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Spectrum Sharing and Dynamic Spectrum Management Techniques in 5G and

Beyond Networks: A Survey

Article in Journal of Mobile Multimedia · February 2021

DOI: 10.13052/jmm1550-4646.17133

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Spectrum Sharing and Dynamic Spectrum
Management Techniques in 5G and Beyond
Networks: A Survey

Nidhi∗ , Albena Mihovska and Ramjee Prasad

Aarhus University, Denmark

E-mail: [email protected]; [email protected]; [email protected]
∗
Corresponding Author

Received 09 October 2020; Accepted 30 November 2020;

Publication 26 January 2021

Abstract
Advancing technologies and bandwidth hungry applications have increased
the mobile data traffic in the radio spectrum. Utilizing spectrum is one of
the indispensable performance metric seconded by techniques to increase the
bandwidth. Spectrum efficient techniques have always been a part in all the
generations of wireless communication. It has considered to be of utmost crit-
icality with 5G networks. The spectrum sharing and management demands
contributions from technical research groups as well as regulatory bod-
ies. Recently, many technologies proved their potentials to invoke efficient
spectrum utilization. Different approaches have been considered including
cognitive radio, machine learning for dynamic spectrum management, spec-
trum sharing, spectrum harmonization, spectrum identification strategies, etc.
An efficient technology is very important in order to have high spectral as
well as energy efficiency. It is also important from cost-efficiency perspec-
tive. Therefore, this paper presents an overview of the various spectrum
sharing and management aspects. This comparative study is motivated to
provide a clear picture to design spectrum efficient system for 5G and beyond
network.

Journal of Mobile Multimedia, Vol. 17 1–3, 65–78.

doi: 10.13052/jmm1550-4646.17133
© 2021 River Publishers
66 Nidhi et al.

Keywords: Spectrum, dynamic spectrum management (DSM), spectrum

sharing, machine learning, spectral efficiency, spectrum allocation.

1 Introduction
Over the decades, wireless communications has emerged as the most agile
and economical measure to connect people. From analogue telephony sys-
tems to high-speed data services with voice, it has gradually enhanced itself.
With ongoing 5G rollouts and trials, the expectations are on the peak for
data connectivity. Data-starved applications like multiplayer gaming, 4D
video streaming, Ubiquitous connectivity, and many more has increased
the mobile data traffic multifold. From the facts cited in Ericsson Mobility
Report 2019 [1], the mobile data traffic will reach percent by 2024 and
in [2], amid Covid-19 pandemic, uneven mobile data traffic distributions
in residential and commercial landscapes. It also highlighted sharp increase
in the voice calls. To meet the dynamic and expediting demands with new
generation of wireless solutions, both Industry and Academia are struggling
with one of the preeminent challenge of spectrum scarcity. Spectrum is the
“OIL” in wireless systems as it restricts mobile network operators (MNOs) to
provide services in terms of speed and coverage. Industries today needs more
spectrum to address their beyond 5G use cases. An effective and concrete
spectrum management and sharing techniques are the need to outweigh the
challenge without exceeding the cost-constraints. The concept exploiting
of millimetre wave (mmWave) frequencies was introduced by the Third
Generation Partnership Project (3GPP) [3] as a measure to cancel out the
scarcity of free spectrum below 6 GHz band in 5G standardization process.
The mmWave spectrum offer high data rates but has challenges like high
path loss and sensitivity to antennae, etc. In the present deployment scenario
of spectrum, a huge amount is wasted or is under-utilized. Spectrum allotted
to a particular MNO is not utilized if it is not providing any services in a
particular region and thus, blocks the valuable resource. Therefore, measures
to have techniques to increase spectrum is still critical.
In this survey paper, we will describe important parameters to achieve
high spectral efficiency. Overall challenges in context of spectrum manage-
ment and spectrum sharing technologies. In this paper, we will highlight
• Spectrum;
• 5G Spectrum Requirements
• Techniques for Spectrum Management
 Spectrum Sharing and Dynamic Spectrum Management Techniques 67

2 Why Spectrum is Critical?

Spectrum, in wireless community comprehends to the radio frequencies (RF)
used for communication over the air interfaces. It carries information over
number of applications ranging from broadcast systems, mobile telephony,
activity trackers, WiFi, etc. to critical emergency networks and defence
operation. The RF spectrum spans from 30 Hz to 300 GHz frequency range
and its usage is governed by the Nation’s Spectrum Policies in associ-
ation with the International Telecommunication Union (ITU) through its
Radio-Communication Sector (ITU-R) [4, 5]. ITU-R is also responsible for
standardization activities and best practices for Spectrum Management.
Regardless of the broad RF range, only few frequency bands are success-
fully used constraints to factors like propagation characteristics, penetration
loss, path loss, device compatibility, etc. The demand for services from
each coming generation of technology is increasing at a rate, which fail
to meet spectrum availability. It is the elementary requirement of the wire-
less systems to achieve higher data rate. In addition, the concentration of
connected devices is enormous and it is expected to be more with 5G
and beyond systems. These connected devices are diverse in nature and
functionality. These includes mobile phones, autonomous vehicles, Fitness
Trackers, Industries, Education services, Healthcare services, aerial vehi-
cles. High-definition (HD) live streaming and many more. Spectrums, being
scarce in nature urges for better techniques to incorporate allocation and
management of spectrum bands. The broader spectrum or frequency bands
support huge data transmission. Figure 1 illustrates the relationship between
frequency, data transmission range and capacity. Higher frequencies support
short-ranged communication with broader capacity wherein low frequencies
support long-range communication but smaller capacity.

2.1 Spectrum Allocation: Licensed, Unlicensed and Shared

Spectrum
Developing technologies and connectivity has increased the volume of data
transmitted per second and overall congestion in spectrum. This has entailed
for efficient techniques to make best use of available and usable accessible
frequency spectrum. Spectrum Allocation is governed by individual National
policies and usage is regulated through licensing of the spectrum bands.
The spectrum bands allocated for exclusive usage are the ‘Licensed’ bands
while the spectrum free to use by devices are categorized as ‘Unlicensed’
bands. Licensed bands allows efficient usage of assigned frequencies and
68 Nidhi et al.

Figure 1 Frequency and capacity mapping.

easy interference management. Unlicensed bands have more devices and it

makes interference management difficult because of adjacent devices. 900
MHz, 2.4 GHz and 5.8 GHz frequency bands are exploited under unlicensed
category. The 60 GHz band is also in the unlicensed band [8]. The advancing
technology has opened up new higher frequencies like above 6 GHz, 24–28
GHz millimetre wave spectrum, Terahertz bands, etc. Although new bands
are available but the question remains for the practical accessibility w.r.t.
regulations, cost and feasibility.

2.2 Spectrum Sharing

The frequency allocation data affirms the assignment of major part of the
frequency bands. This leaves behind a very few unused frequencies for
practical use [7]. The fact that there is a possibility that not all the frequencies
allocated to a user is operational all the time. This concept is based on the idle
time of a licensed band. Techniques to use the free/unused frequencies of the
allocated licensed spectrum in certain time or space by other user/service
provider, forms the fundamental of spectrum sharing. The techniques like
dynamic spectrum access (DSA), opportunistic spectrum access (OSA) sup-
ports the dynamic management of the spectrum. The cognitive radio (CR)
also provides technique to use unused spectrum from both licensed and
unlicensed bands to achieve high spectral efficiency [6]. Spectrum sharing
is critical in the future networks to support the millions of internet of things
(IoT) devices, connected industries, vehicles, etc. in addition to existing
mobile traffic. The different spectrum sharing techniques and regulations are
 Spectrum Sharing and Dynamic Spectrum Management Techniques 69

available like citizens broadband radio service (CBRS), TV white space,

Spectrum Harmonization [8], Light Licensing, etc. for efficient spectrum
utilization. With each generation of mobile communication, new spectrum
policies and techniques come. The main aim is to use the available spectrum
efficiently. CBRS allows set of techniques for efficient use of the mid-band
spectrum (3–24 GHz) where TV white space allows identifying unserved or
under-served frequencies in TV spectrum. Spectrum Harmonization indicates
the uniform RF spectrum band allocation including technical specifications
both at regional and global levels. It aims at minimizing the interference at
handovers and expedite global roaming concept. Light licensing technique
let the users utilized the frequency in primary secondary usage basis capped
with geo-locations and spectrum sensing to avoid interference. It is primarily
used in 3.65-3.7 GHz and 70/80 GHz bands. New dimensions will emerge
with simultaneous usage of both licensed and unlicensed spectrum. It will
provide flexibility for ne deployment scenarios as more spectrum directly
proportionate to higher capacity and higher spectral gains. It allows MNOs
the freedom to explore new service and business model.
Spectrum sharing (SS) allows having a cost efficient means to utilize
available spectrum and sharing the cost for licensing among multiple MNOs
if applicable. SS is investigated in various studies in terms of interference
minimization, license sharing, spectrum trading, secondary-primary user, etc.
In [16], the concept of spectrum pooling and renting. Spectrum pooling
allows MNOs to share the licensed bands under national regulatory poli-
cies and renting permits MNOs to rent out spectrums owned by other to
maximize capacity. Licensed Shared Access (LSA) is the SS technique for
licensed bands while Licensed Assisted Access (LAA) facilitate sharing for
unlicensed access. LAA is a critical part in LTE-U (LTE Unlicensed) and
operates in 60 GHz band [15, 16].
Different SS techniques include trading, relaying, routing, harvesting, etc.
of the spectrum [15]. These techniques contribute to enhance the spectral and
energy efficiency along with capacity of the system. Spectrum trading is an
important consideration as it facilitate economical-efficient use of spectrums
[15, 16]. In spectrum trading, a time-based license of the spectrum is allotted
to secondary user. Figure 2 illustrates different spectrum sensing facets.

2.3 Spectrum Comparison in Wireless Generations

The spectrum bands and operating frequencies evolve with the each advanc-
ing generation of the mobile communication. The past generations of cellular,
70 Nidhi et al.

Internal Sensing

External Sensing
Approaches
Beacon

Geo-location

Device centric Centralized

Cooperative Sensing
Cooperative Distributed
Standards
Spectrum Sensing

External Sensing
Reactive Sensing

Multi-RAT
Matched Filtering
Consideration

Multi-Dimensional
Energy Detector
Spectrum Sensing

Enabling Algorithms Spectral Correlation

Radio Identification
based sensing

Waveform based
Sensing

Hardware
Constraints

Spread Spectrum
Users
Challenges
Security

Sensing Frequency
and Duration

Figure 2 Spectrum sensing facets [23].

 Spectrum Sharing and Dynamic Spectrum Management Techniques 71

WCDMA/ OFDMA/ 5G
1G GSM/2G CDMA/2G
3G 4G LTE (NOMA/OFD
M/GFDM)
600-700
AMPS 850 800 MHz
850 450MHz-
800 MHz MHz, MHz, MHz, 6 GHz
1900 1900 1,900 1700-2100
MHz MHz MHz MHz,
NMTS 24.25-
2,100 52.6 GHz
450 & MHz
900 MHz 1900 MHz
5925-7150
MHz
2500-2700
TACS 900 MHz
MHZ 64-86 GHz

Figure 3 Spectrum bands in cellular generations.

had all licensed spectrum bands. Figure 3 illustrates briefly the spectrum
bands associated with previous generations of mobile communications.
Different access technologies supported the efficient usage of the same
frequency bands in higher generations like Code Division Multiple Access
(CDMA), Wideband Code Division Multiple Access (WCDMA), Orthogonal
frequency-division multiple access (OFDMA), etc. In 4G LTE, 2.3–2.5 GHz
spectrum bands were included in addition to 600 MHz, 700 MHz, etc.
The concern is deeper in case of 5G Spectrum because of the increase
in spectrum-hungry applications, congested sub-6 GHz frequency bands [9]
and physical constraints in terms of bandwidth and throughput. The addition
of unlicensed and shared spectrum bands [10] adds up to the complexities.
Three different operating bands are specified for 5G in coexistence with the
LTE frequencies that can be exploited using frequency division duplex (FDD)
and time division duplex (TDD) technologies to share spectrum. Figure 4
sums up the advantages and disadvantages of the three spectrum bands.
The spectrum band ranges from 450 MHz to 6 GHz in sub-6 GHz range,
labelled as FR1 and extends up to 52.6 GHz in millimetre waves, labelled as
FR2. The 3GPP release 15 [3, 11] outlined 5G New Radio Non-standalone
(5G NR) standards and range of frequencies namely FR1 and FR2. The
frequencies 5.9–7.125 GHz are being considered for unlicensed bands. It also
charted new waveforms like Discrete Fourier Transform Spread Orthogonal
Frequency Division Multiplexing (DFT-S-OFDM) and Cyclic Prefix OFDM
72 Nidhi et al.

•Advantage:
Low-Band •Great coverage area and wall penetration
Spectrum •Disadvantage:
•Peak data speeds up to 100Mbps.

•Advantage:
•It provides faster speeds
•Lower latency than low-band.
Mid-Band
•Disadvantage:
Spectrum
•It fails to penetrate buildings as effectively as low-band
spectrum.
•Peak data rate up to 1Gbps

•Advantage:
•It can offer peak speeds up to 10Gbps
High-Band •Extremely low latency.
Spectrum •Disadvantage:
•Low coverage area
•Building penetration is poor

Figure 4 5G spectrum bands.

(CP-OFDM) for FR1, FR2 respectively, and modulation techniques like π/2
BPSK [3] to incorporate in 5G and beyond network designs. The concept of
having small cells [12] derived to mitigate the challenges imposed by high
spectrum bands like poor to no penetration capability and low coverage area.

3 Dynamic Spectrum Management

Dynamic spectrum management (DSM) defines a set of efficient spectrum
management techniques. The techniques aim to improve either one or many
of the key performance parameters like QoS, battery life, energy consump-
tion, interference, etc. by allowing Radios to share multiple frequencies
without causing interference. It facilitates sharing of wireless channels on co-
primary basis between licensed and unlicensed users [13]. Frequency, space
and time are key considerations for DSM. The Dynamic Spectrum Alliance
(DSA) [14] supervises the spectrum usage and set required regulations for the
same. The frequencies are dynamically allocated, constraint to its availability
in terms of space and time. The management of required bandwidth, estima-
tion and mitigation of interference, cross-layer optimization, etc. holds key
importance in technical implementation of DSM. The application of artificial
 Spectrum Sharing and Dynamic Spectrum Management Techniques 73

Dynamic Spectrum Access

Spectrum Property Rights
Dynamic Exclusive Use
Model
Dynamic Spectrum Allocation

Open Sharing Model

Spectrum Underlay (Ultra
Wide Band)
Hierarchical Access Model
Spectrum Overlay
(Opportunistic Spectrum
Access)

Figure 5 Dynamic spectrum management approaches.

intelligence (AI) and machine learning (ML) in spectrum sensing is useful in

future networks.
DSM is one of the core requirement for spectrum sharing techniques
especially in case of users with different spectrum requirements. Figure 5
illustrates different dynamic access approach [24]. To make efficient uti-
lization of the idle of TV white space (TVWS) bands, different constraints
has been discussed which includes LSA considerations [17] and propagation
characteristics of mm-Wave [18]. Opportunistic spectrum sensing (OSS)
technique [19] is used for identification of unused or free frequencies in
the licensed spectrum that can be allotted to secondary user(s). OSS facil-
itate freedom to utilize auctioned spectrum band if in idle state. Several
algorithms to predict spectrum idle state in order to have intelligent DSM
techniques have been proposed that particularly considered factors like user
mobility [20], network heterogeneity, vehicular connectivity [21], etc. have
been a topic of interest. In [22] proposed layered spectrum management
scheme considering poor signal-to-noise environments. They considered the
knowledge of the spectrum as the elementary component. AI and ML have
shown promising results in implementing DSM schemes [25]. They have
shown AI-based solutions are flexible, and adaptive which yields improved
spectral efficiency.

4 Conclusions
For 5G and beyond networks DSS and SS techniques are prominent. We
presented an overview of spectrum, various aspects of spectrum sharing and
74 Nidhi et al.

dynamic spectrum management techniques that can enhance both spectral

and energy efficiency. The survey was highlighted economical as well as
technical angles. For spectrum sensing, an AI and ML approach could be
beneficial in ultra-dense heterogeneous environment. We have also seen con-
siderable perquisites of employing DSM techniques. Some key advantages
are mentioned as following;
• Enhance overall system performance
• Provides flexible platform for dynamic technologies like implementing
MIMO systems, cognitive radio, etc.
• High spectral and energy efficiency
• It complements resource management and allocation strategies
• Provide interference management caused by adjacent frequencies
• Provide better frequency reuse technique
Also with new 5G spectrum, integration of different bands will be critical
and demand spectrum harmonization. More concrete solutions are needed on
spectrum front as with small cell deployments and Internet of things (IoT)
densification will add on to the existing spectrum, spectrum sensing and
interference challenges. Interference management and awareness schemes
can be a promising solution to cater high mobility and capacity demands.

Acknowledgement
This work has received funding from the European Union’s Horizon 2020
research and innovation programme under the Marie Skłodowska-Curie ETN
TeamUp5G, grant agreement No. 813391.

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Biographies

Nidhi is a Ph.D. student at the Aarhus University in the Department of

Business Development and Technology at Herning, Denmark. She is an
Early-Stage Researcher in the project TeamUp5G, a European Training Net-
work in the frame of (MSCA ITN) of the European Commission’s Horizon
 Spectrum Sharing and Dynamic Spectrum Management Techniques 77

2020 framework. Nidhi received her Bachelor’s degree in Electronics and

Telecommunication Engineering in 2013. She attended the Birla Institute
of Technology, Mesra -– India, where she received her Masters’ degree in
Electronics and Communication (Wireless Communication) in 2015. She
worked with CTIF India (2015–2017) as Full-time Researcher. She worked
with MNCs during 2017–2019 as Senior Communication Engineer. Her
Ph.D. work focusses on achieving high spectral efficiency with 6G Networks.

Albena Mihovska is Associate Professor at the Department of Business

Development and Technology, Aarhus BSS, Aarhus University, Denmark.
She has been with the Department of Business Development and Technology,
Aarhus BSS, Aarhus University since February 2017. She received her PhD
in Mobile wireless communications, Aalborg University, Denmark. Albena
Mihovska is currently teaching a 1st-semester course in the B.Sc. and GMM
programs and is a supervisor of TS and master projects the Cand. Polyt
program.

Ramjee Prasad, Fellow IEEE, IET, IETE, and WWRF, is a Professor of

Future Technologies for Business Ecosystem Innovation (FT4BI) in the
Department of Business Development and Technology, Aarhus University,
Herning, Denmark. He is the Founder President of the CTIF Global Capsule
(CGC). He is also the Founder Chairman of the Global ICT Standardization
 78 Nidhi et al.

Forum for India, established in 2009. He has been honored by the University
of Rome “Tor Vergata”, Italy as a Distinguished Professor of the Department
of Clinical Sciences and Translational Medicine on March 15, 2016. He is
Honorary Professor of University of Cape Town, South Africa, and University
of KwaZulu-Natal, South Africa. He has received Ridderkorset af Dannebro-
gordenen (Knight of the Dannebrog) in 2010 from the Danish Queen for the
internationalization of top-class telecommunication research and education.
He has received several international awards such as: IEEE Communications
Society Wireless Communications Technical Committee Recognition Award
in 2003 for making contribution in the field of “Personal, Wireless and Mobile
Systems and Networks”, Telenor’s Research Award in 2005 for impres-
sive merits, both academic and organizational within the field of wireless
and personal communication, 2014 IEEE AESS Outstanding Organizational
Leadership Award for: “Organizational Leadership in developing and global-
izing the CTIF (Center for TeleInFrastruktur) Research Network”, and so on.
He has been Project Coordinator of several EC projects namely, MAGNET,
MAGNET Beyond, eWALL. He has published more than 50 books, 1000
plus journal and conference publications, more than 15 patents, over 140 PhD
Graduates and larger number of Masters (over 250). Several of his students
are today worldwide telecommunication leaders themselves.

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