# Patent

## Title
Automated spectrum exchange system and method

## Abstract

A method for the transfer of rights associated with spectrum between parties in which spectrum is a tradable commodity. In one embodiment, data is received from a spectrum holder that defines a spectrum offering by frequency, time, and geographic area to identify available spectrum from the holder. A spectrum query that defines aspects of spectrum being sought by a spectrum user is also received and matched to one or more spectrum offerings. A transactional process is hosted by receiving a bid or rebid from the spectrum user for a matched spectrum offering and receiving a counteroffer from the spectrum holder that posted the matched spectrum offering. Each spectrum offering, bid, rebid, and counteroffer specifies price, frequency, time, and geographic area information in a standardized format to allow parties to market, locate, and transfer spectrum use rights with relative ease, faster transaction time, and lower expense.

## Background
TECHNICAL FIELD OF THE INVENTION
The technology of the present disclosure relates generally to wireless communications infrastructure and, more particularly, to an automated spectrum exchange system and method for transferring spectrum use rights.
BACKGROUND
Wireless networks and systems are becoming increasingly popular. But the deployment of wireless communications infrastructure is constrained due to a lack of available, interference free spectrum that may be used for reliable communications within a geographic area.
To enhance the availability and reliability of interference free spectrum, procedures that are governed by regulatory agencies (e.g., the Federal Communications Commission (FCC) in the United States) have been developed for allocating and governing spectrum use. In the U.S., for example, the FCC licenses spectrum in a primary spectrum market to Commission licensees.
A secondary market exists for the Commission licensees to sublease spectrum for use by other parties. Conventional secondary market leases involve the wholesaling of a spectrum holder's spectrum to another party. This is a one party to one party transaction in which use rights for an entire monolithic block of spectrum are “manually” transferred. These transfers have high overhead and transaction costs because they involve significant effort by an individual(s) to seek a buyer or seller of spectrum rights, analyze spectrum suitability, and file compliance documentation once a transaction is made. Also, the current secondary market for licensed spectrum lacks the technology to accommodate complicated transactions involving the transfer of only a portion of a commission license's use rights in terms of geographic area, duration and/or frequency.
SUMMARY
To facilitate the transfer of spectrum use rights in the secondary market for licensed spectrum, the present disclosure describes systems and methods for creating an automated spectrum exchange where licensed spectrum is a tradable commodity. Using the spectrum exchange, a holder of licensed spectrum may post an offer to transfer use rights associated with a portion of the holder's licensed spectrum. A user seeking spectrum use rights may search the automated spectrum exchange for spectrum offers that match the user's interests in terms of time, geographical area, and/or frequency. If a match is made, the parties may negotiate a spectrum exchange transaction for the transfer of the matching spectrum by submitting, for example, bids, rebids, and counteroffers. A graphical user interface may be provided to facilitate the designation of certain aspects of spectrum, such as geographical boundaries. Also, the parties may be presented with a graphical representation of licensed spectrum, existing spectrum usage, and/or competing bids in order to help facilitate the transfer of spectrum use rights. In this manner, the automated spectrum exchange allows parties to market, locate, and transfer spectrum use rights with relative ease, faster transaction time, and lower expense.
According to one aspect of the invention, a computer implemented method of providing an automated spectrum exchange in which spectrum is a tradable commodity includes receiving data from a spectrum holder that defines a spectrum offering by frequency, time, and geographic area to identify available spectrum from the holder. The method also includes storing the spectrum offering in a database as a posting of the spectrum offering, receiving a spectrum query that defines aspects of spectrum being sought by a spectrum user, and matching the spectrum query to one or more spectrum offerings. The method further includes hosting a transactional process, which includes receiving a bid or rebid from the spectrum user for a matched spectrum offering and receiving a counteroffer from the spectrum holder that posted the matched spectrum offering. Each spectrum offering, bid, rebid, and counteroffer specifies price, frequency, time, and geographic area information in a standardized format.
According to one embodiment of the method, the method further includes identifying a competing bid for the matched spectrum offering for which the bid or rebid is received, wherein the competing bid is submitted by a third party, and alerting the user to the identified competing bid and to price, frequency, time, and geographic area information contained in the competing bid.
According to one embodiment of the method, the geographic area of the spectrum offering is expressed in a standardized format by associating uniformly sized and shaped cells with a geographical area serviced by the automated spectrum exchange, assigning a unique identifier to each cell, and expressing the geographic area of the spectrum offering in terms of the cell identifiers of the cells that correspond to the geographic area of the spectrum offering.
According to one embodiment of the method, matching the spectrum query to the matched spectrum offering includes matching a cell identifier corresponding to a geographic area specified in the spectrum query with at least one cell identifier associated with the matched spectrum offering.
According to one embodiment of the method, the frequency associated with the spectrum offering is expressed in a standardized format for each cell identifier associated with the spectrum offering.
According to one embodiment of the method, the method further includes graphically displaying a map of the geographic area of the spectrum offering and displaying the uniformly sized and shaped cells together with the map, and graphically distinguishing cells that are part of the spectrum offering from cells that are not part of the spectrum offering.
According to one embodiment of the method, the method further includes, for a selected cell, displaying a frequency versus time graph that graphically represents spectrum usage within the geographical area associated with the selected cell, spectrum usage being determined by at least one of actual spectrum use, an existing transfer of spectrum use rights, or a designation by the holder.
According another aspect of the invention, a computer implemented method of specifying aspects of spectrum in a standardized format includes, for a geographic area serviced by an automated spectrum exchange, sectioning the geographic area into a plurality of non-overlapping cells that each represent the same unit area and assigning a unique identifier to each cell. The method also includes, for a frequency condition, assigning a condition value to each cell so as to indicate information about spectrum in the geographic area associated with the cell.
According to one embodiment of the method, the method further includes, for a selected cell, displaying a frequency versus time graph that graphically represents spectrum usage within the geographical area associated with the selected cell, spectrum usage being determined by at least one of actual spectrum use, an existing transfer of spectrum use rights, or a designation by the holder.
According to one embodiment of the method, the condition is spectrum availability based on use or non-use by a spectrum holder for the spectrum in the geographic area associated with the cell.
According to one embodiment of the method, spectrum use includes a transfer of spectrum use rights to another by the holder.
According to one embodiment of the method, the method further includes graphically displaying a map of at least part of the geographic area and displaying the uniformly sized and shaped cells together with the map, and graphically distinguishing cells that are in use from cells that are not in use.
According to one embodiment of the method, the condition is whether spectrum in the cell is offered or not offered as part of a spectrum offering by a spectrum holder.
According to one embodiment of the method, the method further includes converting a frequency parameter associated with offered spectrum into a frequency identifier that conforms to a standardized format for identifying frequency.
According to one embodiment of the method, for each cell associated with the spectrum offering, the frequency identifier and the cell identifier are expressed together to represent the corresponding two-dimensional geographic area and frequency in a standardized form.
According to one embodiment of the method, the method further includes matching a spectrum query from a spectrum user to the spectrum offering, wherein the spectrum query expresses geography using the cell identifiers.
According to one embodiment of the method, the method further includes graphically displaying a map of at least part of the geographic area and displaying the uniformly sized and shaped cells together with the map, and graphically distinguishing cells that are part of the spectrum offering from cells that are not part of the spectrum offering.
According to one embodiment of the method, the condition is whether spectrum in the cell is desired by a user.
According to one embodiment of the method, the method further includes graphically displaying a map of at least part of the geographic area and displaying the uniformly sized and shaped cells together with the map, and graphically distinguishing cells that are desired by the user from cells that are not desired by the user.
These and further features will be apparent with reference to the following description and attached drawings. In the description and drawings, particular embodiments of the invention have been disclosed in detail as being indicative of some of the ways in which the principles of the invention may be employed, but it is understood that the invention is not limited correspondingly in scope. Rather, the invention includes all changes, modifications and equivalents coming within the scope of the claims appended hereto.
Features that are described and/or illustrated with respect to one embodiment may be used in the same way or in a similar way in one or more other embodiments and/or in combination with or instead of the features of the other embodiments.



BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a schematic view of an exemplary automated spectrum exchange system;
FIG. 2 is a flow chart representing an exemplary method of implementing an automated spectrum exchange system;
FIG. 3 is a schematic diagram of state transitions in an exemplary spectrum exchange transaction between a spectrum holder and user;
FIGS. 4A-4C depict exemplary maps that a spectrum holder or user may use to designate the geographical boundaries of specific spectrum;
FIG. 5 depicts an exemplary frequency-geography grid layer overlaying a map; and
FIG. 6 is a schematic graph of the frequency ranges and time intervals of existing spectrum leases in a given geographical area.



DETAILED DESCRIPTION OF EMBODIMENTS
Embodiments will now be described with reference to the drawings, wherein like reference numerals are used to refer to like elements throughout. It will be understood that the figures are not necessarily to scale.
A. Overview
A(1). Parties
In this document, described are various entities that may have a relationship to electromagnetic spectrum for use in wireless communications. One entity is a spectrum holder, or simply a holder. A holder is any entity having the authority to release spectrum use to another entity by granting the other entity access to the spectrum. The granting of access may be a temporary permission to use spectrum that is associated with the holder. Therefore, the access grant need not be a lease or a sublease, as defined by the FCC. The holder may be, but is not limited to, a government or regulatory agency (e.g., in the United States, the FCC), a Commission licensee (e.g., in the United States, an entity that has licensed spectrum directly from the FCC in the primary spectrum market), or a secondary market licensee. The term Commission licensee includes a holder that licenses spectrum from an appropriate regulatory entity in places other than the United States.
Another entity is a spectrum user, or simply a user. A spectrum user is any entity or wireless communications system that has a need for spectrum in order to carry out wireless communications. The spectrum user also may be a holder. A spectrum user may be distinguishable from a human operator of a computer-based system. Such a human operator also may be referred to as a “user,” but the context of use will suffice to differentiate a spectrum user from a computer system user.
Another entity is a spectrum broker. A spectrum broker is any entity that hosts an automated spectrum exchange that matches available spectrum from holders to the spectrum needs of users. Use rights for the matched spectrum may then be transferred from the holder to the user under specified parameters, such as time duration, geography, transmission power, spectral mask, etc. Additional description of such an exchange of spectrum is described in U.S. patent application Ser. No. 12/042,543, filed Mar. 5, 2008, the disclosure of which is incorporated herein by reference in its entirety.
The spectrum broker may be a holder, a user or a third party. In some instances, the term broker may be used to refer to a device or system that hosts a spectrum exchange function and is not to be confused with an entity that owns or operates the corresponding device or system.
Another entity is a spectrum intermediary. The spectrum intermediary may host a spectrum exchange and, therefore, may be the same entity as a spectrum broker. In other embodiments, there may be a spectrum intermediary and a spectrum broker. In some embodiments, the spectrum intermediary may be a market maker that acquires spectrum rights from a holder and makes that spectrum available to users. In other embodiments, the spectrum intermediary may be considered an investor or speculator that acquires rights from the holder to offer spectrum use rights in the spectrum to others. These use rights may be in the form of immediate or future use rights, options, futures, and so forth. Therefore, the intermediary may transfer all or part of its rights to offer spectrum use rights to another spectrum intermediary or to an actual spectrum user.
A(2). Wireless Communications Context
Aspects of the disclosed systems and methods are independent of the type or types of radio devices that may use spectrum. As such, the systems and methods may be applied in any operational context for wireless communications, and wireless communications are expressly intended to encompass unidirectional signal transmissions (e.g., broadcasting of a signal for receipt by a device without response) and to encompass bidirectional communications where devices engage in the exchange of signals. The methods and systems may be applied to dumb and/or cognitive radio devices. The methods and systems may be applied to licensed or unlicensed spectrum. Furthermore, the methods and systems are generic to modulation schemes, harmonic considerations, frequency bands or channels used by the radio devices, the type of data or information that is transmitted, how the radio devices use received information, and other similar communications considerations. Thus, the systems and methods have application in any suitable environment.
A(3). General Considerations
This disclosure describes techniques that facilitate the automated transfer of use rights associated with spectrum. As will become more apparent, the systems and methods allow for the ultimate transfer of spectrum use rights from a holder (e.g., a Commission licensee) to a spectrum user by making information related to available and needed spectrum accessible to the parties. The systems and methods also simplify a transactional process between the parties. Therefore, the transaction costs and complexity involved in transferring or acquiring spectrum use rights may be fairly low when using the disclosed systems and/or methods.
In many instances, a holder may be interested in apportioning some of its spectrum so that the holder may offer a resulting portion of spectrum to another entity, but the holder may maintain use rights in the remainder of the spectrum or allow another user to use other portions of the spectrum. A holder may apportion its spectrum according to any combination of geography (referred to as partitioning the holder's spectrum), frequency or channel plan (referred to as disaggregating the holder's spectrum), and time (referred to as time-slicing the holder's spectrum). For example, a license may be partitioned into one or more parts along any geographic boundary that is inside the original license area. Identifiable partition areas may be as small as a single city block (or smaller) or as large as a state or entire national region, as long as each partition fits inside the original license boundary. Disaggregation of licensed spectrum refers to the situation where a spectrum holder divides up a spectrum license by frequency or channels. For example, a 10 megahertz (MHz) license could be disaggregated into two 5 MHz parts, or ten 1 MHz parts, or any other combination totaling up to, but not exceeding the entire amount of licensed frequency. Therefore, using a combination of partitioning, disaggregation, and time-slicing, any part of a spectrum license in terms of geography, frequency (or channel) and/or duration may be identified, and rights associated with that portion of spectrum may be offered to another entity or reallocated back to the holder.
Similarly, a user may be interested in obtaining use rights in spectrum for a period of time, in a geographic area and/or for the support of throughput that is smaller than the total use rights supported by a holder's entire spectrum holding. These use rights may be acquired by obtaining spectrum use rights that have been apportioned from the larger spectrum holdings of another entity.
Each apportioned segment of spectrum for which access permission may be transferred may be identified by several components, and each component is defined by one or more variables. Exemplary components include a time window, a frequency-based spectral mask, a geography-based emission mask, and a transmitted power limit. Also, radios operating under spectrum use rights that have been transferred from a holder to a user may be controlled with a data object known as a spectrum certificate. The spectrum certificate may contain at least one spectrum-related variable under which the radio(s) associated with the spectrum user system is to engage in wireless communications. Additional details regarding the apportionment of spectrum and the issuance of spectrum certificates may be found in the above-mentioned U.S. patent application Ser. No. 12/042,543, filed Mar. 5, 2008.
The time window for the apportionment of spectrum may be a period of time that has a starting point given by a date and time and an ending point given by a date and time. Alternatively, the time window may be a period of time specified by a starting time and a duration. The time window may be as short as a second and as long as years.
The frequency-based spectral mask, as is known in the art, may be a mathematically defined set of lines applied to levels of radio transmission. The frequency-based spectral mask is generally intended to reduce interference by limiting excessive radiation at frequencies outside a certain bandwidth. Spectral masks often include a center frequency and/or a frequency range. Also, spectral masks often include an absolute power component or a relative power component. For an absolute power component, the frequency-based spectral mask may specify that transmission beyond a specified frequency range must be below a specified power value. For a relative power component, the frequency-based spectral mask may specify that transmission beyond a specified frequency range must be below a relative power value as determined by a function, such as a specified power value below the total amount of power being transmitted.
The geography-based emission mask may include a defined geographical boundary that radios operating in accordance with the emission mask may not appreciably transmit beyond. The geographical boundary specified by the geography-based emission mask may be a complex construct that relates to a contiguous or non-contiguous area. The amount of permissible transmission beyond the geographical boundary may be determined in an absolute manner or a relative manner. For an absolute manner, the geography-based emission mask may specify that transmission beyond the boundary must be below a specified power value. For a relative manner, the geography-based emission mask may specify that transmission beyond the boundary must be below a relative power value as determined by a function, such as a specified power value below the total amount of power being transmitted. In one embodiment, the function used for calculating the relative power value may include a distance parameter so that the relative power value may be calculated as a function of distance away from the boundary or other geographical reference.
The geography-based emission mask, alone or in combination with the time window, the frequency-based spectral mask, and the transmitted power limit, may be established to control an amount of interference that a user system generates with respect to continued operations of the spectrum holder and/or other users.
The transmitted power limit may be a power value that radios operating in accordance with the transmitted power limit may not exceed. The transmitted power limit may be absolute or relative. The transmitted power limit may be independent of the frequency-based spectral mask and/or the geography-based emission mask. The transmitted power limit may be expressed as an average power value (e.g., average total power), a peak power value, or similar value. Exemplary transmitted power limits are 500 milliwatts (mW), one watt (W), 1,000 watts, etc.
B. System Architecture
With reference to FIG. 1, illustrated is a schematic block diagram of a computer-based system 10 capable of executing computer applications (e.g., software programs). The system 10 may include a computer 12. The computer 12 may be configured to execute a spectrum transfer tool 14 and to store a database 16 that contains data regarding spectrum information that is used by the spectrum transfer tool 14.
In one embodiment, the spectrum transfer tool 14 is embodied as one or more computer programs (e.g., one or more software applications including compilations of executable code). The computer program(s) and/or database 16 may be stored on a machine (e.g., computer) readable medium, such as a magnetic, optical, or electronic storage device (e.g., hard disk, optical disk, flash memory, etc.).
To execute the tool 14, the computer 12 may include one or more processors 18 used to execute instructions that carry out a specified logic routine(s). In addition, the computer 12 may have a memory 20 for storing data, logic routine instructions, computer programs, files, operating system instructions, and the like. As illustrated, the tool 14 and the database 16 may be stored by the memory 20. The memory 20 may comprise several devices, including volatile and non-volatile memory components. Accordingly, the memory 20 may include, for example, random access memory (RAM) for acting as system memory, read-only memory (ROM), hard disks, floppy disks, optical disks (e.g., CDs and DVDs), tapes, flash devices, and/or other memory components, plus associated drives, players, and/or readers for the memory devices. The processor 18 and the components of the memory 20 may be coupled using a local interface 22. The local interface 22 may be, for example, a data bus with accompanying control bus, a network, or other subsystem.
The computer 12 may have various video and input/output (I/O) interfaces 24 as well as one or more communications interfaces 26. The interfaces 24 may be used to operatively couple the computer system 10 to various peripherals, such as a display 28, a keyboard 30, a mouse 32, other input devices, a microphone (not shown), a camera (not shown), a scanner (not shown), a printer (not shown), a speaker (not shown), and so forth. The communications interfaces 26 may include, for example, a modem and/or a network interface card. The communications interfaces 26 may enable the computer system 10 to send and receive data signals, voice signals, video signals, and the like to and from other computing devices via an external network 34 (e.g., the Internet, a wide area network (WAN), a local area network (LAN), direct data link, or similar systems). The interface between the computer 12 and any operatively interfaced device or network may be wired or wireless.
The memory 20 may store an operating system 36 that is executed by the processor 18 to control the allocation and usage of resources in the computer 12, as well as provide basic user interface features. Specifically, the operating system 36 controls the allocation and usage of the memory 20, the processing time of the processor 18 dedicated to various applications being executed by the processor 18, and the peripheral devices, as well as performing other functionality. In this manner, the operating system 36 serves as the foundation on which applications, such as the tool 14, depend as is generally known by those with ordinary skill in the art. The operating system 36 also may control much of the user interface environment presented to a user, such as features of the overall graphical user interface (GUI) for the computer 12.
Using the computer 12, a user (e.g., a human operator) may use the tool 14 to carry out the functions described herein. In other embodiments, the computer 12 may be configured as a server that executes the tool 14 to host the functions for another computer, such as a computer system 38 associated with a spectrum holder, a computer system 40 associated with a spectrum user, and/or a computer system 42 associated with a spectrum intermediary. In one embodiment, the computer system 12 may be associated with a first spectrum intermediary. In this case, the computer system 42 may be omitted or the computer system 42 may be associated with a second spectrum intermediary. The client computer systems 38, 40, and 42 may have a similar architecture to the computer 12. For instance, the client computer systems may include a processor configured to execute software containing logical instructions that embody the functions of the client computer systems and a memory to store such software and related data. For example, the client computer systems each may execute an interface tool 44 that allows the respective systems 38, 40 and 42 to interface and share data with the spectrum transfer tool 14. In one embodiment, the interface tool 44 may be custom software. In another embodiment, the tool 14 may host an Internet-style website and the interface tool 44 may be an Internet browser application.
It will be apparent to a person having ordinary skill in the art of computer programming, and specifically in application programming for data collection, data processing, and/or expert systems, how to program the computer system 10 to operate and carry out logical functions associated with the spectrum transfer tool 14, the database 16, and the interface tool 44. Accordingly, details as to specific programming code and database structures have been left out for the sake of brevity. Also, while the tool 14 is executed by a general purpose computing device in accordance with a preferred embodiment, such functionality could also be carried out via dedicated hardware, firmware, software, or combinations thereof.
C. Automated Spectrum Exchange System and Method
As indicated, spectrum in the United States and other areas of the world is licensed to commercial entities by a regulatory authority (e.g., the FCC in the U.S.). However, the present allocation of spectrum is inefficient and fails to meet current demands, leaving portions of licensed spectrum unused and/or underutilized. For example, licensed spectrum may be unused and/or underutilized during a certain period of time (e.g., a year, a month, a day, a minute, etc.), in a certain geographical area (e.g., a state, a city, a zip code, etc.), and/or for a certain frequency range (e.g., 2500 MHz-2506 MHz, etc.). Subsequent transfers of use rights associated with spectrum leases may be made in a secondary market, but such transfers are generally limited to the entire monolithic block of spectrum that is licensed to the spectrum holder. Furthermore, the conventional process of transferring spectrum use rights is costly, time consuming, and complex. Each spectrum-related transaction involves extensive searching and a complicated verification procedure in frequency, geographical, and time dimensions. And certain rules and regulations defined by the regulatory authority must be followed. Thus, the current secondary market for licensed spectrum fails to provide for the efficient and economical allocation of unused and/or underutilized spectrum.
The disclosed approach provides a mechanism to automate the transfer of spectrum use rights. The automated spectrum exchange arranges apportioned spectrum leases on the basis of frequency range, time interval, and geographical area to facilitate the efficient allocation of unused spectrum. The disclosed approach utilizes automated processes to create a spectrum exchange that matches spectrum offers posted by spectrum holders with spectrum queries submitted by spectrum users. In the automated spectrum exchange, spectrum is treated as a tradable commodity that may be acquired by a user through a transactional process with the spectrum holder. For example, spectrum users may submit bids to compete for access to spectrum being offered by spectrum holders, and spectrum holders may transfer the offered spectrum to the highest bidder. Furthermore, the disclosed approach facilitates the apportionment of spectrum on the basis of frequency range, geographical area, and time interval by providing a graphical representation that may be used to specify one or more aspects of specific spectrum. As will be appreciated, the disclosed approach allows transactions involving the efficient allocation of unused and/or underutilized licensed spectrum to be made faster, cheaper, and more precisely.
As an example, suppose that a holder of a spectrum license wishes to apportion unused spectrum covered by their license into several relatively small geographic regions (e.g., a zip code) in order to offer temporary access to the apportioned spectrum to one or more users (e.g., a temporary transfer of spectrum use rights for immediate use by the user). In this circumstance, pinpointing and apportioning unused spectrum along spectral, geographical, and temporal dimensions would conventionally require a highly manual procedure with high overhead and transaction costs. In addition, FCC rules would need to be followed to the extent that the transaction may be undermined due to the time and cost involved in the compliance effort. Furthermore, in order to locate interested spectrum users, the holder would have to undertake a one-on-one marketing scheme in which the holder seeks out individual users with spectrum needs that exactly match the holder's spectrum offer. As a result, the costs and regulatory delay would make an otherwise efficient use of spectrum into an uneconomical and impractical undertaking.
The disclosed approach addresses the above issues by using, for example, the spectrum transfer tool 14 to create an automated spectrum exchange that quickly and cost-effectively matches spectrum needs to available spectrum offers. The spectrum exchange requires minimal information to be conveyed between the holder and user for the temporary transfer of spectrum use rights. Via the spectrum exchange, parties may track historical and current data regarding spectrum licenses, spectrum usage, and spectrum access right transfers so that a determination may be made of what spectrum is being used and where. The holder may have access to financial data in terms of how much was paid for previous spectrum use transfers so as to appropriately price apportioned spectrum. Users may have access to the same historical price data.
Through the execution of the spectrum transfer tool 14, computer technology is leveraged to facilitate the creation of an automated spectrum exchange. For example, an exchange transaction process may take place using the spectrum transfer tool 14, which may be made available to holders, users, and/or intermediaries by a spectrum broker.
In the following paragraphs, automated processes that support the establishment of an automated spectrum exchange in accordance with the disclosed approach will be described. In particular, a description of how a spectrum holder and a spectrum user interact with the spectrum transfer tool 14 and the functions of the spectrum transfer tool 14 will be provided. This will be followed by a description of the transactional process that may occur between parties involved in a spectrum exchange transaction. There will also be a description of how the spectrum transfer tool 14 may be used to define a geographical area of specific spectrum and graphically represent spectrum usage in the defined geographical area.
FIG. 2 illustrates an exemplary logical flow of steps that may be used to support the establishment of an automated spectrum exchange according to the disclosed approach. This process may start in block 50 where the spectrum transfer tool 14 receives spectrum information from a spectrum license holder. The holder may provide information about spectrum that the holder wants to make available for transfer as a spectrum offering using the spectrum exchange. The spectrum offering may encompass a holder's entire licensed area. Or the spectrum offering may cover only a portion of the holder's licensed area. Alternatively, the holder may provide information about spectrum that the holder wants to “reserve” (e.g., make unavailable for transfer). For example, a portion of the holder's licensed area may be designated for use by the holder or may have been previously transferred to another user.
The spectrum information provided by the holder may be entered into the spectrum transfer tool 14 through the interface tool 44 of the holder computer system 38. These tools 14, 44 may establish a graphical user interface that allows the holder to quickly and efficiently define desired aspects of specific spectrum (see, e.g., the discussion of FIGS. 4-5 below). Aspects of spectrum specified by the received information may include frequency range or channel plan, geographical area, time interval, spectral mask, initial asking price, reserve price, holder identifier, offering type, etc.
If a holder is new to the spectrum exchange (e.g., is not a registered member), the holder may be asked to complete a member registration process using, for example, the spectrum transfer tool 14. The registration process may include verification of the holder's identity and current FCC licenses. After passing verification, the holder may use the spectrum transfer tool 14 to define aspects of the holder's licensed spectrum. For example, the holder may designate the location of the holder's licensed spectrum using the spectrum transfer tool 14, as described below in relation to FIGS. 4-5. Once the holder's entire licensed spectrum has been defined, the holder may select a portion of licensed spectrum to “post” or “list” as an spectrum offering on the spectrum exchange using the spectrum transfer tool 14, as described herein. Additional details regarding spectrum holder registration may be found in U.S. patent application Ser. No. 12/327,912, filed Dec. 4, 2008, the disclosure of which is incorporated herein by reference in its entirety.
The logical flow may then proceed to block 52 where the spectrum transfer tool 14 stores the information received from the holder. For example, the information regarding a spectrum offering may be stored in a spectrum offering database that stores all spectrum offerings that have been “posted” (also referred to as “listed”) on the spectrum exchange. A spectrum offering is considered to have been “posted” or “listed” on the spectrum exchange once the information is stored in the spectrum offering database and made available for search by a spectrum user, as discussed below. In one embodiment, the spectrum offering database may be included in database 16.
In block 54, the spectrum transfer tool 14 receives a query from a spectrum user that is interested in searching the spectrum exchange for specific spectrum. Queries also may be submitted by a spectrum intermediary, but the following logical flow will be described in the exemplary context of a user that seeks spectrum. The spectrum query is comprised of search criteria that specify one or more aspects of spectrum. The spectrum aspects specified by the search criteria may include, for example, frequency range or channel plan, geographical area, time interval, application and desired throughput, or any combination thereof. The user's spectrum query may be entered into the spectrum transfer tool 14 through the interface tool 44 of the user computer system 40. The tools 14, 44 may establish a graphical user interface similar to that used by the holder, as discussed above. The spectrum query may be stored in a spectrum demand database. In one embodiment, the spectrum demand database may be included in database 16.
Next, in block 56 the spectrum transfer tool 14 may search, for example, the spectrum offering database for spectrum offerings that match the received spectrum query. The spectrum transfer tool 14 may include a matching engine for comparing the spectrum queries and the spectrum offerings based on, for example, a geographical area, an upper frequency, a lower frequency, a center frequency, a start time, an end time, an application type, an FCC part number, or any combination thereof.
For example, a user may specify a desired geographical area, but may not specify a frequency range of the desired spectrum. A search of the spectrum offering database based on the specified criteria will return any spectrum offering, regardless of the pertinent frequency range, within the user-specified geographical area. In one embodiment, the matching engine may compare the geographical aspects of a spectrum query and a spectrum offering based on unique grid identifiers. As described below with reference to FIG. 5, the spectrum transfer tool 14 may be used to uniformly partition a larger geographical region into a plurality of grid cells. A party may specify a geographical area of interest by selecting one or more corresponding grid cells. Each grid cell is assigned a unique grid identifier, or GID, which may have, for example, a numerical value. This way, the GID transforms geographical information into a standard format, which allows for easy comparison of a spectrum offering and a spectrum query based on geographical area. For example, for a search based on geographical area, the matching engine may search the spectrum offering database for a spectrum offering that has the same GID as specified by the search criteria.
In another example, a user may specify a geographical area and a frequency range of desired spectrum. A search of the spectrum offering database based on these criteria will return any spectrum offering in the specified geographic area that matches the specified frequency range. In one embodiment, the matching engine may compare a spectrum query to spectrum offerings based on frequency-geography identifiers (FGIDs). As described below with reference to FIG. 5, an FGID represents frequency and geography information in a standard format. The spectrum transfer tool 14 may assign an FGID to each spectrum offering and spectrum query, so that the frequency and geography information may be matched in an easy manner. For example, where a user's spectrum query specifies geographical area and frequency range, the matching engine may search the spectrum offering database for spectrum offerings that have an FGID that is the same as the FGID assigned to the spectrum query.
The matching engine also may be configured to match the spectrum query to spectrum offerings based on other criteria, such as application type and desired throughput, FCC part number, and/or specific radio equipment of the user. For example, the matching engine may search for offered spectrum that may be used to implement the type of application specified by the search criteria, considering the appropriate regulatory requirements. For instance, the user may specify a geographical area and use information, together with an amount of desired throughput. Use information may be in the form of a type of wireless communication application, such as cellular telephone service, WiFi, WiMax, private wireless LAN, two way radio service, etc. Other exemplary forms of use information include an FCC part number and/or specific radio equipment. The spectrum transfer tool may translate the specified use information into corresponding frequency values that may satisfy the planned use. These values and the specified geographical area may be matched against the spectrum offerings. In another approach, the frequency of spectrum associated with the offerings may be translated into a predetermined set of classification values and the specified use information may be classified using the same classification values. Then, matching may be made by matching classification values and other considerations, such as time and/or geography. In these approaches, matching is made by effectively comparing the frequency and bandwidth needs of the user to the communications support capabilities of the available spectrum.
The matching engine may be configured to operate on an “all or none” basis, where a match is made when each spectrum aspect specified by the search criteria is exactly met by corresponding aspects of the spectrum offering. For example, a match is made when the frequency criteria, geographical area (e.g., GID), and time interval of a spectrum offering exactly matches the values specified by the search criteria. The “all or none” option may be a default setting of the matching engine. Alternatively, a party may select the “all or none” option when submitting a search.
In one embodiment, a match may also be made when the search criteria are narrower than the matching aspects of the spectrum offering. That is, a match may be made when the desired spectrum is included within the spectrum offering's larger geographical area, larger frequency range or communications support capabilities, and/or larger time interval. For example, when comparing geographical aspects, a match may be made when the GID associated with the search criteria matches one of the GIDs specified by the spectrum offering.
When a user seeks spectrum that falls within a larger spectrum offering, the holder may have the option of refusing to transfer use rights for the smaller portion of spectrum. For example, if the offered spectrum is in high demand, the holder may benefit financially from waiting for a spectrum user that might desire the entire spectrum offering or a larger portion thereof. In this situation, the holder may refuse to transfer, for example, only one of the ten grid cells included in the spectrum offering. However, using the below-described spectrum exchange transactional process (see discussion of FIG. 3), the parties may come to an agreement regarding price, geographical area, frequency range, time interval, etc. On the other hand, if the spectrum is in low demand, the holder may be eager to transfer use rights for any portion of the larger spectrum.
In other embodiments, the matching engine may be configured to search for a “partial match,” where the spectrum query partially matches a spectrum offering based on one or more aspects of spectrum. In one embodiment, the matching engine may be configured to search for a partial match when the “all or none” option is turned off. In another embodiment, the “all or none” matching requirement may be applied individually to each aspect of spectrum, rather than the spectrum query as a whole. Also, a partial match may be made when a spectrum offering matches, exactly or inclusively, the frequency range, the time interval and/or the geographical region (e.g., FGID) specified by the search criteria. That is, a match may be made when there is at least partial overlap among each considered criterion. As will be appreciated, partial overlaps for any combination of time, frequency and geography may be made. As an example, if the user specifies a particular zip code and an offering is for the entire state in which the zip code is found, a match for the geographic region may be made since the user specified area is included in the area of the offering. As another example, if the user specified time is for New Year's Day (e.g., to provide wireless services during a parade) and the time period in the offering is for November 1st to February 28th of the corresponding year, a match may be made. As yet another example, if the user specified March 1st to May 31st and the time period in the offering is for November 3rd of the preceding year to April 15th of the same year, a partial match may be made. The user may be interested in this partial match to satisfy some of its planned spectrum use (e.g., from March 1st to April 15th) and may seek other spectrum to use for the remainder of the time period. The same partial matching may be made for other criteria, such as geographic area and frequency.
By returning partial matches based on a user's search criteria, the automated spectrum exchange promotes the efficient allocation of spectrum use rights. For example, when an exact match is not made based on the submitted search criteria, the spectrum transfer tool 14 may provide the user with partially matching spectrum offerings that are available for the same frequency range but in other geographical areas. The spectrum transfer tool 14 may present these alternatives in the form of a spectrum usage map as described in relation to FIG. 5 below. Based on the spectrum usage map, the user is able to discern which spectrum is available and devise a new query accordingly. For example, the user may submit a new query for spectrum within another geographical area but pertaining to the same frequency range as before. In this manner, the automated spectrum exchange is able to meet the needs of various users.
In the case of a partial match, the spectrum user may select more than one spectrum offering in order to completely fulfill the user's spectrum needs. The spectrum exchange allows users to combine different spectrum offerings to meet spectrum needs as long as regulatory compliance is maintained. Thus, for example, where the matching engine finds a spectrum offering that matches the first half of the time interval specified by the search criteria, the matching engine may also find one or more spectrum offerings that match the second half of the specified time interval.
In block 58, the spectrum transfer tool 14 determines whether one or more matches have been made. If a positive determination is made in block 58, the spectrum transfer tool 14 retrieves the information associated with each matched spectrum offering and displays the offering information for review by the spectrum user. From among the search results, the user may select which spectrum offering to pursue using the transactional process described below with reference to FIG. 3. If a negative determination is made in block 58, the spectrum transfer tool 14 informs the user that no spectrum offerings match the spectrum query. In this instance, the user may choose to revise the current search criteria or submit a new query. For example, the user may submit a new query for spectrum at a different frequency range and/or in a different geographical area. As will be appreciated, a user may submit several unsuccessful spectrum queries before locating a satisfactory spectrum offering or offerings.
In an alternative embodiment, the user may browse spectrum offerings without submitting a query. The user may identify spectrum offering of interest and select that offering to attempt to acquire use rights in some or all of the spectrum identified in the offering. In this case, the logical flow may commence from the point of a positive determination in block 58.
In block 60, the spectrum transfer tool 14 checks to determine whether current spectrum usage and previously arranged spectrum transfers involving future spectrum use conflict with the user's ability to use spectrum associated with a matched spectrum offering. For example, the spectrum transfer tool 14 may check a spectrum usage database to determine whether, for example, the matched spectrum is available for transfer during the time interval specified by the spectrum query. A spectrum usage database stores information regarding which portions of offered spectrum have been transferred using the spectrum exchange and which portions are still available for transfer. When the time interval of a temporary transfer of spectrum ends, the spectrum usage database is updated accordingly. For example, an expired transfer may be removed from the usage database. Conflicting spectrum usage is found, for example, if spectrum use rights during the desired time interval have been transferred to another user or are reserved by the spectrum holder. Also, the spectrum use database may include knowledge regarding how spectrum is or will be used. The checking of block 60 may include using this knowledge to identify potential interference between the current or future use of spectrum and the intended use of the matched spectrum. Therefore, the analysis of block 60 may include consideration of the user's planned use for the spectrum and/or time interval specified in the spectrum query of block 54. In one embodiment, the spectrum usage database may be included in database 16. Alternatively, the spectrum usage database may be included in the spectrum offering database.
In block 62, the spectrum transfer tool 14 determines whether conflicting spectrum usage has been found. If a positive determination is made in block 62, the user is notified that current spectrum usage conflicts with the matched spectrum. At this point, the user may choose to modify the search criteria and submit a new query, or concentrate on another matched offering, if present.
In some instances, a user may post a spectrum request if suitable spectrum is not available on the spectrum exchange. In block 64, the spectrum transfer tool 14 may provide a user with the option of submitting a request to which holders may respond by posting a spectrum offering that would satisfy the request or otherwise make spectrum available to the user. Therefore, a request to make spectrum available may be used to solicit new spectrum offerings from, for example, a holder of spectrum that can fulfill the spectrum request or a spectrum intermediary that may be able to arrange a match. Requests to make spectrum available may be stored in the spectrum demand database, and may be made available for viewing by holders, users, and intermediaries. Also, if a holder makes spectrum available by way of an offering that matches the request, the spectrum transfer tool 14 may identify the match and alert the user to the match. For example, the logical flow may return to block 58 and a positive determination may be made.
If a negative determination is made in block 62 (e.g., no conflicting spectrum usage is found), in block 66 the spectrum transfer tool 14 may prompt the user to enter a transactional process with the holder of the matched spectrum in order to obtain the associated use rights. Exemplary transactional processes between a holder and a user will be discussed in more detail in relation to FIG. 3 below.
In block 68, the spectrum transfer tool 14 determines whether use rights for the matched spectrum have been successfully transferred to the user. If a negative determination is made in block 68, the spectrum transfer tool 14 may re-prompt the user to undergo the transactional process to obtain the matched spectrum's use rights. Alternatively, the logical flow may end, the user may enter the transactional process for a different matching spectrum offering, and/or the user may submit a request. If a positive determination is made in block 68, the spectrum transfer tool 14 records the details of the transferred spectrum in the spectrum usage database.
With additional reference to FIG. 3, illustrated is an exemplary transactional state transition diagram that shows a combination of possible transactional activities that may occur between parties involved in a spectrum exchange transaction. When listing a spectrum offering on the spectrum exchange, the holder may specify whether the spectrum offering is a “make an offer” type offering or an “auction” type offering. For example, in a make-an-offer-type offering, the user may submit an initial bid and the holder may accept or reject the bid. Alternatively, the holder may make a counteroffer. In an auction-type offering, for example, there may be a specific time period during which the auction is open and one or more users may submit bids for a spectrum offering. At the end of the auction time, the highest bidder may acquire the use rights associated with the auctioned spectrum offering. The following description of the transactional process encompasses both types of offerings, and reference will be made to any differences in transactional states between the two offering types.
Each spectrum offering, bid, rebid, and counteroffer may include a price (e.g., a total monetary value, a price per megahertz (MHz), a price per population in the associated geographical area, or a combination of price determining criteria). The price may be in terms of actual monetary or economic consideration, or in terms of artificial currency (e.g., as a mechanism to allocate spectrum between competing systems or entities, such as between different military branches, or between client access and backhaul). A spectrum offering may indicate a “reserve price” (e.g., for an auction-type offering) or an “ask price” (e.g., for a make-an-offer-type offering). The reserve or ask price is the lowest price that the holder may be willing to accept for the transfer of use rights. The reserve and/or ask price may remain private at the holder's request. Alternatively, the ask price may be provided to users as part of the spectrum offering information.
Each spectrum offering, bid, rebid, or counteroffer may specify aspects of spectrum, such as geography, frequency, and/or time. For example, the bid, rebid, or counteroffer may be submitted for the entire spectrum offering or the bid, rebid, or counteroffer may specify only a portion of the offered spectrum based on geography, frequency, and/or time. For example, a bid may be made for only half of the geographical area included in a spectrum offering. Through the spectrum exchange transactional process, the parties may come to an agreement regarding price, geographical area, frequency range, time interval, etc. If changes are made relative to the original offering, spectrum query, and/or spectrum request, the conflict check of block 60 may be carried out again to avoid a spectrum transaction that could lead to interference with existing or future spectrum use or use rights.
In the exemplary embodiment of FIG. 3, each block represents a transactional state during an exemplary spectrum exchange transaction, and each arrow represents a transition from one state to another as a result of an action by the user or by the holder. In some circumstances, the holder and/or the user may be replaced with a spectrum intermediary. As indicated, the dashed lines represent user actions, while the solid lines represent holder actions. Rectangular blocks represent user-designated states, and oval blocks represent holder-designated states.
A transactional process may begin in an initial bid state 70, where a user has submitted an initial bid for a spectrum offering listed on the spectrum exchange. The spectrum transfer tool 14 may notify the corresponding spectrum holder that an initial bid has been received and provide the holder with the details of the bid. For a make-an-offer-type offering, upon review of the initial bid, the holder may accept the bid, moving the transaction to an accepted state 72. For an auction-type offering, the transaction moves to the accepted state 72 once the auction time has run out and the highest bidder becomes apparent. After the transaction moves to the accepted state 72, the spectrum transfer tool 14 may create an invoice for the transaction and notify the user that payment of the bid price is due. The transaction may transition from the accepted state 72 to a closed state 74 once the user closes the transaction by paying the bid price.
As will be appreciated, the spectrum holder may participate in several competing transactional processes at once for the same spectrum offering when there are multiple bids for the offering. The competing bids may or may not have the same contents in terms of price, geographic area, frequency, and time. The holder may only accept one of several competing bids for the spectrum offering, unless the bids have sufficient separation in terms of geographical area, frequency, and time so as not to relate to the same spectrum or cause interference.
If a competing bid is found, the spectrum transfer tool 14 may notify the user of the competition and display the competing bid for the user's review. In light of the competing bid(s), the user may, for example, decide to modify the initial bid to increase the bid's chances of being accepted (e.g., “out-bid” the competition). If the user rebids (e.g., submits a modified bid for the spectrum offering), the transaction may transition from the initial bid state 70 to a rebid state 76. The competing bidders may repeat the rebidding process until, for example, there are no competing bids (e.g., a bidder stops rebidding), the holder accepts a bid, or the auction time ends.
After reviewing all the bids submitted for a spectrum offering, the holder may select one bid to accept or otherwise pursue using the transactional process. For example, the holder may accept the highest bid if the holder's main interest is financial gain. In some instances, the holder may decide to compromise on the terms of the spectrum offering. For example, the holder may accept a bid that specifies less than the entire offering.
From either the initial bid state 70 or the rebid state 76, the transaction may move to a declined state 78. The holder may decline an initial bid or rebid outright if the holder deems the bid to be unacceptable. For example, the holder may decline any bid that is below the holder's reserve price or ask price.
For a make-an-offer-type offering, the transaction may move to a counteroffer state 80 if, for example, the holder responds to the user's initial bid or rebid with a counteroffer. The holder may change the counteroffer, for example, before the user responds, as indicated by the arrow that circles back onto the counteroffer state 80. If the user accepts the holder's counteroffer, the transaction may move to a closed state 74. Alternatively, the user may choose to rebid in response to the holder's counteroffer, as shown by the arrow from the counteroffer state 80 to the rebid state 76. The holder and the user may continue counteroffering and rebidding back and forth until, for example, the parties agree on a price and the transaction moves to the closed state 74.
From the initial bid state 70, the transaction may move to the superseded state 82 if the initial bid is superseded by a preempting bid from a competing user. For example, a bid is superseded if the holder accepts a competing bid. Similarly, the transaction may move to the superseded state 82 from the rebid state 76. Furthermore, the transaction may move to the superseded state 82 from the counteroffer state 80 for a make-an-offer-type offering. For example, a counteroffer may be superseded by a preempting bid if the holder accepts a competing bid before the user responds to the counteroffer by closing the transaction. The spectrum transfer tool 14 may notify a user when their bid is superseded.
From either the counteroffer state 80 or the accepted state 72 for a make-an-offer-type offering, the transaction may move to a retracted state 84 if the holder decides to retract a counteroffer or an acceptance, respectively. For example, the holder may decide to retract a counteroffer if a user does not respond to the counteroffer within a set time period. As another example, the holder may decide to retract an acceptance if the user does not close the transaction within a set time period.
As will be appreciated, other transactional activities are possible during a spectrum exchange transaction, and the disclosed approach is not limited to the particular combination of transactional activities depicted in FIG. 3. For example, the holder may have the option of canceling the spectrum offering at any point before the accepted state 72 of the transactional process. As another example, for a make-an-offer-type offering, the user may have the option of withdrawing a bid at any point before the closed state 74 of the transactional process.
Using the above-described spectrum exchange transaction process, each spectrum user is able to compete for spectrum use rights by submitting bids and reassessing those bids, if needed, in light of competing bids and/or counteroffers. And each spectrum holder is able to choose the most desirable bid based on the holder's unique interests. In one embodiment, spectrum users transparently compete for spectrum offerings where competing bids are known to all parties. Therefore, it is contemplated that spectrum holders are able to secure the most competitive bids for their spectrum offerings. In other embodiments, competing bids may not be known to the other users, or portions of the bids may not be disclosed. In one embodiment, the transactional process may be open to observation by parties that are not involved in the transactional process, such as other holders, users, and/or spectrum intermediaries. This provides additional transparency to the process and the opportunity to pursue opportunities, such as posting an offering that may compete with or supplement an existing offering, place a competing bid, adjust future bidding and offering strategies, etc. In other embodiments, the transactional process may not be observable by third parties. In some embodiments, historical price information from closed spectrum transactions may be made available to all parties so as to help guide future negotiation for spectrum.
The automated spectrum exchange provides an efficient, time-saving, and cost-effective marketplace for the transfer of spectrum use rights. Holders may be able to derive value from unused or underutilized spectrum and users may be able to acquire spectrum for a wireless communications application. Furthermore, the exchange of spectrum use rights may establish market rates for spectrum that previously were more speculative in nature. In addition, following the closing of a transaction, the spectrum transfer tool 14 may automatically generate compliance documentation, electronically file the compliance documentation with the FCC or other regulatory body, and submit payment of regulatory fees associated with the filing. This feature alleviates compliance burdens on the parties. It is noted that one or both of the holder or the user may be responsible for the regulatory fees, and the negotiating process may determine who bears the responsibility. Alternatively, the holders and/or the users may agree to pay the fees as a precondition to using the exchange. Additional description of automated regulatory compliance may be found in U.S. patent application Ser. No. 12/327,920, filed Dec. 4, 2008, the disclosure of which is incorporated herein by reference in its entirety.
In one embodiment, each offering, counteroffer, bid, and rebid has a unified format in terms of how price, geographic area, frequency, and time are specified. In this manner, there is little or no variation in how different holders, users, and spectrum intermediaries interact with one another during transactional processes carried out though the spectrum exchange. As a result, the spectrum exchange hosted by the spectrum transfer tool 14 consistently operates in a uniform, regimented, and predictable manner for all interested parties. To address special circumstances relating to any one of an offer, a counteroffer, a bid, or a rebid, notes or comments may be appended to the relevant offer, counteroffer, bid, or rebid.
With additional reference to FIGS. 4A through 4C and FIG. 5, illustrated are exemplary maps that may be used to designate the geographical boundaries of specific spectrum. FIGS. 4A-4C illustrate exemplary maps that may be provided by a mapping tool, while FIG. 5 shows an exemplary map that may be provided by a uniform partitioning tool. In an exemplary embodiment, the spectrum transfer tool 14 may include the mapping tool and/or the uniform partitioning tool. Alternatively, the mapping tool and/or the uniform partitioning tool may be included in the holder computer system 38, the spectrum user computer system 40, and/or the intermediary computer system 42. For example, the interface tool 44 may include the mapping tool and/or the uniform partitioning tool, and the tools 14, 44 may establish a graphical user interface, as described above.
The mapping tool facilitates the designation of geographical boundaries of spectrum being offered by spectrum holders and/or sought by spectrum users. In one embodiment, the mapping tool may allow the parties to select a desired geographical area by specifying commonly defined geographical regions. For example, a party may select a geographic region by designating a country, a state, a county, a city, a zip code, a census block, latitude/longitude coordinates, or any other boundaries as may be delineated by a user. A party also may select a geographic area based on an FCC delineation or other regulatory delineation. As is known in the art, the FCC has established multiple, and sometimes overlapping, categories for dividing the United States into areas or regions for the purpose of assigning area-based spectrum licenses, referred to herein as “FCC defined areas,” such as the Major Trading Areas (MTAs) or the Basic Trading Areas (BTAs). Accordingly, a party may have a variety of options for designating a desired spectrum location based on pre-defined geographic regions.
In another embodiment, the mapping tool may allow a party to select an area of interest on the map by drawing a polygon that defines the geographical boundary of specific spectrum. By using the drawing function, a party is able to select a geographical region that, for example, is smaller than a zip code. As another example, the drawing function allows a party to select an unconventional geographical region, such as, for example, one that partially intersects more than one zip code, city, state, etc. In this manner, the mapping tool allows a party to delineate an exact spectrum region without being restricted by pre-defined geographic regions.
FIGS. 4A through 4C show exemplary maps 90 that a spectrum holder or user may use to designate the geographical boundaries of spectrum being offered and/or sought, as discussed above. FIG. 4A is an aerial map 90a of a region corresponding to a portion of central Florida, from which a party may select a more specific region. For example, in FIG. 4A, the map 90a shows the county lines in the depicted portion of central Florida. A county 92 has been selected and is highlighted on the map 90a. FIG. 4B is a map 90b that shows a close up of a portion of the county 92. Using the map 90b, a party may further identify the geographical region of interest. For example, in FIG. 4B, a zip code area 94 has been selected and is highlighted on the map 90b. In one embodiment, a party may specify a geographical region that is smaller than the zip code area 94 by drawing a polygon over the area of interest. For example, in FIG. 4C, an office park 96 has been selected by drawing a square on the exemplary map 90c. 
In one embodiment, the maps may be satellite images. Other maps, such as street maps, combined satellite images and street maps, topological maps, etc. may be used. It will be appreciated that a party may select a geographic area in a variety of ways. In one embodiment, a party may progress from a larger regional map through maps of smaller regions, as illustrated in the progression from FIG. 4A to 4C. That is, a party can “zoom” in and out of the maps 90 when defining the geographical area of interest. Alternatively, a party may simply select the specific geographic area of interest without accessing intermediary maps or using a “zoom” function. In another embodiment, a party may draw a polygon on any sized map to select a specific area of interest. Additional description of a mapping tool that is used to define a geographical area may be found in U.S. patent application Ser. No. 12/256,645, filed Oct. 23, 2008, the disclosure of which is incorporated herein by reference in its entirety.
Once a party has defined a geographic area, the mapping tool may send data associated with the party's designated geographical boundaries to a uniform partitioning tool to create a spectrum usage map. Alternatively, the party may define a geographic area using the uniform partitioning tool by selecting one or more of the below-described grid cells.
FIG. 5 shows an exemplary grid layer 100 that is provided by the uniform partitioning tool. The grid layer 100 may overlay a map (e.g., 90) that includes a specified (e.g., defined) geographic area 102. In the illustrated example, the boundaries of the geographic area 102 are delineated by a rectangle 104 that may have been drawn by a party using, for example, the mapping tool, as discussed above. It will be appreciated that geographic area 102 may be of any shape and may be discontiguous.
The grid layer 100 uniformly partitions the geographic area 102 into uniform grid cells 106, such that each grid cell represents a portion of the geographic area 102 that falls the within the edges of the grid cell. The grid cells 106 created by the uniform partitioning tool may each have a unique identifier to provide unique indices to corresponding geographic areas. The grid layer 100 may be applied to the entire geographic area for which spectrum may be transferred using the spectrum exchange established by the spectrum transfer tool 14. In that manner, any geographic position or area for which spectrum may be offered, queried, requested, investigated, or exchanged may be identified using a standardized approach. For example, each grid cell may be assigned a unique grid identifier (GID). A GID may be a number, symbol, letters, etc., or any combination thereof. The GID for each grid cell may be listed in the database 16. In one embodiment, the uniform partitioning tool may be implemented using geographical information system (GIS).
Each grid cell (which also may be referred to as a zone) virtually represents a corresponding section of a geographic area, such as the geographic area serviced by the automated spectrum exchange through which holders may offer spectrum use rights and users may acquire spectrum use rights. Further, each GID is a value that represents a two dimensional area in a one dimensional manner. Each cell may be similar enough in size and shape so that each cell represents the same unit area (e.g., an acre, 0.75 square miles, 5 square kilometers, or any other size). In other embodiments, each GID is a value that represents a three dimensional area for use in wireless spectrum planning and rights exchanging (e.g., to allocate spectrum use rights in a skyscraper). The cells are preferably non-overlapping, but have boundaries that touch adjacent cells to form a contiguous virtual grid for the corresponding geographic area.
A spectrum usage map may be provided by the uniform partitioning tool by graphically presenting spectrum usage in the geographical areas represented by each grid cell. For example, in FIG. 5, grid cells 106a are highlighted to indicate that spectrum at a particular frequency is in use, either by the holder or by a spectrum user that has acquired use rights from the holder. Grid cells 106b are not highlighted, thereby indicating that spectrum at the particular frequency may be available for transfer. Thus, a party presented with grid layer 100 is able to easily identify the spectrum usage situation in geographical area 102 and apply this information when using the spectrum exchange. For example, when submitting a spectrum query or request, a spectrum user can specify a geographical area of interest by selecting one or more available grid cells 106b in the grid layer 100 corresponding to the user's area of interest 102. Offerings may be constructed in similar manner. Also, during the transactional process, bids, rebids, and counteroffers may involve selecting grid cells to define or redefine a geographical area. Alternatively, the user may formulate a search for available spectrum by selecting grid cells of interest in the grid layer 100. In this case, the search results may be presented to the user by displaying only the selected grid cells and highlighting the grid cells that are not available for transfer.
The uniform partitioning tool also allows a spectrum holder to easily manage the holder's licensed spectrum. For example, a holder may use the grid layer 100 to specify which grid cells 106 correspond to the geographical areas that are being used or are otherwise unavailable for transfer. Also, a holder may use the grid layer 100 to specify which grid cells 106 correspond to a geographical area being offered for transfer. Alternatively, the uniform partitioning tool may automatically populate the used or unused status of a grid cell based on known spectrum use, known lease information, and/or prior spectrum use rights transfers.
In the exemplary embodiment, the grid cells 106 are shaped as hexagons. According to the disclosed approach, the grid cells 106 are not limited to any particular type of shape, but preferably, the grid cells should be uniformly shaped. The uniformity of the grid cells may simplify identification of geographic areas for use in plotting spectrum use, depicting used and unused spectrum, establishing spectrum offerings, establishing spectrum bids, and/or establishing spectrum requests, and other tasks. Also, the uniform grid cells may assist in pricing spectrum offers and/or bids. For instance, price may be specified in a monetary amount (e.g., dollar) per grid cell, monetary amount per grid cell and per population, or monetary amount per grid cell and per megahertz.
The size of the grid cells 106 may be coordinated with the frequency of spectrum being mapped. For example, the grid cells 106 may be large enough so that the operation of radio hardware in a grid cell complies with regulatory requirements and/or avoids interference with other uses of spectrum.
As will be appreciated, spectrum cannot be adequately described by only specifying a geographical area. For example, each geographical area (whether a grid cell created by the uniform partitioning tool or a map area designated by the mapping tool) may be associated with one or more spectrum leases, where each lease specifies a unique frequency range and time interval combination. As an example, in a grid cell with an exemplary GID value of 1001, a first spectrum holder may have a lease for the 2500-2506 megahertz (MHz) channel, while a second spectrum holder may have a lease for the 2506-2512 MHz channel, and a third spectrum holder may have a lease for the 2660-2665 MHz channel. Similarly, in the geographical region corresponding to, for example, zip code area 94 in FIG. 4B, there may be more than 200 spectrum leases. Each of the above-mentioned leases may be for different time periods and/or frequency ranges. As a result, a spectrum transaction may be considered to involve at least four-dimensions (e.g., x and y geographical coordinates, time interval, and frequency range), making the implementation of the disclosed spectrum exchange platform a complicated endeavor.
To address the complexity of identifying spectrum and making spectrum matches, the spectrum transfer tool 14 may use a frequency-geography identifier (FGID) that has a standard format. This way, frequency and geography for any offering, bid, or request may be formatted in a common manner that may be matched to other offerings, bids, and/or requests in an easy manner. In one embodiment, each FGID represents a specific frequency or frequency range and an identifiable geographical area, such as a grid cell. Other formats may include a center frequency and bandwidth. An FGID may be a number, symbol, letters, etc., or any combination thereof. For example, the 2500-2506 MHz channel at grid cell GID 1001 may be represented by an FGID with a value of 1001-2.500-2.506. The FGIDs may be stored in the database 16 and may be used as unique indices that assist the retrieval and/or search of spectrum.
As an example, when a holder or user designates a geographical area and related spectrum, the data may be converted into an FGID for each corresponding grid cell. The frequency component of an FGID may have a predetermined size, such as 1 megahertz (MHz). Therefore, if the holder or user specified frequency in this example is 5 megahertz, there may be five FGIDs for each grid cell, where each FGID identifies a 1 megahertz component of the five megahertz. Also, if the user specifies spectrum as a function of an application, FCC part number, or radio equipment, the frequency component of the FGID may be determined by translating the provided information into all frequencies that may satisfy the input from the user. If a wide range of frequencies may satisfy the input, one or more FGIDs with wildcards may be constructed. For example, if any frequency in the range of 2500 MHz to 2599 MHz may be suitable, the FGID for the exemplary grid cell having GID value 1001 may be 1001-2.5xx. Therefore, based on FGID comparison, the spectrum transfer tool 14 may match spectrum queries to spectrum offerings that are listed in the database 16, as discussed above in connection with block 56 of FIG. 2.
With additional reference to FIG. 6, the spectrum transfer tool 14 further simplifies a spectrum transaction by transcribing the four-dimensions of spectrum into a two-dimensional graphical representation of spectrum usage based on frequency and time for a given geographical area. FIG. 6 is an exemplary frequency vs. time graph that shows spectrum usage for a given geographical area. Each shaded rectangle in FIG. 6 represents a continuous block of spectrum usage that may be covered by, for example, a spectrum lease. Once a party selects a geographical area, the spectrum transfer tool 14 may use the frequency vs. time graph of FIG. 6 to visually present spectrum usage in the selected geographical area. The geographical area may be selected by a party using, for example, the mapping tool and/or the uniform partitioning tool, as described above. In one embodiment, the spectrum transfer tool 14 may convert spectrum use, leases, and/or transfers into one or more FGIDs in order to facilitate, for example, the retrieval of and display of spectrum usage maps (e.g., a map similar to the map of FIG. 5 that is overlaid on a conventional geographic map of the relevant area) and/or spectrum usage graphs (e.g., a graph similar to FIG. 6) for any geographic area, frequency range, and/or point in time or time range.
In the example of FIG. 6, the frequency usage is shown for a spectrum range of f1 to f2 for a time window or period of t1 to t2. Note that t1 may be the current time, or it may be some designated time in the future at which a user may desire spectrum rights (or otherwise desire spectrum usage information). Time t1 and/or t2 may also be in the past should a user desire historical spectrum usage information. In addition, the frequencies f1 and f2 may define any frequency range about which a user may desire spectrum usage information.
It can be seen from FIG. 6 that at time t1, spectrum having a frequency range of 6 MHz from fa to fb has been allocated, as well as spectrum having a frequency range of 12 MHz from fd to f2. The spectrum from fa to fb has been allocated for a time window from time t1 to td, and the spectrum from fd to f2 has been allocated for a time window from time t1 to ta. As time proceeds from t1 to t2, the spectrum usage changes with differing frequency ranges becoming allocated and unallocated during such time period. For example, at time t1 three frequency ranges are allocated, having frequency ranges f1 to fa, fa to fb, and fc to fd, respectively. The frequency range from fd to f2 is no longer allocated because its usage expired at time ta.
By providing a visualization of spectrum usage in a given geographical area in conjunction with the additional features disclosed above, the disclosed approach further simplifies a transaction involving spectrum use rights. As an example, using a frequency vs. time graph as shown in FIG. 6, a user may easily see which time intervals and frequency ranges are occupied by current spectrum usage in a given geographical area and accordingly tailor a spectrum query or spectrum request. In one embodiment, when negotiating a spectrum exchange transaction, other bids that compete with a user's bid may be presented to the user in the form of a frequency vs. time graph, where, for example, the user's bid and each of the competing bids are represented by rectangles as shown in FIG. 6. In one embodiment, a party may select a grid cell from a map (e.g., the map of FIG. 5), and an associated frequency usage graph (e.g., the graph of FIG. 6) may be displayed for a specified or automatically determined frequency range and time range.
The features and functions described in connection with FIGS. 5 and 6 may be used for the creation of spectrum offers, queries, and requests. They also may be used for researching current or future spectrum use, leases, and/or transfers of use rights. Historical pricing data for leases and/or transfers of use rights may be displayed. For instance, pricing data may be displayed over each of the blocks of the graph of FIG. 6 where pricing data is known.
D. Conclusion
Various processes to support the establishment of an automated spectrum exchange have been described. Using the disclosed approach, efficient and productive use of spectrum may be made, while minimizing the procedural and transactional burdens on spectrum holders and/or spectrum users.
Although certain embodiments have been shown and described, it is understood that equivalents and modifications falling within the scope of the appended claims will occur to others who are skilled in the art upon the reading and understanding of this specification.

## Claims

1. A computer implemented method of providing an automated spectrum exchange in which spectrum is a tradable commodity, comprising:
receiving data from a spectrum holder that defines a spectrum offering by frequency, time, and geographic area to identify available spectrum from the holder;
storing the spectrum offering in a database as a posting of the spectrum offering;
receiving a spectrum query that defines aspects of spectrum being sought by a spectrum user;
matching the spectrum query to one or more spectrum offerings with a matching engine of an automated spectrum exchange computer system; and
hosting a transactional process with the automated spectrum exchange computer system, including:
receiving a bid or rebid from the spectrum user for a matched spectrum offering; and
receiving a counteroffer from the spectrum holder that posted the matched spectrum offering;

wherein, for the storing, matching and hosting steps, the spectrum offering, spectrum query, bid, rebid, and counteroffer each specify price, frequency, time, and geographic area information, the geographic area is expressed in a standardized format by:
logically sectioning a geographical area serviced by the automated spectrum exchange into uniformly sized and shaped grid cells;
assigning a unique identifier to each grid cell; and
identifying the respective geographic area of each of the spectrum offering, spectrum query, bid, rebid, and counteroffer with corresponding grid cell identifiers; and

wherein the matching performed by the matching engine to generate the matched spectrum offering includes identifying that at least one of the grid cell identifiers of the spectrum query is the same as at least one of the grid cell identifiers of the matched spectrum offering.

2. The method of claim 1, further comprising:
identifying a competing bid for the matched spectrum offering for which the bid or rebid is received, wherein the competing bid is submitted by a third party; and
alerting the user to the identified competing bid and to price, frequency, time, and geographic area information contained in the competing bid.

3. The method of claim 1, wherein the frequency associated with the spectrum offering is expressed in a standardized format for each grid cell identifier associated with the spectrum offering.

4. The method of claim 1, further comprising graphically displaying a map of the geographic area of the spectrum offering and displaying the uniformly sized and shaped grid cells together with the map, and graphically distinguishing grid cells that are part of the spectrum offering from grid cells that are not part of the spectrum offering.

5. The method of claim 1, further comprising for a selected grid cell:
determining spectrum usage over time as a function of actual spectrum use, an existing transfer of spectrum use rights, and a designation by the holder; and
displaying a frequency versus time graph that graphically represents the determined spectrum usage within the geographical area associated with the selected grid cell.

6. The method of claim 1, wherein the grid cells are non-overlapping grid cells that each represent the same unit area and the method further comprising assigning a condition value corresponding to the available spectrum defined in the spectrum offering to each grid cell of the geographical area serviced by the automated spectrum exchange, the condition value represents spectrum availability based on use or non-use by a spectrum holder for the spectrum in the geographic area associated with the grid cell.

7. The method of claim 6, further comprising for a selected grid cell:
determining spectrum usage over time as a function of actual spectrum use, an existing transfer of spectrum use rights, and a designation by the holder; and
displaying a frequency versus time graph that graphically represents the determined spectrum usage within the geographical area associated with the selected grid cell.

8. The method of claim 6, wherein spectrum use includes a transfer of spectrum use rights to another by the holder.

9. The method of claim 6, further comprising graphically displaying a map of at least part of the geographic area and displaying the uniformly sized and shaped grid cells together with the map, and graphically distinguishing grid cells that are in use from grid cells that are not in use.

10. The method of claim 1, wherein the grid cells are non-overlapping grid cells that each represent the same unit area and the method further comprising assigning a condition value corresponding to the available spectrum defined in the spectrum offering to each grid cell of the geographical area serviced by the automated spectrum exchange, the condition value represents whether spectrum in the grid cell is offered or not offered as part of the spectrum offering by the spectrum holder.

11. The method of claim 10, further comprising identifying a spectral mask for the frequency data associated with the spectrum offering by a frequency identifier value that corresponds to frequency-related parameters in the spectral mask and that is selected from a predetermined set of frequency identifier values, the frequency identifier value used by the matching engine to establish the matched spectrum offering.

12. The method of claim 11, wherein, for each grid cell associated with the spectrum offering, the frequency identifier value and the grid cell identifier are expressed together to represent the corresponding two-dimensional geographic area and frequency in a computer-interpretable form.

13. The method of claim 10, further comprising graphically displaying a map of at least part of the geographic area serviced by the automated spectrum exchange and displaying the uniformly sized and shaped grid cells together with the map, and graphically distinguishing grid cells that are part of the spectrum offering from grid cells that are not part of the spectrum offering.

14. The method of claim 1, wherein the grid cells are non-overlapping grid cells that each represent the same unit area and the method further comprising assigning a condition value corresponding to the available spectrum defined in the spectrum offering to each grid cell of the geographical area serviced by the automated spectrum exchange, the condition value represents whether spectrum in the grid cell is part of the spectrum query.

15. The method of claim 14, further comprising graphically displaying a map of at least part of the geographic area serviced by the automated spectrum exchange and displaying the uniformly sized and shaped grid cells together with the map, and graphically distinguishing grid cells that match aspects set by the user from grid cells that do not match the aspects set by the user.

16. The method of claim 1, further comprising identifying a spectral mask for the frequency data associated with the spectrum offering by a frequency identifier value that corresponds to frequency-related parameters in the spectral mask and that is selected from a predetermined set of frequency identifier values.

17. The method of claim 16, wherein an intended application for the spectrum sought by the spectrum user as specified as part of the spectrum query is classified by the matching engine using the same set of frequency identifier values used to select the frequency identifier value for the spectrum offering, the respective frequency identifier values used by the matching engine to directly compare needs of the spectrum user to the communications support capabilities of the available spectrum.

18. The method of claim 16, wherein, for each grid cell associated with the spectrum offering, the frequency identifier value and the grid cell identifier are expressed together to represent the corresponding two-dimensional geographic area and frequency in a computer-interpretable form.

19. The method of claim 1, the matching engine matches a geographical area, a frequency mask, a time period, and a regulatory constraint on spectrum use from the spectrum offering respectively with a geographical area, a channel plan, a time period, and an application type of the spectrum query to establish the matched spectrum offering.

20. The method of claim 1, further comprising:
identifying a lack of available spectrum to fulfill the specified aspects in the spectrum query due to at least one of a conflict with an existing spectrum allocation, a conflict with another spectrum request, or a lack of matching offered spectrum; and
apportioning to the spectrum user unallocated spectrum from spectrum offers from one or more different spectrum holders that when aggregated fulfill the spectrum query with unallocated spectrum that matches a time duration and the geographic area aspects of the spectrum query and that is discontinuous in frequency during the time duration, wherein the apportioning includes matching the frequency-related spectral data to the unallocated spectrum by classifying the frequency-related spectral data and the unallocated spectrum using a common classification system.