Abstract-This paper studies the minimum achievable source coding rate as a function of blocklength n and probability that the distortion exceeds a given level d. Tight general achievability and converse bounds are derived that hold at arbitrary fixed blocklength. For stationary memoryless sources with separable distortion, the minimum rate achievable is shown to be closely approxi-

Consider a control problem with a communication channel connecting the observer of a linear stochastic system to the controller. The goal of the controller is to minimize a quadratic cost function in the state variables and control signal, known as the linear quadratic regulator (LQR). We study the fundamental tradeoff between the communication rate r bits/sec and the expected cost b. We obtain a lower bound on a certain rate-cost function, which quantifies the minimum directed mutual information between the channel input and output that is compatible with a target LQR cost. The rate-cost function has operational significance in multiple scenarios of interest: among others, it allows us to lower-bound the minimum communication rate for fixed and variable length quantization, and for control over noisy channels. We derive an explicit lower bound to the rate-cost function, which applies to the vector, non-Gaussian, and partially observed systems, thereby extending and generalizing an earlier explicit expression for the scalar Gaussian system, due to Tatikonda el al. [2]. The bound applies as long as the differential entropy of the system noise is not −∞. It can be closely approached by a simple lattice quantization scheme that only quantizes the innovation, that is, the difference between the controller's belief about the current state and the true state. Via a separation principle between control and communication, similar results hold for causal lossy compression of additive noise Markov sources. Apart from standard dynamic programming arguments, our technical approach leverages the Shannon lower bound, develops new estimates for data compression with coding memory, and uses some recent results on high resolution variablelength vector quantization to prove that the new converse bounds are tight.

Abstract-This paper finds new tight finite-blocklength bounds for the best achievable lossy joint source-channel code rate, and demonstrates that joint source-channel code design brings considerable performance advantage over a separate one in the non-asymptotic regime. A joint source-channel code maps a block of k source symbols onto a length−n channel codeword, and the fidelity of reproduction at the receiver end is measured by the probability ǫ that the distortion exceeds a given threshold d. For memoryless sources and channels, it is demonstrated that the parameters of the best joint source-channel code must satisfy, where C and V are the channel capacity and channel dispersion, respectively; R(d) and V(d) are the source rate-distortion and rate-dispersion functions; and Q is the standard Gaussian complementary cdf. Symbol-bysymbol (uncoded) transmission is known to achieve the Shannon limit when the source and channel satisfy a certain probabilistic matching condition. In this paper we show that even when this condition is not satisfied, symbol-by-symbol transmission is, in some cases, the best known strategy in the non-asymptotic regime.

Motivated by a recent surge of interest in convex optimization techniques, convexity/concavity properties of error rates of the maximum likelihood detector operating in the AWGN channel are studied and extended to frequency-flat slow-fading channels. Generic conditions are identified under which the symbol error rate (SER) is convex/concave for arbitrary multi-dimensional constellations. In particular, the SER is convex in SNR for any one-and two-dimensional constellation, and also in higher dimensions at high SNR. Pairwise error probability and bit error rate are shown to be convex at high SNR, for arbitrary constellations and bit mapping.Universal bounds for the SER 1 st and 2 nd derivatives are obtained, which hold for arbitrary constellations and are tight for some of them. Applications of the results are discussed, which include optimum power allocation in spatial multiplexing systems, optimum power/time sharing to decrease or increase (jamming problem) error rate, an implication for fading channels ("fading is never good in low dimensions") and optimization of a unitaryprecoded OFDM system. For example, the error rate bounds of a unitary-precoded OFDM system with QPSK modulation, which reveal the best and worst precoding, are extended to arbitrary constellations, which may also include coding. The reported results also apply to the interference channel under Gaussian approximation, to the bit error rate when it can be expressed or approximated as a non-negative linear combination of individual symbol error rates, and to coded systems.

This paper studies the fundamental limits of the minimum average length of variable-length compression when a nonzero error probability is tolerated. We give non-asymptotic bounds on the minimum average length in terms of Erokhin's rate-distortion function and we use those bounds to obtain a Gaussian approximation on the speed of approach to the limit which is quite accurate for all but small blocklengths:where Q −1 (·) is the functional inverse of the Q-function and V (S) is the source dispersion. A nonzero error probability thus not only reduces the asymptotically achievable rate by a factor of 1− , but also this asymptotic limit is approached from below, i.e. a larger source dispersion and shorter blocklengths are beneficial. Further, we show that variable-length lossy compression under excess distortion constraint also exhibits similar properties.