Abstract
This chapter looks at emerging issues related to carrying out Impact assessment (IA) for identified combinations of techno-economic circumstances and conditions of CR deployment. The aim of such analysis would be to aid the policy discussion and development, by recognising the most attractive and beneficial combinations of regulatory provisions to form the basis for the ultimate CR regulatory framework. Section 5.1 provides an overview of IA and offers perspective on existing IA guidelines in the case of CR policy. Section 5.2 discusses the alignment of regulation and technology, applying an actor-centric approach. It highlights that successful introduction of CR will require alignment between the characteristics of CR and the regulatory regime under which CR will operate. Section 5.3 discusses role of spectrum regulation and argues that more relaxed spectrum regulations would trigger generation of well suited and flexible services, as they could reduce market entry barriers and allow more service providers to access the spectrum resources. Then, Sect. 5.4 describes a study on IA of Dynamic Spectrum Access (DSA). The introduction of DSA has been challenged by several technical, economic and regulatory factors. The authors develop a framework that combines system dynamics modelling (top-down approach) and Bayesian network data analysis (bottom-up approach) for analysing current mobile markets and their future evolutions possibilities. This is followed by Sect. 5.5 that looks at the matter of type conformity assessment for future CR/SDR apparatus, which would be an important consideration for placing equipment on the market. Then Sect. 5.6 analyses reasons of rather sluggish pace of CR innovation, with the aim of suggesting a range of suitable policies to boost further and more fertile developments of CR technology. The chapter is concluded by Sect. 5.7 that offers spectrum policy analysis from both positive and normative perspectives. It proposes an “agreement framework”, which could be used as reference template against which future policy analysis could be carried out in similar cases, with regard to emerging CR applications and CR technology in general.
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Notes
- 1.
- 2.
Ostrom made this observation in the investigation of common pool resources. The problems associated to infrastructures are quite similar [16]. The latter source argues that infrastructures (including energy, communication, transport, and postal services) can be perceived as common pool resources providing essential services to society.
- 3.
HHI stands for Herfindahl—Hirschman Index.
- 4.
The utilized Bayesian network was implemented with the help of BayesiaLab 5.1 software, which includes machine learning algorithm functionality.
- 5.
Australia, Austria, Belgium, Brazil, Canada, China, Chile, Czech Republic, Denmark, Finland, France, Germany, India, Italy, Japan, Netherlands, New Zealand, Norway, Spain, Sweden, Switzerland, Turkey, United Kingdom and United States.
- 6.
Australia, Austria, Belgium, Brazil, Canada, Chile, China, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, India, Ireland, Israel, Italy, Japan, Korea (South), Luxembourg, Mexico, Netherlands, New Zealand, Norway, Poland, Portugal, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, Turkey, United Kingdom and United States.
- 7.
The European Telecommunication Conformity Assessment and Market Surveillance Committee (TCAM) has for long recognised that CR/SDR will have an impact on market access and conformance regulation. It launched initiatives analysing this possible impact and contemplates adapting said regulation to the new realities which CR/SDR could bring about.
- 8.
EU Member States, EEA EFTA countries (Island, Norway and Lichtenstein), and Switzerland (the transposition of R&TTE in this country is expressly foreseen in a mutual reconnaissance agreement with the EU).
- 9.
Directive 1999/5/EC of the European Parliament and of the Council of 9 March 1999 on radio equipment and telecommunications terminal equipment and the mutual recognition of their conformity (“R&TTE Directive”).
- 10.
See the rulings of the European Court of Justice (ECJ) in Joined Cases C-388/00 and C-429/00 Radiosistemi [2002] ECR I-5845, Case C-14/02 ATRAL [2003] ECR I-4431, and Case C-132/08 Lidl Magyarország Kereskedelmi [2009] ECR I-3841.
- 11.
Accordingly, the approach followed in the United States—whose paradigms differ markedly from those of the European approach—will not be addressed here. For an overview, see Annex 2 to [17].
- 12.
Considerings (12) and (32) of the R&TTE Directive.
- 13.
Article 8(1) of the R&TTE Directive.
- 14.
See Sect. 9. “Possibility to place products on the market in the Community, which cannot be used in the Community” of “Interpretation of the Directive 1999/5/EC” under http://ec.europa.eu/enterprise/sectors/rtte/documents/interpretation_en.htm [Accessed 31 October 2013].
- 15.
Article 6(3) of the R&TTE Directive.
- 16.
Formally the proposed directive should repeal the R&TTE directive (see draft Article 50) but in effect it will be a revision of the latter as far as radiocommunication equipments are concerned.
- 17.
For further particulars readers are referred to European Commission, Guide to the R&TTE Directive 1999/5/EC, available under http://ec.europa.eu/enterprise/sectors/rtte/files/guide2009-04-20_en.pdf [Accessed 31 October 2013].
- 18.
Considering (27) of the R&TTE Directive: “whereas compliance with such harmonised standards gives rise to a presumption of conformity to the essential requirements; whereas other means of demonstrating conformity to the essential requirements are permitted”.
- 19.
Respectively Articles 3(1)(a), 3(1)(b), and 3(2) of the R&TTE Directive.
- 20.
Article 3(3) of the R&TTE Directive.
- 21.
See relevant Commission decisions under http://ec.europa.eu/enterprise/sectors/rtte/documents/legislation/decisions/ [Accessed 31 October 2013].
- 22.
Article 10(1) of the R&TTE Directive.
- 23.
Article 12 of the R&TTE Directive.
- 24.
Article 6(4) of the R&TTE Directive.
- 25.
Article 6(3) of the R&TTE Directive.
- 26.
Article 12 of the R&TTE Directive.
- 27.
Article 5(1) of the R&TTE Directive.
- 28.
Article 2(h) of the R&TTE Directive.
- 29.
In other words, SDR technology is a precursor and an enabler of CR technology.
- 30.
ETSI uses the term Reconfigurable Radio Systems (RRS): Such systems exploit the capabilities of reconfigurable radio and networks and self-adaptation to a dynamically changing environment (ETSI TR 102 802 Reconfigurable Radio Systems (RRS); Cognitive Radio System Concept).
- 31.
First cases were reported by market surveillance authorities where wrong or old firmware installed by the supplier on request of customers or directly by the end user appeared to disable the Dynamic Frequency Selection (DFS) mechanism of Wireless Access Systems (WAS) operating in the 5 GHz range. This requirement flows from the necessity to prevent undue interference to meteorological radars by WAS [66].
- 32.
As seen previously, difficulties may also occur when several versions of firmware exist, some of which causing the equipment to contravene with an essential requirement.
- 33.
See [33], drafts of Article 3(3)(g) and considering (17): “The user, the radio equipment or a third party should only be able to load software into the radio equipment where this does not compromise the subsequent compliance of the radio equipment with the applicable essential requirements.”.
- 34.
Although manufacturers always have the choice of involving a notified body, they may self-certify against the relevant harmonised standards that references complete test suites and make an EU Declaration of Conformity: harmonised standards give a presumption of conformity with the R&TTE Directive for the equipment to be placed on the market in the EU.
- 35.
For example harmonised standards dealing with spectrum access of one type of proto-CR/SDR should include specifications for the exchange of information between a devices and a database, ensuring that the devices will be connected with the relevant database, on the geo-location systems, on the need for the devices to obtain the authorisation to emit from the database.
- 36.
Though it is admitted that Harmonized Standards (HS) for Cognitive Radio are being developed by ETSI. For an overview of the ETSI Technical Committees and their responsibilities relevant to CR/SDR.
- 37.
Actually, the master–slave model with geolocation database as described in the mandate is at best a rudimentary type of CR/SDR system with a network-centric “intelligence”: it rather is a network with a basic automated frequency assignment method.
- 38.
Respectively Articles 12 and 6(3) of the R&TTE Directive.
- 39.
See [33], drafts of Article 4 and considering (19).
- 40.
ETSI has produced Guides to the application of harmonized standards to multi-radio and combined radio and non-radio equipment: ETSI TR 102 070-1 Electromagnetic Compatibility and ETSI TR 102 070-2 Effective use of the radio frequency spectrum.
- 41.
The lurking complexity can be visualised by means of a very few examples: (a) A user deliberately downloads reconfiguration software in defiance of the use intended by the software programmers and/or the hardware manufacturers; (b) Several third party software applications run in parallel on a hardware platform, creating thus a multitude of combinations which could cause non-compliant behaviour of the radiocommunication equipment; (c) In case of concomitance of several software versions, which software version (the latest?) is used for compliance assessment; (4) Availability of older firmware abiding by specifications of outdated versions of a harmonised standard but no longer compliant with the essential requirements.
- 42.
According to the R&TTE Directive, manufacturers have the sole and full responsibility (sometimes taken over by the importer) of ensuring through testing that their products are compliant to the applicable directives. The liability of the manufacturer (or the importer) hinges on the CE mark and on the declaration of conformity: the responsibility for an equipment is assigned to the entity affixing the CE mark—who’s also the “declarer”.
- 43.
Open-source software (OSS) is computer software that (i) is available in source code form and where (ii) the provision of the source code occurs under a “public” software license. This means there is a freedom to run the program, for any purpose and a freedom to study how the program works, modify it, and release the improvements to the public.
- 44.
This visionary expression is credited to Mr. Reiner Liebler of German regulatory agency for posts and telecommunications (RegTP, later BNetzA), at the time of his leadership of the CEPT’s Working Group Frequency Management, which he chaired between 1998 and 2003.
- 45.
TFTS was allocated frequency bands 1670–1675 MHz/1800–1805 MHz by CEPT in 1997 (cf. ERC/DEC(97)08) and envisaged to provide voice communication to passengers on planes flying over the European continent. A great effort was put into establishing the system: from allocating necessary frequency bands to carrying out a meticulous planning of terrestrial base stations and their frequency assignments to provide suitable pan-European coverage for air traffic. However after brief period of limited deployment the system was deemed a fiasco and rolled down, the allocation of frequency bands was cancelled in 2003 (cf. ECC/DEC(03)03).
- 46.
The Meteor Scatter Application system was a land mobile system working in the range 30–50 MHz promoted by industry in 1990s with the aim of providing low bit-rate pan-European coverage for truck fleet management and similar applications, by using the phenomenon of (very weak) reflection of radio waves from ionised gas trails of microscopic meteorites that constantly bombard the Earth’s atmosphere. The ultimate regulatory recommendation allowing the use of such systems was taken in CEPT in year 2000 (cf. ERC/REC(00)04), however practical implementation of such systems never took off.
- 47.
That is, Licensed Shared Access, see Sect. 2.6.
- 48.
LTE represents a paradigmatic shift to an “all-IP” solution compared against the circuit-switched paradigm of previous 2G/3G network designs. Therefore it makes sense for operators to combine introduction of LTE with converting the rest of their network core to a new IP-based platform.
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Minervini, L.F., Anker, P. (2014). Impact Assessment of CR Policy and Regulation. In: Medeisis, A., Holland, O. (eds) Cognitive Radio Policy and Regulation. Signals and Communication Technology. Springer, Cham. https://doi.org/10.1007/978-3-319-04022-6_5
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