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Ahmed M. Alaa

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Published work

32 published item(s)

preprint2026arXiv

CheXthought: A global multimodal dataset of clinical chain-of-thought reasoning and visual attention for chest X-ray interpretation

Chest X-ray interpretation is one of the most frequently performed diagnostic tasks in medicine and a primary target for AI development, yet current vision-language models are primarily trained on datasets of paired images and reports, not the cognitive processes and visual attention that underlie clinical reasoning. Here, we present CheXthought, a global, multimodal resource containing 103,592 chain-of-thought reasoning traces and 6,609,082 synchronized visual attention annotations across 50,312 multi-read chest X-rays from 501 radiologists in 71 countries. Our analysis reveals clinical reasoning patterns in how experts deploy distinct visual search strategies, integrate clinical context, and communicate uncertainty. We demonstrate the clinical utility of CheXthought across four dimensions. First, CheXthought reasoning significantly outperforms state-of-the-art vision-language model chain-of-thought in factual accuracy and spatial grounding. Second, visual attention data used as an inference-time hint recovers missed findings and significantly reduces hallucinations. Third, vision-language models trained on CheXthought data achieve significantly stronger pathology classification, visual faithfulness, temporal reasoning and uncertainty communication. Fourth, leveraging CheXthought's multi-reader annotations, we predict both human-human and human-AI disagreement directly from an image, enabling transparent communication of case difficulty, uncertainty and model reliability. These findings establish CheXthought as a resource for advancing multimodal clinical reasoning and the development of more transparent, interpretable vision-language models.

preprint2022arXiv

How Faithful is your Synthetic Data? Sample-level Metrics for Evaluating and Auditing Generative Models

Devising domain- and model-agnostic evaluation metrics for generative models is an important and as yet unresolved problem. Most existing metrics, which were tailored solely to the image synthesis setup, exhibit a limited capacity for diagnosing the different modes of failure of generative models across broader application domains. In this paper, we introduce a 3-dimensional evaluation metric, ($α$-Precision, $β$-Recall, Authenticity), that characterizes the fidelity, diversity and generalization performance of any generative model in a domain-agnostic fashion. Our metric unifies statistical divergence measures with precision-recall analysis, enabling sample- and distribution-level diagnoses of model fidelity and diversity. We introduce generalization as an additional, independent dimension (to the fidelity-diversity trade-off) that quantifies the extent to which a model copies training data -- a crucial performance indicator when modeling sensitive data with requirements on privacy. The three metric components correspond to (interpretable) probabilistic quantities, and are estimated via sample-level binary classification. The sample-level nature of our metric inspires a novel use case which we call model auditing, wherein we judge the quality of individual samples generated by a (black-box) model, discarding low-quality samples and hence improving the overall model performance in a post-hoc manner.

preprint2021arXiv

Estimating Structural Target Functions using Machine Learning and Influence Functions

We aim to construct a class of learning algorithms that are of practical value to applied researchers in fields such as biostatistics, epidemiology and econometrics, where the need to learn from incompletely observed information is ubiquitous. We propose a new framework for statistical machine learning of target functions arising as identifiable functionals from statistical models, which we call `IF-learning' due to its reliance on influence functions (IFs). This framework is problem- and model-agnostic and can be used to estimate a broad variety of target parameters of interest in applied statistics: we can consider any target function for which an IF of a population-averaged version exists in analytic form. Throughout, we put particular focus on so-called coarsening at random/doubly robust problems with partially unobserved information. This includes problems such as treatment effect estimation and inference in the presence of missing outcome data. Within this framework, we propose two general learning algorithms that build on the idea of nonparametric plug-in bias removal via IFs: the 'IF-learner' which uses pseudo-outcomes motivated by uncentered IFs for regression in large samples and outputs entire target functions without confidence bands, and the 'Group-IF-learner', which outputs only approximations to a function but can give confidence estimates if sufficient information on coarsening mechanisms is available. We apply both in a simulation study on inferring treatment effects.

preprint2021arXiv

Learning Matching Representations for Individualized Organ Transplantation Allocation

Organ transplantation is often the last resort for treating end-stage illness, but the probability of a successful transplantation depends greatly on compatibility between donors and recipients. Current medical practice relies on coarse rules for donor-recipient matching, but is short of domain knowledge regarding the complex factors underlying organ compatibility. In this paper, we formulate the problem of learning data-driven rules for organ matching using observational data for organ allocations and transplant outcomes. This problem departs from the standard supervised learning setup in that it involves matching the two feature spaces (i.e., donors and recipients), and requires estimating transplant outcomes under counterfactual matches not observed in the data. To address these problems, we propose a model based on representation learning to predict donor-recipient compatibility; our model learns representations that cluster donor features, and applies donor-invariant transformations to recipient features to predict outcomes for a given donor-recipient feature instance. Experiments on semi-synthetic and real-world datasets show that our model outperforms state-of-art allocation methods and policies executed by human experts.

preprint2020arXiv

CPAS: the UK's National Machine Learning-based Hospital Capacity Planning System for COVID-19

The coronavirus disease 2019 (COVID-19) global pandemic poses the threat of overwhelming healthcare systems with unprecedented demands for intensive care resources. Managing these demands cannot be effectively conducted without a nationwide collective effort that relies on data to forecast hospital demands on the national, regional, hospital and individual levels. To this end, we developed the COVID-19 Capacity Planning and Analysis System (CPAS) - a machine learning-based system for hospital resource planning that we have successfully deployed at individual hospitals and across regions in the UK in coordination with NHS Digital. In this paper, we discuss the main challenges of deploying a machine learning-based decision support system at national scale, and explain how CPAS addresses these challenges by (1) defining the appropriate learning problem, (2) combining bottom-up and top-down analytical approaches, (3) using state-of-the-art machine learning algorithms, (4) integrating heterogeneous data sources, and (5) presenting the result with an interactive and transparent interface. CPAS is one of the first machine learning-based systems to be deployed in hospitals on a national scale to address the COVID-19 pandemic - we conclude the paper with a summary of the lessons learned from this experience.

preprint2020arXiv

Discriminative Jackknife: Quantifying Uncertainty in Deep Learning via Higher-Order Influence Functions

Deep learning models achieve high predictive accuracy across a broad spectrum of tasks, but rigorously quantifying their predictive uncertainty remains challenging. Usable estimates of predictive uncertainty should (1) cover the true prediction targets with high probability, and (2) discriminate between high- and low-confidence prediction instances. Existing methods for uncertainty quantification are based predominantly on Bayesian neural networks; these may fall short of (1) and (2) -- i.e., Bayesian credible intervals do not guarantee frequentist coverage, and approximate posterior inference undermines discriminative accuracy. In this paper, we develop the discriminative jackknife (DJ), a frequentist procedure that utilizes influence functions of a model's loss functional to construct a jackknife (or leave-one-out) estimator of predictive confidence intervals. The DJ satisfies (1) and (2), is applicable to a wide range of deep learning models, is easy to implement, and can be applied in a post-hoc fashion without interfering with model training or compromising its accuracy. Experiments demonstrate that DJ performs competitively compared to existing Bayesian and non-Bayesian regression baselines.

preprint2020arXiv

Estimating Counterfactual Treatment Outcomes over Time Through Adversarially Balanced Representations

Identifying when to give treatments to patients and how to select among multiple treatments over time are important medical problems with a few existing solutions. In this paper, we introduce the Counterfactual Recurrent Network (CRN), a novel sequence-to-sequence model that leverages the increasingly available patient observational data to estimate treatment effects over time and answer such medical questions. To handle the bias from time-varying confounders, covariates affecting the treatment assignment policy in the observational data, CRN uses domain adversarial training to build balancing representations of the patient history. At each timestep, CRN constructs a treatment invariant representation which removes the association between patient history and treatment assignments and thus can be reliably used for making counterfactual predictions. On a simulated model of tumour growth, with varying degree of time-dependent confounding, we show how our model achieves lower error in estimating counterfactuals and in choosing the correct treatment and timing of treatment than current state-of-the-art methods.

preprint2020arXiv

Frequentist Uncertainty in Recurrent Neural Networks via Blockwise Influence Functions

Recurrent neural networks (RNNs) are instrumental in modelling sequential and time-series data. Yet, when using RNNs to inform decision-making, predictions by themselves are not sufficient; we also need estimates of predictive uncertainty. Existing approaches for uncertainty quantification in RNNs are based predominantly on Bayesian methods; these are computationally prohibitive, and require major alterations to the RNN architecture and training. Capitalizing on ideas from classical jackknife resampling, we develop a frequentist alternative that: (a) does not interfere with model training or compromise its accuracy, (b) applies to any RNN architecture, and (c) provides theoretical coverage guarantees on the estimated uncertainty intervals. Our method derives predictive uncertainty from the variability of the (jackknife) sampling distribution of the RNN outputs, which is estimated by repeatedly deleting blocks of (temporally-correlated) training data, and collecting the predictions of the RNN re-trained on the remaining data. To avoid exhaustive re-training, we utilize influence functions to estimate the effect of removing training data blocks on the learned RNN parameters. Using data from a critical care setting, we demonstrate the utility of uncertainty quantification in sequential decision-making.

preprint2020arXiv

Learning Dynamic and Personalized Comorbidity Networks from Event Data using Deep Diffusion Processes

Comorbid diseases co-occur and progress via complex temporal patterns that vary among individuals. In electronic health records we can observe the different diseases a patient has, but can only infer the temporal relationship between each co-morbid condition. Learning such temporal patterns from event data is crucial for understanding disease pathology and predicting prognoses. To this end, we develop deep diffusion processes (DDP) to model "dynamic comorbidity networks", i.e., the temporal relationships between comorbid disease onsets expressed through a dynamic graph. A DDP comprises events modelled as a multi-dimensional point process, with an intensity function parameterized by the edges of a dynamic weighted graph. The graph structure is modulated by a neural network that maps patient history to edge weights, enabling rich temporal representations for disease trajectories. The DDP parameters decouple into clinically meaningful components, which enables serving the dual purpose of accurate risk prediction and intelligible representation of disease pathology. We illustrate these features in experiments using cancer registry data.

preprint2020arXiv

Time Series Deconfounder: Estimating Treatment Effects over Time in the Presence of Hidden Confounders

The estimation of treatment effects is a pervasive problem in medicine. Existing methods for estimating treatment effects from longitudinal observational data assume that there are no hidden confounders, an assumption that is not testable in practice and, if it does not hold, leads to biased estimates. In this paper, we develop the Time Series Deconfounder, a method that leverages the assignment of multiple treatments over time to enable the estimation of treatment effects in the presence of multi-cause hidden confounders. The Time Series Deconfounder uses a novel recurrent neural network architecture with multitask output to build a factor model over time and infer latent variables that render the assigned treatments conditionally independent; then, it performs causal inference using these latent variables that act as substitutes for the multi-cause unobserved confounders. We provide a theoretical analysis for obtaining unbiased causal effects of time-varying exposures using the Time Series Deconfounder. Using both simulated and real data we show the effectiveness of our method in deconfounding the estimation of treatment responses over time.

preprint2020arXiv

Unlabelled Data Improves Bayesian Uncertainty Calibration under Covariate Shift

Modern neural networks have proven to be powerful function approximators, providing state-of-the-art performance in a multitude of applications. They however fall short in their ability to quantify confidence in their predictions - this is crucial in high-stakes applications that involve critical decision-making. Bayesian neural networks (BNNs) aim at solving this problem by placing a prior distribution over the network's parameters, thereby inducing a posterior distribution that encapsulates predictive uncertainty. While existing variants of BNNs based on Monte Carlo dropout produce reliable (albeit approximate) uncertainty estimates over in-distribution data, they tend to exhibit over-confidence in predictions made on target data whose feature distribution differs from the training data, i.e., the covariate shift setup. In this paper, we develop an approximate Bayesian inference scheme based on posterior regularisation, wherein unlabelled target data are used as "pseudo-labels" of model confidence that are used to regularise the model's loss on labelled source data. We show that this approach significantly improves the accuracy of uncertainty quantification on covariate-shifted data sets, with minimal modification to the underlying model architecture. We demonstrate the utility of our method in the context of transferring prognostic models of prostate cancer across globally diverse populations.

preprint2020arXiv

When and How to Lift the Lockdown? Global COVID-19 Scenario Analysis and Policy Assessment using Compartmental Gaussian Processes

The coronavirus disease 2019 (COVID-19) global pandemic has led many countries to impose unprecedented lockdown measures in order to slow down the outbreak. Questions on whether governments have acted promptly enough, and whether lockdown measures can be lifted soon have since been central in public discourse. Data-driven models that predict COVID-19 fatalities under different lockdown policy scenarios are essential for addressing these questions and informing governments on future policy directions. To this end, this paper develops a Bayesian model for predicting the effects of COVID-19 lockdown policies in a global context -- we treat each country as a distinct data point, and exploit variations of policies across countries to learn country-specific policy effects. Our model utilizes a two-layer Gaussian process (GP) prior -- the lower layer uses a compartmental SEIR (Susceptible, Exposed, Infected, Recovered) model as a prior mean function with "country-and-policy-specific" parameters that capture fatality curves under "counterfactual" policies within each country, whereas the upper layer is shared across all countries, and learns lower-layer SEIR parameters as a function of a country's features and its policy indicators. Our model combines the solid mechanistic foundations of SEIR models (Bayesian priors) with the flexible data-driven modeling and gradient-based optimization routines of machine learning (Bayesian posteriors) -- i.e., the entire model is trained end-to-end via stochastic variational inference. We compare the projections of COVID-19 fatalities by our model with other models listed by the Center for Disease Control (CDC), and provide scenario analyses for various lockdown and reopening strategies highlighting their impact on COVID-19 fatalities.

preprint2016arXiv

A Hidden Absorbing Semi-Markov Model for Informatively Censored Temporal Data: Learning and Inference

Modeling continuous-time physiological processes that manifest a patient's evolving clinical states is a key step in approaching many problems in healthcare. In this paper, we develop the Hidden Absorbing Semi-Markov Model (HASMM): a versatile probabilistic model that is capable of capturing the modern electronic health record (EHR) data. Unlike exist- ing models, an HASMM accommodates irregularly sampled, temporally correlated, and informatively censored physiological data, and can describe non-stationary clinical state transitions. Learning an HASMM from the EHR data is achieved via a novel forward- filtering backward-sampling Monte-Carlo EM algorithm that exploits the knowledge of the end-point clinical outcomes (informative censoring) in the EHR data, and implements the E-step by sequentially sampling the patients' clinical states in the reverse-time direction while conditioning on the future states. Real-time inferences are drawn via a forward- filtering algorithm that operates on a virtually constructed discrete-time embedded Markov chain that mirrors the patient's continuous-time state trajectory. We demonstrate the di- agnostic and prognostic utility of the HASMM in a critical care prognosis setting using a real-world dataset for patients admitted to the Ronald Reagan UCLA Medical Center.

preprint2016arXiv

A Semi-Markov Switching Linear Gaussian Model for Censored Physiological Data

Critically ill patients in regular wards are vulnerable to unanticipated clinical dete- rioration which requires timely transfer to the intensive care unit (ICU). To allow for risk scoring and patient monitoring in such a setting, we develop a novel Semi- Markov Switching Linear Gaussian Model (SSLGM) for the inpatients' physiol- ogy. The model captures the patients' latent clinical states and their corresponding observable lab tests and vital signs. We present an efficient unsupervised learn- ing algorithm that capitalizes on the informatively censored data in the electronic health records (EHR) to learn the parameters of the SSLGM; the learned model is then used to assess the new inpatients' risk for clinical deterioration in an online fashion, allowing for timely ICU admission. Experiments conducted on a het- erogeneous cohort of 6,094 patients admitted to a large academic medical center show that the proposed model significantly outperforms the currently deployed risk scores such as Rothman index, MEWS, SOFA and APACHE.

preprint2016arXiv

Achievable Degrees-of-Freedom of the K-user SISO Interference Channel with Blind Interference Alignment using Staggered Antenna Switching

In this letter, we present the first characterization for the achievable Degrees-of-Freedom (DoF) by Blind Interference Alignment (BIA) using staggered antenna switching in the $K$-user Gaussian Interference Channel. In such scheme, each transmitter is equipped with one conventional antenna and each receiver is equipped with one reconfigurable (multi-mode) antenna. Assuming that the channel is known to the receivers only, we show that BIA can achieve $\frac{2K}{K+2}$ DoF, which surpasses the sum DoF achieved by previously known interference alignment schemes with delayed channel state information at transmitters (CSIT). This result implies that the sum DoF is upper bounded by 2, which means that the best we can do with BIA is to double the DoF achieved by orthogonal multiple access schemes. Moreover, we propose an algorithm to generate the transmit beamforming vectors and the reconfigurable antenna switching patterns, and apply this algorithm to the 4-user SISO Interference Channel, showing that $\frac{4}{3}$ sum DoF is achievable.

preprint2016arXiv

Balancing Suspense and Surprise: Timely Decision Making with Endogenous Information Acquisition

We develop a Bayesian model for decision-making under time pressure with endogenous information acquisition. In our model, the decision maker decides when to observe (costly) information by sampling an underlying continuous-time stochastic process (time series) that conveys information about the potential occurrence or non-occurrence of an adverse event which will terminate the decision-making process. In her attempt to predict the occurrence of the adverse event, the decision-maker follows a policy that determines when to acquire information from the time series (continuation), and when to stop acquiring information and make a final prediction (stopping). We show that the optimal policy has a rendezvous structure, i.e. a structure in which whenever a new information sample is gathered from the time series, the optimal "date" for acquiring the next sample becomes computable. The optimal interval between two information samples balances a trade-off between the decision maker's surprise, i.e. the drift in her posterior belief after observing new information, and suspense, i.e. the probability that the adverse event occurs in the time interval between two information samples. Moreover, we characterize the continuation and stopping regions in the decision-maker's state-space, and show that they depend not only on the decision-maker's beliefs, but also on the context, i.e. the current realization of the time series.

preprint2016arXiv

ConfidentCare: A Clinical Decision Support System for Personalized Breast Cancer Screening

Breast cancer screening policies attempt to achieve timely diagnosis by the regular screening of apparently healthy women. Various clinical decisions are needed to manage the screening process; those include: selecting the screening tests for a woman to take, interpreting the test outcomes, and deciding whether or not a woman should be referred to a diagnostic test. Such decisions are currently guided by clinical practice guidelines (CPGs), which represent a one-size-fits-all approach that are designed to work well on average for a population, without guaranteeing that it will work well uniformly over that population. Since the risks and benefits of screening are functions of each patients features, personalized screening policies that are tailored to the features of individuals are needed in order to ensure that the right tests are recommended to the right woman. In order to address this issue, we present ConfidentCare: a computer-aided clinical decision support system that learns a personalized screening policy from the electronic health record (EHR) data. ConfidentCare operates by recognizing clusters of similar patients, and learning the best screening policy to adopt for each cluster. A cluster of patients is a set of patients with similar features (e.g. age, breast density, family history, etc.), and the screening policy is a set of guidelines on what actions to recommend for a woman given her features and screening test scores. ConfidentCare algorithm ensures that the policy adopted for every cluster of patients satisfies a predefined accuracy requirement with a high level of confidence. We show that our algorithm outperforms the current CPGs in terms of cost-efficiency and false positive rates.

preprint2016arXiv

Personalized Donor-Recipient Matching for Organ Transplantation

Organ transplants can improve the life expectancy and quality of life for the recipient but carries the risk of serious post-operative complications, such as septic shock and organ rejection. The probability of a successful transplant depends in a very subtle fashion on compatibility between the donor and the recipient but current medical practice is short of domain knowledge regarding the complex nature of recipient-donor compatibility. Hence a data-driven approach for learning compatibility has the potential for significant improvements in match quality. This paper proposes a novel system (ConfidentMatch) that is trained using data from electronic health records. ConfidentMatch predicts the success of an organ transplant (in terms of the 3 year survival rates) on the basis of clinical and demographic traits of the donor and recipient. ConfidentMatch captures the heterogeneity of the donor and recipient traits by optimally dividing the feature space into clusters and constructing different optimal predictive models to each cluster. The system controls the complexity of the learned predictive model in a way that allows for assuring more granular and confident predictions for a larger number of potential recipient-donor pairs, thereby ensuring that predictions are "personalized" and tailored to individual characteristics to the finest possible granularity. Experiments conducted on the UNOS heart transplant dataset show the superiority of the prognostic value of ConfidentMatch to other competing benchmarks; ConfidentMatch can provide predictions of success with 95% confidence for 5,489 patients of a total population of 9,620 patients, which corresponds to 410 more patients than the most competitive benchmark algorithm (DeepBoost).

preprint2016arXiv

Personalized Risk Scoring for Critical Care Patients using Mixtures of Gaussian Process Experts

We develop a personalized real time risk scoring algorithm that provides timely and granular assessments for the clinical acuity of ward patients based on their (temporal) lab tests and vital signs. Heterogeneity of the patients population is captured via a hierarchical latent class model. The proposed algorithm aims to discover the number of latent classes in the patients population, and train a mixture of Gaussian Process (GP) experts, where each expert models the physiological data streams associated with a specific class. Self-taught transfer learning is used to transfer the knowledge of latent classes learned from the domain of clinically stable patients to the domain of clinically deteriorating patients. For new patients, the posterior beliefs of all GP experts about the patient's clinical status given her physiological data stream are computed, and a personalized risk score is evaluated as a weighted average of those beliefs, where the weights are learned from the patient's hospital admission information. Experiments on a heterogeneous cohort of 6,313 patients admitted to Ronald Regan UCLA medical center show that our risk score outperforms the currently deployed risk scores, such as MEWS and Rothman scores.

preprint2016arXiv

Personalized Risk Scoring for Critical Care Prognosis using Mixtures of Gaussian Processes

Objective: In this paper, we develop a personalized real-time risk scoring algorithm that provides timely and granular assessments for the clinical acuity of ward patients based on their (temporal) lab tests and vital signs; the proposed risk scoring system ensures timely intensive care unit (ICU) admissions for clinically deteriorating patients. Methods: The risk scoring system learns a set of latent patient subtypes from the offline electronic health record data, and trains a mixture of Gaussian Process (GP) experts, where each expert models the physiological data streams associated with a specific patient subtype. Transfer learning techniques are used to learn the relationship between a patient's latent subtype and her static admission information (e.g. age, gender, transfer status, ICD-9 codes, etc). Results: Experiments conducted on data from a heterogeneous cohort of 6,321 patients admitted to Ronald Reagan UCLA medical center show that our risk score significantly and consistently outperforms the currently deployed risk scores, such as the Rothman index, MEWS, APACHE and SOFA scores, in terms of timeliness, true positive rate (TPR), and positive predictive value (PPV). Conclusion: Our results reflect the importance of adopting the concepts of personalized medicine in critical care settings; significant accuracy and timeliness gains can be achieved by accounting for the patients' heterogeneity. Significance: The proposed risk scoring methodology can confer huge clinical and social benefits on more than 200,000 critically ill inpatient who exhibit cardiac arrests in the US every year.

preprint2015arXiv

A Micro-foundation of Social Capital in Evolving Social Networks

A social network confers benefits and advantages on individuals (and on groups), the literature refers to these advantages as social capital. This paper presents a micro-founded mathematical model of the evolution of a social network and of the social capital of individuals within the network. The evolution of the network is influenced by the extent to which individuals are homophilic, structurally opportunistic, socially gregarious and by the distribution of types in the society. In the analysis, we identify different kinds of social capital: bonding capital, popularity capital, and bridging capital. Bonding capital is created by forming a circle of connections, homophily increases bonding capital because it makes this circle of connections more homogeneous. Popularity capital leads to preferential attachment: individuals who become popular tend to become more popular because others are more likely to link to them. Homophily creates asymmetries in the levels of popularity attained by different social groups, more gregarious types of agents are more likely to become popular. However, in homophilic societies, individuals who belong to less gregarious, less opportunistic, or major types are likely to be more central in the network and thus acquire a bridging capital.

preprint2015arXiv

Evolution of Social Networks: A Microfounded Model

Many societies are organized in networks that are formed by people who meet and interact over time. In this paper, we present a first model to capture the micro-foundations of social networks evolution, where boundedly rational agents of different types join the network; meet other agents stochastically over time; and consequently decide to form social ties. A basic premise of our model is that in real-world networks, agents form links by reasoning about the benefits that agents they meet over time can bestow. We study the evolution of the emerging networks in terms of friendship and popularity acquisition given the following exogenous parameters: structural opportunism, type distribution, homophily, and social gregariousness. We show that the time needed for an agent to find "friends" is influenced by the exogenous parameters: agents who are more gregarious, more homophilic, less opportunistic, or belong to a type "minority" spend a longer time on average searching for friendships. Moreover, we show that preferential attachment is a consequence of an emerging doubly preferential meeting process: a process that guides agents of a certain type to meet more popular similar-type agents with a higher probability, thereby creating asymmetries in the popularity evolution of different types of agents.

preprint2015arXiv

Random Aerial Beamforming for Underlay Cognitive Radio with Exposed Secondary Users

In this paper, we introduce the exposed secondary users problem in underlay cognitive radio systems, where both the secondary-to-primary and primary-to-secondary channels have a Line-of-Sight (LoS) component. Based on a Rician model for the LoS channels, we show, analytically and numerically, that LoS interference hinders the achievable secondary user capacity when interference constraints are imposed at the primary user receiver. This is caused by the poor dynamic range of the interference channels fluctuations when a dominant LoS component exists. In order to improve the capacity of such system, we propose the usage of an Electronically Steerable Parasitic Array Radiator (ESPAR) antennas at the secondary terminals. An ESPAR antenna involves a single RF chain and has a reconfigurable radiation pattern that is controlled by assigning arbitrary weights to M orthonormal basis radiation patterns via altering a set of reactive loads. By viewing the orthonormal patterns as multiple virtual dumb antennas, we randomly vary their weights over time creating artificial channel fluctuations that can perfectly eliminate the undesired impact of LoS interference. This scheme is termed as Random Aerial Beamforming (RAB), and is well suited for compact and low cost mobile terminals as it uses a single RF chain. Moreover, we investigate the exposed secondary users problem in a multiuser setting, showing that LoS interference hinders multiuser interference diversity and affects the growth rate of the SU capacity as a function of the number of users. Using RAB, we show that LoS interference can actually be exploited to improve multiuser diversity via opportunistic nulling.

preprint2015arXiv

Self-organizing Networks of Information Gathering Cognitive Agents

In many scenarios, networks emerge endogenously as cognitive agents establish links in order to exchange information. Network formation has been widely studied in economics, but only on the basis of simplistic models that assume that the value of each additional piece of information is constant. In this paper we present a first model and associated analysis for network formation under the much more realistic assumption that the value of each additional piece of information depends on the type of that piece of information and on the information already possessed: information may be complementary or redundant. We model the formation of a network as a non-cooperative game in which the actions are the formation of links and the benefit of forming a link is the value of the information exchanged minus the cost of forming the link. We characterize the topologies of the networks emerging at a Nash equilibrium (NE) of this game and compare the efficiency of equilibrium networks with the efficiency of centrally designed networks. To quantify the impact of information redundancy and linking cost on social information loss, we provide estimates for the Price of Anarchy (PoA); to quantify the impact on individual information loss we introduce and provide estimates for a measure we call Maximum Information Loss (MIL). Finally, we consider the setting in which agents are not endowed with information, but must produce it. We show that the validity of the well-known "law of the few" depends on how information aggregates; in particular, the "law of the few" fails when information displays complementarities.

preprint2014arXiv

Band-Sweeping M-ary PSK (BS-M-PSK) Modulation and Transceiver Design

Channel Estimation is a major problem encountered by receiver designers for wireless communications systems. The fading channels encountered by the system are usually time variant for a mobile receiver. Besides, the frequency response of the channel is frequency selective for urban environments where the delay spread is quite large compared to the symbol duration. Estimating the channel is essential for equalizing the received data and removing the Inter-Symbol Interference (ISI) resulting from the dispersive channel. Hence, conventional transceivers insert pilot symbols of known values and detect the changes in it in order to deduce the channel response. Because these pilots carry no information, the throughput of the system is reduced. A Novel modulation scheme is presented in this work. The technique depends on using a carrier signal that has no fixed frequency, the carrier tone sweeps the band dedicated for transmission and detects the transfer function gain within the band. A carrier signal that is Frequency Modulated (FM) by a periodic ramp signal becomes Amplitude Modulated (AM) by the channel transfer function, and thus, the receiver obtains an estimate for the channel response without using pilots that decrease the systems throughput or data rate. The carrier signal itself acts as a dynamic frequency domain pilot. The technique only works for constant energy systems, and thus it is applied to PSK transceivers. Mathematical formulation, transceiver design and performance analysis of the proposed modulation technique are presented.

preprint2014arXiv

Defeating the Eavesdropper: On the Achievable Secrecy Capacity using Reconfigurable Antennas

In this paper, we consider the transmission of confidential messages over slow fading wireless channels in the presence of an eavesdropper. We propose a transmission scheme that employs a single reconfigurable antenna at each of the legitimate partners, whereas the eavesdropper uses a single conventional antenna. A reconfigurable antenna can switch its propagation characteristics over time and thus it perceives different fading channels. It is shown that without channel side information (CSI) at the legitimate partners, the main channel can be transformed into an ergodic regime offering a \textit{secrecy capacity} gain for strict outage constraints. If the legitimate partners have partial or full channel side information (CSI), a sort of selection diversity can be applied boosting the maximum secret communication rate. In this case, fading acts as a friend not a foe.

preprint2014arXiv

Globally Optimal Cooperation in Dense Cognitive Radio Networks

The problem of calculating the local and global decision thresholds in hard decisions based cooperative spectrum sensing is well known for its mathematical intractability. Previous work relied on simple suboptimal counting rules for decision fusion in order to avoid the exhaustive numerical search required for obtaining the optimal thresholds. However, these simple rules are not globally optimal as they do not maximize the overall global detection probability by jointly selecting local and global thresholds. Instead, they maximize the detection probability for a specific global threshold. In this paper, a globally optimal decision fusion rule for Primary User signal detection based on the Neyman- Pearson (NP) criterion is derived. The algorithm is based on a novel representation for the global performance metrics in terms of the regularized incomplete beta function. Based on this mathematical representation, it is shown that the globally optimal NP hard decision fusion test can be put in the form of a conventional one dimensional convex optimization problem. A binary search for the global threshold can be applied yielding a complexity of O(log2(N)), where N represents the number of cooperating users. The logarithmic complexity is appreciated because we are concerned with dense networks, and thus N is expected to be large. The proposed optimal scheme outperforms conventional counting rules, such as the OR, AND, and MAJORITY rules. It is shown via simulations that, although the optimal rule tends to the simple OR rule when the number of cooperating secondary users is small, it offers significant SNR gain in dense cognitive radio networks with large number of cooperating users.

preprint2014arXiv

On the Capacity of the Underwater Acoustic Channel with Dominant Noise Sources

This paper provides an upper-bound for the capacity of the underwater acoustic (UWA) channel with dominant noise sources and generalized fading environments. Previous works have shown that UWA channel noise statistics are not necessary Gaussian, especially in a shallow water environment which is dominated by impulsive noise sources. In this case, noise is best represented by the Generalized Gaussian (GG) noise model with a shaping parameter $β$. On the other hand, fading in the UWA channel is generally represented using an $α$-$μ$ distribution, which is a generalization of a wide range of well known fading distributions. We show that the Additive White Generalized Gaussian Noise (AWGGN) channel capacity is upper bounded by the AWGN capacity in addition to a constant gap of $\frac{1}{2} \log \left(\frac{β^{2} πe^{1-\frac{2}β} Γ(\frac{3}β)}{2(Γ(\frac{1}β))^{3}} \right)$ bits. The same gap also exists when characterizing the ergodic capacity of AWGGN channels with $α$-$μ$ fading compared to the faded AWGN channel capacity. We justify our results by revisiting the sphere-packing problem, which represents a geometric interpertation of the channel capacity. Moreover, UWA channel secrecy rates are characterized and the dependency of UWA channel secrecy on the shaping parameters of the legitimate and eavesdropper channels is highlighted.

preprint2014arXiv

Opportunistic Beamforming using Dumb Basis Patterns in Multiple Access Cognitive Channels

In this paper, we investigate multiuser diversity in interference-limited Multiple Access (MAC) underlay cognitive channels with Line-of-Sight interference (LoS) from the secondary to the primary network. It is shown that for $N$ secondary users, and assuming Rician interference channels, the secondary sum capacity scales like $\log\left(\frac{K^{2}+K}{\mathcal{W}\left(\frac{K e^{K}}{N}\right)}\right)$, where $K$ is the $K$-factor of the Rician channels, and $\mathcal{W}(.)$ is the Lambert W function. Thus, LoS interference hinders the achievable multiuser diversity gain experienced in Rayleigh channels, where the sum capacity grows like $\log(N)$. To overcome this problem, we propose the usage of single radio Electronically Steerable Parasitic Array Radiator (ESPAR) antennas at the secondary mobile terminals. Using ESPAR antennas, we induce artificial fluctuations in the interference channels to restore the $\log(N)$ growth rate by assigning random weights to orthogonal {\it basis patterns}. We term this technique as {\it Random Aerial Beamforming} (RAB). While LoS interference is originally a source of capacity hindrance, we show that using RAB, it can actually be exploited to improve multiuser interference diversity by boosting the {\it effective number of users} with minimal hardware complexity.

preprint2014arXiv

Opportunistic Spectrum Sharing using Dumb Basis Patterns: The Line-of-Sight Interference Scenario

We investigate a spectrum-sharing system with non-severely faded mutual interference links, where both the secondary-to-primary and primary-to-secondary channels have a Line-of-Sight (LoS) component. Based on a Rician model for the LoS channels, we show, analytically and numerically, that LoS interference hinders the achievable secondary user capacity. This is caused by the poor dynamic range of the interference channels fluctuations when a dominant LoS component exists. In order to improve the capacity of such system, we propose the usage of an Electronically Steerable Parasitic Array Radiator (ESPAR) antenna at the secondary terminals. An ESPAR antenna requires a single RF chain and has a reconfigurable radiation pattern that is controlled by assigning arbitrary weights to M orthonormal basis radiation patterns. By viewing these orthonormal patterns as multiple virtual dumb antennas, we randomly vary their weights over time creating artificial channel fluctuations that can perfectly eliminate the undesired impact of LoS interference. Because the proposed scheme uses a single RF chain, it is well suited for compact and low cost mobile terminals.

preprint2014arXiv

Spectrum Sensing Via Reconfigurable Antennas: Fundamental Limits and Potential Gains

We propose a novel paradigm for spectrum sensing in cognitive radio networks that provides diversity and capacity benefits using a single antenna at the Secondary User (SU) receiver. The proposed scheme is based on a reconfigurable antenna: an antenna that is capable of altering its radiation characteristics by changing its geometric configuration. Each configuration is designated as an antenna mode or state and corresponds to a distinct channel realization. Based on an abstract model for the reconfigurable antenna, we tackle two different settings for the cognitive radio problem and present fundamental limits on the achievable diversity and throughput gains. First, we explore the (to cooperate or not to cooperate) tradeoff between the diversity and coding gains in conventional cooperative and noncooperative spectrum sensing schemes, showing that cooperation is not always beneficial. Based on this analysis, we propose two sensing schemes based on reconfigurable antennas that we term as state switching and state selection. It is shown that each of these schemes outperform both cooperative and non-cooperative spectrum sensing under a global energy constraint. Next, we study the (sensing-throughput) trade-off, and demonstrate that using reconfigurable antennas, the optimal sensing time is reduced allowing for a longer transmission time, and thus better throughput. Moreover, state selection can be applied to boost the capacity of SU transmission.

preprint2014arXiv

Spectrum Sensing Via Reconfigurable Antennas: Is Cooperation of Secondary Users Indispensable?

This work presents an analytical framework for characterizing the performance of cooperative and noncooperative spectrum sensing schemes by figuring out the tradeoff between the achieved diversity and coding gains in each scheme. Based on this analysis, we try to answer the fundamental question: can we dispense with SUs cooperation and still achieve an arbitrary diversity gain? It is shown that this is indeed possible via a novel technique that can offer diversity gain for a single SU using a single antenna. The technique is based on the usage of a reconfigurable antenna that changes its propagation characteristics over time, thus creating an artificial temporal diversity. It is shown that the usage of reconfigurable antennas outperforms cooperative as well as non-cooperative schemes at low and high Signal-to-Noise Ratios (SNRs). Moreover, if the channel state information is available at the SU, an additional SNR gain can also be achieved.