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1 Fixed Rank Kriging for Cellular Coverage Analysis Hajer Braham, Sana Ben Jemaa, Gersende Fort, Eric Moulines and Berna Sayrac Abstractβ€”Coverage planning and optimization is one of the most crucial tasks for a radio network operator. Efficient cov- erage optimization requires accurate coverage estimation. This estimation relies on geo-located field measurements which are gathered today during highly expensive drive tests (DT); and will be reported in the near future by users’ mobile devices thanks to the 3GPP Minimizing Drive Tests (MDT) feature [1]. This feature consists in an automatic reporting of the radio measurements associated with the geographic location of the user’s mobile device. Such a solution is still costly in terms of battery consump- tion and signaling overhead. Therefore, predicting the coverage on a location where no measurements are available remains a key and challenging task. This paper describes a powerful tool that gives an accurate coverage prediction on the whole area of interest: it builds a coverage map by spatially interpolating geo- located measurements using the Kriging technique. The paper focuses on the reduction of the computational complexity of the Kriging algorithm by applying Fixed Rank Kriging (FRK). The performance evaluation of the FRK algorithm both on simulated measurements and real field measurements shows a good trade- off between prediction efficiency and computational complexity. In order to go a step further towards the operational application of the proposed algorithm, a multicellular use-case is studied. Simulation results show a good performance in terms of coverage prediction and detection of the best serving cell. Keywordsβ€”Wireless Network, Coverage Map, Radio Environ- ment Map, Spatial Statistics, Fixed Rank Kriging, Expectation- Maximization algorithm. I. I NTRODUCTION Coverage planning and optimization is one of the most crucial tasks for a radio network operator. Efficient coverage optimization requires accurate coverage estimation. This es- timation relies on geo-located field measurements, gathered today during highly expensive drive tests (DT) and will be reported in the near future by users’ mobile devices thanks to the 3GPP Minimization of Drive Tests (MDT) feature standardized since Release 9 [2]. The radio measurements together with the best possible geo-location will be then automatically reported to the network by the user’s mobile device. Thanks to the integration of Global Positioning System (GPS) in the new generation of users’ mobile devices, the geo- location information is quite accurate. Hence, with MDT, the network operator will soon have at his disposal a rich source of information that provides a greater insight into the end-user perceived quality of service and a better knowledge of the radio environment. H. Braham is with Orange Labs research center, Issy-Les-Moulineaux, France and TΒ΄ elΒ΄ ecom ParisTech, Paris, France. S. Ben Jemaa and B. Sayrac are with Orange Labs research center, Issy- Les-Moulineaux, France. G. Fort and E. Moulines are with LTCI TΒ΄ elΒ΄ ecom ParisTech & CNRS, Paris, France. The collection and exploitation of location aware radio measurements was introduced much earlier in the literature in the context of the cognitive radio paradigm [3]. The radio En- vironmental Map (REM) concept was introduced by Zhao [4] as a database that stores geo-located radio environmental information mainly for opportunistic spectrum access. The REM concept was then extended to an entity that not only stores geo-located radio information but also post processes this information in order to build a complete map. The missing information, namely the considered radio metric in locations where no measurements are available, is then predicted by interpolating the geo-located measurements [5]–[7]. The REM was then studied in the framework of European Telecommunications Standards Institute (ETSI) as a tool for the exploitation of geo-located radio measurements for the radio resource management of mobile wireless networks. A technical report dedicated to the definition of use-cases for building and exploiting the REM gives the following defini- tion [8]: ”The Radio Environment Map (REM) defines a set of network entities and associated protocols that trigger, perform, store and process geo-located radio measurements (received signal strength, interference levels, Quality of Service (QoS) measurements [...]) and network performance indicators. Such measurements are typically performed by user equipments, net- work entities or dedicated sensors.” In this ETSI report, several use-cases for REM exploitation in radio resource management are described such as coverage and capacity optimization, and interference management especially for the introduction of a new technology. Inspired by the geo-statistics area, Kriging technique was ap- plied to REM construction, mainly for coverage prediction and analysis in radio mobile networks [9]–[11]. Bayesian Kriging was first applied to 3G Received Signal Code Power (RSCP) coverage prediction in [9], then to Long Term Evolution (LTE) Reference Signal Received Power (RSRP) coverage analysis in [10]. The description of the bayesian Kriging methodology and the algorithm used in [9], [10], is detailed in [11]. These papers give promising results in terms of performance. However the computational complexity of the algorithm increases cubically with the number of measurement points (∼ O(N 3 ), where N is the number of measurement points). In this paper, we aim at providing a method for predict- ing LTE RSRP coverage map based on MDT data. Given the huge number of measurements that will be reported by mobile terminals with MDT in the near future, reducing the computational complexity of the REM construction becomes crucial. In [12], [13], we used the Fixed Rank Kriging (FRK) introduced by Cressie in [14] (also called in the literature Spatial Random Effects model), as a method to reduce the computational complexity of the Kriging technique applied to radio coverage prediction; the method was evaluated on arXiv:1505.07062v2 [cs.OH] 14 Mar 2016
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Fixed Rank Kriging for Cellular Coverage AnalysisHajer Braham, Sana Ben Jemaa, Gersende Fort, Eric Moulines and Berna Sayrac

Abstractβ€”Coverage planning and optimization is one of themost crucial tasks for a radio network operator. Efficient cov-erage optimization requires accurate coverage estimation. Thisestimation relies on geo-located field measurements which aregathered today during highly expensive drive tests (DT); and willbe reported in the near future by users’ mobile devices thanks tothe 3GPP Minimizing Drive Tests (MDT) feature [1]. This featureconsists in an automatic reporting of the radio measurementsassociated with the geographic location of the user’s mobiledevice. Such a solution is still costly in terms of battery consump-tion and signaling overhead. Therefore, predicting the coverageon a location where no measurements are available remains akey and challenging task. This paper describes a powerful toolthat gives an accurate coverage prediction on the whole area ofinterest: it builds a coverage map by spatially interpolating geo-located measurements using the Kriging technique. The paperfocuses on the reduction of the computational complexity of theKriging algorithm by applying Fixed Rank Kriging (FRK). Theperformance evaluation of the FRK algorithm both on simulatedmeasurements and real field measurements shows a good trade-off between prediction efficiency and computational complexity.In order to go a step further towards the operational applicationof the proposed algorithm, a multicellular use-case is studied.Simulation results show a good performance in terms of coverageprediction and detection of the best serving cell.

Keywordsβ€”Wireless Network, Coverage Map, Radio Environ-ment Map, Spatial Statistics, Fixed Rank Kriging, Expectation-Maximization algorithm.

I. INTRODUCTION

Coverage planning and optimization is one of the mostcrucial tasks for a radio network operator. Efficient coverageoptimization requires accurate coverage estimation. This es-timation relies on geo-located field measurements, gatheredtoday during highly expensive drive tests (DT) and will bereported in the near future by users’ mobile devices thanksto the 3GPP Minimization of Drive Tests (MDT) featurestandardized since Release 9 [2]. The radio measurementstogether with the best possible geo-location will be thenautomatically reported to the network by the user’s mobiledevice. Thanks to the integration of Global Positioning System(GPS) in the new generation of users’ mobile devices, the geo-location information is quite accurate. Hence, with MDT, thenetwork operator will soon have at his disposal a rich sourceof information that provides a greater insight into the end-userperceived quality of service and a better knowledge of the radioenvironment.

H. Braham is with Orange Labs research center, Issy-Les-Moulineaux,France and Telecom ParisTech, Paris, France.

S. Ben Jemaa and B. Sayrac are with Orange Labs research center, Issy-Les-Moulineaux, France.

G. Fort and E. Moulines are with LTCI Telecom ParisTech & CNRS, Paris,France.

The collection and exploitation of location aware radiomeasurements was introduced much earlier in the literature inthe context of the cognitive radio paradigm [3]. The radio En-vironmental Map (REM) concept was introduced by Zhao [4]as a database that stores geo-located radio environmentalinformation mainly for opportunistic spectrum access. TheREM concept was then extended to an entity that not onlystores geo-located radio information but also post processesthis information in order to build a complete map. The missinginformation, namely the considered radio metric in locationswhere no measurements are available, is then predicted byinterpolating the geo-located measurements [5]–[7].

The REM was then studied in the framework of EuropeanTelecommunications Standards Institute (ETSI) as a tool forthe exploitation of geo-located radio measurements for theradio resource management of mobile wireless networks. Atechnical report dedicated to the definition of use-cases forbuilding and exploiting the REM gives the following defini-tion [8]: ”The Radio Environment Map (REM) defines a set ofnetwork entities and associated protocols that trigger, perform,store and process geo-located radio measurements (receivedsignal strength, interference levels, Quality of Service (QoS)measurements [...]) and network performance indicators. Suchmeasurements are typically performed by user equipments, net-work entities or dedicated sensors.” In this ETSI report, severaluse-cases for REM exploitation in radio resource managementare described such as coverage and capacity optimization, andinterference management especially for the introduction of anew technology.

Inspired by the geo-statistics area, Kriging technique was ap-plied to REM construction, mainly for coverage prediction andanalysis in radio mobile networks [9]–[11]. Bayesian Krigingwas first applied to 3G Received Signal Code Power (RSCP)coverage prediction in [9], then to Long Term Evolution (LTE)Reference Signal Received Power (RSRP) coverage analysis in[10]. The description of the bayesian Kriging methodology andthe algorithm used in [9], [10], is detailed in [11]. These papersgive promising results in terms of performance. However thecomputational complexity of the algorithm increases cubicallywith the number of measurement points (∼ O(N3), where Nis the number of measurement points).

In this paper, we aim at providing a method for predict-ing LTE RSRP coverage map based on MDT data. Giventhe huge number of measurements that will be reported bymobile terminals with MDT in the near future, reducing thecomputational complexity of the REM construction becomescrucial. In [12], [13], we used the Fixed Rank Kriging (FRK)introduced by Cressie in [14] (also called in the literatureSpatial Random Effects model), as a method to reduce thecomputational complexity of the Kriging technique appliedto radio coverage prediction; the method was evaluated on

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simulated data (see [12]) and on real field data (see [13]),both in the situation of a single cell with an omni-directionalantenna. In this paper, we go a step further towards operationalapplication of the REM prediction algorithm by consideringa multicellular use-case: the directivity of the antennas isintroduced in the model, and both the coverage predictionand the good detection of the best serving cell are part ofthe statistical analysis.

The contribution of this paper can be summarized in thefollowing:β€’ We describe the FRK algorithm and its adaptation to

radio coverage data. It requires an estimation step ofthe unknown parameters of the model: we show that themethod of moments proposed in [14] can not apply andwe derive a Maximum Likelihood alternative.

β€’ We extend our model to a multicellular use-case withdirective antennas.

β€’ We evaluate the performances of the proposed algo-rithms both on simulated and real data.

The paper is organized as follows: Section II starts with anoverview of the propagation models existing in the literature.Then the statistical parametric model is introduced. The lastpart is devoted to the parameter estimation: the applicability ofthe original method is discussed, and an alternative is given.In Section III, the extension to the multicellular use-case isdetailed. Then the numerical analysis in the single cell andmulticellular use-cases are provided in Section IV. Finally,Section V summarizes the main conclusions.

II. RADIO ENVIRONMENT MAP PREDICTION MODELS

In this section, we give an overview of basic propagationmodels and give some notations that will be used in theremainder of this paper. Then we introduce a new model forREM construction, which is adapted from the FRK modelproposed in [14].

A. Introduction to propagation modeling and notationsA radio propagation model describes a relation between the

signal strength, and the locations of the transmitter and thereceiver. There are in the literature two different approaches forthis description which are respectively derived using analyticaland empirical methods [15]. The analytical approach is basedon fundamental principals of the radio propagation concept.The empirical one introduces a statistical model and uses a setof observations to fit this model. The advantage of the secondapproach is the use of actual field measurements to estimatethe parameters of the model.

Denote by Z(x) the received power at the receiver endlocated at x ∈ R2, expressed in dB. The path-loss model,also called in the literature the log-distance model, is amongthe analytical approaches. It describes Z(x) as a logarithmi-cally decreasing function of the distance dist(x) between thetransmitter location and the receiver location x (see e.g. [15]):

Z(x) = pt βˆ’ 10ΞΊ ln10(dist(x)), x ∈ R2; (1)

pt is the transmitted power in dB and ΞΊ is the path lossexponent. When using this formula to predict the REM,

pt is considered as known since it is one of the antennacharacteristic, and ΞΊ depends on the propagation environment.For example, ΞΊ is in the order of 2 in free space propagationand it is larger when considering an environment with obstacles(see e.g. [15], [16]).

The model in Eq. (1) does not take into account the factthat two mobile Equipment (ME) equally distant from the basestation (BS), may have different environment characteristics.To tackle this bottleneck, empirical approaches based on a sta-tistical modeling of the shadowing effect have been introduced.The log-normal shadowing model consists in setting (see [17])

Z(x) = pt βˆ’ 10ΞΊ ln10(dist(x)) + σν Ξ½(x), x ∈ R2, (2)

where (Ξ½(x))x, introduced to capture the shadowing effect,is a standard Gaussian variable (note that the terminologyβ€œlog-normal” comes from the fact that the shadowing termexpressed in dB is normally distributed), and σν > 0. Withthis model, the REM prediction at location x is Z(x) =pt βˆ’ 10ΞΊ ln10(dist(x)). The unknown parameters pt and ΞΊare estimated from measured data, usually by the maximumlikelihood estimator (which is also the least-square estimatorin this Gaussian case).

Both the models (1) and (2) are large-scale propagationmodels: they do not consider the small fluctuations of thereceived power due to the local environment. The correlatedshadowing model captures these small-scale variations:

Z(x) = pt βˆ’ 10ΞΊ ln10(dist(x)) + Ξ½(x), x ∈ R2, (3)

where (Ξ½(x))x is a zero mean Gaussian process with a para-metric spatial covariance function (C(x, xβ€²))x,xβ€² . This modelimplies that two signals Z(x), Z(xβ€²) at different locationsx, xβ€² are correlated, with covariance equal to C(x, xβ€²). TheREM prediction formula based on the model (3) is knownin the literature as the Kriging (see e.g. [18]): the predic-tion Z(x) is the conditional expectation of Z(x) given themeasurements. It depends linearly on these measurements (see[18, Eq. (3.2.12)]) and involves a computational cost O(N3),where N is the number of measurement points. Here again,the prediction necessitates the estimation of the parameters:different parameter estimation approaches were proposed (seee.g. [18], [19] for maximum likelihood, or [11], [18] for aBayesian approach). This model was applied to REM inter-polation in [11], [19], [20] and this technique has proved torealize accurate prediction performances.

All the models above assume that the antennas are omni-directional. Nevertheless, in macro-cellular networks, operatorsusually deploy directional antennas. Hence, the received powerdepends also on the direction of reception. To fit the modelto this new constraint, several papers proposed to modify themodel (2) by adding a term G(x) depending on the mobilelocation x and modeling the antenna gain (see e.g. [21], [22]):for x ∈ R2,

Z(x) = pt βˆ’ 10ΞΊ ln10(dist(x)) + G(x) + Ξ½(x). (4)

Different gain functions G are proposed, depending on the an-tenna used for the transmission (for example, a polar antenna,a sectorial antenna, . . .); see e.g. [22]–[24]. The function G

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depends on parameters which are usually considered known;we will allow the function G to depend on unknown param-eters to be calibrated from the observations. In this paper, wewill extend the model (4) by considering a correlated spatialnoise Ξ½(x).

B. Fixed Rank Kriging prediction model

For x ∈ R2, Z(x) is assumed of the form

Z(x) = pt βˆ’ 10ΞΊ ln10 dist(x) + Ο‚G(x) + s(x)TΞ·, (5)

where s : R2 β†’ Rr collects r deterministic spatial basisfunctions and Ξ· is a Rr-valued zero mean Gaussian vectorwith covariance matrix K. AT denotes the transpose of thematrix A and by convention, the vectors are column-vectors.ptβˆ’ 10ΞΊ ln10 dist(x) + Ο‚G(x) describes the large scale spatialvariation (i.e. the trend) and the random process (s(x)TΞ·)x isa smooth small-scale spatial variation. In practice, the numberof basis functions r and the basis functions s are chosen bythe user (see [14, Section 4] and Section IV-B1 below). It isassumed that the function G is known: in the case of an omni-directional antenna, G is the null function, and for directionalantenna we give an example in Section III.

We have N measurement points y1, Β· Β· Β· , yN mod-eled as the realization of the observation vector Y =(Y (x1), . . . , Y (xN ))

T at known locations x1, Β· Β· Β· , xN anddefined as follows

Y (x) = Z (x) + Οƒ Ξ΅ (x) , x ∈ R2. (6)

(Ξ΅(x))x is assumed to be a zero mean standard Gaussianprocess, it incorporates the uncertainties of the measurementtechnique. Ξ· and (Ξ΅(x))x are assumed to be independent sothat the covariance matrix of Y is given by

Ξ£ = Οƒ2IN + SKST , (7)

where S = (s(x1), . . . , s(xN ))T is the N Γ— r matrix, and INdenotes the NΓ—N identity matrix. This model implies that theconditional distribution of (Z(x))x given the observations Yis a Gaussian process. Its expectation and covariance functionsare respectively given by (see e.g. [25, Appendix A.2])

x 7β†’ tT (x)Ξ±+ s(x)TKSTΞ£βˆ’1(Y βˆ’ TΞ±), (8)

(x, xβ€²) 7β†’ sT (x)Ks(xβ€²)βˆ’ s(x)TKSTΞ£βˆ’1SKs(xβ€²), (9)

where T =

1 βˆ’10 ln10 dist(x1) G(x1)...

......

1 βˆ’10 ln10 dist(xN ) G(xN )

,

Ξ± =

[ptΞΊΟ‚

], t(x) =

[1

βˆ’10 ln10 dist(x)G(x)

].

We use the mean value (8) as the estimator Z(x) forthe unknown quantity Z(x). Note that the estimation of(Z(x1), . . . , Z(xN ))T is not Y since at locations where wehave measurements, the prediction technique (8) acts as adenoising algorithm. The prediction formula (8) involves the

inversion of the matrix Ξ£. By using standard matrix formulas(see e.g. [26, Section 1.5 , Eq. (18)]) we have

Ξ£βˆ’1 = Οƒβˆ’2IN βˆ’ Οƒβˆ’2S{Οƒ2Kβˆ’1 + STS

}βˆ’1ST . (10)

The key property of this FRK model is that it only requires theinversion of rΓ— r matrices. Therefore, the computational costfor the REM prediction is O(r2N) which is a drastic reductionwhen compared to the classical Kriging in situations when Nis large. The prediction formula also requires the knowledgeof (Ξ±, Οƒ2,K). The goal of the following section is to addressthe estimation of these parameters.

C. Parameter estimation of the Fixed Rank Kriging model

We first expose the method described in the original paperdevoted to the FRK model [14]. We also provide a rigorousproof of some weaknesses of this estimation technique pointedout in [27] through numerical experiments. We then proposea second method which is more robust.

1) Parameter estimation by a method of moments: In [14],Ξ± is estimated by the weighted least squares estimator:given an estimation (Οƒ2, K) of (Οƒ2,K) which yields anestimation Ξ£ of Ξ£ (see Eq. (7)), we have Ξ±WLS =

(T T Ξ£βˆ’1T )βˆ’1T T Ξ£

βˆ’1Y. Parameters Οƒ2 and K are estimated

by a method of moments: the N observations are replaced withM β€œpseudo-observations” located at xβ€²1, Β· Β· Β· , xβ€²M in R2. Foreach i = 1, Β· Β· Β· ,M , a pseudo-observation is constructed as theaverage of the initial observations Y (x`), ` = 1, Β· Β· Β· , N whichare in a neighborhood of xβ€²i. The parameter M is chosen by theuser such that r < M << N . An empirical MΓ—M covariancematrix Ξ£M is then associated to these pseudo-observations; itis easily invertible due to its reduced dimensions. Finally, thesame ”binning” technique is applied to the matrix S whichyields a MΓ—r matrix SM (see [14, Section 3.3.] for a detailedconstruction of Ξ£M and SM ; see also Appendix A below fora partial description). Οƒ2,K are then estimated by (see [14,Eq. (3.10)] applied with V = IM and S = SM )

Οƒ2 =Tr((IM βˆ’QQT

)Ξ£M

)

Tr(IM βˆ’QQT

) , (11)

K = Rβˆ’1QT (Ξ£M βˆ’ Οƒ2IM )Q(Rβˆ’1)T , (12)

where Tr denotes the trace and SM = QR is the orthogonal-triangular decomposition of SM (Q is a M Γ— r matrix whichcontains the first r columns of a unitary matrix and R isan invertible upper triangular matrix). These estimators areobtained by fitting Οƒ2IM + SMKS

TM to Ξ£M , solving the

optimization problem minΟƒ2,K β€–Ξ£M βˆ’ Οƒ2IM βˆ’ SMKSTMβ€–where in this equation, β€– Β· β€– denotes the Froebenius norm(to have a better intuition of this strategy, compare thiscriterion to Eq. (7)). K has to be positive definite since itestimates an invertible covariance matrix. In [27], the authorsobserve through numerical examples that the estimator (12) isa singular covariance matrix (hence, they introduce an β€œeigen-value lifting” procedure to modify (12) and obtain a positive

4

definite matrix (see [27, Section 3.2.])). We identify sufficientconditions for this empirical observation to be always valid.More precisely, we establish in Appendix A the following,

Proposition 1: Assume that SM is a full rank matrix andlet SM = QR be its orthogonal-triangular decomposition (Qis a M Γ— r matrix which collects the first r columns of aunitary matrix). Denote by (Ξ»j)j the eigenvalues of Ξ£M andVj the eigenspace of Ξ»j . Then

(i) Ξ£M is positive semi-definite.(ii) Οƒ2 given by (11) is lower bounded by

infj:βˆƒv∈Vj ,β€–QT vβ€–<β€–vβ€– Ξ»j .(iii) K given by (12) is positive definite iff Οƒ2 ∈

[0, Ξ»min(QT Ξ£MQ)) where Ξ»min(A) denotes the mini-mal eigenvalue of A.

We also give in Appendix A a sufficient condition whichimplies that the minimal eigenvalue (say Ξ»1) of Ξ£M is positive.If there exists v ∈ Vi such that β€–QT vβ€– = β€–vβ€– then QT vis an eigenvector of QT Ξ£MQ associated to the eigenvalueΞ»i (observe indeed that if β€–QT vβ€– = β€–vβ€–, then there existsΒ΅ ∈ Rr such that v = QΒ΅ and this vector satisfies Β΅ = QT v).Therefore, if Ξ»1 > 0 and for any v ∈ V1, β€–QT vβ€– = β€–vβ€– thenProposition 1 implies that K given by (12) can not be positivedefinite.

2) Parameter estimation by Maximum Likelihood: We pro-pose to estimate the parameters by the Maximum LikelihoodEstimator (MLE), following an idea close to that of [28], [29].Observe from (5) and (6) that Y = TΞ± + SΞ· + σΡ withΞ΅ = (Ξ΅(x1), Β· Β· Β· , Ξ΅(xN ))T . This equation shows that from Y,it is not possible to estimate a general covariance matrix Ksince roughly speaking, Y is obtained from a single realizationof a Gaussian vector Ξ· with covariance matrix K. Therefore,we introduce a parametric model for this covariance matrix,depending on some vector Ο… of low dimension: we will writeK(Ο…). We give an example of such a parametric family inSection IV-B2; see also [25, Chapter 4].

Since Ξ· and (Ξ΅(x))x are independent processes, Y is aRN -valued Gaussian vector with mean TΞ± and with covari-ance matrix Ξ£ = Οƒ2IN + SK(Ο…)ST . Therefore the log-likelihood LY(ΞΈ) of the observations Y given the parametersΞΈ = (Ξ±, Οƒ2, Ο…) is, up to an additive constant,

LY(ΞΈ) = βˆ’1

2ln det(Οƒ2IN + SK(Ο…)ST )

βˆ’ (Y βˆ’ TΞ±)T

2Οƒ2

(IN βˆ’ S

{Οƒ2Kβˆ’1(Ο…) + STS

}βˆ’1ST)Β· Β· Β·

Γ— (Y βˆ’ TΞ±) , (13)

where we used (10) for the expression of Ξ£βˆ’1. Maximizingdirectly the log-likelihood function ΞΈ 7β†’ LY(ΞΈ) is not straight-forward and cannot be computed analytically. We thereforepropose a numerical solution based on the Expectation Maxi-mization (EM) algorithm [30]. EM allows the computation ofthe MLE in latent data models; in our framework, the latentvariable is Ξ·. It is an iterative algorithm which produces asequence (ΞΈ(l))lβ‰₯0 satisfying LY(ΞΈ(l+1)) β‰₯ LY(ΞΈ(l)). Thisproperty is fundamental for the proof of convergence of anyEM sequence [31]. Each iteration of EM consists in two steps:

an Expectation step (E-step) and a Maximization step (M-step). Given the current value ΞΈ(l) of the parameter, the E-step consists in the computation of the expectation of the log-likelihood of (Y,Ξ·) under the conditional distribution of Ξ·given Y for the current value of the parameter ΞΈ(l):

Q(ΞΈ;ΞΈ(l)) = E[ln Pr(Y,Ξ·;ΞΈ)|Y;ΞΈ(l)

],

where ΞΈ 7β†’ Pr(Y,Ξ·;ΞΈ) is the likelihood of (Y,Ξ·). In the M-step, the parameter is updated as the value maximizing ΞΈ 7β†’Q(ΞΈ;ΞΈ(l)) or as any value ΞΈ(l+1) satisfying

Q(ΞΈ(l+1);ΞΈ(l)) > Q(ΞΈ(l);ΞΈ(l)) . (14)

The E- and M-steps are repeated until convergence, which inpractice may mean when the difference between β€–ΞΈ(l)βˆ’ΞΈ(l+1)β€–changes by an arbitrarily small amount determined by the user(see e.g. [30, Chapter 3]). In our framework, we have

Q(ΞΈ; ΞΈ) = βˆ’N2

ln(Οƒ2)βˆ’ 1

2ln(det(K(Ο…)))βˆ’ 1

2Οƒ2β€–Y βˆ’ TΞ±β€–2

βˆ’ 1

2Tr

((STS

Οƒ2+Kβˆ’1(Ο…)

)E[Ξ·Ξ·T |Y; ΞΈ

])

+1

Οƒ2(Y βˆ’ TΞ±)TSE

[Ξ·|Y; ΞΈ

], (15)

where (see e.g. [12, Appendix C])

E[Ξ·|Y; ΞΈ

]=(STS + Οƒ2Kβˆ’1(Ο…)

)βˆ’1ST (Y βˆ’ T Ξ±) ,

cov[Ξ·|Y; ΞΈ

]=

(STS

Οƒ2+Kβˆ’1(Ο…)

)βˆ’1.

The update formulas of the parameters (Ξ±, Οƒ2) are given by(see e.g. [12, Appendix B] for the proof)

Ξ±(l+1) =(T TT

)βˆ’1T T

(Y βˆ’ S E

[Ξ·|Y;ΞΈ(l)

]),

Οƒ2(l+1) =

1

NE[βˆ₯βˆ₯Y βˆ’ TΞ±(l+1) βˆ’ SΞ·

βˆ₯βˆ₯2 |Y;ΞΈ(l)

].

With this choice, we have Q(Ξ±(l+1), Οƒ2(l+1), Ο…;ΞΈ(l)) β‰₯

Q(ΞΈ(l);ΞΈ(l)), for any Ο…. The update of Ο… is specific to eachparametric model for K. Upon noting that the first orderderivative of Ο… = (Ο…1, Β· Β· Β· , Ο…p) 7β†’ Q(Ξ±, Οƒ2, Ο…;ΞΈ(l)) w.r.t. Ο…kis given by

βˆ’ 1

2Tr

(Kβˆ’1(Ο…)

βˆ‚K(Ο…)

βˆ‚Ο…k

)

+1

2Tr

(Kβˆ’1(Ο…)E

[Ξ·Ξ·T |Y;ΞΈ(l)

]Kβˆ’1(Ο…)

βˆ‚K(Ο…)

βˆ‚Ο…k

), (16)

Ο…(l+1) can be defined as the unique root of this gradientwhenever it is the global maximum. Another strategy is toperform one iteration of a Newton-Raphson algorithm startingfrom Ο…(l) with a step size chosen in order to satisfy the EMcondition (14). See e.g. [30, Section 4.14] for EM combinedwith Newton-Raphson procedures. In Section IV-B2, we willgive an example of structured covariance matrix and will derivethe Newton-Raphson strategy to update one of the parameters.

5

III. REM EXTENDED TO MULTICELLULAR NETWORK

We now consider a multicellular LTE network. In realnetwork, UEs measure the received power of several BSs inorder to choose the best serving one: the UE, this procedureis called the cell selection. In LTE, cell selection is applied bycomparing the instant measured RSRP from all potential cellsand choosing the cell providing the highest RSRP value [32].In this section, we adapt the FRK model and the REMprediction technique described in Section II-B in order toaddress this multicellular use-case.

We assume that the reported measurements correspond tothe RSRP of the best serving cell: each measurement consistsin the RSRP measure, the location information and the corre-sponding cell identifier (CID). The received power Zi(x) fromthe i-th BS at location x is given by Zi(x) = 0 is x /∈ Di andif x ∈ Di,Zi(x) = pt,iβˆ’10ΞΊi ln10(disti(x))+Ο‚iGi(x)+si(x)TΞ·i (17)

where Di βŠ† R2, pt,i is the transmitted power of the i-thBS, ΞΊi is the path loss exponent corresponding to the i-thBS and disti(x) is the distance from x to the i-th BS. Wecan choose Di 6= R2 to model geographic area which are notcovered by the i-th BS. Ξ·i is a Gaussian variable with zeromean and covariance matrix Ki. si(x) : R2 β†’ Rri collectsri deterministic spatial basis functions.Ο‚iGi(x) is the antenna gain which depends on the mobile

location x. In our use-case, the antennas used for each BS aretri-sectored; we use a typical antenna pattern proposed in the3GPP standard [1] with a horizontal gain only since we areusing a 2-dimensional model:

Gi(x) = βˆ’min

[12

(ψx,iψ3dB

)2

, Am

], (18)

where ψx,i is the angle between the UE location x, and thei-th BS antenna azimuth. ψ3dB denotes the angle at which theantenna efficiency is 50% and Am is the maximum antennagain. For a tri-sectorial antenna, the parameter ψ3dB is usuallytaken equal to 65β—¦ and Am = 30dB.

We have Ni observations Yi(x) having the i-th BS asthe best serving cell. They are located at x1,i, Β· Β· Β· , xNi,i

and are noisy measurements of Zi(x): Yi(x) = Zi(x) +ΟƒiΞ΅i(x) where (Ξ΅i(x))x is a zero mean standard Gaussianprocess, independent of Ξ·i. Following the same lines as insection II-B, we define the Ni Γ— 1 column vector Yi =(Yi(x1,i), Β· Β· Β· , Yi(xNi,i))

T , and have Yi = T iΞ±i+SiΞ·i+ΟƒiΞ΅iwhere

T i =

1 βˆ’10 ln10(disti(x1,i)) Gi(x1,i)...

......

1 βˆ’10 ln10(disti(xNi,i)) Gi(xNi,i)

,

Ξ±i =

[pt,iΞΊiΟ‚i

], Ξ΅i =

Ξ΅i(x1,i)

...Ξ΅i(xNi,i)

.

The parameters pt,i, ΞΊi, Οƒi, Ο‚i and Ki are unknown and are

estimated from Yi by applying the EM technique describedin Section II-C (see also Section IV-B for the implementation).

For any x such that x ∈ Di, set Zi(x) = E [Zi(x)|Yi], theexpression of which can easily be adapted from (8). In themulticellular case, the inter-site shadowing correlation can beexplained by a partial overlap of the large-scale propagationmedium as explained in [33]. Hence, for any x such thatx ∈ Di, we write Zi(x) = Z β€²i(x) +W (x), where W (x) is therandom cross-correlated shadowing term which depends onlyon the mobile location (also called overlapping propagationterm) and Z β€²i(x) is the random correlated shadowing relatedto the i-th BS at the location x (also called non-overlappingpropagation term). As explained in [33], the r.v. (Z β€²i(x))i areindependent, which implies that the probability that a UElocated at x is attached to the i-th BS (which is denoted byCID(x) = i) is given by

P(CID(x) = i) = E

∏

j 6=i:x∈Dj

1Zj(x)≀Zi(x)

. (19)

A simple approximation consists in approximating this expec-tation by ∏

j 6=i:x∈Dj

1Zj(x)≀Zi(x).

This yields the estimation rules for the CID and the RSRPvalue at x

CID(x) = argmaxj:x∈DjZj(x),

Z(x) = ZCID(x)

(x) = maxj:x∈Dj

Zj(x).

IV. APPLICATIONS TO CELLULAR COVERAGE MAP

A. Data sets description

For the single cell use-case, we consider a simulated dataset and a real data set. The first data set consists of simulatedmeasurement points generated with a very accurate planningtool, which uses a sophisticated ray-tracing propagation modeldeveloped for operational network planning [34]. This data isconsidered as the ground-truth of the coverage in the areaof interest. The collected data set corresponds to the LTERSRP values in an urban scenario located in the Southwestof Paris (France). The environment is covered by a macro-cell with an omni-directional antenna. These measurementpoints are located on a 1000 mΓ—1000 m surface, regularlyspaced on a cartesian grid consisting of 5 m Γ—5 m squares;this yields a total of 40401 measurement points (see Fig. 1a,where the antenna location is (595 416 m, 2 425 341 m)). Inorder to model the noise measurements, a zero mean Gaussiannoise with variance equal to 3 dB is added to the simulatedmeasurements. This yields what we called in Section II theprocess {Y (x), x ∈ D}, where D βŠ‚ R2.

The second data set corresponds to real measurement pointsreported from Drive Tests (DT) done by Orange France teams,in a rural area located in southwestern France. The BS isabout 30 m height and covers an area of 22 kmΓ—10 km.7800 measurement points have been collected in the 800

6

MHz frequency band using a typical user’s mobile deviceconnected to a software tool for data acquisition.The locationsof the measurement points are shown on Fig. 1b - notethat they are along the roads and the antenna is located at(408 238 m, 1 864 600 m). For the multicellular use-case, weconsider a simulated data set provided by the aforementionedOrange planning tool. This planning tool calculates RSRPvalues in a sub-urban environment shown in Fig. 2a, consistingof 12 antennas grouped into 4 sites of 3 directional antennas.The inter-site distance is bigger than 1 km. The antennas aretri-sectored. The RSRP values are computed over a regulargrid of size 25 mΓ—25 m over a 12.4 km2 geographic area,which results in a total of 20 008 locations; and it is realizedover a 2.6 GHz frequency band. The planning tool returns, ateach location of the regular grid, both the RSRP value and theID of the best serving cell. Fig. 2b displays the RSRP valuesand Fig. 2c shows the best serving cell map where each colorcorresponds to a cell coverage area.

B. EM implementation1) Choice of the basis functions s: The basis functions

x 7β†’ s(x) = (S1(x), . . . , Sr(x)) and their number r bothcontrol the complexity and the accuracy of the FRK predictiontechnique. Following the suggestions in [14], we choose the l-th basis function x 7β†’ Sl(x) as a symmetric function centeredat locations xβ€²l: Sl is a bi-square function defined as

Sl(x) =

{[1βˆ’ (β€–xβˆ’ xβ€²lβ€– /Ο„)

2]2, if β€–xβˆ’ xβ€²lβ€– 6 Ο„ ,

0, otherwise .(20)

The parameter Ο„ controls the support of the function. In thenumerical applications below, the centers of the basis functionsxβ€²l and their number r are chosen as follows: rmax functionsare located on a Cartesian grid where the elements are Ο„ Γ— Ο„squares covering the whole geographic area of interest. Then,for each function Sl, if none of the N locations x1, Β· Β· Β· , xN isin a Ο„ -neighborhood of the center xβ€²l, this function is removed.The number of the remaining basis function is r. On Fig. 3aand Fig. 3b, we show the locations of the N observations (redcircle) and the locations of the r basis function centers (bluecrosses) for two different data sets. In Fig. 3a, Ο„ = 100 mand r = rmax (and N = 2000) while in Fig. 3b, Ο„ = 250 m,rmax = 2660 and r = 467.

2) Structured covariance matrix K: Several examples ofstructured covariance matrix K can be chosen. In the radiocellular context, the shadowing term can be modeled as azero-mean Gaussian random variable with an exponentialcorrelation model [35]. Thus, K is given by

K(Ξ², Ο†) =K(Ο†)

Ξ², (21)

with Ki,j(Ο†) = exp

(βˆ’βˆ₯βˆ₯xβ€²i βˆ’ xβ€²j

βˆ₯βˆ₯exp(Ο†)

), (22)

whereβˆ₯βˆ₯xβ€²i βˆ’ xβ€²j

βˆ₯βˆ₯ is the Euclidean distance between the twolocations xβ€²i and xβ€²j (related to the basis functions, see Sec-tion IV-B1). 1/Ξ² and exp(Ο†) are respectively the variance of

Ξ·l, 1 ≀ l ≀ r; and a rate of decay of the correlation (thechoice of the parametrization exp(Ο†) avoids the introductionof a constraint of sign when estimating Ο†). We therefore haveΟ… = (Ξ², Ο†) ∈ R+

? Γ—R. For this specific parametric matrix (21-22), a possible update of the parameters (Ξ², Ο†) which ensuresthe monotonicity property of the EM algorithm is (see e.g. [12,Appendix B]): Ξ²(l+1) = r/Tr

(Kβˆ’1(l) V(l)

)and

Ο†(l+1) = Ο†(l) βˆ’a(l)

H(l)Β· Β· Β·

Γ— Tr((Ξ²(l+1)K

βˆ’1(l) V(l) βˆ’ Ir

)Kβˆ’1(l) βˆ† β—¦ K(l)

)

where K(l) is a shorthand notation for K(Ο†(l)), βˆ† is the rΓ—rmatrix with entries (β€–xβ€²iβˆ’ xβ€²jβ€–)ij , V(l) is a shorthand notationfor E

[Ξ·Ξ·T |Y;ΞΈ(l)

], β—¦ denotes the Hadamard product and

H(l) = βˆ’Tr(Kβˆ’1l βˆ† β—¦ K

(Ξ²(l+1)KlV(l) βˆ’ Ir

))

+ exp(βˆ’Ο†(l))Tr(Kβˆ’1l βˆ† β—¦βˆ† β—¦ Kl

(Ξ²(l+1)KlV(l) βˆ’ Ir

))

+exp(βˆ’Ο†(l))Tr

((Kβˆ’1l βˆ† β—¦ Kl

)2 (Ir βˆ’ 2Ξ²(l+1)KlV(l)

));

a(l) ∈ (0, 1) is chosen so that Q(ΞΈ(l+1);ΞΈ(l)) β‰₯Q(ΞΈ(l);ΞΈ(l)).

3) EM convergence: EM converges whatever the initialvalue ΞΈ(0) (see [31]); the limiting points of the EM sequencesare the stationary points of the log-likelihood of the observa-tions Y. We did not observe that the initialization ΞΈ(0) playsa role on the limiting value of our EM runs. A natural initialvalue for Ξ± is the Ordinary Least Square estimator given by

Ξ±(0) =(T TT

)βˆ’1T TY. We choose Ο†(0) large enough so that

the matrix K(Ο†(0)) looks like the identity matrix; in practice,we choose Ο„/ exp(Ο†) in the order of 5. Finally, we compute theempirical variance V of the components of the residual vectorY βˆ’ TΞ±(0) and choose Ξ²βˆ’1(0) + Οƒ2

(0) = V; roughly speaking,we start from a model with uncorrelated shadowing term. Thealgorithm is stopped when

βˆ₯βˆ₯ΞΈ(l) βˆ’ ΞΈ(lβˆ’1)βˆ₯βˆ₯ < 10βˆ’5 over 100

successive iterations. We report in Table I the values of theparameters at convergence of EM for the simulated data set.

TABLE I. SIMULATED DATA SET, WHEN Ο„ = 50 M, r = 400 ANDN = 32000

Οƒ2 Ξ± 1/Ξ² Ο†18.15 βˆ’49.55 2.73 12.5 3.63

C. Prediction Error Analysis for the single cell use-caseEach data set is splitted into a learning set and a test set.

Using the data in the learning set, the parameters are estimatedby the method described in Section II-C. The performancesare then evaluated using the data in the test set. In order tomake this analysis more robust to the choice of the learningand test sets, we perform a k-fold cross validation [36] (here,we choose k = 5) with a uniform data sampling of the

7

595000 595400 595800

2425

000

2425

400

2425

800

(m)

(m)

βˆ’140

βˆ’130

βˆ’120

βˆ’110

βˆ’100

βˆ’90

βˆ’80

(a) Simulated data set.

400000 410000

1862

000

1866

000

1870

000

(m)

(m)

βˆ’120

βˆ’100

βˆ’80

βˆ’60

(b) Rural data set.

Fig. 1. One cell case: the measurements (Y (x))x.

(a)

765000 766000 7670002413

000

2414

000

2415

000

2416

000

(m)

(m)

βˆ’90

βˆ’80

βˆ’70

βˆ’60

βˆ’50

βˆ’40

βˆ’30

(b)

765000 766000 76700024

13

00

02

41

40

00

24

15

00

02

41

60

00

(m)

(m)

(c)

Fig. 2. Multicellular case: (a) BS locations; (b) the simulated RSRP map; (c) measurements grouped in 12 clusters, according to their best serving cell ID

Γ—105

5.95 5.952 5.954 5.956 5.958

Γ—106

2.4249

2.4251

2.4253

2.4255

2.4257

2.4259

(a) Simulated data set

Γ—105

3.95 4 4.05 4.1 4.15 4.2

Γ—106

1.86

1.862

1.864

1.866

1.868

1.87

1.872

(b) Real data set

Fig. 3. Locations of the N observations (red circles) and locations of the rcenters xβ€²l (blue crosses) of the basis functions.

subsets (typical values for k are in the range 3 to 10 [25, seeSection 5.3.]). Therefore, at each step of this cross-validationprocedure, we have a learning set consisting of 80% of theavailable measurement points (making a learning sets withresp. 32000 and 6000 points for resp. the simulated data set

and the real data set).In order to evaluate the prediction accuracy, we compare

the measurements Y (x) to the predicted values Y (x) fromthe model (6). We consider the locations x in the test setT . The model (6) implies that the conditional expectation ofY (x) given Y at such locations x is equal to the conditionalexpectation of Z(x) given Y since Ξ΅(x) is independent ofY. Therefore, for any x ∈ T , the error (with sign) isY (x) βˆ’ Y (x) = Z(x) βˆ’ Y (x) where Z(x) is given by (8).We evaluate the Root Mean Square Error (RMSE) which isa commonly used prediction error indicator (see e.g. [37]),defined as

RMSE =

[1

|T |βˆ‘

x∈T

(Y (x)βˆ’ Y (x)

)2] 1

2

, (23)

where |T | denotes the number of observations in the test setT . The RMSE is computed for each of the k successive testsets in the cross-validation analysis. In Tables II and III, wereport the mean value of the RMSE over the k partitions andits standard deviation in parenthesis. We compare differentstrategies for modeling the observations (Y (x))x, for the

8

parameter estimation of the model and for the prediction:β€’ Log-Normal: the log-normal shadowing model (see

(2)) when the parameters pt, ΞΊ, Οƒ2 are estimated by

MLE. Z(x) is given by pt βˆ’ 10ΞΊ log10(dist(x)); thismethod does not depend on r.

β€’ FRK: the FRK model (see section II-B) when the param-eters are estimated by MLE (see Sections II-C and IV-B)and Z(x) is given by (8), for different values of r.

In tables II and III, we report the mean RMSE over the k splitsof the data set and its standard deviation between parenthesis.These tables show that the FRK model improves on the log-

TABLE II. SIMULATED DATA SET: MEAN RMSE AND STANDARDDEVIATION IN PARENTHESIS.

Log-Normal FRK FRKr = 1089 r = 100

5.08 3.98 4.67(6.08e-02) (5.18e-02) (4.46e-02)

TABLE III. REAL DATA SET: MEAN RMSE AND STANDARDDEVIATION IN PARENTHESIS

Log-Normal FRK FRKr = 1000 r = 150

8.95 3.51 5.57(1.46e-01) (1.24e-01) (6.23e-02)

normal model. For the real data set, it yields a considerablylow RMSE (in the order of 3βˆ’ 5 dB) when compared to thelog-normal shadowing model which has a RMSE in the orderof 9 dB. For the simulated data set, we have a similar behavior.

The computational complexity of the FRK approach isessentially related to r, the number of basis functions. Onthe one hand, the computational cost increases with r andon the other hand, the prediction accuracy increases withr. We report on Fig. 4 the running time and the predic-tion accuracy measured in terms of mean RMSE over thek splitting of the data set into a learning and a test set,as a function of r; by convention, the running time is setto 1 when r = 64. The plot is obtained with 7 differentanalysis, obtained with Ο„ ∈ {30, 40, 50, 60, 80, 100, 120} - orequivalently, r ∈ {1089, 625, 400, 289, 169, 100, 64}. It showsthat the running time is multiplied by a factor 130 and theprediction accuracy is increased by 20% when moving fromΟ„ = 120 (r = 64) to Ο„ = 30 (r = 1089).

D. Prediction Error Analysis for the multicellular use-caseThe data set is splitted into a learning set with 16 000

points and a test set. Based on their best serving cell ID,these 16 000 points are clustered into 12 subsets. The sizeof these subsets varies between 1000 and 3500. In Fig. 5aa learning subset associated to a given BS is displayed: notethat the observations with a given best serving cell ID are notuniformly distributed over the geographical area of interest.We choose the same initial basis functions for the 12 sub-models (defined by Eq.(20) with Ο„ = 150, which yields

r

0 200 400 600 800 1000 1200

Ru

nn

ing

Tim

e

0

50

100

150

RM

SE

3.5

4

4.5

5

RMSE

Running Time

Fig. 4. Simulated Data set: for different values of r, the running time andthe mean RMSE

rmax = 588). For each sub-model, some of the basis functionsare canceled as described in Section IV-B1 (see the blue circlesand black dots in Fig. 5a). Fig. 5b shows the path-loss functionx 7β†’ pt,iβˆ’10ΞΊi ln10 disti(x)+ Ο‚iGi(x): note that, as expected,T iΞ±i is bigger in the direction of the antenna spread. InFig. 5c, we display {Zi(x), x ∈ Di}. Di is defined as thearea covering the main direction of the i-th antenna radiation.

The best serving cell ID (CIDbs) for any location x ∈ Di isdefined as the ID of the BS having the biggest probability thatthe ME is attached to it at location x as detailed in Eq. 19.Then the predicted received power at location x correspondsto the predicted received power of the best serving cell atthat location. For performance evaluation, we first consideran omni-directional antenna model (similar to the one insection IV-C). We compare the predicted cell ID for eachlocation x (that is the index j such that Z(x) = Zj(x))to the real one. We obtain an error rate of 53 % over thelocations x in the test set. When we consider the domainclustering introduced in (17) (the antennas are still assumedto be omnidirectional), the error rate on cell ID selection is31.23% over the test set locations. Finally, we consider thedirectional model together with the same domain restrictionDi. The error rate is drastically decreased to 12.64%. This errorrate is expected to further decrease when using real antennapatterns (the impact of approximating real antenna patternswith the 3GPP model is studied for example in [38]).

V. CONCLUSION

In this work we have studied the performance of theFRK algorithm applied to coverage analysis in cellular net-works. This method has a good potential when performingprediction using massive data sets (order of thousands andhigher) as it offers a good trade-off between prediction qualityand computational complexity compared to classical Krigingtechniques. This study has been performed using field-likemeasurements obtained from an accurate planning tool andreal field measurements obtained from drive tests. In additionwe have adapted the model to a more practical application: we

9

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●●●●●●

●●●

●

●

Observations locationsInitial Basis functions gridFinal Basis functions locations

(a) For a given BS: the associated obser-vations Yi (red crosses) and the locationsof the ri basis functions (black dots).

764500 765500 766500 767500

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000

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(b) x 7β†’ T iΞ±i

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βˆ’80

βˆ’60

βˆ’40

βˆ’20

(c) estimated field (Zi(x))x, for x ∈ Di

(the black points correspond to locationsx not in Di).

Fig. 5. Multicellular case: results for a given best serving cell ID i

used field-like measurements over several cells with directiveantennas. Simulation results show a good performance in termsof coverage prediction and detection of the best serving cell.In future works, we target to further improve this performanceby using real antenna patterns. Finally, our ongoing researchfocuses on extending the model to take into account the loca-tion uncertainty and on studying its impact on the predictionperformances.

APPENDIX APROOF OF PROPOSITION 1

We recall some notations introduced in [14, Appendix A],which will be useful for the proof of Proposition 1. Forj = 1, Β· Β· Β· ,M , set W j = (Wj1, . . . ,WjN )T , where Wlj

is the weight associated to the observation Y (xj) in theneighborhood of the bin center xβ€²l (see [14] for the expressionof these non negative weights). Define the vector of residualD = (D1, Β· Β· Β· , DN )T = Yβˆ’T (T TT )βˆ’1T TY, and associatean aggregated vector of residuals D = (D1, Β· Β· Β· , DM )T anda weighted square residuals

D` =

βˆ‘Ni=1W`iDiβˆ‘Ni=1W`i

=W T

` D

W T` 1N

, V` =

βˆ‘Ni=1W`iD

2i

W T` 1N

.

1N is the N Γ— 1 vector of ones. The M Γ—M matrix Ξ£M isdefined by (see [14, Eq. (A.2)])

Ξ£M (l, k) = D`Dk, for l 6= k, Ξ£M (k, k) = Vk. (24)

Proof of Proposition 1 (i) Let ¡ = (¡1, · · · , ¡M ) ∈ RM . From(24),

Β΅T Ξ£MΒ΅ =

(Mβˆ‘

l=1

Β΅lDl

)2

+

Mβˆ‘

l=1

Β΅2l

(Vl βˆ’D

2

l

)

β‰₯Mβˆ‘

l=1

Β΅2l

(Vl βˆ’D

2

l

).

The Jensen’s inequality implies that Vl β‰₯ D2

l for any lthus showing that Β΅T Ξ£MΒ΅ β‰₯ 0. Note also that this termis positive for any non null vector Β΅ iff Vl βˆ’ D

2

l > 0 forany l. (ii) Since Ξ£M is a covariance matrix, there exists anorthogonal M Γ—M matrix U and a diagonal M Γ—M matrixΞ› with diagonal entries (Ξ»i)i such that Ξ£M = UΞ›UT . SinceTr(AB) = Tr(BA), we have

Tr(

(IM βˆ’QQT )UΞ›UT)

=Mβˆ‘

i=1

BiiΞ»i,

where B = UT (IM βˆ’ QQT )U . Assume that Bii β‰₯ 0 forany i. Then

Tr(

(IM βˆ’QQT )UΞ›UT)β‰₯(

infj:Bjj>0

Ξ»j

)Tr(B).

Since Tr(B) = Tr((IM βˆ’QQT )UUT ) = Tr(IM βˆ’QQT ),we have Οƒ2 β‰₯

(infj:Bjj>0 Ξ»j

). Let us prove that Bii β‰₯ 0

for any i: for Β΅ ∈ RM , Β΅TBΒ΅ = β€–UΒ΅β€–2 βˆ’ β€–QT (UΒ΅)β€–2and this term is non negative since QT (UΒ΅) is the orthogonalprojection of (UΒ΅) on the column space of Q (or equivalently,of SM ). This equality also shows that

{j : Bjj > 0} = {j : βˆƒv ∈ Vj , β€–vβ€–2 > β€–QT vβ€–2}= {j : βˆƒv ∈ Vj , β€–(SβŠ₯M )T vβ€– > 0}.

(iii) Since SM is a full rank matrix, R is invertible. There-fore, from (12), it is trivial that K is positive definite iffQT (Ξ£M βˆ’ Οƒ2IM )Q is positive definite. Since QTQ = Ir,we have for any Β΅ ∈ Rr, Β΅ 6= 0: Β΅T (QT Ξ£MQβˆ’ Οƒ2Ir)Β΅ > 0iff Β΅T (QT Ξ£MQ)Β΅ > Οƒ2 β€–Β΅β€–2.

Remark.: It can be seen from the proof of (i) that Ξ£M

is positive definite iff for any l, W l has at least two non nullcomponents (say il, jl) such that Dil 6= Djl .

10

ACKNOWLEDGMENT

The authors would like to acknowledge Emmanuel DeWailly and Jean-Francois Morlier for their help in data ac-quisition.

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