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Ao Huang

Publications and source records attributed to Ao Huang.

At least 19 recordsLinked to original sources

Normal approximation for the polynomial functionals of correlated random field sampling along random walk path in dimension $1+1$

Let $\xi$ be the stationary occupation field generated by a Poisson system of independent simple symmetric random walks on $\mathbb Z$ in space--time dimension $1+1$. For a finite set $A\subset\mathbb Z$, we consider the classical fixed-region observables $W_N(A)$, the cumulative occupation of $A$ up to time $N$, and $D_N(A)$, the number of distinct particles visiting $A$ up to time $N$. We prove quantitative central limit theorems for both observables, with Wasserstein rate of order $N^{-1/4}$. In addition, we introduce an independent nearest-neighbour random walk $S=(S_n,\,n\ge 0)$ on $\mathbb Z$ with non-zero drift and sample the field along this ballistic path. For a fixed polynomial observable $\varphi(x)=\sum_{j=0}^k \beta_j x^j, \beta_k\neq 0$, of degree $k\in \mathbb N$, we consider the partial sums $Y_{N,\varphi}=\sum_{n=1}^N \varphi(\xi(n,S_n)).$ We prove a Wasserstein bound of order $N^{-1/2}$ for the normal approximation of the standardized $Y_{N,\varphi}$. To the best of our knowledge, this is the first quantitative normal approximation result for polynomial functionals of the Poisson occupation field sampled along a random walk path. The drift induces an effective decorrelation of the sampled environment, leading to a substantial improvement over fixed-region sampling. The proofs rely on a representation of $\xi$ as a Poisson functional on path space and on the Malliavin--Stein method for Poisson functionals.

math.PR

Utilizing subgroup information in random-effects meta-analysis of few studies

Random-effects meta-analyses are widely used for evidence synthesis in medical research. However, conventional methods based on large-sample approximations often exhibit poor performance in case of very few studies (e.g., 2 to 4), which is very common in practice. Existing methods aiming to improve small-sample performance either still suffer from poor estimates of heterogeneity or result in very wide confidence intervals. Motivated by meta-analyses evaluating surrogate outcomes, where units nested within a trial are often exploited when the number of trials is small, we propose an inference approach based on a common-effect estimator synthesizing data from the subgroup-level instead of the study-level. Two DerSimonian-Laird type heterogeneity estimators are derived using the subgroup-level data, and are incorporated into the Henmi-Copas type variance to adequately reflect variance components. We considered t-quantile based intervals to account for small-sample properties and used flexible degrees of freedom to reduce interval lengths. A comprehensive simulation is conducted to study the performance of our methods depending on various magnitudes of subgroup effects as well as subgroup prevalences. Some general recommendations are provided on how to select the subgroups, and methods are illustrated using two example applications.

stat.ME

SE and EE Tradeoff in Active STAR-RIS Assisted Systems With Hardware Impairments

This paper investigates the problem of resource efficiency maximization in an active simultaneously transmitting and reflecting reconfigurable intelligent surface (STAR-RIS) assisted communication system under practical transceiver hardware impairments (HWIs). We aim to obtain an optimal tradeoff between system spectral efficiency (SE) and energy efficiency (EE), by jointly optimizing the base station (BS) transmit beamforming and the active STAR-RIS beamforming. To tackle the challenges in the fractional objective function, we begin by applying the quadratic transformation method to simplify it into a manageable form. An alternating optimization-based algorithm is then developed to iteratively update the BS and STAR-RIS beamforming coefficients. Simulation results demonstrate that the proposed scheme performs better than other baseline schemes in the presence of HWIs. Moreover, the variation of the achievable SE-EE region with different transmit power budgets is analyzed.

eess.SP

Movable-Element STARS-Assisted Near-Field Wideband Communications

A novel movable-element simultaneously transmitting and reflecting surface (ME-STARS)-assisted near-field wideband communication framework is proposed. In particular, the position of each STARS element can be adjusted to combat the significant wideband beam squint issue in the near field instead of using costly true-time delay components. Four practical ME-STARS element movement modes are proposed, namely region-based (RB), horizontal-based (HB), vertical-based (VB), and diagonal-based (DB) modes. Based on this, a near-field wideband multi-user downlink communication scenario is considered, where a sum rate maximization problem is formulated by jointly optimizing the base station (BS) precoding, ME-STARS beamforming, and element positions. To solve this intractable problem, a two-layer algorithm is developed. For the inner layer, the block coordinate descent optimization framework is utilized to solve the BS precoding and ME-STARS beamforming in an iterative manner. For the outer layer, the particle swarm optimization-based heuristic search method is employed to determine the desired element positions. Numerical results show that:1) the ME-STARSs can effectively address the beam squint for near-field wideband communications compared to conventional STARSs with fixed element positions; 2) the RB mode achieves the most efficient beam squint effect mitigation, while the DB mode achieves the best trade-off between performance gain and hardware overhead; and 3) an increase in the number of ME-STARS elements or BS subcarriers substantially improves the system performance.

eess.SP

STAR-RIS Assisted SWIPT Systems: Active or Passive?

A simultaneously transmitting and reflecting reconfigurable intelligent surface (STAR-RIS) assisted simultaneous wireless information and power transfer (SWIPT) system is investigated. Both active and passive STAR-RISs are considered. Passive STAR-RISs can be cost-efficiently fabricated to large aperture sizes with significant near-field regions, but the design flexibility is limited by the coupled phase-shifts. Active STAR-RISs can further amplify signals and have independent phase-shifts, but their aperture sizes are relatively small due to the high cost. To characterize and compare their performance, a power consumption minimization problem is formulated by jointly designing the beamforming at the access point (AP) and the STAR-RIS, subject to both the power and information quality-of-service requirements. To solve the resulting highly-coupled non-convex problem, the original problem is first decomposed into simpler subproblems and then an alternating optimization framework is proposed. For the passive STAR-RIS, the coupled phase-shift constraint is tackled by employing a vector-driven weight penalty method. While for the active STAR-RIS, the independent phase-shift is optimized with AP beamforming via matrix-driven semidefinite programming, and the amplitude matrix is updated using convex optimization techniques in each iteration. Numerical results show that: 1) given the same aperture sizes, the active STAR-RIS exhibits superior performance over the passive one when the aperture size is small, but the performance gap decreases with the increase in aperture size; and 2) given identical power budgets, the passive STAR-RIS is generally preferred, whereas the active STAR-RIS typically suffers performance loss for balancing between the hardware power and the amplification power.

cs.IT

Enhancing User Fairness in Wireless Powered Communication Networks with STAR-RIS

A simultaneously transmitting and reflecting reconfigurable intelligent surface (STAR-RIS) assisted wireless powered communication network (WPCN) is proposed, where two energy-limited devices first harvest energy from a hybrid access point (HAP) and then use that energy to transmit information back. To fully eliminate the doubly-near-far effect in WPCNs, two STAR-RIS operating protocol-driven transmission strategies, namely energy splitting non-orthogonal multiple access (ES- NOMA) and time switching time division multiple access (TS- TDMA) are proposed. For each strategy, the corresponding optimization problem is formulated to maximize the minimum throughput by jointly optimizing time allocation, user transmit power, active HAP beamforming, and passive STAR-RIS beamforming. For ES-NOMA, the resulting intractable problem is solved via a two-layer algorithm, which exploits the one-dimensional search and block coordinate descent methods in an iterative manner. For TS-TDMA, the optimal active beamforming and passive beamforming are first determined according to the maximum-ratio transmission beamformer. Then, the optimal solution of the time allocation variables is obtained by solving a standard convex problem. Numerical results show that: 1) the STAR-RIS can achieve considerable performance improvements for both strategies compared to the conventional RIS; 2) TS- TDMA is preferred for single-antenna scenarios, whereas ES- NOMA is better suited for multi-antenna scenarios; and 3) the superiority of ES-NOMA over TS-TDMA is enhanced as the number of STAR-RIS elements increases.

cs.IT

Copas-Heckman-type sensitivity analysis for publication bias in rare-event meta-analysis under generalized linear mixed models

In systematic reviews and meta-analyses, publication bias (PB) is one of the serious concerns and mainly induced by selective publication of academic literatures. Although many methods have been proposed to deal with PB, almost all the methods are based on the normal-normal (NN) random-effects model assuming that data are normally distributed in both the within-study and the between-study levels. For rare-event meta-analysis where data contain rare occurrences of events, the standard NN random-effects model may perform poorly. Instead, some generalized linear mixed models (GLMMs) which employ the exact distribution for the number of events in within-study level provide alternatives and have been widely used in practice. However, limited methods can be applied to deal with PB in the GLMMs. To address this limitation, we propose a framework of sensitivity analysis for evaluating the impact of PB in various GLMMs. The proposed framework is developed based on the famous Copas-Heckman-type sensitivity analysis methods and can be easily implemented with the standard software with small computational cost. In this paper, we conduct simulation studies to assess the performance of proposed methods in adjusting PB and compare the results with related existing methods. Several real-world examples are also analyzed to show the broad applicability of our proposal in evaluating the potential impact of PB in meta-analysis of odds ratios and proportions with rare-event outcomes.

stat.ME

STAR-RIS Assisted Downlink Active and Uplink Backscatter Communications with NOMA

A simultaneously transmitting and reflecting reconfigurable intelligent surface (STAR-RIS) assisted downlink (DL) active and uplink (UL) backscatter communication (BackCom) framework is proposed. More particularly, a full-duplex (FD) base station (BS) communicates with the DL users via the STAR-RIS's transmission link, while exciting and receiving the information from the UL BackCom devices with the aid of the STAR-RIS's reflection link. Non-orthogonal multiple access (NOMA) is exploited in both DL and UL communications for improving the spectrum efficiency. The system weighted sum rate maximization problem is formulated for jointly optimizing the FD BS active receive and transmit beamforming, the STAR- RIS passive beamforming, and the DL NOMA decoding orders, subject to the DL user's individual rate constraint. To tackle this challenging non-convex problem, we propose an alternating optimization (AO) based algorithm for the joint active and passive beamforming design with a given DL NOMA decoding order. To address the potential high computational complexity required for exhaustive searching all the NOMA decoding orders, an efficient NOMA user ordering scheme is further developed. Finally, numerical results demonstrate that: i) compared with the baseline schemes employing conventional RISs or space division multiple access, the proposed scheme achieves higher performance gains; and ii) higher UL rate gain is obtained at a cost of DL performance degradation, as a remedy, a more flexible performance tradeoff can be achieved by introducing the STAR-RIS.

cs.IT

Coexisting Passive RIS and Active Relay Assisted NOMA Systems

A novel coexisting passive reconfigurable intelligent surface (RIS) and active decode-and-forward (DF) relay assisted non-orthogonal multiple access (NOMA) transmission framework is proposed. In particular, two communication protocols are conceived, namely Hybrid NOMA (H-NOMA) and Full NOMA (F-NOMA). Based on the proposed two protocols, both the sum rate maximization and max-min rate fairness problems are formulated for jointly optimizing the power allocation at the access point and relay as well as the passive beamforming design at the RIS. To tackle the non-convex problems, an alternating optimization (AO) based algorithm is first developed, where the transmit power and the RIS phase-shift are alternatingly optimized by leveraging the two-dimensional search and rank-relaxed difference-of-convex (DC) programming, respectively. Then, a two-layer penalty based joint optimization (JO) algorithm is developed to jointly optimize the resource allocation coefficients within each iteration. Finally, numerical results demonstrate that: i) the proposed coexisting RIS and relay assisted transmission framework is capable of achieving a significant user performance improvement than conventional schemes without RIS or relay; ii) compared with the AO algorithm, the JO algorithm requires less execution time at the cost of a slight performance loss; and iii) the H-NOMA and F-NOMA protocols are generally preferable for ensuring user rate fairness and enhancing user sum rate, respectively.

cs.IT

Robust Resource Allocation for STAR-RIS Assisted SWIPT Systems

A simultaneously transmitting and reflecting reconfigurable intelligent surface (STAR-RIS) assisted simultaneous wireless information and power transfer (SWIPT) system is proposed. More particularly, an STAR-RIS is deployed to assist in the information/power transfer from a multi-antenna access point (AP) to multiple single-antenna information users (IUs) and energy users (EUs), where two practical STAR-RIS operating protocols, namely energy splitting (ES) and time switching (TS), are employed. Under the imperfect channel state information (CSI) condition, a multi-objective optimization problem (MOOP) framework, that simultaneously maximizes the minimum data rate and minimum harvested power, is employed to investigate the fundamental rate-energy trade-off between IUs and EUs. To obtain the optimal robust resource allocation strategy, the MOOP is first transformed into a single-objective optimization problem (SOOP) via the {\epsilon}-constraint method, which is then reformulated by approximating semi-infinite inequality constraints with the S-procedure. For ES, an alternating optimization (AO)-based algorithm is proposed to jointly design AP active beamforming and STAR-RIS passive beamforming, where a penalty method is leveraged in STAR-RIS beamforming design. Furthermore, the developed algorithm is extended to optimize the time allocation policy and beamforming vectors in a two-layer iterative manner for TS. Numerical results reveal that: 1) deploying STAR-RISs achieves a significant performance gain over conventional RISs, especially in terms of harvested power for EUs; 2) the ES protocol obtains a better user fairness performance when focusing only on IUs or EUs, while the TS protocol yields a better balance between IUs and EUs; 3) the imperfect CSI affects IUs more significantly than EUs, whereas TS can confer a more robust design to attenuate these effects.

cs.IT

Hybrid Active-Passive RIS Transmitter Enabled Energy-Efficient Multi-User Communications

A novel hybrid active-passive reconfigurable intelligent surface (RIS) transmitter enabled downlink multi-user communication system is investigated. Specifically, RISs are exploited to serve as transmitter antennas, where each element can flexibly switch between active and passive modes to deliver information to multiple users. The system energy efficiency (EE) maximization problem is formulated by jointly optimizing the RIS element scheduling and beamforming coefficients, as well as the power allocation coefficients, subject to the user's individual rate requirement and the maximum RIS amplification power constraint. Using the Dinkelbach relaxation, the original mixed-integer nonlinear programming problem is transformed into a nonfractional optimization problem with a two-layer structure, which is solved by the alternating optimization approach. In particular, an exhaustive search method is proposed to determine the optimal operating mode for each RIS element. Then, the RIS beamforming and power allocation coefficients are properly designed in an alternating manner. To overcome the potentially high complexity caused by exhaustive searching, we further develop a joint RIS element mode and beamforming optimization scheme by exploiting the Big-M formulation technique. Numerical results validate that: 1) The proposed hybrid RIS scheme yields higher EE than the baseline multi-antenna schemes employing fully active/passive RIS or conventional radio frequency chains; 2) Both proposed algorithms are effective in improving the system performance, especially the latter can achieve precise design of RIS elements with low complexity; and 3) For a fixed-size hybrid RIS, maximum EE can be reaped by setting only a minority of elements to operate in the active mode.

cs.IT

Publication bias adjustment in network meta-analysis: an inverse probability weighting approach using clinical trial registries

Network meta-analysis (NMA) is a useful tool to compare multiple interventions simultaneously in a single meta-analysis, it can be very helpful for medical decision making when the study aims to find the best therapy among several active candidates. However, the validity of its results is threatened by the publication bias issue. Existing methods to handle the publication bias issue in the standard pairwise meta-analysis are hard to extend to this area with the complicated data structure and the underlying assumptions for pooling the data. In this paper, we aimed to provide a flexible inverse probability weighting (IPW) framework along with several t-type selection functions to deal with the publication bias problem in the NMA context. To solve these proposed selection functions, we recommend making use of the additional information from the unpublished studies from multiple clinical trial registries. A comprehensive numerical study and a real example showed that our methodology can help obtain more accurate estimates and higher coverage probabilities, and improve other properties of an NMA (e.g., ranking the interventions).

stat.ME

Nonparametric worst-case bounds for publication bias on the summary receiver operating characteristic curve

The summary receiver operating characteristic (SROC) curve has been recommended as one important meta-analytical summary to represent the accuracy of a diagnostic test in the presence of heterogeneous cutoff values. However, selective publication of diagnostic studies for meta-analysis can induce publication bias (PB) on the estimate of the SROC curve. Several sensitivity analysis methods have been developed to quantify PB on the SROC curve, and all these methods utilize parametric selection functions to model the selective publication mechanism. The main contribution of this article is to propose a new sensitivity analysis approach that derives the worst-case bounds for the SROC curve by adopting nonparametric selection functions under minimal assumptions. The estimation procedures of the worst-case bounds use the Monte Carlo method to obtain the SROC curves along with the corresponding area under the curves in the worst case where the maximum possible PB under a range of marginal selection probabilities is considered. We apply the proposed method to a real-world meta-analysis to show that the worst-case bounds of the SROC curves can provide useful insights for discussing the robustness of meta-analytical findings on diagnostic test accuracy.

stat.ME

A simple sensitivity analysis method for unmeasured confounders via linear programming with estimating equation constraints

In estimating the average treatment effect in observational studies, the influence of confounders should be appropriately addressed. To this end, the propensity score is widely used. If the propensity scores are known for all the subjects, bias due to confounders can be adjusted by using the inverse probability weighting (IPW) by the propensity score. Since the propensity score is unknown in general, it is usually estimated by the parametric logistic regression model with unknown parameters estimated by solving the score equation under the strongly ignorable treatment assignment (SITA) assumption. Violation of the SITA assumption and/or misspecification of the propensity score model can cause serious bias in estimating the average treatment effect. To relax the SITA assumption, the IPW estimator based on the outcome-dependent propensity score has been successfully introduced. However, it still depends on the correctly specified parametric model and its identification. In this paper, we propose a simple sensitivity analysis method for unmeasured confounders. In the standard practice, the estimating equation is used to estimate the unknown parameters in the parametric propensity score model. Our idea is to make inference on the average causal effect by removing restrictive parametric model assumptions while still utilizing the estimating equation. Using estimating equations as constraints, which the true propensity scores asymptotically satisfy, we construct the worst-case bounds for the average treatment effect with linear programming. Different from the existing sensitivity analysis methods, we construct the worst-case bounds with minimal assumptions. We illustrate our proposal by simulation studies and a real-world example.

stat.ME

Sensitivity analysis for publication bias on the time-dependent summary ROC analysis in meta-analysis of prognosis studies

In the analysis of prognosis studies with time-to-event outcomes, dichotomization of patients is often made. As the evaluations of prognostic capacity, the survivals of groups with high/low expression of the biomarker are often estimated by the Kaplan-Meier method, and the difference between groups is summarized via the hazard ratio (HR). The high/low expressions are usually determined by study-specific cutoff values, which brings heterogeneity over multiple prognosis studies and difficulty to synthesizing the results in a simple way. In meta-analysis of diagnostic studies with binary outcomes, the summary receiver operating characteristics (SROC) analysis provides a useful cutoff-free summary over studies. Recently, this methodology has been extended to the time-dependent SROC analysis for time-to-event outcomes in meta-analysis of prognosis studies. In this paper, we propose a sensitivity analysis method for evaluating the impact of publication bias on the time-dependent SROC analysis. Our proposal extends the recently introduced sensitivity analysis method for meta-analysis of diagnostic studies based on the bivariate normal model on sensitivity and specificity pairs. To model the selective publication process specific to prognosis studies, we introduce a trivariate model on the time-dependent sensitivity and specificity and the log-transformed HR. Based on the proved asymptotic property of the trivariate model, we introduce a likelihood based sensitivity analysis method based on the conditional likelihood constrained by the expected proportion of published studies. We illustrate the proposed sensitivity analysis method through the meta-analysis of Ki67 for breast cancer. Simulation studies are conducted to evaluate the performance of the proposed method.

stat.ME

A likelihood based sensitivity analysis for publication bias on summary ROC in meta-analysis of diagnostic test accuracy

In meta-analysis of diagnostic test accuracy, summary receiver operating characteristic (SROC) is a recommended method to summarize the discriminant capacity of a diagnostic test in the presence of study-specific cutoff values and the area under the SROC (SAUC) gives the aggregate measure of test accuracy. SROC or SAUC can be estimated by bivariate modelling of pairs of sensitivity and specificity over the primary diagnostic studies. However, publication bias is a major threat to the validity of estimates in meta-analysis. To address this issue, we propose to adopt sensitivity analysis to make an objective inference for the impact of publication bias on SROC or SAUC. We extend Copas likelihood based sensitivity analysis to the bivariate normal model used for meta-analysis of diagnostic test accuracy to evaluate how much SROC or SAUC would change with different selection probabilities under several selective publication mechanisms dependent on sensitivity and/or specificity. The selection probability is modelled by a selection function on $t$-type statistic for the linear combination of logit-transformed sensitivity and specificity, allowing the selective publication of each study to be influenced by the cutoff-dependent $p$-value for sensitivity, specificity, or diagnostic odds ratio. By embedding the selection function into the bivariate normal model, the conditional likelihood is proposed and the bias-corrected SROC or SAUC can be estimated by maximizing the likelihood. We illustrate the proposed sensitivity analysis by reanalyzing a meta-analysis of test accuracy for intravascular device related infection. Simulation studies are conducted to investigate the performance of proposed methods.

stat.ME

Adjusting for publication bias in meta-analysis via inverse probability weighting using clinical trial registries

Publication bias is a major concern in conducting systematic reviews and meta-analyses. Various sensitivity analysis or bias-correction methods have been developed based on selection models and they have some advantages over the widely used bias-correction method of the trim-and-fill method. However, likelihood methods based on selection models may have difficulty in obtaining precise estimates and reasonable confidence intervals or require a complicated sensitivity analysis process. In this paper, we develop a simple publication bias adjustment method utilizing information on conducted but still unpublished trials from clinical trial registries. We introduce an estimating equation for parameter estimation in the selection function by regarding the publication bias issue as a missing data problem under missing not at random. With the estimated selection function, we introduce the inverse probability weighting (IPW) method to estimate the overall mean across studies. Furthermore, the IPW versions of heterogeneity measures such as the between-study variance and the I2 measure are proposed. We propose methods to construct asymptotic confidence intervals and suggest intervals based on parametric bootstrapping as an alternative. Through numerical experiments, we observed that the estimators successfully eliminate biases and the confidence intervals had empirical coverage probabilities close to the nominal level. On the other hand, the asymptotic confidence interval is much wider in some scenarios than the bootstrap confidence interval. Therefore, the latter is recommended for practical use.

stat.ME

Using clinical trial registries to inform Copas selection model for publication bias in meta-analysis

Prospective registration of study protocols in clinical trial registries is a useful way to minimize the risk of publication bias in meta-analysis, and several clinical trial registries are available nowadays. However, they are mainly used as a tool for searching studies and information submitted to the registries has not been utilized as efficiently as it could. In addressing publication bias in meta-analyses, sensitivity analysis with the Copas selection model is a more objective alternative to widely-used graphical methods such as the funnel-plot and the trim-and-fill method. Despite its ability to quantify the potential impact of publication bias, a drawback of the model is that some parameters not to be specified. This may result in some difficulty in interpreting the results of the sensitivity analysis. In this paper, we propose an alternative inference procedure for the Copas selection model by utilizing information from clinical trial registries. Our method provides a simple and accurate way to estimate all unknown parameters in the Copas selection model. A simulation study revealed that our proposed method resulted in smaller biases and more accurate confidence intervals than existing methods. Furthermore, two published meta-analyses had been re-analysed to demonstrate how to implement the proposed method in practice.

stat.ME