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Capabilities

Ramiro Samano-Robles

Instituto de Telecomunicaco es, Campus Universitario, Aveiro, 3810-193, Portugal.

emails:ramiro@av.it.pt

collisions are no longer regarded as a complete waste of network

resources. Induced collisions based on controlled retransmissions

can be used as a source of diversity to recover the contending

packets via source separation or MIMO (multiple-input multipleoutput) tools. This has been called network diversity multiple

access (NDMA), which has been shown to provide the highest

potential throughput in the literature. In addition to this, this

paper assumes that the requested retransmissions (or induced

collisions) of NDMA will be also used as a source of potential

energy to be harvested and reused by the remaining silent

terminals in the network. The objective of this paper is to

optimize both the network performance of the protocol as well

as the average energy harvested/reused per terminal. This goal is

achieved by means of the theory of multi-objective optimization.

The results indicate that NDMA protocols not only allow for large

values of packet throughput in comparison with conventional

random access protocols such as ALOHA, but also higher levels

of collected energy. It is also shown that retransmission diversity

allows for more flexible Pareto optimal trade-off between maximum throughput and maximum collected energy than in the case

of ALOHA-type algorithms.

Index TermsRetransmission diversity, random access, energy

harvesting.

I. I NTRODUCTION

A. Energy harvesting and wireless power transmission

International regulations are driving wireless network design

to a paradigm with low power consumption and low energy

radiation levels [1]. In addition, environmental protection

concerns have created the need for an energy-efficient management for reduction of CO2 emissions and for the use of

cleaner energy sources [2]. An attractive option to reduce

energy consumption in wireless networks is given by wireless

power transfer (WPT) (e.g. [3]) and energy harvesting/reuse

(e.g. [4]).

The origins of WPT and energy harvesting/reuse date back

to the first electromagnetic radiation experiments at the end

of the 19th and beginigns of the 20th centuries. An important

boost occurred in the 1940s thanks to the proposal of the first

radar and back-scattering transmission systems for friend-orfoe identification [5]. Recently, they have received increasing

attention thanks to the success of systems such as radio

frequency identification systems (RFID) [6]. In passive RFID,

the energy radiated by a reader or interrogator is used to

power-up a set of tags or transponders. Tags reuse the collected

reply with a simple message containing an identification string

and, in advanced applications such as in the Internet-of-Things

(IoT), added value sensor and security information can also

be included [6]. Recent developments suggest that the efficiency of energy harvesting/reuse and low power electronics

is reaching new levels at relatively low costs. This has opened

new and interesting research areas not only in the RFID

domain, but also in conventional wireless networks. Future

terminals will harvest as much as possible electromagnetic,

visible and mechanical energy to reduce power consumption

and consequently carbon emissions.

B. Open issues and paper contributions

Literature on WPT and passive RFID has been traditionally focused on physical (PHY) or simplistic medium access

control (MAC) layers. Higher interactions between PHY and

MAC layers, and a more detailed joint optimization of energy

harvesting and back-scattering processes are still required.

This paper attempts to help in filling this gap in the

literature. PHY-layer metrics related to the process of energy

harvesting/collection and energy reuse are explicitly incorporated in the MAC layer design of an NDMA (network diversity

multiple access) protocol [7], [8]. In NDMA, packet collisions

are no longer discarded as in conventional random access.

Instead, they are stored in memory for further processing.

In first instance, the collision signal is used to calculate the

collision multiplicity. Based on this information a number of

retransmissions (induced collisions) are requested from the

contending users to create a virtual full-rank MIMO (multipleinput multiple-output) system and thus resolve the collision

using multiuser detection tools. The NDMA protocol provides

a convenient setting to include innovative PHY-layer features

such as energy harvesting in MAC-PHY cross-layer design and

optimization. In this paper, silent (non-contending) terminals

are allowed to collect the energy radiated by contending

terminals of NDMA over a finite number of idle periods. The

collected energy is reused for the next packet transmission.

Therefore, packet collisions are no longer regarded exclusively

as a throughput degrading effect, as in conventional random

access, or as a source of controlled adaptive diversity as in

NDMA. They are now also a source of energy to be reused.

The objective is to investigate transmission policies that will

both maximum throughput (retransmission diversity -RD-) and

maximum collected energy (thanks to terminals with energy

harvesting capabilities). The challenge is thus two-fold:

1) Drive the network to a traffic load state that maximizes

throughput by controlling the number of collisions below

or near the allowed RD capability, and

2) Control the number of collisions so that idle terminals

maximize their collected energy.

A convenient trade-off must be therefore achieved that allows simultaneously for high levels of collected energy and

throughput. Too many collisions will reduce throughput but

will increase available energy. On the other hand, too many

collisions will also reduce idle periods and thus the time-slots

available for energy harvesting. Multi-objective optimization

and the concept of Pareto optimality are used here to resolve

the conflict when maximizing both metrics. A set of transmission policies is derived that optimize at least one of the

objective functions with a fixed trade-off performance with the

other metric. In technical terms, this is the Pareto optimal front

or the solution for which there is not other operational point

that provides a better trade-off [10]. The results indicate that

RD capabilities considerably help in achieving a reduced set of

Pareto optimal points, which means that maximum throughput

and maximum collected energy can be both simultaneously

achieved or have a more convenient trade-off. The results thus

shed light into the conflicts and benefits of using collisions in

a network as source of energy to be harvested versus the idle

periods that are used for terminals to harvest the energy of

collisions. Summarizing, the contributions of this paper are:

1) Study of an NDMA protocol where idle terminals collect and reuse the energy radiated by the contending

terminals.

2) Multi-objective optimization of the throughput and the

collected energy per terminal.

3) Derivation of the Pareto optimal trade-off solution between throughput and collected energy.

C. Previous works

Works on the PHY-layer of WPT and passive RFID can

be found in [3][6] and references therein. Design of MAC

layer for RFID has been largely studied in the literature,

for example in [9]. For a comprehensive overview of MAC

and MAC-PHY cross-layer schemes for RFID systems we

refer the reader to our previous works in [6]. The majority

of works on RFID focus on either up-link or down-link

analysis without paying much attention to the joint statistical

performance of tag detection and tag activation processes.

The works in [11] and [12] have partially addressed this

issue by proposing the cross-layer analysis and optimization

of multi-reader and multi-tag RFID networks with reader and

tag interference and with joint evaluation of tag detection and

tag activation processes. However, there are still many aspects

to understand and to analyze about the interactions and joint

statistical evaluation of networks where devices harvest and

reuse the energy radiated by other elements. The work in [12]

has demonstrated that tag activation statistics have a direct

impact on tag contention load and reception for the backscattering phase. Radio resource management and coordination

of networks with energy harvesting capabilities can be found

in [4]. The conventional approach is to consider that each

terminal has two buffers (see [13]), one for information and

another for the harvested energy. The harvested energy is

sometimes modeled as a random variable such as in [14], or

depends on the instantaneous power received by readers in an

RFID network such as in [12]. The optimization of the MAC

layer is then proposed under the assumption that terminals

must have enough energy for the transmission.

In comparison with this state of the art, our approach

considers that collisions in random access are not only a source

of throughput loss or a source os diversity as in NDMA,

but also a source of energy to be harvested. Furthermore,

only silent terminals are allowed to harvest energy, while the

collected energy depends on the number of collisions. To the

best of our knowledge, we present the first joint analysis of

the effects of retransmission diversity and energy harvesting

in the performance of random access. Finally, this work uses

multi-objective optimization to achieve Pareto optimality of

the average collected energy and the average throughput.

II. S YSTEM M ODEL AND P ROTOCOL D ESCRIPTION

Consider the slotted random access network depicted in

Fig. 1 with a set of J buffered users and one central node

or base station (BS). The channel between user j and the

the BS is denoted by hj . All channels are assumed to be

non-dispersive, block-fading and independently and identically

distributed (i.i.d.) with Rayleigh statistics: hj CN (0, a2 ).

The channel between user j and user k will be denoted by

hj,k .

Since NDMA exploits the time domain to create diversity,

the number of time-slots used to resolve any packet collision

will be a random variable that will be denoted here by l. The

period of time used to resolve a packet collision will be called

contention resolution period or epoch-slot (see Fig. 1). Silent

users in the network will listen to the transmissions of an

epoch to harvest as much energy as possible. For convenience

in the analysis, two types of epoch-slot are defined: a relevant

epoch, which is the epoch where a given user under analysis

participates by transmitting a packet, and an irrelevant epoch,

which is the epoch where a given user under analysis does

not participate (no packet transmission). Their lengths will be

denoted here by lr and lir , respectively. For example, in Fig.

1, the epoch is relevant to user 1 but irrelevant to user 2

A. Signal model for user detection

Each user of the network is pre-assigned with a unique orthogonal code with J symbols wj = [wj (0), . . . , wj (J 1)]T ,

where ()T is the vector transpose operator. This code, which

is attached as header of each packet transmission, will be used

for purposes of user detection and channel estimation [7]. The

orthogonality condition of the set of codes is given by:

J, k = j

T

wj wk =

,

(1)

0, k 6= j

Idle slot

Epoch slot or

collision resolution period

j=1

j=4

j=1

j=4

j=1

j=4

j=5

j=5

j=5

Idle slot

j=5

j=1

j=4

j=2

j=3

multi-packet reception.

all the headers of all the transmissions of the set of contending

users (denoted here by T ) during the first time-slot of an

epoch-slot:

X

y(h) =

hj wj + v(h) ,

(2)

jT

(h)

(h)

where v

= [v (0), . . . , v (h) (J 1)]T is the zero-mean

and circularly white complex Gaussian noise vector in the

received header. This means that v (h) (r) CN (0, v2 ), where

r {0, . . . , J 1}. The BS uses a matched-filter operation

(h)

(wjT ym ) to extract the detection statistics of user j:

zj = |wjT y(h) |.

(3)

detection threshold to decide whether user j is active or

not. If zj < then the user is detected as inactive: j 6 Tb ,

where Tb is the estimated set of contending users. Otherwise,

if zj > then the user is detected as active (j Tb ). Since this

detection process is prone to errors due to fading and noise,

two cases of potential active user detection can be identified:

1) user j can be correctly detected as active with probability

PD (probability of correct detection) provided the user has

transmitted a packet, and 2) user j is incorrectly detected

as active with probability PF (probability of false alarm)

provided the user did not transmit a packet. By detecting the

presence each one of the contending users, the BS can also

= |Tb | of the real collision multiplicity

have an estimation K

K = |T |, where || is the set cardinality operator when applied

to a set variable.

B. Protocol operation and signal model for RD

Terminals are assumed to always have a packet in buffer

ready to be transmitted (full buffer or dominant system model).

Whenever a terminals are allowed to transmit by the BS,

they proceed to do so at the beginning of an epoch-slot

using a Bernoulli random experiment with parameter p for

probability.

At the beginning of every epoch-slot, the BS proceeds to

estimate the collision multiplicity as described in the previous

of

subsection. Once the BS has obtained an estimation K

the collision multiplicity K, then it proceeds to calculate the

number of retransmissions required to resolve the collision.

In conventional NDMA without multiple antennas, the number of transmissions (including the initial transmission plus

b This means that the

retransmissions) required is given by K.

number of diversity sources (time and space) must be greater

than or equal to the estimated collision multiplicity. In Fig. 1

we can observe one realizations of epoch, where three users

(1,4 and 5) have collided in the first time-slot. Since only one

receiving antenna is provided and three signals need to be

recovered, then only two more retransmissions are needed to

potentially resolve the collision. In this case, the number of

collected transmissions is equal to three, which is enough to

attempt the recovering of the three contending signals. Having

more diversity sources than contending signals is necessary to

ensure the channel matrix is full rank, which in turn improves

the probability of success of the source separation technique to

be used [7]. To request a retransmission for diversity purposes,

the BS simply indicates with a feedback flag at the end of

each time-slot to all the contending users that retransmission

is required in the next time slot. The feedback flag is kept on

until all necessary retransmissions have been collected. This

feedback channel is assumed to be ideal. All the collected

(re)transmissions are kept in memory to create a MIMO

system that can be expressed as follows [7]:

YKN

= AKK

b

b SKN + WKN

b ,

(4)

b time-slots of the epoch, A is the mixing

signals from all the K

matrix or MIMO channel, S is the array of stacked packets

from all the contending users, each one with N symbols, and

finally W is the collected Gaussian noise components. The

mixing matrix A can be estimated by using the outcome of

the matched filter operation from each antenna. The estimate

can be used to recover the contending packets using a zero

A

H Y, or a minimum mean

= (A

H A)

1 A

forcing equalizer:S

HA

+ v2 I)1 A

H Y,

square error (MMSE) receiver: S = (A

packets. This signal is then passed through a hard symbol

detection stage to try to obtain the original packets S [7].

To facilitate NDMA MAC-layer design, packet reception

performance is usually approximated by the outcome of the

collision multiplicity estimation [7]. If all the contending users

are correctly detected as active and none of the non-contending

uses are incorrectly detected as active (false alarm) then all

the packets are considered as correctly received by the BS.

Otherwise, in the case of any detection error all packets are

assumed to be lost in the collision resolution process. The BS

also indicates to all the contending users, by means of an ideal

feedback flag at the end of a resolution period, whether the

resolution process was successful or not. These protocol steps

are repeated for subsequent epoch-slots.

In this paper we assume that silent terminals k 6 T (n)

collect the energy radiated by the remaining active terminals

in the network. The signal received by an idle terminal at the

nth time-slot can be written as:

X

rk (n) =

hj,k (n)xj (n) + vk (n), k 6 T (n). (5)

jT (n)

by:

sk (n) = E[rk (n)H rk (n)]

X

=

P |hj,k (n)|2 + v2 , k 6 T (n),

(6)

operational curve (ROC) of the user detector.

IV. P ERFORMANCE M ETRICS

A. Throughput

Throughput is defined as the long term ratio of correctly

decoded packets to the total number of time-slots used in the

measurement. In our setting this is equivalent to the ratio of the

average number of packets correctly transmitted per epoch-slot

to the average length of an epoch-slot, which can be written

as follows:

Ps

.

(10)

T =

E[l]

jT (n)

III. D ETECTOR PERFORMANCE MODEL

NDMA depends critically upon the performance of the

user detector [8]. This section deals the modeling of the user

detector in (3). This will be useful for subsequent calculations

and design of the MAC layer. The probability of false alarm of

a user that did not transmit a signal while still being detected

as active can be defined more formally as follows:

PF = Pr{zj > |j 6 T },

(7)

the detection threshold , conditional on user j not being one

of the contending users. Since noise is Gaussian distributed,

the detection statistic zj in eq.(3), which consists of the

summation of 2 squared i.i.d. zero-mean gaussian signals, can

be easily proved to have for this particular case a central chisquare distribution with 2 degrees of freedom and parameter

Jv2 . The term Jv2 comes from the matched-filter operation

in (3), which combines J different noise signals (coming

from each one of the J symbols of the header). Therefore,

the probability of false alarm PF can be expressed as the

complementary cumulative distribution function (CCDF) of

the central chi-squared distribution with 2 degrees of freedom

[15]:

PF = e

2

Jv

(8)

Similarly, the probability of correct detection of user j, conditional on user j being one of the contending users, can be

defined as:

PD = Pr{zj > |j T }.

(9)

Since both channel and noise are Gaussian distributed, the detection statistic zj in eq.(3), which is given by the summation

of 2 squared i.i.d. zero-mean Gaussian signals, can also be

proved for this particular case a central chi-square distribution

with 2 degrees of freedom and parameter J 2 a2 + Jv2 . The

term J 2 a2 comes from the matched-filtering operation in (3),

which considers the channel term J times. The second term

Jv2 has the same explanation as in the case of the probability

of false alarm in eq.(7). Therefore, the probability of correct

detection PD is also given by the CCDF of the central chisquared distribution with 2M degrees of freedom. This means

that PD can be obtained by replacing in (8) the term Jv2

performance of the detector. The NDMA detector throughput,

defined as the ratio of the average number of contending users

per epoch with correct multiplicity estimation to the average

number of time-slots per epoch, can be expressed as follows

[8]:

JpPD (pPD + pPF )J1

(11)

Tdec =

J(pPD + pPF ) + (pPD + pPF )J

= 1(). For convenience in subsequent derivations,

where ()

the average length of an irrelevant epoch is given by [7] [8]:

E[lir ] = (J 1)((pPD + pPF )) + (pPD + pPF )J1 . (12)

B. Average collected energy

Terminals are assumed to collect the energy radiated by the

contending terminals in the network only when they are in

the silent state. This occurs at any time-slot with probability

p = 1 p. While being idle, the terminal is assumed to collect

the energy of the remaining terminals along a maximum of

M time slots. As soon as the terminal proceeds to transmit a

packet to the BS, all the collected energy during the previous

idle period is reused. The harvesting operation is restarted

when the terminal enters again in the idle state. Based on

these assumptions, the average energy collected per terminal

is defined as the ratio of average energy collected over all

possible realizations of idle periods used for harvesting, to the

average number of periods (idle and busy):

P

P

M 1

pm + M m=M pm En [sk (n)]E[lir ]

m=1 m

P

P

S=

m

m

m=1 p +

m=1 p

(13)

where En [sk (n)] is the average of the energy collected per

time-slot from (6) when the terminal is in the idle state:

En [sk (n)] = (J 1)pP + v2 .

PM 1 m

P

The term m=1 lp + M m=M pm accounts for the contribution of time-slots a terminal is in the harvesting

mode

P

m

(idle),

while

the

two

terms

in

the

denominator

p

and

m=1

P l

p

account,

respectively

for

the

average

number

of

busy

l=1

and idle periods. By noting that the following equalities hold

for finite geometric series:

!

M

1

M

1

X

X

d

d 1 pM

m

l

lp = p

p = p

d

p m=0

d

p

1 p

m=1

p M pM + (M 1)

pM +1

,

p2

pm =

m=M

pM

,

p

p 6= 0

p 6= 0,

(14)

(15)

and

X

m=1

pm =

p

,

p

and

pm =

m=1

p

,

p

p 6= 0,

(16)

S = [(J 1)P p + v2 ]

p2 pM +2

,

p 2p

p + 2p

p2

p 6= 0.

(17)

V. O PTIMIZATION

This section deals with the derivation of a set of transmission policies popt that will achieve either simultaneously or

with a convenient trade-off both maximum throughput in (10)

and maximum collected energy in (17). The optimization of

multiple objective functions lies in the field of multi-criteria

or multi-objective optimization. In a multi-objective optimization problem, a global unique solution that simultaneously

optimizes all the involved objective function generally does

not exist, particularly when the objective functions have a

conflict. Instead, the concept of Pareto optimal is introduced.

A solution is Pareto optimal if it is optimum for at least

a subset of objective functions. The set of Pareto optimal

solutions defines a Pareto optimal trade-off curve or surface.

This curve or surface defines the boundary or envelope of the

trade-off performance region of the problem, which can also

be regarded as the set of points for which there is no other

better optimum solution for the subset of objective functions.

In our setting, the multi-objective optimization of throughput

and energy functions can be written as follows:

the transmission probability per terminal. It can be observed

that at low values of transmission probability the collected

energy tends to be small due to the low number of collisions,

particularly when the number of slots used for collision is low

M = 4. On the contrary, when the number of time-slots used

for collecting energy is high M = 40, even when the number

of collisions for energy harvesting is low, the collected energy

is dominated by the noise variance, which was set to v2 = 1.

In all cases, at high values of transmission probability, the idle

periods for each terminal to collect energy considerably reduce

and so it translates in a reduction of the collected energy.

The results of Fig. 4 show the trade-off between throughput

and average collected energy per terminal, as well as the

Pareto solution obtained from the multi-objective optimization

problem in scalarized form in (19). We can observe that

NDMA allows both for larger values of throughput and also

larger values of collected energy in both cases with M = 4

and M = 40. We can observe though, that at low values of

M , the ALOHA Pareto solution produces a better trade-off

between throughput and collected energy. On the contrary, at

high values of M , NDMA produces a Pareto trade-off front

curve that has a reduced range and therefore produces a better

trade-off between the two objective functions. This means

that throughput and collected energy are less competing and

their optimum solutions are not as dissociate as in the case

of ALOHA. NDMA is therefore a good candidate for the

reuse of the energy of collisions in random access networks.

The system gets a double benefit from collisions: diversity for

contention resolution, and energy harvesting.

0.6

0.5

as:

popt = arg max f = T + S, > 0

(19)

0.4

[T

S]

trade-off between throughput and energy objective functions.

Throughput (T)

(18)

0.3

0.2

0.1

NDMA M= 4

NDMA M= 40

ALOHA M= 4

ALOHA M= 40

VI. R ESULTS

The results discussed in this section assume an average

signal-to-noise ratio (SNR) of P2 = 3dB. The number of

v

users is set to J = 10 and the maximum number of timeslots used for energy harvesting purposes is given by two

values M = 4 and M = 40. All the results include the

solution for the ALOHA Fig. 2 shows the performance of

throughput in packets per time-slot versus the transmission

probability. Note in first instance that the throughput of NDMA

i considerably higher that ALOHA, as expected. Also note

that there is no influence of the number of time-slots used for

energy collection on throughput performance, which is also

expected as the energy harvesting scheme is performed along

the idle slots for each terminal. This is different in Fig. 3,

0.0

0.0

0.1

0.2

0.3

0.4

0.5 0.6

Tx probability(p)

0.7

0.8

0.9

1.0

ALOHA random access protocols with SNR=6dB.

VII. C ONCLUSIONS

This paper has presented an NDMA protocol where idle

terminals are allowed to harvest the energy of the contending

users for a finite number of time-slots. Due to the particular

characteristics of NDMA, the proposed protocol allows for

a double use of collisions in random access networks: as a

R EFERENCES

[1]

40

35

30

25

20

15

10

NDMA M= 4

NDMA M= 40

ALOHA M= 4

ALOHA M= 40

5

0

0.0

0.1

0.2

0.3

0.4

0.5 0.6

Tx probability(p)

0.7

0.8

0.9

1.0

Fig. 3.

Average collected energy per terminal (S) versus transmission

probability p).

0.6

NDMA M= 4

NDMA Pareto M= 4

NDMA M= 40

NDMA Pareto M= 40

ALOHA M= 4

ALOHA Pareto M= 4

ALOHA M= 40

ALOHA Pareto M= 40

Throughput (T)

0.5

0.4

0.3

0.2

0.1

0.0

Fig. 4.

10

15

20

25

30

Average energy collected per term inal (S)

35

40

of energy to be potentially harvested/reused by idle terminals.

The results indicate that NDMA not only provides with a

higher throughput in comparison with conventional random

access, but also higher levels of energy that can be potentially

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collisions naturally created within the protocol operation. The

trade-off between collected energy and achieved throughput

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of time slots used for energy collection was large than its

ALOHA counterpart. On the contrary, better Pareto optimal

trade-off was found for ALOHA solutions when the number of

time-slots used for energy harvesting was relatively lower. This

means that NDMA provides with a more flexible operation

of energy harvesting systems based on collisions in random

access networks when the harvesting and energy storage

capabilities of the terminals are relatively strong.

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