the spectrum between time instant (3) 673 and (4) 674 in the periodic auction process. At this time, the T1U may make that spectrum available by to the SSM for the spot market and the SSM may itself purchase the spectrum to be used for the spot market. As a result, there may need to be some advance notice for the sale of spectrum to the SSM for the spot market (for example, the sale to the SSM needs to be for some spectrum usage that occurs in the future) because the SSM may need to have that spectrum available and ready to be traded when the spot requests from T2Us arrive for spectrum.

[0125] The spot requests by T2Us correspond to the arrows 651, 652,

653, 654, 655, 656 in row 650. At each of these requests, a T2U may make a request to purchase spectrum for a short period of time, and the SSM may use the spectrum it has initially purchased directly from the T1U for the spot market to satisfy this request. For example, request 656 may be satisfied by spectrum 657 The spectrum purchased by the T2U in the spot market may be made available to the T2U immediately or following some short and reasonable delay for provisioning the spectrum by the T2U. In addition, to ensure a fair market for spot-spectrum, the SSM may use a minimum time period 658 and maximum time period 659 associated with spectrum purchases by the T2U. This minimum 658 and maximum 659, may be imposed by the regulator or determined directly by the SSM based on its own policy. This policy or regulation may be advertised by the SSM to the T2Us which use the service, or the T2Us may learn of this minimum or maximum time when they register to the SSM initially. In case there may be several SSMs, the minimum and maximum times associated with a purchase of spot spectrum may also be a differentiating factor between the SSMs which may offer the same or similar services to T2Us.

[0126] Finally, as shown in 660, any spectrum which the SSM has purchased for the spot market, and may be not sold to any T2Us making spot request may be made available by the SSM to T3Us as spectrum without any guaranteed QoA. This spectrum available for T3Us may be interruptible. The mechanisms and procedures associated with making this spectrum known to the T3Us are described in more detail.

[0127] Spectrum which was made available to the spot market by a TIU

(either directly, or due to the fact that it was not sold in the auction) may also end up not being sold in the spot market as well. In this case, the SSM may take two approaches on what to do with this spectrum, and the approach may depend on the decision of the TIU. In the first case, the spectrum may be returned to the TIU who may decide (because it was not sold at its desired minimum price for instance) that it may continue to make use of the spectrum for its own purposes. In the second case, the SSM may use the spectrum 661, 662, 663, 664, that may be not purchased by a T2U in the spot market as T3 spectrum and provide the TIU with little or no incentive for this spectrum. This second case may be the example case 660, but the figure may easily be extended to show the first case (where the TIU does not allow the use of unsold spectrum by T3Us). The selection of the action on unsold spectrum in the spot market may be made by the TIU and indicated to the SSM during the TlUs offer to sell spectrum (either to the auction or directly to the spot market). Alternatively, regulation may dictate which of the two options to be followed.

[0128] Two examples are described herein for specifying the area of usability of spectrum in the context of how spectrum may be communicated between the SSM and the different users of the SSM (TIU, T2U, and T3U). Spectrum may be measured and communicated between systems by any or all of the time, frequency and location dimensions. For instance, a portion of spectrum may be defined as a specific bandwidth of the frequency spectrum available for a known geographic area and for a certain period of time. The bandwidth may be a contiguous or non- contiguous amount of spectrum in a given frequency band of interest. For example, the geographic area may be defined in two ways. It may denote the portion of the area in which the system (collection of wireless base station, nodes, and the like) may operate in. In this case, the amount of spectrum may be attached only to the authorization or allowance of one or more systems to use such spectrum in that area.

[0129] Figure 7 is a diagram of an example of a geographic area of spectrum assignment. A device, such as a BS or AP 711, 721, 729, 731, mobile station 712, 713, 714, 722, 723, 732, 733, and the like, may transmit in the geographic area delineated and cannot transmit outside this geographic area. The area itself may be delineated through the use of square pixels (100m x 100m for example) to create a pixel-based spectrum delineation 710. It may also be delineated through the use of one or several circular contours, create a contour-based spectrum delineation 720. Finally, it may be delineated through the definition of a regular or irregular polygon, create a polygon-based spectrum delineation 730. The type of delineation may be enforced by regulation. It may also be determined by the SSM itself (based on the characteristics of the systems it may be serving) and communicated to the T2U.

[0130] In an example, the geographic area which identifies the spectrum indicates only the allowable usage area of the devices. There may be therefore no protection from interference associated with the usage area in this case, and therefore, this approach may be suited to communication of spectrum in which a T3 system may operate on.

[0131] Figure 8 is a diagram of an example use of signal-to-interference- plus-noise ratio (SINR) to denote the portion of an assigned spectrum to a system. The system may include a wireless base station 811, nodes 812, 813, 814, and the like. The geographic area 810 may denote the portion of the area in which the system may be given some authorization for use of the spectrum and may be also given some guarantee of protection from harmful interference levels from other systems. In this example, not only may the geographic area specify where devices may or may not transmit, but the geographic area may also specify that these same devices may be given some guarantee of protection from other systems, as shown in Figure 8. The geographic area 820 may denote the portion of the area in which the system may be given some authorization for use of the spectrum and may not necessarily be given some guarantee of protection from harmful interference levels from other systems. The area 810 may be denoted as that in which the system may maintain an SINR of at least x dB. In area 820, an SINR of at least x dB may not necessarily be maintained. Other measures are also possible to denote the spectrum, including maximum interference and noise level (in dBm), or RAT specific measures of quality or interference.

[0132] In an example of measuring and communicating spectrum as shown in Figure 8, the geographic area 810 may be also associated with an expected quality measure. The quality measure may be associated with the quality of the spectrum be over the period of the assignment, which may be referred to as how clean the spectrum may be. The quality measure may include one or more of the following measures: an expected or maximum interference power over the band of usage, an expected or maximum interference from adjacent bands incurred by the T2 system, an expected or minimum SINR, an expected out-of-band emission or noise level, an expected power for spurious emissions, and the like. The quality measure may also be associated with a measure relating to the reliability or availability of the spectrum, such as a probability of evacuation due to the need of a T1U to reclaim the spectrum, the length of the time period that may be expected to be purely interference free (in the case where the T2U transmissions may be coexisting with transmissions from other users such as a T1U) or a maximum power that the T2U may legally use over the spectrum. Finally, the quality measure may also be associated with certain rules of usage associated with the spectrum. For instance, the quality measure may denote the transmit (TX) mask that the T2U may utilize over the spectrum with the denoted area. The quality measure may be communicated by the SSM to the user of the spectrum, and may be variable (i.e., different for one system or another). In an example, one system may need to operate with a higher or lower value of this quality measure compared to another system. The quality measure may or may not require knowledge of the system in question. For example, in the case of expected SINR, the minimum transmit power of the system's devices or BS/APs may be known in order for the SSM to assign a quality measure to the geographic area. On the other hand, the area may be associated with a maximum interference level (interference coming from other systems), in which case, the SSM may determine this without any knowledge of the system in question.

[0133] In an example, the quality measure associated with an area of spectrum or spectrum assignment may be agreed-upon through negotiation between the user of the spectrum and the SSM prior to the use of the spectrum by the user (e.g., T2U). In other words, a T2U may be able to purchase a higher quality spectrum (i.e., more protection) by paying a higher price, or it may purchase lower quality spectrum by paying a lower price. Alternatively, the SSM may assign a quality measure based on the availability of spectrum and inform the T2U of that measure prior to the usage. In addition, because the quality measure may be something in which the SSM may ensure, the cost of spectrum use in the spot market may be dependent on the value of the quality measure. For example, the SSM may offer a T2U multiple options for a single specific delineated area. The area may be indicated by the T2U and may represent the known area in which the devices of the T2U may be expected to operate in. The SSM may offer the T2U several options of quality measure with the area and attach each of these options with a specific price. This may allow the T2U to select the price and quality combination which best meets its own needs. In addition, a spectrum assignment which may be paid for by the T2U may consist of multiple area delineations, each having a separate quality measure associated with it. This may allow, for example, a T2U to ensure a better QoS to specific areas of its network, for example. In a further example, a spectrum assignment which may be paid for by the T2U may consist of spectrum pools, as described further below, each having a separate quality measure associated with it. [0134] As an alternative to this pricing scheme, the quality measure and delineated area may be determined entirely by the T2U itself and then communicated to the SSM, which may price the spectrum and associated quality measure accordingly. This may be the case, for instance, when the T2U has inflexible spectrum requirements which may be met by the SSM.

[0135] With either of the scenarios described above (spectrum area delineation with or without protection associated), the SSM may quantify an area of spectrum and communicate that area of spectrum to the system which purchases the spectrum. Alternatively, the area of spectrum may be determined by the T2U and may be communicated to the SSM as part of the request for spectrum. This may be communicated through any applicable parameters that may depict the delineation of the area.

[0136] For example, in the case of a pixel-based spectrum delineation

710, the SSM may communicate the GPS coordinates of the center of each pixel, or, it may communicate the center of a rectangular cluster of pixels and a number of pixels in each of the two dimensions to denote the size of the cluster. In an example case of contour-based delineation 720, the SSM may identify or communicate the area of spectrum through a contour center and a diameter or radius of each contour. Finally, in an example case of polygon- based delineation 730, the SSM may identify the area through a set of GPS coordinates that represent the vertices of the polygons, or the lines which make up the polygons.

[0137] To identify the time dimension of the spectrum, the SSM may denote the start time and end time of the available spectrum, the start time and some duration of availability of the spectrum, or the start time, duration, periodicity, and number of repetitions of availability of the spectrum in the case the spectrum may be available periodically for some period of time. In addition, the SSM may identify a time schedule associated with the availability, which consists of a list of start and end times, or start times and durations. [0138] In an example of the SSM offering spectrum instantaneously for

T2Us, the SSM may maintain one or multiple pools of spectrum, consisting of spectrum that may be purchased or reserved from TlUs. Categorizing the spectrum so that it may be placed into logical pools maintained by the SSM allows the SSM to define its actions (which available T1U spectrum to purchase and at what price) based on which pool such spectrum may fit into.

[0139] Differentiation of the spectrum into different pools may allow the

T2U to obtain spectrum from the appropriate pool (either because the available pools are communicated to the T2U, or because the SSM assigns a spectrum request to the appropriate pool) and for the SSM to be able to set the pricing specific to the demand and supply for a specific pool. By being able to set the pricing specifically to each pool, the SSM may assign a price for that spectrum which may be most appropriate given the characteristics or criteria of the spectrum in that pool and the overall demand for spectrum with those characteristics or criteria.

[0140] Figure 9 is a diagram of an example of a spectrum pool concept. A spectrum pool may be a collection of spectrum blocks (which may be categorized or characterized in one or more of time, frequency, geography, and possibly other criteria) that may have been purchased or reserved by the SSM and that may have some similar characteristics. There are different characteristics or technical criteria that may be used to define a spectrum pool and example embodiments are described further below. For each spectrum pool, the SSM may quantify the amount of spectrum purchased (or reserved) by the SSM, and which may be currently in use by a T2U, and the amount of spectrum purchased by the SSM that may be not in use or assigned to a T2U. In order to quantify the amount of spectrum in a given pool, the SSM may make use of any or all three of the frequency, location, and time dimensions. For example, the amount of spectrum in the spectrum pool may be defined in units of Hz*m²*sec, which may represent the amount of usable bandwidth over the geographic area where that spectrum may be utilized, and the period of time when that spectrum may be available. [0141] The SSM may use the quantification of the amount of spectrum in a spectrum pool to differentiate between a spectrum pool which may be in shortage 950 and a spectrum pool which may be not in shortage 910. In an example, the SSM may set a threshold, such as, for example, a pool shortage threshold 920, 960, whereby a spectrum pool may be considered to be in shortage based on the relative amount of spectrum in that pool that may be currently available and the amount which has been assigned in the spot market. The total amount of spectrum in a pool consists of the number of units of the spectrum associated with a particular pool that the SSM has purchased for later sale in the spot market, or reserved from TlUs. The used spectrum in the pool consists of the portion or percentage of spectrum in the pool that may be currently assigned to a T2U. When the pool may be completely utilized, all of the spectrum units the SSM has purchased or reserved in that pool may be being utilized by one or more T2Us. When the pool may be completely unutilized, none of the spectrum units purchased or reserved by the SSM have been sold or assigned to T2Us (and therefore, the entirety of the spectrum pool may be available for sale to T2Us). At any given time instant, the SSM may maintain or keep track of the pool occupancy or utilization as the percentage of the pool that has been sold or assigned to a T2U.

[0142] In an example, the SSM may set a pool shortage threshold, 920,

960, in order to determine the state of a pool. If the utilization of the pool may be above a certain pool shortage threshold 960, the spectrum pool may be considered in shortage 950. If the utilization of the spectrum may be below the pool shortage threshold 920, the pool may not be considered to be in shortage 910. The pool shortage threshold may be set based on keeping a fixed amount of un-purchased or unutilized spectrum available for the spot market at any time, in which case, the threshold may also move when the amount of spectrum in the pool changes (e.g., when new spectrum may be purchased).

[0143] In an example, when a spectrum pool moves from the shortage case to the non-shortage case, or vice versa, the SSM may take action by modifying the pricing associated with the pool, or by purchasing more spectrum which may be added to the pool from TlUs. This example is discussed further below. In addition, as more spectrum may be purchased by the SSM for use in the spot market, that spectrum may be added to the appropriate pool as available spectrum (until it may be assigned by the SSM to a T2U or T3U, in which case the spectrum becomes utilized).

[0144] In a further example, since it may be assumed that spectrum may be purchased by the SSM (from a TIU) for some finite period of time, that spectrum may remain in the pool (either as assigned or available spectrum) until that finite period of time may be expired. After this finite time period, the spectrum may be removed from the pool.

[0145] The SSM may categorize spectrum into different spectrum pools which have a common technical characteristic or set of characteristics, criterion or criteria, or category or set of categories. When maintaining an appropriate amount of spectrum for the spot market, the SSM may then independently manage the separate spectrum pools, by assigning each pool a threshold value, and performing actions of changing the price and purchasing more spectrum for each pool independently. Several categories, mechanisms, characteristics or criteria may be used by the SSM to associate spectrum with a specific pool that it maintains. The spectrum may be categorized or divided into spectrum pools using one or more of the methods given below. After the spectrum pools are generated, the T2U which purchases spectrum may have the choice of purchasing spectrum from one or multiple pools of spectrum given by the categories, criteria or characteristics of each spectrum pool. Example categories, criteria or characteristics of a spectrum pool are described further below.

[0146] As an example, the SSM (or certain policies which the SSM may be following) may categorize or divide the spectrum into pools based on frequency or frequency band. The SSM may configure or use either static or dynamically determined band separation, and the spectrum may be assigned to a specific pool based on these separations. In this case, each pool of spectrum may be associated with a set of frequencies or a band, delimited by a starting and ending frequency.

[0147] As a further example, the SSM may manage spectrum in a specific area or geographic region. The SSM may divide the area which it manages into subareas or subregions and associate a spectrum pool with each of the subareas. In the way, the SSM may categorize the spectrum into spectrum pools based on geographic region or location. The division into subareas may be implemented based on division into equally sized geographic areas, or based on equalization of other criteria such as population, or number of potential customers of the SSM. The SSM may then maintain the separation of the subareas in order to properly categorize the spectrum it has available. When a TIU provides spectrum available for the spot market, the SSM may assign that spectrum into the pool associated with the subarea where the spectrum's location may be denoted. Different mechanisms by which the TIU may offer spectrum to the SSM may include the exchange and translation of the protection criteria into an amount of available spectrum. If spectrum provided by the TIU overlaps two or more areas, the SSM may address the overlap by different procedures, as described further below.

[0148] Figure 10A is a diagram of an example of splitting a TIU spectrum by geographic area. As an example, if spectrum provided by the TIU overlaps two or more geographic areas or subareas, the SSM may split the spectrum into separate pools by assigning only the spectrum units which lie in a specific geographic area or subarea with the pool associated with that subarea. For example, if TIU spectrum 1030 is split into Subarea 1 1021 and Subarea 2 1022, the SSM may assign the spectrum which lies in Subarea 1 1021 to spectrum pool 1 1011 and the spectrum which lies in Subarea 2 1022 to spectrum pool 2 1012. In an example, the spectrum made available by a TIU that overlaps two subareas defined by the SSM may never be assigned entirely to a single T2U, unless that T2U purchases spectrum from multiple pools simultaneously. For example, a single T2U may purchase spectrum from both spectrum pool 1 1011 and spectrum pool 2 1012. [0149] Figure 10B is a diagram of an example of defining a spectrum pool by majority rule. For example, the SSM may choose to arbitrarily assign the entire spectrum (all spectrum units) into a single pool, or assign it based on some majority rule. In an example using majority rule, the SSM may assign T1U spectrum to the spectrum pool which has the majority of spectrum associated with the subarea of that pool. As an example, if T1U spectrum 1060 is split into Subarea 1 1051 and Subarea 2 1052, the SSM may assign the spectrum which lies in Subarea 1 1051 and the spectrum which lies in Subarea 2 1052 to spectrum pool 2 1012.

[0150] Figure 11 is a diagram of an example of different spectrum access classes. A T1U offering spectrum may require that access to that spectrum be controlled in order to allow for that spectrum to become available or reclaimed by the T1U when required. In that case, the SSM may choose to categorize or divide the spectrum into different spectrum pools associated with different potential time usages of the spectrum that may be guaranteed to the T2U. In this way, the SSM may categorize the spectrum into spectrum pools based on spectrum access class. The spectrum access classes which the SSM may offer to the T2U (and hence the spectrum pools which the SSM may maintain) may include guaranteed availability time, TTL-based availability time and interruptible spectrum. In an example, guaranteed availability time spectrum may be spectrum which may be offered to the T2U and which the T2U may use for the entire period of time 1110 that was purchased by the T2U. In this case of purchase of spectrum from this pool by the T2U, the T2U may not require checking with the SSM for the availability of the spectrum during the entire availability time.

[0151] In a further example, TTL-based availability time spectrum may be spectrum which may be offered to the T2U for a specific available time period, but which the true availability of spectrum for use by the T2U may only be guaranteed for shorter (than the availability time) time periods referred to as the TTL. When purchasing spectrum from this pool, the T2U may check with the SSM at expiry of each TTL, for example TTL 1130, to determine whether it may use the spectrum for the TTL, or whether the TIU has temporarily reclaimed the spectrum for the TTL period. For example, the T2U may use the spectrum during the time periods 1120 before and after the time period of the use of the spectrum by the TIU 1140. The TTL-based availability time spectrum access class may further be subdivided to create additional spectrum access classes. For instance, additional pools may be created by dividing the spectrum into different ranges of the TTL. Each pool may then be associated with a range of TTL values associated with that spectrum. In addition, the probability that the spectrum may be reclaimed by the TIU (if this probability may be known and may be quantified by the TIU) may also be used to divide the TTL-based availability time spectrum access class into multiple pools associated with this class.

[0152] In a further example, interruptible spectrum may be spectrum which may be offered to the T2U and which may be interrupted (via signaling coming from the TIU through the SSM or sent to the T2U directly) at any time. Such spectrum may be available for the T2U for the entire purchase or availability time unless interrupted by the TIU which sold the spectrum. For example, the T2U may use the spectrum during time 1150 but not during the interruption time 1160, of duration t, by the TIU. The interruption may last for a defined period of time (specified by the TIU in the interruption message) or may be indefinite (may last the remaining availability time).

[0153] In a further example, any combinations of the above methods to categorize or classify spectrum into pools may be used by the SSM to create additional pools of spectrum. For instance, a single spectrum pool may consist of all interruptible spectrum which may be available in a geographic area with defined boundaries or limits. In addition, the SSM may utilize mechanisms to manage the loss of spectrum due to the interruption by a TIU, such as interruption 1140 and interruption 1160, by (for instance) assigning spectrum to the T2U from other sources. This mechanism may not, however, change the actual definition of the spectrum access class, since such mechanism may not guarantee providing a backup for the spectrum lost. [0154] The SSM may categorize or divide the spectrum based on the device class or device capabilities. For instance, a set of device classes may be determined based on the capabilities of those devices and the spectrum may be categorized or divided based on those capabilities. For instance, certain spectrum may require the devices using the spectrum to be able to sense for the presence of T1U systems, or to coexist with T1U systems which may use the spectrum intermittently. In this case, the SSM may generate a spectrum pool for devices which have this specific capability and may only allow access to this spectrum to the T2U or T3U systems which have the required capabilities. Additionally, the spectrum may be categorized or divided into pools where each pool may be associated with a specific technology or RAT. For instance, based on the nearby TlUs in the area, adjacent band restrictions, and the like, the SSM may plan the spectrum it has purchased or the spectrum available in the spot market so that each spectrum pool may be associated with an allowable RAT which may utilize the spectrum. As an example, one spectrum pool may be associated with LTE for small cell deployments, another spectrum pool may be associated with LTE for macro cells, another spectrum pool may be associated with indoor Wi-Fi, and the like.

[0155] The SSM may advertise a price for spectrum to be paid by the

T2U based on the spectrum pool. The SSM may also provide information about the spectrum pools or categories of spectrum for each pool, as well as the associated price for purchase of spectrum in each pool. This information may be provided to one or more T2Us prior to any request by the T2U to purchase spectrum. For instance, the SSM may regularly advertise the spectrum pools and pricing using a broadcast, unicast or multicast message sent to a set of T2U that subscribed for this service with the SSM. As a further example, the SSM may regularly advertise the spectrum pools and pricing using a unicast message or a multicast message. The regular advertisements may be periodic, in which case the SSM may need to restrict the change of pricing associated with any pool to the period that may be chosen for the periodic advertisements, or the broadcast, unicast or multicast may be set only at times when the price for a particular spectrum pool has been changed. Alternatively to regular broadcast, unicast or multicast messages, the T2U may obtain such information by request from the SSM. The information associated with the spectrum pool may be provided in the messaging. For instance, in the case where the SSM has categorized or divided the spectrum pools in terms of both geography and spectrum access class, an advertisement may contain different geographic areas in which spectrum may be purchased. These geographic areas may be indicated as Al, A2, A3, and the like, where each Ax may be defined by a set of vertices to distinguish the borders of the areas, and each vertex may be indicated by a GPS coordinate. An advertisement may also contain the spectrum access class of the spectrum which may be purchased. These may be indicated as constants or identifiers identifying the spectrum access class, such as GUARENTEED_AVAILABILITY_TIME, TTL_10MS, TTL_20MS,

INTERRUPTABLE, and the like.

[0156] The SSM may advertise a price with each combination of geography and spectrum access class identified using the contents of the advertisement message defined above. Alternatively, the T2U and the SSM may use a common or standardized set of spectrum pools and each pool may then be associated only with an identifier that uniquely identifies that specific pool. For example, spectrum pool 1 may be associated with spectrum in the north east U.S. coast which has the guaranteed availability time spectrum access class.

[0157] In addition, the SSM may also provide the amount of spectrum available (that may be purchased at the associated price) by a T2U. In this case, however, the SSM may need to specify how the amount may be portrayed. For example, the amount may be portrayed in one or more of frequency, area, or time. This may be implemented in terms of basic spectrum units only (MHz*m²*sec) without the SSM distinguishing any of these separately. In a further example, the spectrum may also be portrayed in further categories or criteria, such as spectrum access class, device class or RAT.

[0158] The SSM may also indicate the spectrum availability in terms of the categories or criteria, such as the three spectrum dimensions (frequency, space, and time), separately through the use of a matrix, for instance. Also, the SSM may indicate spectrum availability in terms of the further categories or criteria, such as spectrum access class, device class or RAT, separately and included in the matrix. Each entry in the matrix may represent a range of each criterion, such as frequency, geographic area, and time, and the value of the entry may represent the number of fundamental spectrum units which may be sold in the associated criterion, such as frequency, area, and time. In a further example, each entry in the matrix may also include fundamental units or indicators for further categories, such as spectrum access class, device class or RAT.

[0159] In a further example, although the entire knowledge of the spectrum pool may be provided with the matrix associated with that pool, there may be restrictions associated with the purchase of spectrum by the T2U once it may be aware of the availability of a pool and the price associated with the pool. For example, these restrictions may be that the T2U may purchase spectrum for a minimum and/or maximum defined period of time, area, or bandwidth (BW), the T2U may purchase spectrum for a contiguous period of time, contiguous area, or contiguous BW, or the discontinuities in time, frequency, and BW may be limited in number or nature, or the T2U may purchase spectrum in multiples of the fundamental units of frequency, space, or time. These restrictions may be known by both the T2Us purchasing spectrum as well as the SSM (based on some agreed-upon rules or regulatory policy). The restrictions may also be communicated by the SSM to the T2U as part of the messaging exchange.

[0160] In a further example, one or more of the following restrictions may be associated with the purchase of spectrum by the T2U. For example, these restrictions may be that the T2U must purchase spectrum for a minimum and/or maximum defined period of time, area, or BW. As a further example, these restrictions may be that the T2U must purchase spectrum for a contiguous period of time, contiguous area, or contiguous BW, or the discontinuities in time, frequency, and BW must be limited in number or nature. As another example, these restrictions may be that the T2U must purchase spectrum in multiples of the fundamental units of frequency, space, or time. These restrictions may be known by both the T2Us purchasing spectrum as well as the SSM and may also be communicated by the SSM to the T2U as part of the messaging exchange.

[0161] Figure 12 is a diagram of an example of advertisement message contents. The advertisement message may be transmitted in a broadcast message, a unicast message or a multicast message. Further, the advertisement message may be used to advertise the spectrum availability and price for the spot market at a given time. In the advertisement message example of Figure 12, the spectrum pool identifier 1211, 1221, 1231, 1241, may be given along with the price 1212, 1222, 1232, 1242 and available amount 1213, 1223, 1233, 1243 for each spectrum pool 1210, 1220, 1230, 1240. In this case, the T2U may need to be informed of the characteristics of spectrum pool 1 1210. This may be implemented either through some initial messaging that occurs during registration of the T2U with the SSM, or via some standardized and agreed-upon characteristics associated with the spectrum pool (set aside by the regulation, for example). Such standardized or agreed-upon characteristics associated with each spectrum pool may also be available in a separate database that may be accessed or referenced by the T2U before it communicates with the SSM to determine the pricing associated with the spectrum.

[0162] Figure 13 is a diagram of another example of advertisement message contents. The advertisement message example of Figure 13 shows an example of where the location and frequency range of the spectrum may be given in the advertisement message. The message example may also be easily extended to include other categories or characteristics, including the availability time, spectrum access class, device class, or RAT, although this may not be shown here. In an example, the values yl 1310, y2 1320, and the like, may correspond to the amount of spectrum available for purchase in the corresponding frequency range and area. In addition, the area identifiers (area 1 1330, area 2 1340, and the like), may be well defined areas known by both the T2U and the SSM, or they may be communicated through some initial messaging (for example, when the T2U registers with the SSM). They may also be defined in a separate database which may be accessed and referenced by the T2U before it obtains information from the SSM.

[0163] Figure 14 is a diagram illustrating an example of messaging between a T2U 1420 and an SSM 1410 for purchase of spectrum pools in the spot market. Figure 14 includes one possible embodiment of the messaging that may be exchanged between the T2U 1420 and the SSM 1410 to obtain the pricing associated with each pool of spectrum. The T2U 1420 may obtain the pricing from the SSM 1410 prior to a request for spectrum made by the T2U 1420. Figure 14 also includes an example of the actual purchase and use of the spectrum following the T2U 1420 obtaining pricing. In an example case, the T2U 1420 and the SSM 1410 may first exchange information related to spectrum pool definition, area definition, and potentially spectrum class definitions during the pool usage registration sequence. This sequence may consist of the T2U 1420 sending a Pool Use Registration Request Message 1421 (whereby the T2U 1420 may request to receive information about the spectrum pools from the SSM 1410), followed by a Registration Confirm message 1425 (whereby the SSM 1410 may send information related to the spectrum pool definition, area definition, class definition, and the like). This registration may be combined with a normal registration with the SSM 1410, or it may be a separate message. In addition, the registration may itself be a mechanism to subscribe to regular transmissions (by broadcasting, unicasting or multicasting) of the spectrum pricing from the SSM 1410, for example to receive the Periodic Advertisements in option 1 of Figure 14. In other words, the T2U 1420 may simultaneously register with the SSM 1410 and obtain information related to the pool structuring, as well as subscribe to regular transmissions (by broadcasting, unicasting or multicasting) from the SSM 1410 about the pricing associated with each pool. The subscription may also allow the T2U 1420 to receive only transmitted messages (sent by broadcasting, unicasting or multicasting) with pricing associated with the spectrum which it may be willing to use. This same subscription (and any modification of the subscription) may alternatively be performed in the spot spectrum subscription change message exchange, as shown, for example, in option 3 of Figure 14. In either example case, the T2U 1420 may supply the criteria of the spectrum that it may like to receive information about. This information may be supplied either in the Pool Usage Registration Request Message 1421 or in the Spot Spectrum Subscription Change Message 1451. The SSM 1410 may therefore transmit (by broadcasting, unicasting or multicasting) the advertisements only to the T2Us which have requested certain preferences or criteria which meet the available spectrum, and each T2U may then dynamically change these preferences using the Spot Spectrum Subscription Change Message 1451.

[0164] Once one or more T2U(s) may have registered and/or subscribed, the SSM 1410 may selectively provide the pricing information to the subset of T2U that have subscribed to the transmissions (which may include broadcasts, unicasts or multicasts) through periodic sending of the Advertisement Message. In an example shown in option 1 of Figure 14 (Periodic Advertisements), Advertisement Message 1431 and Advertisement Message 1432 may be transmitted from SSM 1410 to T2U 1420 during an Advertisement Period 1430. In another example, the SSM 1410 may provide the pricing information following a request for such information from the T2U 1420, as shown, for example, in option 2 (Request for Advertisement) of Figure 14. In this last option, the T2U 1420 may send a Spot-Spectrum Inquiry Message 1441 which may reference one of the pools that were defined by the SSM 1410 in the Registration Confirm Message 1425. The SSM 1410 may then respond to the T2U 1420 with an Advertisement Message 1442 which may indicate the price and availability of the one or more pools referenced in the inquiry 1441.

[0165] Since each T2U may require different types of spectrum, the SSM

1410 may further tailor one or more Advertisement Messages, such as Advertisement Messages 1431, 1432, based on the preferences of that T2U, in which case a transmitted message sent (by broadcast, unicast or multicast) to T2U "A" may contain pricing information related to the spectrum in one set of categories, whereas the transmitted message sent to T2U "B" may contain the pricing information related to the spectrum in an independent and potentially different set of spectrum categories. At any time, the T2U 1420 may change its preferences by changing its subscriptions. An example preference change is shown in option 3 (Advertisement Subscription/Modification) of Figure 14. The categories that the SSM 1410 may advertise to that T2U 1420 may change as a consequence of an example preference change. To do this, the T2U 1420 may send a Spot- Spectrum Subscription Change Message 1451 with the new set of preferences, and the SSM 1410 may respond with a Subscription Change Confirm Message 1452.

[0166] Once registration and subscription may be complete, and if the

T2U 1420 had decided to purchase spectrum from the SSM 1410 (after potentially inquiring about the price and availability) the T2U 1420 may purchase a portion of spectrum from the SSM 1410 using the Spot Spectrum Request Message 1470. In an example, the T2U 1420 may decide to purchase and use spectrum based on information in an advertisement message 1460. The T2U 1420 may send a Spot Spectrum Request Message 1470 which may contain a reference to the specific category or pricing which was sent in the Advertisement Message 1431, 1432, 1442, so that the advertised price may be secured by the T2U 1420. The SSM 1410 may then make the finalized portion of spectrum assignment 1480 to T2U 1420, send the assignment to the T2U 1420 in a Spot Spectrum Response Message 1491, who may then confirm its usage of the portion of spectrum through a Spot Spectrum Confirm Message 1492. Following the assignment, the SSM 1410 may flag the assigned spectrum as utilized 1495 and update the information on the available spectrum in the assigned one or more pools and potentially the pricing associated with that pool(s) 1497.

[0167] As another embodiment, the SSM may choose not to advertise any information associated with the spectrum pools that it maintains. Instead, the SSM may simply perform a spectrum assignment based on a request by a T2U in such a way as to satisfy the requirements of the spectrum request by the T2U. In this case, the pricing information related to the available spectrum per pool, price associated with each pool, and the like, may be maintained by the SSM. In a further example, the pricing information related to the available spectrum per pool, price associated with each pool, and the like, may be kept confidential by the SSM until a request is received from a T2U.

[0168] The access to the SSM may be performed in the same manner for all T2Us. For example, the SSM may use the same interface such as the advertisements and subsequent messaging for all T2Us. Alternatively, the SSM may manage each of the pools by assigning each pool its own independent database, which manages the tracking of the amount of spectrum in that pool and the pricing for that pool separately. In addition, a T2U, when accessing the SSM to obtain information from this database, may do so using independent access mechanisms, messaging, protocol, and the like. For instance, in the case where each pool may be associated with a specific RAT that may be used by the T2U, the SSM may provide different databases and access mechanisms to each database that a T2U may access. For instance, a T2U LTE system may communicate with the database associated with spectrum available for LTE systems in a completely different way than a Wi- Fi system T2U may communicate with the Wi-Fi spectrum specific database. The SSM may manage the overall addition and remove of spectrum from the databases as spectrum may be purchased or sold, but the T2U interface with each database may be database specific. [0169] Two different example mechanisms may be used for the T1U to provide spectrum to the SSM. In a first example mechanism, which may be termed the committal spectrum mechanism, the SSM may obtain spectrum for the use in the spot market by purchasing the spectrum (and commit funds or money for that spectrum) prior to any agreement to sell the spectrum to the T2Us in the spot market. In a second example mechanism, which may be termed the non-committal spectrum mechanism, the SSM may obtain the right to sell spectrum from the T1U but may only provide incentives (payment) to the T1U in the case where the SSM was able to sell this spectrum to the T2U.

[0170] The T1U may be provided the option to offer spectrum to the T2U through either the committal mechanism or the non-committal mechanism. These two mechanisms may be applied to the leftover T1U spectrum which was not sold in a periodic auction. The T1U may be given the option to offer the spectrum using either of these mechanisms, thus giving the T1U the flexibility to select between either method when offering spectrum to the spot market managed by the SSM. Example mechanisms for determining the incentive, as well as potential negotiation, are described herein.

[0171] The T1U may indicate to the SSM the desired incentive for the spectrum being sold. This may apply for both the committal and noncommittal cases. Namely, for the committal case, the desired incentive may represent what the SSM may have to pay, and this may then be negotiated with further messaging. In the non-committal case, the desired incentive may represent the desired (potentially minimum) amount for which the T1U may be willing to sell the spectrum to a T2U who may try to purchase it in the spot market. This means that the SSM may need to set the price for such spectrum to at least this desired incentive. In the committal spectrum case, the exchange of spectrum and incentives between the T1U and the SSM may be implemented at the same time (i.e., when the SSM may agree to buy the spectrum at the requested incentive price). In this case, the SSM may pay the incentive at the moment when the agreement may be made and the SSM may get access to the spectrum which it may add to one or more spectrum pools managed by the SSM. Alternatively, the payment may be made at some later time that may be agreed upon between the TIU and the SSM. However, that payment (amount and conditions) may be not dependent on what happens to the spectrum once it has been purchased by the SSM. The amount to be paid may be therefore determined at the time in which the SSM agrees to purchase the spectrum from the TIU.

[0172] The committal spectrum mechanism may impose some financial risk to the SSM, since the SSM may pay some incentive for the spectrum before it may be able to itself sell it to a T2U. To avoid this risk, the SSM may purchase spectrum under the non-committal mechanism. In the noncommittal mechanism, the SSM may obtain the right to sell the spectrum from the TIU. If and when the SSM may be able to sell the spectrum to a T2U, it may then pay an incentive to the TIU for the portion of the spectrum that it was able to sell. The incentive to be paid to the TIU by the SSM may be fixed and determined at the time in which the non-committal agreement was made between the SSM and the TIU and may be based on the requested incentive from the TIU. The SSM may be then free to sell the spectrum at any price above the required incentive price that it chooses with no risk, as an incentive may be paid to the T2U only in the case where the spectrum may be sold. In addition, the SSM may pay an incentive only on the portion of spectrum that was eventually sold. For instance, if the SSM has access and rights to sell the spectrum from tl to t3, but sells only the spectrum from t2 to t3 (where tl < t2 < t3), the SSM may pay only the incentive associated with the spectrum from t2 to t3. There may, however, be some small fixed incentive associated with the ability of the SSM to obtain the rights to sell spectrum in the non-committal mechanism. Such small fixed incentive may be set by the SSM itself, and may be a factor which differentiates the services of one SSM and another. The small, fixed incentive that the SSM may be willing to pay may be advertised by the SSM and may be known by the TIU before it agrees to offer spectrum to the SSM using the non-committal mechanism. Such an incentive may have an advantage; for instance, in the case where unsold spectrum may be used by the SSM to satisfy T3U, and therefore may only be offered for this specific case.

[0173] Figure 15 is a diagram of an example of messaging between an

SSM and a TIU in a committal procedure. Figure 15 shows a committal procedure 1500 summarizing an example of messaging that may be associated the committal mechanisms between a TIU 1505 and an SSM 1510. Figure 15 includes messages that may be associated with both the committal and the non-committal mechanisms. As shown in Figure 15, the TIU 1505 may choose whether to make the spectrum to be sold available through the committal mechanism. In addition, the TIU 1505 may divide the spectrum it makes available to the spot market and offer a portion through the committal and a portion through the non-committal mechanism. In this case, it may indicate which portion it makes available through each mechanism, or it may make two separate requests via the SSM 1510 (one for committal and the other for non-committal).

[0174] The TIU 1505 may send a Spectrum Market Information

Request message 1515 to the SSM 1510 requesting information about the options it may have to sell spectrum through the SSM 1510. This Spectrum Market Information Request message 1515 may be sent by the TIU 1505 at any time and may only need to be sent once. In another example, the information obtained in response to this Spectrum Market Information Request message 1515 may be learned by the TIU 1505 through other means. For example, the TIU 1505 may learn this information by a transmission (such as a broadcast, multicast or unicast) by the SSM 1510, or stored in a database accessible by all TlUs.

[0175] The SSM 1510 may provide information of the spectrum market to the TIU 1505 through a Spectrum Market Information Response message 1520. This Spectrum Market Information Response message 1520 may contain an indication of whether auctions or spot market or both are supported and the information that may be required of the TIU 1505 in either of these, a policy for spectrum unsold in the spot market (for example, may it be used by T3U automatically, returned to the TIU 1505, or whether the TIU 1505 has the choice), or an minimum incentive payment for unsold spectrum used by T3U.

[0176] The TIU 1505 may decide to make spectrum available for the spot market by sending a Spot Market Spectrum Offer message 1525. This Spot Market Spectrum Offer message 1525 may contain the precise spectrum being offered, or the protection criteria of the TIU 1505, in the form of either maximum power at a specific location, a location of TIU equipment to be protected, and the like. This information may be intended to ensure that the TIU system may be protected from harmful interference by the eventual T2Us which may use the spectrum that may be being offered for use. This Spot Market Spectrum Offer message 1525 may also contain the requested incentive for the spectrum (either in money per unit spectrum, or for the entire spectrum chunk being made available), or the required or potential mechanisms for the TIU 1505 to reclaim the spectrum.

[0177] The SSM 1510 may send a Spot Market Spectrum Response message 1530 to the TIU 1505 indicating whether or not it may commit to buying the spectrum at the requested incentive. Negotiation may be also possible, in which the SSM 1510 may include a counter-offer within the Spot Market Spectrum Response message 1530, to which the TIU 1505 may potentially make a follow-up spot market spectrum offer taking into account this response.

[0178] Either immediately following a positive response by the SSM

1510 sending a Spot Market Spectrum Response message 1530, the SSM 1510 may make a payment to the TIU 1505 in the amount of the requested incentive and takes control of the spectrum. The payment may be made through some automated credit mechanism (for example, an online or secured account) 1535, in which the account information may be provided as part of some initial registration by the TIU 1505 to the SSM 1510 (not shown) or potentially as an add-on to the Spectrum Market Information Request message 1515.

[0179] Figure 16 is a diagram of an example of messaging between an

SSM and a TIU in a non-committal procedure. As an example, in the noncommittal procedure 1600 described below, the same messages 1515, 1520, 1525 and 1530 of the committal procedure 1500 may be used. In addition, the SSM 1510 may add the spectrum to the spot market pool(s) 1605. The SSM 1510 may then send a Spot Market Spectrum Result message 1610 to the TIU 1505. The Spot Market Spectrum Result message 1610 may indicate one of three outcomes: a) the spectrum was sold in the spot market by the SSM 1510, and the SSM 1510 may provide a payment of the requested incentive 1615; b) The spectrum was not sold and given to T3U, in which case, the SSM 1510 may indicate in message 1520 that the minimum incentive may be paid to the TIU 1505 1615; or c) the spectrum was not sold in the spot market and may be potentially returned to the TIU 1505, in which case no payment may be made.

[0180] As an alternative to the messaging described in the noncommittal procedure 1600, the value of the incentive paid to the TIU may not be determined initially at the time in which the rights to sell the spectrum have been given to the SSM, but rather at the actual time in which the SSM sells the spectrum to the T2U. This allows the SSM to set the incentive (and consequently the price) in such a way that it may be matched to some extent to the demand. The TIU in this case may also provide a range of price within which the SSM may remain when it decides to sell the spectrum. The SSM then may have full flexibility on the price in which it sells the spectrum to the T2Us in the spot market. To ensure a fair value for the incentive provided by the SSM in this case, the regulator may impose a report of the sold spectrum and limit the percentage profit that may be kept by the SSM and the percentage of the sale price which may be transferred to the TIU as incentive. In this case, the regulator may be able to ensure that, regardless of the price in which the SSM has decided to sell the spectrum, that this actual sale price may be reflected accurately into an incentive while ensuring some profits for the SSM for providing its services.

[0181] In one embodiment, the SSM may determine and set the price charged to the T2Us which purchase spectrum. In this case, the SSM may use knowledge of the amount of spectrum requested and purchased in the past (history) as well as the current usage of spectrum in each pool (pool shortage condition) to determine the price of the spectrum associated with each spectrum pool as well as the amount of spectrum the SSM may purchase or obtain from the TlUs for each pool. As a result, the SSM may follow specific rules to change the price of spectrum associated with each pool dynamically, and may also use rules to decide whether or not to purchase more spectrum at a given time from a T1U. In an example, the SSM may obtain spectrum for sale in the spot market by purchasing that spectrum from the T1U, such as in the committal procedure.

[0182] Figure 17 is a diagram of an example of a high-level information flow of a spot market. The example information flow 1700 illustrates messaging which may trigger the SSM algorithm for pricing and purchasing. The market may consist of two processes: 1) the process of spectrum purchase from T1U, and 2) the process of spectrum purchase by T2U. Each of these processes may occur purely asynchronously to each other and at any time. Also, these processes may be triggered by the T1U and the T2U respectively.

[0183] In the process of spectrum purchase 1730 from the T1U 1705, the

T1U 1705 may send a Spot Market Spectrum Offer message 1731 to the SSM 1710. The Spot Market Spectrum Offer message 1731 may indicate the desire by the T1U 1705 to sell spectrum to the spot market, and may therefore indicate a desired price (or incentive) associated with the sale. The SSM 1710 may send a Spot Market Spectrum Response message 1732 which may accept or decline the sale offer. In this way, the SSM may either purchase the spectrum or not.

[0184] Alternatively, the SSM 1710 may decide to change the conditions of the spectrum purchased through a counter offer sent in the Spot Market Spectrum Response message 1734 sent in response to a Spot Market Spectrum Offer message 1733. The counter offer 1734 may propose a different (typically lower) incentive price to be paid to the T1U 1705. The counter offer 1734 may also indicate the desire by the SSM 1710 to purchase only a portion of the spectrum being offered by the T1U 1705. Finally, the counter offer 1734 may propose both an alternate price and amount of spectrum to be purchased. In this case, the T1U 1705 may accept or decline the counter offer. Alternatively, the T1U 1705 may further propose a new spectrum sale request based on the counter offer by modifying the price or spectrum amount proposed in the counter offer. Such a proposal may be sent in a new Spot Market Spectrum Offer message 1735. Each of these options may be realized by having the Spot Market Spectrum Response message 1734 contain the counter offer, and having the response to this counter offer sent by the T1U 1705 through another Spot Market Spectrum Offer message 1735. The messaging shown may be repeated until the SSM 1710 sends the accept message, for example, in a Spot Market Response message 1736, to the T1U 1705 or the T1U 1705 stops sending Spot Market Spectrum Offer messages. If the sale may be accepted, the SSM 1710 may purchase the spectrum and add it to the spectrum pool.

[0185] In the process of spectrum purchase 1740 by the T2U 1720, the

T2U 1720 may make a Spectrum Request message 1742 for spectrum in the spot market. It may be assumed that the T2U 1720 has immediate need for this spectrum, as may be the premise for the spot market described in the introduction.

[0186] The Spectrum Request message 1742 may contain an indication of the location where the spectrum may be required, the duration of the spectrum needs, and any potential restrictions on frequency or band. For example, the Spectrum Request message 1742 may contain an indication of use of adjacent channels only, excluded frequency ranges, and the like.

[0187] The Spectrum Request message 1742 may contain protection criteria for the T2U 1720 that may be requested. Such protection criteria may be specified along the with the desired spectrum location. In addition, multiple acceptable options for the protection criteria may also be provided by the T2U 1720 to allow the SSM 1710 further flexibility in making the spectrum assignment.

[0188] In an example, the Spectrum Request message 1742 may contain parameters or information concerning the capabilities of the network and devices which may be using the spectrum, such as coexistence capability, delay for channel/network reconfiguration, ability for reconfiguration to change channel/spectrum, and the like. It may be also possible that the T2U 1720 has already obtained information about the spectrum availability and cost through the Advertisement Message 1431, 1432, 1442. In this case, the T2U 1720 may request spectrum using a direct reference to the information in this Advertisement Message 1431, 1432, 1442, for example, select spectrum in a specific pool, and along with this, it may send additional specific information such as the protection criteria.

[0189] The SSM 1710 may make a spectrum assignment through the

Spectrum Response message 1744. The Spectrum Response message 1744 may contain one or more selected and proposed spectrum assignments, which may contain the protection criteria which may be offered (containing, for example, a single geographic area specification with associated quality measure), the price associated for the selected spectrum assignment, the conditions for use of the spectrum (for example, evacuation, coexistence, and the like) and/or terms of agreement (for example, refund policies).

[0190] The T2U 1720 may then accept the assignment, or choose to use a limited amount of spectrum by sending a Spectrum Usage Confirmation message 1746. If the T2U 1720 may not be aware of the price associated with spectrum at the time of the Spectrum Request, it may also use the Spectrum Usage Confirmation message to reject the spectrum assignment altogether. If the spectrum assignment may be accepted by the T2U 1720, the SSM 1710 then may modify the information related to the utilization in the spectrum pools associated with the spectrum that was just assigned. In other words, spectrum which was previously available in one or more pools may be now flagged as utilized 1795 by the SSM 1710 in order for the price determination and purchasing algorithm to take effect.

[0191] In an example spot market model, the SSM 1710 may be responsible for setting the price of spectrum in each of the pools as well as determining how much spectrum to be purchased from the TlUs which may make a spectrum sale request at a given time. In doing so, the SSM 1710 may ensure that it may satisfy the expected amount of spectrum requests, and do so in such a way that it makes a profit on the sale of spectrum in the spot market. Because spectrum sale requests and spectrum purchases may come asynchronously to the SSM 1710, the SSM 1710 may decide how much spectrum to purchase from the T1U 1705 and at what price to make such a purchase in such a way that it may obtain a profit overall.

[0192] In an example, to determine the price and amount of spectrum, the SSM may use historical information on which to base its decisions to purchase spectrum from the T1U (and the price at which it may purchase the spectrum at) as well the price it may sell the spectrum for. The SSM may use several different algorithms or procedures to use historical information in its decisions to purchase spectrum.

[0193] Figure 18 is a flow diagram of an example SSM procedure upon receipt of a spectrum sale request from a T1U. An example spectrum purchase procedure 1810 may begin and the T1U may send a request to the SSM to sell spectrum to the spot market 1820. As mentioned earlier, such a request may be accepted (the SSM decides to purchase the spectrum) or rejected (the SSM decides not to purchase the spectrum) by the SSM. The SSM may first check to see whether the spectrum may be used to fill a pool that may be currently tagged low 1830. For example, the SSM may check to determine whether a pool may be in the shortage condition. In doing so, the SSM may compare the technical characteristics of the spectrum being offered by the T1U with the technical characteristics of any of the pools which are in shortage. For instance, for a pool defined in terms of geography only, the SSM may check if the location of the offered spectrum matches the location of the pool in shortage, or if the offered spectrum may be partitioned so that a portion of the spectrum may be purchased by the SSM and used to satisfy the portion which may be in shortage.

[0194] Figure 19 is a diagram of an example of a time varying condition of spectrum shortage. The determination of shortage of a specific spectrum pool may also consider the time dimension, along with the pool characteristics. For example, as shown in Figure 19, a spectrum pool may be in a shortage condition starting immediately and for the next time period Tl, but following Tl, the shortage may no longer exist because a T2U may stop utilizing the spectrum in the SSM's pool and return it to the SSM 1920. In an example, if the spectrum in a spectrum pool used by the T2U exceeds a Spectrum Shortage Threshold, 1910, 1930, the spectrum may be in shortage. Conversely, a specific pool may currently not be in shortage for the remaining Tl period, but following Tl, may be in shortage due to the need to return some available spectrum back to the T1U which initially owned the spectrum 1940. These two cases are shown in the figure below. In order to account for this time-varying definition of shortage, the SSM may define distinct time periods whereby the condition of shortage may be measured. In this case, its decisions to purchase spectrum for a pool in shortage may further depend on the time period in which the spectrum may be in shortage. As a result, the SSM may decide to purchase only a portion of the spectrum offered by the T1U that satisfies the shortage during the time period where this shortage may be expected.

[0195] During the partitioning or assignment, the SSM may also use the information about the spectrum that may be provided by the T1U in order to quantify the amount of spectrum that may be gained. For example, the protection criteria defined by the T1U may determine the geographic area, frequency band, and time where the spectrum may be used. Using the protection criteria, the SSM may quantify the spectrum.

[0196] Referring back to Figure 18, in an example, the SSM may determine not to purchase spectrum 1840. In a further example, once the SSM has determined that the offered spectrum or a portion of the offered spectrum may be used to satisfy a spectrum pool which may be in shortage 1850, the SSM then determines whether to purchase the spectrum by determining the history of spectrum purchases by T2Us spectrum in that same pool 1855. The history may give some specific indication of the price that spectrum in that specific spectrum pool has typically sold for in the past. The history information may consist of an average price for spectrum sales to T2U during a finite period of time in the past. In addition, this average price may be computed over a grouping of sales which have defined characteristics which may affect the demand for spectrum.

[0197] For example, the average price for spectrum in the history accessed by the SSM may be computed over spectrum sales differentiated with spectrum in the same spectrum pool as the current pool that may be being considered by the SSM, an average price for spectrum obtained during a specific time of the day, period of the month, year, or during defined special events or periods, and/or spectrum in a given frequency band or geographical location.

[0198] The SSM may then compare the asking price to the average price

1860. If the asking price is not above the average price, the SSM may purchase spectrum at the asking price 1865. If the asking price is above the average price, the SSM may counter-offer with a price of the average price plus a margin 1870. The TIU may not accept the counter-offer 1880, in which case the procedure may end without a spectrum purchase 1885. The TIU may accept the counter-offer 1880, and the SSM may purchase spectrum 1890. The SSM may then end the spectrum purchase procedure 1895.

[0199] Figure 20 is a flow diagram of an example of SSM logic during a spectrum request from a T2U. An example spectrum request procedure 2010 may begin and, the T2U may make a spectrum request from the SSM for a certain amount of spot spectrum 2020. The request may define the characteristics of the spectrum required using the parameters, categories and/or criteria associated with the request which were detailed previously. For example, the request may include criteria concerning bandwidth needs, QoS needs, geography, technology (such as, for example, RAT, power, supported band, and the like), spectrum precluded and spectrum class. The spectrum class may include, for example, guaranteed availability time, TTL-based availability time with probability of spectrum reclamation, interruption susceptible spectrum, and the like. Each spectrum class may be associated with parameters by the SSM, including TTL length, availability time, probability of interruption, and the like. When receiving the request 2020, the SSM may determine if spectrum is available from the required pool 2030 and may first map the request to one or more pools which separately or jointly address the request. The SSM may determine the availability of potential spectrum that gives the closest match 2035. Alternatively, this mapping may be implemented directly by the T2U making the request for spectrum, as that request may be made directly for spectrum in a specific spectrum pool that may be advertised by the SSM. In either case, the SSM may first check whether the assignment of spectrum may result in a shortage of spectrum in the resulting pool 2040. If this may be the case, the SSM may set a shortage flag which may be used to update the price of spectrum for that specific pool if the sale were to take place 2045. The SSM then provides the spectrum assignment and overall price to the T2U 2050, which may accept or reject the assignment 2060, based on the provided price (or indicate the actual amount of utilized spectrum or actual usage parameters). In an example case where the price was already known to the T2U through advertisement, such as, for example, Advertisement Message 1431, 1432, 1441, the T2U may simply refine the actual spectrum usage in the spectrum usage confirmation. For example, the T2U may indicate that it may utilize a limited amount of spectrum. In a further example case where the price was already known to the T2U through advertisement, such as, for example, Advertisement Message 1431, 1432, 1441, the T2U may simply confirm spectrum usage in the spectrum usage confirmation. In another example case where the price was already known to the T2U through advertisement, such as, for example, Advertisement Message 1431, 1432, 1441, the spectrum usage confirmation may be skipped.

[0200] If the spectrum shortage flag was set 2070 and the sale was confirmed, the SSM may have already increased the pool price as part of the sale 2075, or it may choose to increase the price only in the case of the spectrum pool in the future. It may therefore select some increment in the price to be applied, and increase the pool price by that increment. The size of the increment may be based on the severity of the shortage. For instance, if the purchase made was for a very large portion of spectrum in the same pool, thereby leaving a very small amount of spectrum left that may be available for purchase, the increment may be larger than in the case where only a small amount of spectrum was purchased. The SSM may update demand history and execute a procedure to determine pool size 2077. The SSM may then make the spectrum assignment 2080 and end the spectrum request procedure 2090.

[0201] The SSM may interact with a history database (either internal or external to the SSM) to obtain the average price of spectrum. When accessing the database, the SSM may provide the current characteristics of the spectrum, which may include the characteristics associated with the spectrum pool (geography, access class, and the like), as well as other characteristics of the spectrum provided by the T1U such as the availability time, usage restrictions (such as maximum usable transmit power). The history database may use this information, and storage of the past spectrum exchanges of similar spectrum between the SSM and T2Us to generate a prediction of the price that may be obtained by the SSM. In addition, the history database may utilize specific information about the environment in which the spectrum may be available. For instance, it may consider the specific period of the day in which the spectrum may be available, whether there may be currently an event which may affect the predicted demand for spectrum at the time in which the T1U may be making the spectrum available, and the like. The output of the database may be an overall average price for unit of spectrum (or a price range) which historical data and additional factors may predict that the spectrum may be sold at. This may be given as the "average price" and may be the average price 1860 used in the example spectrum purchase procedure.

[0202] If the average price may be higher than the asking price 1860, the SSM has interest in purchasing the spectrum, as it should be able to sell the spectrum at that price (especially given there may be a shortage in the spectrum pool). In that case, the spectrum may be purchased. If the asking price from the TIU may be too high, on the other hand, the SSM may make a counter offer to the TIU which may be slightly above the average price (by a certain margin). The margin in this case may be positive or negative, depending on the policies of the SSM, its current economic situation, or regulatory policies.

[0203] The SSM may, in addition to taking steps to modify the pricing of spectrum in reaction to requests for spectrum, make use of the history information to determine the total amount of spectrum to be maintained in each spectrum pool. For instance, on one day in which the demand for spectrum may be larger and there are more T2Us willing to pay a higher price for spectrum, the SSM may increase the total amount of spectrum it may target to have in a given pool compared to a day where the demand may be lower. For instance, the SSM may periodically check the history database to get an indication of the average demand of spectrum for a future period of time. Based on this historical information, the SSM may change its decision criteria for purchasing spectrum from a TIU. In this case, the criteria for determining whether to purchase spectrum offered by the TIU may deal more with the difference between the current amount of spectrum in the pool and the future expected demands for spectrum based on history. In order to do this, the SSM may periodically monitor the current size of the pool and the historical demand for spectrum from the history database. If there may be a change in the historical demand for spectrum that may be expected in the near future (for example, a day where a special event may be approaching which may have similar demand as a special event that occurred in the past), the SSM may start to purchase more spectrum to keep a larger spectrum pool in preparation of this event.

[0204] Finally, the SSM may also provide the spectrum purchased and the price at which it was purchased for to the history database to enable the history database to update its history for future predictions of the average price. In an example, the information flows of Figures 18-20 may all apply to this method of gaining information for the decision of purchasing spectrum from the SSM.

[0205] As an additional alternative to using history to determine the pricing for spectrum, the T2Us may themselves provide some information of usage or rough expected usage to the SSM. For instance, the set of T2Us which are registered to the SSM may provide the SSM with some spectrum usage and spectrum needs information. The spectrum usage and spectrum needs information may consist of past and present congestion reports of a network, including the geographical information where such congestion took place, overall network layout (showing the location of BSs, for example), along with number of subscribed users and/or any knowledge of future changes in network layout. For example, if an operator may install a set of Wi-Fi access points in a specific area in the near future, such information may be included in the spectrum usage and spectrum needs information. The spectrum usage and spectrum needs information may also consist of peak and average spectrum demands of a network, of each BS, or of a set of devices in a specific geographic location.

[0206] The spectrum usage and spectrum need information may be sent by the T2U and/or T3Us in regular or periodic messaging. It may also be sent at a single time (upon registration) and updates to this may only be sent by the T2Us when there has been some change, or when the T2U may be requested for an update of this information by the SSM.

[0207] In order to provide an incentive to the T2U and T3Us to send such information to the SSM, the SSM may provide them with some credit, or reduction in cost of spectrum. Also, this credit or reduction may be based on the amount of information provided. For example, the more information provided by a T2U, the higher the credit that may be given to the T2U which provides it.

[0208] When the SSM determines the price to be paid by a T2U for spectrum in the spot market heuristically (either using cumulated history information, a history database, or spectrum usage and spectrum needs information), there may be always a risk that the SSM may set the price in a greedy or unfair way. Such situation should be avoided, as it may lead to having spectrum not utilized as efficiently, or for users to pay unfairly high prices due to the SSM taking advantage and artificially inflating the price. Regulation may be put in place in order to avoid that such a situation arises. Below, two options are presented for how this may be achieved through regulation.

[0209] In an example, the regulator may fix an absolute maximum price per unit spectrum (time, frequency, and space), and the SSM may set the price for any pool (i.e., the spot price) below this maximum. This maximum price may be the same for all spectrum pools, or, it may be specific to each pool of spectrum. In that case, the SSM may communicate with the regulator to indicate the pools it may be maintaining, and the technical characteristics of each of these pools. The regulator may then respond to this with a maximum price per unit spectrum for each of these pools. This communication may be implemented on a regular basis, or may be requested occasionally by the regulator.

[0210] Figure 21 is a diagram of an example of a regulator-imposed maximum price for spectrum. In an example, the regulator may impose a fixed difference between the spot price (determined by the SSM for each pool) and the largest, smallest, or average incentive for spectrum paid to a T1U that provided spectrum in that pool. The regulator-imposed maximum difference between the current price and the maximum incentive price may be $3. The regulator-imposed maximum difference may be communicated by the regulator to the SSM (through fixed policies or potentially more dynamic messaging). For example, at Time TO the spot market may have no shortage 2110. Certain T1U spectrum may then be no longer available for usage at Time Tl 2120. The maximum price may be regulated at $8 at Time Tl 2120, because $5 was the largest incentive for spectrum paid to a T1U 2125 and $3 is the regulator-imposed maximum difference.

[0211] In an alternate embodiment, the price of spectrum that the SSM may charge may be fixed or determined based on some regulation. This fixed price may be generic to all spectrum. It may also be a fixed price which may be applicable to a specific spectrum pool. For instance, a regulator may fix a different spectrum price for spectrum depending on its characteristics (for example, location, access type, and the like), in which case the spectrum pools have been implicitly created by the regulator.

[0212] The information flows in Figure 17 may be still applicable to the case of fixed regulator-determined pricing, except that the spectrum request/response communication may not include any pricing information. Instead, the T2U may a-priori be aware of the price it may need to pay for spectrum prior to the spectrum request.

[0213] In the case of fixed price spectrum, the SSM may only determine the amount of spectrum it needs to purchase to satisfy the spot requests in the near future, as well as the offers for spectrum that it may accept from the TlUs. In this case, the SSM may use history (for example, through the history database) to determine the amount of spectrum to purchase in order to maintain its pool in a non- shortage condition and may be able to address spot spectrum requests which may instantaneously exceed the expected average spectrum use. At periodic intervals, or at the event of a spectrum offer by a T1U, the SSM may compare the amount of spectrum in a pool with the expected amount of spectrum that may be requested by T2Us for that type of spectrum in order to determine the spectrum shortage and non- shortage conditions. In the case where a shortage condition exists, the SSM may purchase spectrum as long as the price may be some amount below the fixed or determined price. That amount may depend on the amount of profit the SSM may attempt to make, and other policies that may drive the SSM decision such as the amount of spectrum it wants to manage at a given time.

[0214] In the non-committal mechanism, the SSM need not purchase spectrum from the T1U. Instead, it only obtains the rights to sell the spectrum in the spot market and if the spectrum (or a portion of the spectrum) may be sold, the SSM then may pay the T1U the incentive that was agreed on.

[0215] In this case, the SSM may agree to an incentive with the T1U. If the SSM may be able to sell the spectrum, it may need to pay this agreed on incentive to the T1U. If the spectrum may be not sold, then no incentive may be paid to the T1U or potentially a minimum incentive may be paid if the spectrum may be used by T3Us, as may be described in the corresponding section herein. Due to this, the SSM may ensure that the spot market price for spectrum may be always larger than or equal to the agreed-on incentive with the T1U. If the spot market spectrum sold consists of a combination of spectrum from multiple TlUs, the SSM may ensure that the total price for the combination may be larger than or equal to the total incentive. In addition, in the non-committal case, the SSM may typically always accept a spectrum sale offer from a T1U, since there may be no risk involved.

[0216] In an example, the SSM may set the spot price at an increment x larger than the agreed-on incentive with the T1U. The increment x may represent an increment in the price per unit spectrum over the agreed-on incentive per unit spectrum, for example. The value of x may be a fixed increment determined by the regulator, or determined by the SSM. For instance, when determined by the SSM, the value of x may be some increment which allows the SSM to cover management fees, operation costs, and the like, as well as maintain some type of profit while remaining competitive with the increments which may be charged by competing SSMs.

[0217] As another example, the SSM may determine the increment x through a heuristic mechanism. For instance, the SSM may maintain a history of the demand for spectrum (from T2Us) in a given pool and the average price sold. Such history may also include the successful spectrum requests (for example, spectrum requests where the responses made by the SSM were accepted in the confirmation) as well as the number of unsuccessful spectrum requests (for example, spectrum requests where the spectrum confirmation from the T2U indicated that it may not utilize the spectrum based on the price). The SSM may then use this history information to dynamically adjust the spot spectrum price. In addition, the SSM may use information in a history database, or information obtained directly from registered T2Us (Spectrum Usage and Spectrum Needs Information). If any of the heuristic mechanisms dictate a price which may be below the required incentive, the SSM may set the spot price for that spectrum to exactly the desired incentive.

[0218] As yet another embodiment for the non-committal case, the SSM may pay the TIU an incentive which may be larger than the agreed-on incentive in the case where the SSM may be able to sell the spectrum at a spot market price which may be larger than the agreed-on incentive.

[0219] Figure 22 is a diagram of an example SSM logic for a noncommittal case with an additional incentive. The SSM may receive spectrum from the TIU 2210 which it adds to the spectrum pool 2220 and for which the spot market price for that spectrum (for example, as a price per unit spectrum) may be set to some increment above the desired incentive 2230. This increment may be shown as incrementl, and may be determined by any of the mechanisms described above (for example, fixed or heuristic). If incrementl > 0 (i.e., the spot price may be larger than the desired incentive), the SSM may determine an increment2 <= incrementl in which it may pay to the TIU as additional incentive. The purpose of this additional incentive may be to motivate the TIU to choose the non-committal option over the committal option for offering spectrum to the SSM. The relative difference between incrementl and increment2 may correspond to the current amount of risk that the SSM may be currently undertaking through committal sales offers by TlUs. For instance, if at a specific time, the ratio of committal requests to non-committal requests may be high and the SSM has potentially lost money from the spot market, the ratio of increment2 to incrementl may be increased to incentivize the TIU to move to the non-committal option at a given time. The current value of increment2 (or the ratio of increment2 to incrementl) may also be provided to the TIU through messaging or information about the spot market so that the TIU may be aware of this information (e.g., see the Spectrum Market Information Response message 1520 in Figure 16).

[0220] In an example, if the spectrum is not sold on the spot market

2240, then a payment to the TIU may be nothing or may be the minimal incentive 2260. If the spectrum is sold on the spot market 2240, the spot market price may be compared to the desired incentive 2250. If the spot market price is less than the desired incentive, the payment to the TIU may be the desired incentive 2270. If the spot market price is greater than the desired incentive, the payment to the TIU may be the desired incentive and increment2 2280.

[0221] In a further example, the SSM may use the non-committal option as a mechanism to obtain a sufficient amount of history to ensure a lower risk algorithm for the committal option. In other words, when the SSM first start operation, or for spectrum in a newly formed spectrum pool, the SSM may reject requests to sell in the committal option from the TIU and accept only those for the non-committal case. Once the history information has been built up to a sufficient amount through the sale information made in the noncommittal case, the SSM may the start to accept spectrum offers for the committal mechanism.

[0222] The valuation of spectrum reflected in spectrum prices may help to promote both economic and technical efficiency in the use of radio resources. Two example methods to evaluate the price of spectrum include market-based prices and administered incentive pricing.

[0223] Market-based pricing may emerge through an authentic market transaction such as an auction or secondary trading, such as by determining the balance between supply and demand. Market-based pricing may also be set based on the economical behavior of users when using resources to maximizing efficiency and profit may be another method.

[0224] Administered incentive prices may occur when the spectrum regulator attempts to approximate the prices (often flat rate charges) that may emerge in a market context. Prices may be set by the regulator reflecting the opportunity cost of spectrum while incorporating potential "incentive" properties. Thus, prices may be set at a level to encourage efficient use reflecting spectrum scarcity.

[0225] An important issue may arise when the regulator uses both administrative and market-based systems for different spectrum pools, which may be the issue of price adjustment and alignment. For example, a regulator may need to consider how spectrum prices should be adjusted in adjacent bands when auctions take place indicating a rise in the opportunity cost of spectrum. Example factors for spectrum pricing in pools based on some rules are described herein.

[0226] As an alternative to an SSM-determined algorithm for setting the price, the price paid by T2Us for spectrum may be fixed or deterministic and based on certain criteria. Such a fixed price, and the determining criteria, may be set by the regulator. It may also be determined by the SSM itself, and made public by the SSM so that T2Us are aware of the pricing rules and the specific criteria that affect those rules. Such a fixed price may therefore drive the incentive that may be paid out to TlUs which offer spectrum to the SSM.

[0227] A specific spectrum amount or spectrum block may have a certain fixed base price which may be set by the regulator and may apply for a very large area or for the entire region managed by that specific regulator. In addition, the actual price may be increased or decreased relative to the base price based on the factors described below. One or more (in combination) of these factors may be used by the SSM in determining the final fixed price of spectrum.

[0228] In example cases, the information related to the factors described below and their pricing may be made available by the SSM to the T2U. In this case, the advertisement message, such as the Advertisement Message 1431, 1432, 1442, may be used for this purpose. The same information may be made available to the T1U, who may be selling the spectrum and may need to know what the regulatory rules, through the spot market information request/response message sequence, such as the Spot Market Spectrum Offer message 1731, 1733, 1735 and Spot Market Spectrum Response message 1732, 1734, 1736.

[0229] The SSM may provision and offer a portion of spectrum with a certain level of interference from other users (T1U, T2U, and T3Us) in nearby geographic areas or in the same area and operating in adjacent bands or channels. The interference level may be measured in terms of estimated interference level in dBm at any location in the area of spectrum purchased by the T2U (coming from nearby systems as well as systems operating in the adjacent channels). The price per unit of spectrum may increase based on how low the maximum guaranteed interference level is. The base price (set by the regulator, for example), may correspond to a specific interference level, or it may be associated with no guarantee at all on the interference level. The price may then be increased by a certain amount for every additional x dBm decrease in the maximum guaranteed interference level. This increase (per unit dBm) itself may be determined by the regulator or may be determined by the SSM. It may be advertised to the T2U (as well as potentially the T1U) by either the regulator or the SSM, as the case may be.

[0230] In purchasing spectrum from the T1U or reserving the rights to sell spectrum on behalf of the T1U, as the case may be, the SSM may create different assignments of spectrum which have a different maximum interference level or spectrum leakage level and have these spectrum assignments readily available for purchase in the spot market when a request may be received. These pre-defined assignments may themselves be based on T2U preferences which may be provided to the SSM at registration or at the time of subscription to the spot market. They may also be based on history of past spectrum requests made by the T2U. In other words, the SSM may keep track of spectrum requests made in the past by a T2U, and using this information, it may create pre-defined assignments which it may make available in the case that T2U may make a request for spectrum. Alternatively, the SSM may create such spectrum assignments based only on the requests it receives from T2Us. In the case sufficient spectrum may be not available for satisfying a specific spot request, the SSM may not provide any spectrum to the T2U, or may offer the next best spectrum (in terms of maximum allowable interference) to the T2U instead.

[0231] The price of spectrum may increase based on the spectrum access class associated with that spectrum. For example, the base price may be associated with the interruptible spectrum access class. The price may then be increased by a certain amount as movement towards a spectrum access class with a better QoA occurs. For TTL-based access class, the price may be increased linearly or as a function of the TTL. The increase in price per unit of TTL may be fixed or may be changed dynamically by the regulator or the SSM, and knowledge of this change may be available to the T2U through, for example, the advertisement message.

[0232] The price of spectrum may be increased based on the location in which the spectrum may be being assigned. The region managed by the SSM or overseen by the regulator may be divided into zones, where each zone may correspond to an extra premium or increase relative to the base price of spectrum determined by the regulator. This extra premium may be paid on a unit-by-unit basis, so that a purchase of spectrum by a T2U that spans areas which have different premiums attached to it may be priced based on the total premium per unit.

[0233] The SSM may be allowed or required to increase the price of spectrum based on the technical characteristics of the T2U devices. For instance, as the ACLR of a device associated with the T2U increases, the SSM may increase the price by a percentage which may be tied to the ACLR of specific devices or the average ACLR of all the devices in the pool. [0234] In an example, spectrum pricing may be calculated. For example, the spectrum price may be built up from a number of separate elements based on various criteria. For example, the spectrum price may be built up from the amount of spectrum used, number of channels or links used, degree of congestion, efficiency of radio equipment, transmitter power/coverage area, geographic location, preclusion zone and so forth.

[0235] A sample scheme to calculate the per spectrum resource price for a specific time duration, location and frequency band is described herein. Several parameters and coefficients may be used as follows, where V is volume of spectrum blocks occupied, and C_freq is a coefficient reflecting specific characteristics of frequency band. The value of each of these parameters may be determined by either the regulator or the SSM, or a combination of the two. These characteristics may be dependent on the absolute frequency, and reflect factors such as the propagation characteristics, the availability of devices operating in the band, and the like.

[0236] C_location is a coefficient taking into account the region of the spectrum utilization. For instance, the regulator may impose that spectrum in certain locations be sold at a higher premium (due to large demand in the area). Alternatively, the SSM may make the same determination.

[0237] C_social is a coefficient reflecting social benefit of radio resource when assigned to specific systems. This coefficient may, for example, be determined by the SSM based on an initial willingness to pay (or user preferences) which may be sent by the T2U in the spectrum request or in the registration message of spot market subscription message. It may also be determined by the regulator based on an initial phase of application made by the T2U with the spectrum regulator. In such a phase, the T2U may apply to the regulator to obtain a permission to used shared spectrum through the SSM, and the regulator may compute the value of this coefficient based on information about the T2U (e.g., the operator, relation to the regulator, market share, and the like). [0238] C_manage is spectrum management costs, as determined by the

SSM, and C_time is a coefficient reflecting the level of spectrum access demand based on the time and in the band. This may be determined by the SSM.

[0239] Price P of a spectrum resource may be proportional to:

P~ V * C_freq * C_location * C_time * C_social* C_manage. Equation (1)

[0240] The spectrum price may be set as consisting of a base price per unit spectrum, set by the regulator, multiplied by the above multiplying factor given in Equation (1) above.

[0241] The SSM may provide spectrum to T2Us with some level of guaranteed QoA. However, for factors related to shortage of spectrum (for example, a T1U may reclaim spectrum currently being used by a T2U, and replacement spectrum may be not available, or additional T2Us have requested service and there may be insufficient spectrum available for all users), a T2U may lose the spectrum it was previously assigned to use. In most scenarios, such situations may be avoided by the SSM, or may at least be known by the T2U that has purchased the spectrum. For instance, different spectrum access classes were previously described herein. Through the use of the spectrum access classes, the T2U may be aware that it may lose access to it spectrum in some cases. However, there may be cases where the QoA guaranteed to a user may be not met by the SSM. Several embodiments of mechanisms for how this may be handled are described herein.

[0242] In one embodiment, the potential for interruption of spectrum, due to the arrival of a T1U, may be built into the spectrum price itself. For instance, a T2U may pay a lower price in knowing that the spectrum may be interrupted unexpectedly.

[0243] In another embodiment, the SSM may provide a refund for a portion of the fees paid by the T2U as a percentage of the spectrum usage time which was initially purchased but may be no longer available. The SSM may also have to provide the T2U an additional penalty fee for breaking the QoA guarantee. Such penalty fee may eventually be obtained by the SSM directly from the T1U which requests the reclaim of the spectrum. In addition, the SSM (through regulation, perhaps), may only allow such a reclaim on spectrum which was typically guaranteed during the entire availability time to only certain TlUs or certain events (such as, for example, disaster relief or public safety). Both the terms and conditions of the refund and the penalty fee may be built into the terms of agreement of the spectrum request/spectrum response messaging.

[0244] Also, in the case of a T1U reclaiming spectrum, the SSM may purchase backup spectrum for a specific T2U at an increased premium for the T2U. In other words, the T2U may have to pay extra for the guarantee that the QoA may be satisfied with 100% probability. The T2U may be given the choice of which option it may purchase (for example, backup or refund) at the time in which the spectrum may be purchased. When the SSM has obtained spectrum for backup for a T2U, it may use this spectrum for T3U when not needed.

[0245] The two main mechanisms for the spot market including the concept of an SSM-determined price based on factors such as history and availability, as well as price based on fixed rules have been described. Alternative embodiments of the spot market are also described herein.

[0246] In another embodiment of the spot market, the spectrum may be assigned by the SSM through a lottery-type assignment. The SSM may purchase or obtain the rights to spectrum from a T1U for the spot market such as with the committal and non-committal mechanisms. Once this spectrum has been obtained for the spot market, the spectrum may be awarded to one or multiple T2Us based on a random selection of a winning token.

[0247] In order to register to be part of the lottery, a T2U may indicate its spectrum needs, including the timing of such needs, to the SSM. This may be implemented at any time by the T2U. For example, the T2U may send a message to the SSM indicating that it may like to be part of the next lottery. The time in which the lottery takes place may be determined by the SSM based on the amount and timing of the availability of spectrum offered by the TlUs, as well as the pending demands for T2Us. For instance, the SSM may collect lottery registrations for a specific period of time, for example, a few hours, until there may be at least one T1U that has offered spectrum which may be usable by several of the T2U registered for the lottery. At that time, the SSM may execute the lottery, for example, decide on one or more T2U winners, and notify the winning T2U. Alternatively, the expected time of the lottery execution may be indicated by the SSM to the T2U in advance (for example, at the time of registration) based on knowledge of the number of TlUs which have already provided spectrum to the SSM.

[0248] T2Us may purchase tokens for a specific fixed price from the

SSM, where the price may be determined by the regulator. Alternatively, a token may be free for a T2U, and the winning token (selected at random by the SSM) may represent the T2U that obtains the rights to purchase the spectrum for a specific price. The price which the winning T2U may need to pay may be based on the pricing determination schemes. Alternatively, the pricing may be based on the actual requested incentive for that portion of the spectrum coming from the T1U. In these cases (where the winning T2U obtains the rights to purchase the spectrum), the T2U may refuse to purchase the spectrum in the end (it renounces to its right) and the SSM may then chose another token from remainder as a replacement.

[0249] Another embodiment for the spot market may consist of an SSM which makes assignments for spectrum at certain specific times and assigns a price for the spectrum based on the amount of time remaining until the assignment instance with the strategy to minimize its overall losses or maximize its profits. This may be described in more detail below. The committal case may be assumed for the discussion below, whereby the SSM pays for spectrum from the T1U prior to selling it in the spot market.

[0250] The SSM may define specific times in which it may do spectrum assignment for T2Us in the spot market. Since the responsiveness of the SSM to urgent spectrum requests should be considered, the SSM may choose to not have these specific times too far apart, for example, perhaps every day. However, this mechanism may be used for spectrum requests by T2Us which have some reservation time associated with the request, for example, the T2U needs to reserve the spectrum some time in advance.

[0251] In order to obtain spectrum to be purchased for the spot market using this mode, the SSM may first communicate the specific assignment times to the T1U as a means to advertise the potential start times for spectrum availability which the T1U may sell spectrum for. For instance, if the assignment times consist of every day at noon, a specific T1U may be able to provide spectrum for the spot market on a given day as long as the spectrum becomes idle or not needed by the T1U at any time before noon. The duration of the spectrum availability may then be an additional parameter associated with the spectrum offered by the T1U, for example, the duration need not coincide with the start times.

[0252] When the T1U has spectrum available for a specific time x in the future, it makes that spectrum available to the SSM, which may or may not decide to purchase it. For all of the spectrum available for time x in the future, the SSM may change the price it asks over time so as to ensure all the spectrum may be finally sold before time x. For instance, when there may be a large time until x, the SSM may sell the spectrum associated with time x at some fixed cost which ensures some amount of profit related to the incentive that the SSM needed to pay. As x approaches, the price may change based on the amount of spectrum remaining and whether the SSM has covered all the costs associated with the purchase of the spectrum at time x, for example, in the committal case. If there may be little spectrum left and all costs have been recovered, the SSM may increase the price in the expectance that it may derive the most profit from the remaining spectrum to be sold. If, on the other hand, there may be a significant amount of spectrum left, the SSM may decide to sell the spectrum for less than the initial price it was advertising in order to recover all, or as much as possible, of its costs.

[0253] The spot market for T2U, for example, the ability of T2Us to purchase spectrum in an on-demand fashion from the SSM has been described herein. However, the SSM may also manage and maintain spectrum for T3Us. Many of the strategies employed discussed herein may have impacts on the amount of spectrum available for T3Us. An example presents mechanisms to deal with T3 spectrum within the SSM, and the interaction between the SSM and the T3U from the perspective of pricing.

[0254] The SSM may obtain spectrum for use by T3Us in two main ways as follows (the SSM may use either of these cases or both cases): 1) T3 spectrum may be obtained as any spectrum that was not sold in either or both of the auction or the spot market (non- guaranteed T3 spectrum), and 2) T3 spectrum may be reserved for that purpose by the SSM (guaranteed T3 spectrum). One example of case 1 may be in the non-committal spot market scenario, where the SSM may not be able to sell spectrum offered by a T1U in the spot market. This spectrum may be utilized by the SSM as T3 spectrum for the period of time in which the spectrum was made available by the T1U that had initially provided the spectrum. As another example, spectrum offered by a T1U during a periodic auction may not have been sold to any T2U. The spectrum may not have been sold due to lack of demand, or inability to find a match between the supply and demand to satisfy the price asked by the T1U. In that case, the T1U may be in a situation where it does not require its spectrum during the given period of time, but the start time for spectrum availability has already passed, without the ability to sell the spectrum.

[0255] Figure 23 is a diagram of example events forcing T3U to evacuate non- guaranteed T3 spectrum. Figure 23 illustrates each of three example events whereby spectrum currently provisioned as T3 spectrum may be evacuated. In evacuation, the T3 spectrum users may, for example, be notified to no longer utilize the spectrum. In an example, as in Event 1, this spectrum may be provisioned by the SSM for T3Us 2310 until the SSM may be able to sell the spectrum for the remaining time to a T2U in the spot market 2320. At the end of the spectrum availability time, the T1U uses the spectrum again 2330. In other words, the SSM, although it provisions the spectrum that has been added to the spot market spectrum pool for T3U, may still keep this same spectrum in the spectrum pool in the case a spot market request from a T2U may occur at some time prior to the end of the spectrum availability time. In another example, as in Event 2, this spectrum may be provisioned by the SSM for T3Us until the end of the availability time 2340, as advertised by the TIU. That time may be reached without any additional events and the TIU may reclaim its spectrum 2350.

[0256] As a further example, as in Event 3, this spectrum may be provisioned by the SSM for T3Us 2360 until a TIU reclaim occurs prior to the end of the availability time 2370. This may be an event which may be possible for the scenario where the spectrum may be provisioned for T3Us 2360, but cannot occur for T2Us. For instance, the SSM may implement a policy whereby spectrum that may be provisioned by a TIU, assuming some incentive, cannot be reclaimed by the TIU until the end of the availability time initially indicated by the TIU. When the spectrum may be not sold to a T2U, and therefore no incentive may be given to the TIU, the spectrum may be used by T3Us and the TIU may, at any time following the start of the availability time, reclaim the spectrum and force the T3Us to evacuate the spectrum 2370.

[0257] In this case of provisioning T3 spectrum, the spectrum may be free of cost for use by devices which register to the SSM as T3 users. Since the presence of such spectrum may be dependent on the availability of unsold Tier 1 spectrum, such spectrum may be provided without any cost to the T3U. Such spectrum may be fully opportunistic, in that such spectrum may appear in different locations at any unexpected time.

[0258] Alternatively, the non- guaranteed T3 spectrum may also be obtained by the SSM using backup channels which are maintained by the SSM to ensure that a T2 user that has been assigned spectrum may continue its service on the backup channel in the case a TIU needs to reclaim the originally assigned spectrum without warning.

[0259] The SSM may maintain a fixed portion of spectrum in every location as guaranteed T3 spectrum. Such spectrum may be provisioned by the regulator, and given to the SSM to manage, for instance. The SSM may be able to perform basic coexistence management on this spectrum, without provisioning any form of guaranteed QoA.

[0260] Alternatively, the SSM may obtain this spectrum through purchases made to TlUs, for example, in the periodic spectrum auctions. Since the SSM may manage the spectrum auctions, it may ensure that a portion of the spectrum up for auction by the T1U may be always obtained by the SSM in a given location. The regulator may impose that the SSM maintain a minimum amount of guaranteed T3 spectrum. In order to purchase this spectrum, the SSM may use subsidies provided by the government to SSM providers. The SSM may also use money collected from the T3Us themselves. Such money may be in the form of a basic registration fee to the services of the SSM, since such T3Us may have access both to guaranteed T3 spectrum, as well as potentially some coexistence services. The coexistence service may be provided by the SSM as an optional service to the T3Us, in which case the basic T3U registration fee may be supplemented by the SSM by an additional coexistence service fee. All of these may in turn be used by the SSM to purchase spectrum from the T1U.

[0261] Although the guaranteed T3 spectrum may always be present, it need not always be located in the same frequency band or frequency channel. For instance, in the case where the guaranteed T3 spectrum may be obtained through purchase by the SSM in the periodic auction, the spectrum used for this purpose in different auction periods may come from different TlUs, and therefore may be in separate spectrum bands.

[0262] The SSM may choose to use both spectrum that was not sold in either the auction or the spot market, as well as spectrum which may be reserved and set aside specifically for T3 in order to provision a total of T3 spectrum. In that case, the SSM may be able to advertise or manage a fixed and minimal amount of guaranteed T3 spectrum, as well as an additional variable amount of non- guaranteed T3 spectrum. [0263] In addition, two different classes of T3Us may also be possible, and these may be differentiated by the SSM. The first class of T3U may consist of T3Us which utilize the guaranteed T3 spectrum (guaranteed T3Us). The second class may consist of T3Us which utilize the non- guaranteed T3 spectrum (non- guaranteed T3Us). A T3U may register to the SSM as either a guaranteed T3U or a non-guaranteed T3U. The SSM may then communicate to each user (to indicate pricing and spectrum information) depending on the type of T3U.

[0264] Figure 24 is an example of an information flow between a guaranteed T3U and an SSM. In an example of guaranteed T3 spectrum, the flow diagram of procedure 2400 may be used by a guaranteed T3U 2405 and an SSM 2410. A system which decides to use guaranteed T3 spectrum may send a T3 Registration Request message 2415 to the SSM 2410. The T3 Registration Request message 2415 may contain some authentication or security information which allows the SSM 2410 to identify the system prior to providing any information to the T3U 2405. The T3U 2405 may provide additional information such as location, technical characteristics (RAT, ACLR, and the like). The identification of the T3U 2405 may be used by the SSM 2410 to enforce the use of this spectrum only by registered devices or entities. For example, the T3U 2405 may be required to include an SSM specific signature in its communication over the spectrum, which the SSM 2410 may later search for.

[0265] The SSM 2410 may respond using a T3 Registration Response message 2420 with information about the guaranteed T3 spectrum (location and frequency band of the spectrum). It may be assumed that this spectrum may be available at this location and frequency indefinitely at the time of registration. In addition, the SSM 2410 may indicate the required registration fee to the T3U 2405. This fee may be a periodic fee or it may be a one-time fee. A period fee may be, for example, a monthly fee to be paid by the T3U 2405 as long as the T3U 2405 remains registered. The payment of the fee may be made by the T3U 2405 through some automated credit system, similar to a credit card, as mentioned previously. The SSM specific signature may also be provided by the T3 Registration Response message 2420. The SSM 2410 may also provide the maximum transmit power for the system, based on its characteristics obtained from the T3 Registration Response message 2420.

[0266] The T3U 2405 may confirm that it agrees to register to the SSM

2410 and pay the registration fee using a T3 Registration Confirmed message 2425. Payment information required by the SSM 2410 (or the actual payment itself) may also be provided by the T3 Registration Confirmed message 2425.

[0267] At any time following a successful registration procedure, the

T3U 2405 may utilize the spectrum, along with other registered T3Us, without any guarantee of quality of service, as per the definition of T3 2430.

[0268] At some time, the SSM 2410 may choose to change the registration fee, the actual frequency spectrum (location or frequency), the maximum power, or some other property associated with the T3 spectrum and may send a T3 Information Change message 2435 to provide the new information to the T3U 2405. This information may be confirmed by a T3 Information Change Confirmed message 2440.

[0269] Figure 25 is an example of an information flow between a non- guaranteed T3U and an SSM. In an example of non- guaranteed T3 spectrum, the flow diagram of procedure 2500 may use signaling for the interaction between a non- guaranteed T3U 2505 and an SSM 2510. The registration procedure 2515 may include messaging similar to the messages 2415, 2420 and 2425 of Figure 24. In the case of non- guaranteed spectrum, there may be no payment information involved.

[0270] When the T3U 2505 is ready to use the spectrum, it may send a

T3 Spectrum Request message 2520 to the SSM 2510, indicating the device parameters to be used, if not already provided in the registration procedure 2515. The SSM 2510 may provide the available spectrum (frequency, location, and the like) as well as maximum allowable power in a T3 Spectrum Response message 2525. The T3 Spectrum Response message 2525 may also contain the availability time for the spectrum, barring one of the unexpected events described earlier in this section.

[0271] The spectrum usage may be confirmed by the T3U 2505 using a

T3 Spectrum Usage message 2530. At some time, due to the premature loss of the availability of this spectrum to either a T1U or a T2U, the SSM 2510 may send a T3 Evacuation Request message 2535, requesting the T3U 2505 to exit from the spectrum. It may also provide an alternative spectrum in this request, with the usage parameters (power, frequency, and the like) of that alternate spectrum. This information may be confirmed by a T3 Evacuation Response message 2540.

[0272] Although features and elements are described above in particular combinations, one of ordinary skill in the art may appreciate that each feature or element may be used alone or in combination with any of the other features and elements. In addition, the embodiments described herein may be implemented in a computer program, software, or firmware incorporated in a computer-readable medium for execution by a computer or processor. Examples of computer-readable media include electronic signals, (transmitted over wired or wireless connections), and computer-readable storage media. Examples of computer-readable storage media include, but are not limited to, a read only memory (ROM), a random access memory (RAM), a register, a cache memory, a semiconductor memory device, a magnetic media, (e.g., an internal hard disc or a removable disc), a magneto-optical media, and an optical media such as a compact disc (CD) or a digital versatile disc (DVD). A processor in association with software may be used to implement a radio frequency transceiver for use in a WTRU, UE, terminal, base station, Node-B, eNB, HNB, HeNB, AP, RNC, wireless router or any host computer.

EMBODIMENTS

1. A method, performed by a shared spectrum manager (SSM), for obtaining spectrum for use in a spot market, the method comprising:

receiving a spectrum market information request message requesting information about options for selling spectrum through the SSM; sending a spectrum market information response message; receiving a spot market spectrum offer message; and

sending a spot market spectrum response message.

2. The method of embodiment 1 wherein the spectrum market information response message indicates whether at least one of auctions or a spot market are supported and information required by a primary user for supporting the at least one of auctions or the spot market.

3. The method as in any one of embodiments 1-2 wherein the spectrum market information response message indicates policy for spectrum unsold or in the spot market.

4. The method as in any one of embodiments 1-3 wherein the spectrum market information response message indicates a minimum incentive payment for unsold spectrum used by a secondary user.

5. The method as in any one of embodiments 1-4 wherein the spot market spectrum offer message indicates precise spectrum being offered.

6. The method as in any one of embodiments 1-4 wherein the spot market spectrum offer message indicates a protection criteria.

7. The method of embodiment 6 wherein the protection criteria specifies a maximum power at a specific location.

8. The method as in any one of embodiments 1-4 wherein the spot market spectrum offer message indicates a requested incentive for the spectrum.

9. The method as in any one of embodiments 1-8 wherein the spot market spectrum response message indicates whether or not the SSM will commit to buying the spectrum at a requested incentive.

10. The method as in any one of embodiments 1-9 further comprising the SSM making a payment to a primary user in an amount of a requested incentive, and the SSM taking control of the spectrum.

11. The method as in any one of embodiments 1-10 further comprising:

adding spectrum to a spot market pool; and sending a spot market spectrum result message.

12. A network node configured to perform the method as in any one of embodiments 1-11.

13. An integrated circuit configured to perform the method as in any one of embodiments 1-11.

14. A shared spectrum manager (SSM) comprising:

circuitry configured to receive a spectrum market information request message requesting information about options for selling spectrum through the SSM;

circuitry configured to send a spectrum market information response message;

circuitry configured to receive a spot market spectrum offer message; and

circuitry configured to send a spot market spectrum response message.

15. The SSM of embodiment 14 wherein the spectrum market information response message indicates whether at least one of auctions or a spot market are supported and information required by a primary user for supporting the at least one of auctions or the spot market.

16. The SSM as in any one of embodiments 14-15 wherein the spectrum market information response message indicates policy for spectrum unsold or in the spot market.

17. The SSM as in any one of embodiments 14-16 wherein the spectrum market information response message indicates a minimum incentive payment for unsold spectrum used by a secondary user.

18. The SSM as in any one of embodiments 14-17 wherein the spot market spectrum offer message indicates precise spectrum being offered.

19. The SSM as in any one of embodiments 14-17 wherein the spot market spectrum offer message indicates a protection criteria.

20. The SSM of embodiment 19 wherein the protection criteria specifies a maximum power at a specific location. 21. The SSM as in any one of embodiments 14-17 wherein the spot market spectrum offer message indicates a requested incentive for the spectrum.

22. The SSM as in any one of embodiments 14-21 wherein the spot market spectrum response message indicates whether or not the SSM will commit to buying the spectrum at a requested incentive.

23. The SSM as in any one of embodiments 14-22 wherein the SSM makes a payment to a primary user in an amount of a requested incentive, and the SSM takes control of the spectrum.

24. The SSM as in any one of embodiments 14-23 further comprising: circuitry configured to add spectrum to a spot market pool; and circuitry configured to send a spot market spectrum result message.

25. A method, performed by a shared spectrum manager (SSM), for obtaining spectrum for use in a spot market, the method comprising:

categorizing spectrum based on a specific criteria;

assigning a price to the spectrum; and

advertising the spectrum in each category separately so that the advertised price is associated with the spectrum in each category.

26. The method of embodiment 25 wherein the SSM maintains a spectrum market including a periodic auction, a spot market and a spectrum for a secondary user.

Claims

CLAIMS What may be claimed:

1. A method, performed by a shared spectrum manager (SSM), for managing spectrum, the method comprising:

categorizing spectrum based on one or more characteristics, including frequency, band, location, spectrum access class, device class and radio access technology (RAT);

generating a plurality of spectrum pools from the spectrum based on the categorization;

assigning a price to each of the plurality of spectrum pools; and periodically transmitting one or more advertisement messages concerning at least one of the plurality of spectrum pools, the advertisement messages including spectrum pool pricing, availability and characteristics.

2. The method of claim 1, wherein the characteristics include a quality measure concerning one or more of an expected or maximum interference power over a band of usage, an expected or maximum interference from adjacent bands incurred by a Tier 2 (T2) system, an expected or minimum signal-to-interference-plus-noise ratio (SINR), an expected out-of-band emission or noise level, an expected power for spurious emissions, probability of evacuation, length of time of interference free spectrum use, maximum power that a T2 user (T2U) can use, and rules of spectrum usage.

3. The method of claim 1, wherein the spectrum categorized includes a combination of spectrum from multiple Tier 1 users (TlUs).

4. The method of claim 1, further comprising:

receiving a pool use registration request message including a request to receive information about spectrum pools; and transmitting a registration confirm message including spectrum pool characteristics concerning the plurality of spectrum pools.

5. The method of claim 1, further comprising:

receiving a spectrum inquiry message including a reference to at least one of the plurality of spectrum pools and a request to receive information about the referenced one or more spectrum pools; and

transmitting an advertisement message concerning the referenced one or more spectrum pools, the advertisement messages including spectrum pool pricing, availability and characteristics.

6. The method of claim 1, further comprising:

receiving preferences of a T2U regarding spectrum pool characteristics; and

transmitting the advertisement message based on the preferences.

7. The method of claim 6, further comprising:

receiving the preferences in a spectrum subscription change message; and

transmitting a subscription change confirm message.

8. The method of claim 4, further comprising:

receiving preferences of a T2U regarding spectrum pool characteristics in the pool use registration request message; and

transmitting the advertisement message based on the preferences.

9. The method of claim 1, further comprising:

receiving a spectrum request message including a request by a T2U for a portion of spectrum in a spectrum pool and a reference to one or more of the pricing, availability and characteristics included in the advertisement message; assigning to the T2U the portion of spectrum requested in the spectrum request message;

transmitting a spectrum response message including the assignment of the portion of spectrum requested;

receiving a spectrum confirm message confirming use of the portion of spectrum by the T2U; and

updating information on available spectrum in the plurality of spectrum pools.

10. The method of claim 1, wherein periodically transmitting includes one or more of periodically broadcasting, periodically unicasting, or periodically multicasting.

11. A shared spectrum manager (SSM), comprising:

circuitry configured to categorize spectrum based on one or more characteristics, including frequency, band, location, spectrum access class, device class and radio access technology (RAT);

circuitry configured to generate a plurality of spectrum pools from the spectrum based on the categorization;

circuitry configured to assign a price to each of the plurality of spectrum pools; and

a transmitter configured to periodically transmit one or more advertisement messages concerning at least one of the plurality of spectrum pools, the advertisement messages including spectrum pool pricing, availability and characteristics.

12. The SSM of claim 11, wherein the characteristics include a quality measure concerning one or more of an expected or maximum interference power over a band of usage, an expected or maximum interference from adjacent bands incurred by a Tier 2 (T2) system, an expected or minimum signal-to-interference-plus-noise ratio (SINR), an expected out-of-band emission or noise level, an expected power for spurious emissions, probability of evacuation, length of time of interference free spectrum use, maximum power that a T2 user (T2U) can use, and rules of spectrum usage.

13. The SSM of claim 11, wherein the spectrum categorized includes a combination of spectrum from multiple Tier 1 users (TlUs).

14. The SSM of claim 11, further comprising:

a receiver configured to receive a pool use registration request message including a request to receive information about spectrum pools; and

the transmitter further configured to transmit a registration confirm message including spectrum pool characteristics concerning the plurality of spectrum pools.

15. The SSM of claim 11, further comprising:

a receiver configured to receive a spectrum inquiry message including a reference to at least one of the plurality of spectrum pools and a request to receive information about the referenced one or more spectrum pools; and

the transmitter configured to transmit an advertisement message concerning the referenced one or more spectrum pools, the advertisement messages including spectrum pool pricing, availability and characteristics.

16. The SSM of claim 11, further comprising:

a receiver configured to receive preferences of a T2U regarding spectrum pool characteristics; and

the transmitter configured to transmit the advertisement message based on the preferences.

17. The SSM of claim 16, further comprising: the receiver configured to receive the preferences in a spectrum subscription change message; and

the transmitter configured to transmit a subscription change confirm message.

18. The SSM of claim 14, further comprising:

the receiver configured to receive preferences of a T2U regarding spectrum pool characteristics in the pool use registration request message; and

19. The SSM of claim 11, further comprising:

a receiver configured to receive a spectrum request message including a request by a T2U for a portion of spectrum in a spectrum pool and a reference to one or more of the pricing, availability and characteristics included in the advertisement message;

circuitry configured to assign to the T2U the portion of spectrum requested in the spectrum request message;

the transmitter configured to transmit a spectrum response message including the assignment of the portion of spectrum requested;

the receiver configured to receive a spectrum confirm message confirming use of the portion of spectrum by the T2U; and

circuitry configured to update information on available spectrum in the plurality of spectrum pools.

20. The SSM of claim 11, wherein periodically transmit includes one or more of periodically broadcast, periodically unicast, or periodically multicast.

21. A method, performed by a Tier 2 user (T2U), the method comprising:

periodically receiving one or more advertisement messages concerning at least one of a plurality of spectrum pools, the advertisement messages including spectrum pool pricing, availability and characteristics,

wherein the spectrum pool characteristics include one or more of frequency, band, location, spectrum access class, device class and radio access technology (RAT),

and wherein the plurality of spectrum pools are generated from spectrum categorized based on the spectrum pool characteristics.

22. The method of claim 21, wherein the characteristics include a quality measure concerning one or more of an expected or maximum interference power over a band of usage, an expected or maximum interference from adjacent bands incurred by a Tier 2 (T2) system, an expected or minimum signal-to-interference-plus-noise ratio (SINR), an expected out-of-band emission or noise level, an expected power for spurious emissions, probability of evacuation, length of time of interference free spectrum use, maximum power that the T2U can use, and rules of spectrum usage.

23. The method of claim 21, wherein the spectrum categorized includes a combination of spectrum from multiple Tier 1 users (TlUs).

24. The method of claim 21, further comprising:

transmitting a pool use registration request message including a request to receive information about spectrum pools; and

receiving a registration confirm message including spectrum pool characteristics concerning the plurality of spectrum pools.

25. The method of claim 21, further comprising: transmitting a spectrum inquiry message including a reference to at least one of the plurality of spectrum pools and a request to receive information about the referenced one or more spectrum pools; and

receiving an advertisement message concerning the referenced one or more spectrum pools, the advertisement messages including spectrum pool pricing, availability and characteristics.

26. The method of claim 21, further comprising:

transmitting preferences of the T2U regarding spectrum pool characteristics; and

receiving the advertisement message based on the preferences.

27. The method of claim 26, further comprising:

transmitting the preferences in a spectrum subscription change message; and

receiving a subscription change confirm message.

28. The method of claim 24, further comprising:

transmitting preferences of the T2U regarding spectrum pool characteristics in the pool use registration request message; and

receiving the advertisement message based on the preferences.

29. The method of claim 21, further comprising:

transmitting a spectrum request message including a request by the T2U for a portion of spectrum in a spectrum pool and a reference to one or more of the pricing, availability and characteristics included in the advertisement message;

receiving a spectrum response message including an assignment to the T2U of the portion of spectrum requested; and

transmitting a spectrum confirm message confirming use of the portion of spectrum by the T2U.

30. The method of claim 21, wherein periodically receiving includes one or more of periodically receiving a broadcast, periodically receiving a unicast, or periodically receiving a multicast.