Finite-Blocklength Bounds on the Maximum Coding Rate of Rician Fading Channels with Applications to Pilot-Assisted Transmission

We present nonasymptotic bounds on the maximum coding rate achievable over a Rician block-fading channel for a fixed packet size and a fixed packet error probability. Our bounds, which apply to the scenario where no a priori channel state information is available at the receiver, allow one to quantify the tradeoff between the rate gains resulting from the exploitation of time-frequency diversity and the rate loss resulting from fast channel variations and pilot-symbol overhead

Short Packets over Block-Memoryless Fading Channels: Pilot-Assisted or Noncoherent Transmission?

We present nonasymptotic upper and lower bounds on the maximum coding rate achievable when transmitting short packets over a Rician memoryless block-fading channel for a given requirement on the packet error probability. We focus on the practically relevant scenario in which there is no \emph{a priori} channel state information available at the transmitter and at the receiver. An upper bound built upon the min-max converse is compared to two lower bounds: the first one relies on a noncoherent transmission strategy in which the fading channel is not estimated explicitly at the receiver; the second one employs pilot-assisted transmission (PAT) followed by maximum-likelihood channel estimation and scaled mismatched nearest-neighbor decoding at the receiver. Our bounds are tight enough to unveil the optimum number of diversity branches that a packet should span so that the energy per bit required to achieve a target packet error probability is minimized, for a given constraint on the code rate and the packet size. Furthermore, the bounds reveal that noncoherent transmission is more energy efficient than PAT, even when the number of pilot symbols and their power is optimized. For example, for the case when a coded packet of $168$ symbols is transmitted using a channel code of rate $0.48$ bits/channel use, over a block-fading channel with block size equal to $8$ symbols, PAT requires an additional $1.2$ dB of energy per information bit to achieve a packet error probability of $10^{-3}$ compared to a suitably designed noncoherent transmission scheme. Finally, we devise a PAT scheme based on punctured tail-biting quasi-cyclic codes and ordered statistics decoding, whose performance are close ($1$ dB gap at $10^{-3}$ packet error probability) to the ones predicted by our PAT lower bound. This shows that the PAT lower bound provides useful guidelines on the design of actual PAT schemes.Comment: 30 pages, 5 figures, journa

Ultra-Reliable Short-Packet Communications: Fundamental Limits and Enabling Technologies

The paradigm shift from 4G to 5G communications, anticipated to enable ultra-reliable low-latency communications (URLLC), will enforce a radical change in the design of wireless communication systems. Unlike in 4G systems, where the main objective is to provide a large transmission rate, in URLLC, as implied by its name, the objective is to enable transmissions with low latency and, simultaneously, very high reliability. Since low latency implies the use of short data packets, the tension between blocklength and reliability is studied in URLLC.Several key enablers for URLLC communications have been designated in the literature. Of special importance are diversity-enabling technologies such as multiantenna systems and feedback protocols. Furthermore, it is not only important to introduce additional diversity by means of the above examples, one must also guarantee that thescarce number of channel uses are used in an optimal way. Therefore, it is imperative to develop design guidelines for how to enable reliable detection of incoming data, how to acquire channel-state information, and how to construct efficient short-packet channel codes. The development of such guidelines is at the heart of this thesis. This thesis focuses on the fundamental performance of URLLC-enabling technologies. Specifically, we provide converse (upper) bounds and achievability (lower) bounds on the maximum coding rate, based on finite-blocklength information theory, for systems that employ the key enablers outlined above. With focus on the wireless channel, modeled via a block-fading assumption, we are able to provide answers to questions like: howto optimally utilize spatial and frequency diversity, how far from optimal short-packet channel codes perform, how multiantenna systems should be designed to serve a given number of users, and how to design feedback schemes when the feedback link is noisy. In particular, this thesis is comprised out of four papers. In Paper A, we study the short-packet performance over the Rician block-fading channel. In particular, we present achievability bounds for pilot-assisted transmission with several different decoders that allow us to quantify the impact, on the achievable performance, of imposed pilots and mismatched decoding. Furthermore, we design short-packet channel codes that perform within 1 dB of our achievability bounds. Paper B studies multiuser massive multiple-input multiple-output systems with short packets. We provide an achievability bound on the average error probability over quasistatic spatially correlated Rayleigh-fading channels. The bound applies to arbitrary multiuser settings, pilot-assisted transmission, and mismatched decoding. This makes it suitable to assess the performance in the uplink/downlink for arbitrary linear signal processing. We show that several lessons learned from infinite-blocklength analyses carry over to the finite-blocklength regime. Furthermore, for the multicell setting with randomly placed users, pilot contamination should be avoided at all cost and minimum mean-squared error signal processing should be used to comply with the stringent requirements of URLLC.In Paper C, we consider sporadic transmissions where the task of the receiver is to both detect and decode an incoming packet. Two novel achievability bounds, and a novel converse bound are presented for joint detection-decoding strategies. It is shown that errors associated with detection deteriorates performance significantly for very short packet sizes. Numerical results also indicate that separate detection-decoding strategies are strictly suboptimal over block-fading channels.Finally, in Paper D, variable-length codes with noisy stop-feedback are studied via a novel achievability bound on the average service time and the average error probability. We use the bound to shed light on the resource allocation problem between the forward and the feedback channel. For URLLC applications, it is shown that enough resources must be assigned to the feedback link such that a NACK-to-ACK error becomes rarer than the target error probability. Furthermore, we illustrate that the variable-length stop-feedback scheme outperforms state-of-the-art fixed-length no-feedback bounds even when the stop-feedback bit is noisy

Low-Latency Short-Packet Transmissions: Fixed Length or HARQ?

We study short-packet communications, subject to latency and reliability constraints, under the premises of limited frequency diversity and no time diversity. The question addressed is whether, and when, hybrid automatic repeat request (HARQ) outperforms fixed-blocklength schemes with no feedback (FBL-NF) in such a setting. We derive an achievability bound for HARQ, under the assumption of a limited number of transmissions. The bound relies on pilot-assisted transmission to estimate the fading channel and scaled nearest-neighbor decoding at the receiver. We compare our achievability bound for HARQ to stateof-the-art achievability bounds for FBL-NF communications and show that for a given latency, reliability, number of information bits, and number of diversity branches, HARQ may significantly outperform FBL-NF. For example, for an average latency of 1 ms, a target error probability of 10^-3, 30 information bits, and 3 diversity branches, the gain in energy per bit is about 4 dB.Comment: 6 pages, 5 figures, accepted to GLOBECOM 201

Differential Modulation for Short Packet Transmission in URLLC

One key feature of ultra-reliable low-latency communications (URLLC) in 5G is to support short packet transmission (SPT). However, the pilot overhead in SPT for channel estimation is relatively high, especially in high Doppler environments. In this paper, we advocate the adoption of differential modulation to support ultra-low latency services, which can ease the channel estimation burden and reduce the power and bandwidth overhead incurred in traditional coherent modulation schemes. Specifically, we consider a multi-connectivity (MC) scheme employing differential modulation to enable URLLC services. The popular selection combining and maximal ratio combining schemes are respectively applied to explore the diversity gain in the MC scheme. A first-order autoregressive model is further utilized to characterize the time-varying nature of the channel. Theoretically, the maximum achievable rate and minimum achievable block error rate under ergodic fading channels with PSK inputs and perfect CSI are first derived by using the non-asymptotic information-theoretic bounds. The performance of SPT with differential modulation and MC schemes is then analysed by characterizing the effect of differential modulation and time-varying channels as a reduction in the effective SNR. Simulation results show that differential modulation does offer a significant advantage over the pilot-assisted coherent scheme for SPT, especially in high Doppler environments.Comment: 15 pages, 9 figure

Short Packets over Block-Memoryless Fading Channels: Pilot-Assisted or Noncoherent Transmission?

We present nonasymptotic upper and lower bounds on the maximum coding rate achievable when transmitting shortpackets over a Rician memoryless block-fading channel for a given requirement on the packet error probability.We focus on the practically relevant scenario in which there is no a priori channel state information available at the transmitter and at the receiver. An upper bound built upon the min-max converse is compared to two lower bounds: the first one relies on a noncoherent transmission strategy in which the fading channel is not estimated explicitly at the receiver; the second one employs pilot-assisted transmission (PAT) followed by maximum-likelihood channel estimation and scaled mismatched nearest-neighbor decoding at the receiver. Our bounds are tight enough to unveil the optimum number ofdiversity branches that a packet should span so that the energy per bit required to achieve a target packet error probability is minimized, for a given constraint on the code rate and the packet size. Furthermore, the bounds reveal that noncoherent transmission is more energy efficient than PAT, even when the number of pilot symbols and their power is optimized. For example, in Rayleigh fading, for the case when a coded packet of 168 symbols is transmitted using a channel code of rate 0.48 bits/channel use, over a block-fading channel with block size equal to 8 symbols, PAT requires an additional 1.2 dB of energy per information bit to achieve a packet error probability of 10\u1000003 compared to a suitably designed noncoherent transmission scheme. Finally, we devise a PAT scheme based on punctured tail-biting quasi-cyclic codes and ordered statistics decoding, whose performance is close (1 dB gap at 10^-3 packet error probability) to the ones predicted by our PAT lower bound. This shows that the PAT lower bound provides useful guidelines on the design of actual PAT schemes

Short-Packet Communications: Fundamental Performance and Key Enablers

The paradigm shift from 4G to 5G communications, predicted to enable new use cases such as ultra-reliable low-latency communications (URLLC), will enforce a radical change in the design of communication systems. Unlike in 4G systems, where the main objective is to have a large transmission rate, in URLLC, as implied by its name, the objective is to enable transmissions with low latency and, simultaneously, very high reliability. Since low latency implies the use of short data packets, the tension between blocklength and reliability is studied in URLLC.\ua0Several key enablers for URLLC communications have been designated in the literature. A non-exhaustive list contains: multiple transmit and receive antennas (MIMO), short transmission-time intervals (TTI), increased bandwidth, and feedback protocols. Furthermore, it is not only important to introduce additional diversity by means of the above examples, one must also guarantee that the scarce number of channel uses are used in an optimal way. Therefore, protocols for how to convey meta-data such as control information and pilot symbols are needed as are efficient short-packet channel codes.\ua0This thesis focuses on the performance of reliable short-packet communications. Specifically, we provide converse (upper) bounds and achievability (lower) bounds on the maximum coding rate, based on finite-blocklength information theory, for systems that employ the key enablers outlined above. With focus on the Rician and Rayleigh block-fading channels, we are able to answer, e.g., how to optimally utilize spatial and frequency diversity, how far from optimal short-packet channel codes perform, and whether feedback-based schemes are preferable over non-feedback schemes.\ua0More specifically, in Paper A, we study the performance impact of MIMO and a shortened TTI in both uplink and downlink under maximum-likelihood decoding and Rayleigh block-fading. Based on our results, we are able to study the trade-off between bandwidth, latency, spatial diversity, and error probability. Furthermore, we give an example of a pragmatic design of a pilot-assisted channel code that comes within 2.7 dB of our achievability bounds. In Paper B, we partly extend our work in Paper A to the Rician block-fading channel and to practical schemes such as pilot-assisted transmission with nearest neighbor decoding. We derive achievability bounds for pilot-assisted transmission with several different decoders that allow us to quantify the impact, on the achievable performance, of pilots and mismatched decoding. Furthermore, we design short-packet channel codes that perform within 1 dB of our achievability bounds. Paper C contains an achievability bound for a system that employs a variable-length stop-feedback (VLSF) scheme with an error-free feedback link. Based on the results in Paper C and Paper B, we are able to compare non-feedback schemes to stop-feedback schemes and assess if, and when, one is superior to the other. Specifically, we show that, for some practical scenarios, stop-feedback does significantly outperform non-feedback schemes

Performance Analysis for the RIS and the AmBC Systems at the Short Blocklength Regime

This thesis investigates and analyzes the performances of the RIS and AmBC systems, and three main research works are involved. The first research work of this thesis is to present the decoding error probability bounds for the optimal code in an RIS system within the short blocklength regime and given a code rate and signal-to-noise ratio (SNR). The approach uses sphere-packing techniques to derive the main results, with the Wald sequential t-test lemma and the Riemann sum serving as the primary tools for obtaining the closed-form expressions for both the upper and lower bounds. The numerical results are demonstrated to illustrate the performance of the findings. The last two research works focus on examining the maximal achievable rate for a given maximum error probability and blocklength in a system that employs reconfigurable intelligent surface (RIS) or ambient backscatter communication (AmBC) to aid a multiple-input and multiple-output (MIMO) communication system. The findings of these research include finite blocklength and finite alphabet constraints channel coding achievability and converse bounds, which are established through the use of the Berry-Esseen theorem, the Mellin transform, and the closed-form expression of the mutual information and the unconditional variance. The numerical analysis indicates that the maximum achievable rate is reached rapidly as the blocklength increases. Additionally, the channel variance accurately reflects the deviation from the maximum achievable rate due to the finite blocklength

Pilot-Assisted Short-Packet Transmission over Multiantenna Fading Channels: A 5G Case Study

Leveraging recent results in finite-blocklength information theory, we investigate the problem of designing a control channel in a 5G system. The setup involves the transmission, under stringent latency and reliability constraints, of a short data packet containing a small information payload, over a propagation channel that offers limited frequency diversity and no time diversity. We present an achievability bound, built upon the random-coding union bound with parameter s (Martinez & Guill\ue9n i F\ue0bregas, 2011), which relies on quadrature phase-shift keying modulation, pilot-assisted transmission to estimate the fading channel, and scaled nearest-neighbor decoding at the receiver. Using our achievability bound, we determine how many pilot symbols should be transmitted to optimally trade between channel-estimation errors and rate loss due to pilot overhead. Our analysis also reveals the importance of using multiple antennas at the transmitter and/or the receiver to provide the spatial diversity needed to meet the stringent reliability constraint

Low-Latency Short-Packet Transmissions: Fixed Length or HARQ?

We study short-packet communications, subject to latency and reliability constraints, under the premises of limited frequency diversity and no time diversity. The question addressed is whether, and when, hybrid automatic repeat request (HARQ) outperforms fixed-blocklength schemes with no feedback (FBL-NF) in such a setting. We derive an achievability bound for HARQ, under the assumption of a limited number of transmissions. The bound relies on pilot-assisted transmission to estimate the fading channel and scaled nearest-neighbor decoding at the receiver. We compare our achievability bound for HARQ to stateof-the-art achievability bounds for FBL-NF communications and show that for a given latency, reliability, number of information bits, and number of diversity branches, HARQ may significantly outperform FBL-NF. For example, for an average latency of 1 ms, a target error probability of 10(-3), 30 information bits, and 3 diversity branches, the gain in energy per bit is about 4 dB