On Precoding for Constant K-User MIMO Gaussian Interference Channel With Finite Constellation Inputs

This paper considers linear precoding for the constant channel-coefficient K-user MIMO Gaussian interference channel (MIMO GIC) where each transmitter-i (Tx-i) requires the sending of d(i) independent complex symbols per channel use that take values from fixed finite constellations with uniform distribution to receiver-i (Rx-i) for i = 1, 2, ..., K. We define the maximum rate achieved by Tx-i using any linear precoder as the signal-to-noise ratio (SNR) tends to infinity when the interference channel coefficients are zero to be the constellation constrained saturation capacity (CCSC) for Tx-i. We derive a high-SNR approximation for the rate achieved by Tx-i when interference is treated as noise and this rate is given by the mutual information between Tx-i and Rx-i, denoted as I(X) under bar (i); (Y) under bar (i)]. A set of necessary and sufficient conditions on the precoders under which I(X) under bar (i); (Y) under bar (i)] tends to CCSC for Tx-i is derived. Interestingly, the precoders designed for interference alignment (IA) satisfy these necessary and sufficient conditions. Furthermore, we propose gradient-ascentbased algorithms to optimize the sum rate achieved by precoding with finite constellation inputs and treating interference as noise. A simulation study using the proposed algorithms for a three-user MIMO GIC with two antennas at each node with d(i) = 1 for all i and with BPSK and QPSK inputs shows more than 0.1-b/s/Hz gain in the ergodic sum rate over that yielded by precoders obtained from some known IA algorithms at moderate SNRs.

Discrete-Rate Adaptation and Selection in Energy Harvesting Wireless Systems

In a system with energy harvesting (EH) nodes, the design focus shifts from minimizing energy consumption by infrequently transmitting less information to making the best use of available energy to efficiently deliver data while adhering to the fundamental energy neutrality constraint. We address the problem of maximizing the throughput of a system consisting of rate-adaptive EH nodes that transmit to a destination. Unlike related literature, we focus on the practically important discrete-rate adaptation model. First, for a single EH node, we propose a discrete-rate adaptation rule and prove its optimality for a general class of stationary and ergodic EH and fading processes. We then study a general system with multiple EH nodes in which one is opportunistically selected to transmit. We first derive a novel and throughput-optimal joint selection and rate adaptation rule (TOJSRA) when the nodes are subject to a weaker average power constraint. We then propose a novel rule for a multi-EH node system that is based on TOJSRA, and we prove its optimality for stationary and ergodic EH and fading processes. We also model the various energy overheads of the EH nodes and characterize their effect on the adaptation policy and the system throughput.

A perturbation procedure for nonlinear oscillations (The dynamics of two oscillators with weak nonlinear coupling)

This thesis considers in detail the dynamics of two oscillators with weak nonlinear coupling. There are three classes of such problems: non-resonant, where the Poincaré procedure is valid to the order considered; weakly resonant, where the Poincaré procedure breaks down because small divisors appear (but do not affect the O(1) term) and strongly resonant, where small divisors appear and lead to O(1) corrections. A perturbation method based on Cole's two-timing procedure is introduced. It avoids the small divisor problem in a straightforward manner, gives accurate answers which are valid for long times, and appears capable of handling all three types of problems with no change in the basic approach.

One example of each type is studied with the aid of this procedure: for the nonresonant case the answer is equivalent to the Poincaré result; for the weakly resonant case the analytic form of the answer is found to depend (smoothly) on the difference between the initial energies of the two oscillators; for the strongly resonant case we find that the amplitudes of the two oscillators vary slowly with time as elliptic functions of ϵ t, where ϵ is the (small) coupling parameter.

Our results suggest that, as one might expect, the dynamical behavior of such systems varies smoothly with changes in the ratio of the fundamental frequencies of the two oscillators. Thus the pathological behavior of Whittaker's adelphic integrals as the frequency ratio is varied appears to be due to the fact that Whittaker ignored the small divisor problem. The energy sharing properties of these systems appear to depend strongly on the initial conditions, so that the systems not ergodic.

The perturbation procedure appears to be applicable to a wide variety of other problems in addition to those considered here.

The interplay of localization and interactions in quantum many-body systems

Disorder and interactions both play crucial roles in quantum transport. Decades ago, Mott showed that electron-electron interactions can lead to insulating behavior in materials that conventional band theory predicts to be conducting. Soon thereafter, Anderson demonstrated that disorder can localize a quantum particle through the wave interference phenomenon of Anderson localization. Although interactions and disorder both separately induce insulating behavior, the interplay of these two ingredients is subtle and often leads to surprising behavior at the periphery of our current understanding. Modern experiments probe these phenomena in a variety of contexts (e.g. disordered superconductors, cold atoms, photonic waveguides, etc.); thus, theoretical and numerical advancements are urgently needed. In this thesis, we report progress on understanding two contexts in which the interplay of disorder and interactions is especially important.

The first is the so-called “dirty” or random boson problem. In the past decade, a strong-disorder renormalization group (SDRG) treatment by Altman, Kafri, Polkovnikov, and Refael has raised the possibility of a new unstable fixed point governing the superfluid-insulator transition in the one-dimensional dirty boson problem. This new critical behavior may take over from the weak-disorder criticality of Giamarchi and Schulz when disorder is sufficiently strong. We analytically determine the scaling of the superfluid susceptibility at the strong-disorder fixed point and connect our analysis to recent Monte Carlo simulations by Hrahsheh and Vojta. We then shift our attention to two dimensions and use a numerical implementation of the SDRG to locate the fixed point governing the superfluid-insulator transition there. We identify several universal properties of this transition, which are fully independent of the microscopic features of the disorder.

The second focus of this thesis is the interplay of localization and interactions in systems with high energy density (i.e., far from the usual low energy limit of condensed matter physics). Recent theoretical and numerical work indicates that localization can survive in this regime, provided that interactions are sufficiently weak. Stronger interactions can destroy localization, leading to a so-called many-body localization transition. This dynamical phase transition is relevant to questions of thermalization in isolated quantum systems: it separates a many-body localized phase, in which localization prevents transport and thermalization, from a conducting (“ergodic”) phase in which the usual assumptions of quantum statistical mechanics hold. Here, we present evidence that many-body localization also occurs in quasiperiodic systems that lack true disorder.

Nanophotonic Light Trapping In Thin Solar Cells

Over the last several decades there have been significant advances in the study and understanding of light behavior in nanoscale geometries. Entire fields such as those based on photonic crystals, plasmonics and metamaterials have been developed, accelerating the growth of knowledge related to nanoscale light manipulation. Coupled with recent interest in cheap, reliable renewable energy, a new field has blossomed, that of nanophotonic solar cells.

In this thesis, we examine important properties of thin-film solar cells from a nanophotonics perspective. We identify key differences between nanophotonic devices and traditional, thick solar cells. We propose a new way of understanding and describing limits to light trapping and show that certain nanophotonic solar cell designs can have light trapping limits above the so called ray-optic or ergodic limit. We propose that a necessary requisite to exceed the traditional light trapping limit is that the active region of the solar cell must possess a local density of optical states (LDOS) higher than that of the corresponding, bulk material. Additionally, we show that in addition to having an increased density of states, the absorber must have an appropriate incoupling mechanism to transfer light from free space into the optical modes of the device. We outline a portfolio of new solar cell designs that have potential to exceed the traditional light trapping limit and numerically validate our predictions for select cases.

We emphasize the importance of thinking about light trapping in terms of maximizing the optical modes of the device and efficiently coupling light into them from free space. To further explore these two concepts, we optimize patterns of superlattices of air holes in thin slabs of Si and show that by adding a roughened incoupling layer the total absorbed current can be increased synergistically. We suggest that the addition of a random scattering surface to a periodic patterning can increase incoupling by lifting the constraint of selective mode occupation associated with periodic systems.

Lastly, through experiment and simulation, we investigate a potential high efficiency solar cell architecture that can be improved with the nanophotonic light trapping concepts described in this thesis. Optically thin GaAs solar cells are prepared by the epitaxial liftoff process by removal from their growth substrate and addition of a metallic back reflector. A process of depositing large area nano patterns on the surface of the cells is developed using nano imprint lithography and implemented on the thin GaAs cells.

Gaussian fading is the worst fading

The capacity of peak-power limited, single-antenna, noncoherent, flat-fading channels with memory is considered. The emphasis is on the capacity pre-log, i.e., on the limiting ratio of channel capacity to the logarithm of the signal-to-noise ratio (SNR), as the SNR tends to infinity. It is shown that, among all stationary and ergodic fading processes of a given spectral distribution function and whose law has no mass point at zero, the Gaussian process gives rise to the smallest pre-log. The assumption that the law of the fading process has no mass point at zero is essential in the sense that there exist stationary and ergodic fading processes whose law has a mass point at zero and that give rise to a smaller pre-log than the Gaussian process of equal spectral distribution function. An extension of these results to multiple-input single-output (MISO) fading channels with memory is also presented. © 2006 IEEE.

Gaussian fading is the worst fading

The capacity of peak-power limited, single-antenna, non-coherent, flat-fading channels with memory is considered. The emphasis is on the capacity pre-log, i.e., on the limiting ratio of channel capacity to the logarithm of the signal-to-noise ratio (SNR), as the SNR tends to infinity. It is shown that, among all stationary & ergodic fading processes of a given spectral distribution function whose law has no mass point at zero, the Gaussian process gives rise to the smallest pre-log. © 2006 IEEE.

Non-commutative symbolic coding

Gohm, Rolf; Kummerer, B.; Lang, T., (2006) 'Non-commutative symbolic coding', Ergodic Theory and Dynamical Systems 26(5) pp.1521-1548 RAE2008

Ergodicity and Mixing Rate of One-Dimensional Cellular Automata

One-and two-dimensional cellular automata which are known to be fault-tolerant are very complex. On the other hand, only very simple cellular automata have actually been proven to lack fault-tolerance, i.e., to be mixing. The latter either have large noise probability ε or belong to the small family of two-state nearest-neighbor monotonic rules which includes local majority voting. For a certain simple automaton L called the soldiers rule, this problem has intrigued researchers for the last two decades since L is clearly more robust than local voting: in the absence of noise, L eliminates any finite island of perturbation from an initial configuration of all 0's or all 1's. The same holds for a 4-state monotonic variant of L, K, called two-line voting. We will prove that the probabilistic cellular automata Kε and Lε asymptotically lose all information about their initial state when subject to small, strongly biased noise. The mixing property trivially implies that the systems are ergodic. The finite-time information-retaining quality of a mixing system can be represented by its relaxation time Relax(⋅), which measures the time before the onset of significant information loss. This is known to grow as (1/ε)^c for noisy local voting. The impressive error-correction ability of L has prompted some researchers to conjecture that Relax(Lε) = 2^(c/ε). We prove the tight bound 2^(c1log^21/ε) ＜ Relax(Lε) ＜ 2^(c2log^21/ε) for a biased error model. The same holds for Kε. Moreover, the lower bound is independent of the bias assumption. The strong bias assumption makes it possible to apply sparsity/renormalization techniques, the main tools of our investigation, used earlier in the opposite context of proving fault-tolerance.

Convergence of numerical time-averaging and stationary measures via Poisson equations

Numerical approximation of the long time behavior of a stochastic di.erential equation (SDE) is considered. Error estimates for time-averaging estimators are obtained and then used to show that the stationary behavior of the numerical method converges to that of the SDE. The error analysis is based on using an associated Poisson equation for the underlying SDE. The main advantages of this approach are its simplicity and universality. It works equally well for a range of explicit and implicit schemes, including those with simple simulation of random variables, and for hypoelliptic SDEs. To simplify the exposition, we consider only the case where the state space of the SDE is a torus, and we study only smooth test functions. However, we anticipate that the approach can be applied more widely. An analogy between our approach and Stein's method is indicated. Some practical implications of the results are discussed. Copyright © by SIAM. Unauthorized reproduction of this article is prohibited.

Existence, recurrence and equilibrium properties of Markov branching processes with instantaneous immigration

Attention has recently focussed on stochastic population processes that can undergo total annihilation followed by immigration into state j at rate αj. The investigation of such models, called Markov branching processes with instantaneous immigration (MBPII), involves the study of existence and recurrence properties. However, results developed to date are generally opaque, and so the primary motivation of this paper is to construct conditions that are far easier to apply in practice. These turn out to be identical to the conditions for positive recurrence, which are very easy to check. We obtain, as a consequence, the surprising result that any MBPII that exists is ergodic, and so must possess an equilibrium distribution. These results are then extended to more general MBPII, and we show how to construct the associated equilibrium distributions.

Strong ergodicity of monotone transition functions

By revealing close links among strong ergodicity, monotone, and the Feller–Reuter–Riley (FRR) transition functions, we prove that a monotone ergodic transition function is strongly ergodic if and only if it is not FRR. An easy to check criterion for a Feller minimal monotone chain to be strongly ergodic is then obtained. We further prove that a non-minimal ergodic monotone chain is always strongly ergodic. The applications of our results are illustrated using birth-and-death processes and branching processes.

Ergodicity and stability of generalised Markov branching processes with resurrection

This paper concentrates on investigating ergodicity and stability for generalised Markov branching processes with resurrection. Easy checking criteria including several clear-cut corollaries are established for ordinary and strong ergodicity of such processes. The equilibrium distribution is given in an elegant closed form for the ergodic case. The probabilistic interpretation of the results is clear and thus explained.

Birth-death processes with an instantaneous reflection barrier

A new structure with the special property that an instantaneous reflection barrier is imposed on the ordinary birth-death processes is considered. An easy-checking criterion for the existence of such Markov processes is first obtained. The uniqueness criterion is then established. In the nonunique case, all the honest processes are explicitly constructed. Ergodicity properties for these processes are investigated. It is proved that honest processes are always ergodic without necessarily imposing any extra conditions. Equilibrium distributions for all these ergodic processes are established. Several examples are provided to illustrate our results.

Birth-death processes with disaster and instantaneous resurrection

A new structure with the special property that instantaneous resurrection and mass disaster are imposed on an ordinary birth-death process is considered. Under the condition that the underlying birth-death process is exit or bilateral, we are able to give easily checked existence criteria for such Markov processes. A very simple uniqueness criterion is also established. All honest processes are explicitly constructed. Ergodicity properties for these processes are investigated. Surprisingly, it can be proved that all the honest processes are not only recurrent but also ergodic without imposing any extra conditions. Equilibrium distributions are then established. Symmetry and reversibility of such processes are also investigated. Several examples are provided to illustrate our results.