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Title: The knapsack and its applications Author: Romana Linkeová Department: Department of Algebra Supervisor: doc. Mgr. Pavel Příhoda, Ph.D., Department of Algebra Abstract: This thesis is focused on various aspects of cryptosystems based on NP (non-deterministic polynomial) complete knapsack problem. From the theory of complexity point of view, the less known parts of the proof of knapsack problem NP completeness are shown in detail. From the cryptographical point of view, a demonstration of breaking of the Merkle-Hellman cryptosystem (the basic de- sign of knapsack-type cryptosystems) is provided, showing that poor parameters choice can lead to easy obtaining of the whole private key. Another contribution of this thesis consists in a presented proposal of a new cryptosystem concept based on the matrix 0-1 knapsack problem. This concept was developed in order to prevent known attacks, however, in the thesis we provide a proof analogous to J. C. Lagarias and A. M. Odlyzko, 1985, which shows that an attack based on the LLL algorithm will be successful on the majority of the matrix 0-1 kna- psack problem cryptosystems. Finally, a list of modern cryptosystems based on the knapsack problem is provided and a cryptanalysis thereof is given. Keywords: knapsack problem, NP complete problems, LLL algorithm 1

Lattice reduction aided techniques have been successfully applied to a wide range of applications. Efficient and robust lattice basis reduction algorithms are valuable. In this thesis, we present an O(n^4 logB) hybrid Jacobi method for lattice basis reduction, where n is the dimension of the lattice and B is the maximum length of the input lattice basis vectors. Building upon a generic Jacobi method for lattice basis reduction, we integrate the size reduction into the algorithm to improve its performance. To ensure the convergence and the efficiency of the algorithm, we introduce a parameter to the Lagrange reduction. To improve the quality of the computed bases, we impose a condition on the size reduction, delay the structure restoration, and include a postprocessing in the hybrid method. Our experiments on random matrices show that the proposed algorithm produces better reduced bases than the well-known LLL algorithm and BKZ 2.0 algorithm, measured by both the orthogonality defect and the condition number of the basis matrix. Moreover, our hybrid method consistently runs faster than the LLL algorithm, although they have the same theoretical complexity. We have also investigated two potential applications of the hybrid method. The application simulations show that the hybrid method can improve the stability of the communication channels for Multi-Input Multi-Output systems, and can partially discover the plain text when attacking the GGH cryptosystem. / Thesis / Doctor of Philosophy (PhD) / Lattice reduction aided techniques have been successfully applied to a wide range of applications. Efficient and robust lattice basis reduction algorithms are valuable. In this thesis, we present an O(n^4 logB) hybrid Jacobi method for lattice basis reduction, where n is the dimension of the lattice and B is the maximum length of the input lattice basis vectors. Our experiments on random matrices show that the proposed algorithm produces better reduced bases than the well-known LLL algorithm and BKZ 2.0 algorithm, measured by both the orthogonality defect and the condition number of the basis matrix. We have also investigated two potential applications in MIMO systems and cryptosystems.

In this thesis, different aspects of lattice-based precoding and decoding for the transmission of digital and analog data over MIMO fading channels are investigated: 1) Lattice-based precoding in MIMO broadcast systems: A new viewpoint for adopting the lattice reduction in communication over MIMO broadcast channels is introduced. Lattice basis reduction helps us to reduce the average transmitted energy by modifying the region which includes the constellation points. The new viewpoint helps us to generalize the idea of lattice-reduction-aided precoding for the case of unequal-rate transmission, and obtain analytic results for the asymptotic behavior of the symbol-error-rate for the lattice-reduction-aided precoding and the perturbation technique. Also, the outage probability for both cases of fixed-rate users and fixed sum-rate is analyzed. It is shown that the lattice-reduction-aided method, using LLL algorithm, achieves the optimum asymptotic slope of symbol-error-rate (called the precoding diversity). 2) Lattice-based decoding in MIMO multiaccess systems and MIMO point-to-point systems: Diversity order and diversity-multiplexing tradeoff are two important measures for the performance of communication systems over MIMO fading channels. For the case of MIMO multiaccess systems (with single-antenna transmitters) or MIMO point-to-point systems with V-BLAST transmission scheme, it is proved that lattice-reduction-aided decoding achieves the maximum receive diversity (which is equal to the number of receive antennas). Also, it is proved that the naive lattice decoding (which discards the out-of-region decoded points) achieves the maximum diversity in V-BLAST systems. On the other hand, the inherent drawbacks of the naive lattice decoding for general MIMO fading systems is investigated. It is shown that using the naive lattice decoding for MIMO systems has considerable deficiencies in terms of the diversity-multiplexing tradeoff. Unlike the case of maximum-likelihood decoding, in this case, even the perfect lattice space-time codes which have the non-vanishing determinant property can not achieve the optimal diversity-multiplexing tradeoff. 3) Lattice-based analog transmission over MIMO fading channels: The problem of finding a delay-limited schemes for sending an analog source over MIMO fading channels is investigated in this part. First, the problem of robust joint source-channel coding over an additive white Gaussian noise channel is investigated. A new scheme is proposed which achieves the optimal slope for the signal-to-distortion-ratio (SDR) curve (unlike the previous known coding schemes). Then, this idea is extended to MIMO channels to construct lattice-based codes for joint source-channel coding over MIMO channels. Also, similar to the diversity-multiplexing tradeoff, the asymptotic performance of MIMO joint source-channel coding schemes is characterized, and a concept called diversity-fidelity tradeoff is introduced in this thesis.

In this thesis, different aspects of lattice-based precoding and decoding for the transmission of digital and analog data over MIMO fading channels are investigated: 1) Lattice-based precoding in MIMO broadcast systems: A new viewpoint for adopting the lattice reduction in communication over MIMO broadcast channels is introduced. Lattice basis reduction helps us to reduce the average transmitted energy by modifying the region which includes the constellation points. The new viewpoint helps us to generalize the idea of lattice-reduction-aided precoding for the case of unequal-rate transmission, and obtain analytic results for the asymptotic behavior of the symbol-error-rate for the lattice-reduction-aided precoding and the perturbation technique. Also, the outage probability for both cases of fixed-rate users and fixed sum-rate is analyzed. It is shown that the lattice-reduction-aided method, using LLL algorithm, achieves the optimum asymptotic slope of symbol-error-rate (called the precoding diversity). 2) Lattice-based decoding in MIMO multiaccess systems and MIMO point-to-point systems: Diversity order and diversity-multiplexing tradeoff are two important measures for the performance of communication systems over MIMO fading channels. For the case of MIMO multiaccess systems (with single-antenna transmitters) or MIMO point-to-point systems with V-BLAST transmission scheme, it is proved that lattice-reduction-aided decoding achieves the maximum receive diversity (which is equal to the number of receive antennas). Also, it is proved that the naive lattice decoding (which discards the out-of-region decoded points) achieves the maximum diversity in V-BLAST systems. On the other hand, the inherent drawbacks of the naive lattice decoding for general MIMO fading systems is investigated. It is shown that using the naive lattice decoding for MIMO systems has considerable deficiencies in terms of the diversity-multiplexing tradeoff. Unlike the case of maximum-likelihood decoding, in this case, even the perfect lattice space-time codes which have the non-vanishing determinant property can not achieve the optimal diversity-multiplexing tradeoff. 3) Lattice-based analog transmission over MIMO fading channels: The problem of finding a delay-limited schemes for sending an analog source over MIMO fading channels is investigated in this part. First, the problem of robust joint source-channel coding over an additive white Gaussian noise channel is investigated. A new scheme is proposed which achieves the optimal slope for the signal-to-distortion-ratio (SDR) curve (unlike the previous known coding schemes). Then, this idea is extended to MIMO channels to construct lattice-based codes for joint source-channel coding over MIMO channels. Also, similar to the diversity-multiplexing tradeoff, the asymptotic performance of MIMO joint source-channel coding schemes is characterized, and a concept called diversity-fidelity tradeoff is introduced in this thesis.

De nombreuses méthodes de traitement du signal reposent sur des résultats puissants d'approximation numérique. Un exemple significatif en est l'utilisation de l'approximation de type Chebyshev pour l'élaboration de filtres numériques.En pratique, le caractère fini des formats numériques utilisés en machine entraîne des difficultés supplémentaires pour la conception de filtres numériques (le traitement audio et le traitement d'images sont deux domaines qui utilisent beaucoup le filtrage). La majorité des outils actuels de conception de filtres ne sont pas optimisés et ne certifient pas non plus la correction de leurs résultats. Notre travail se veut un premier pas vers un changement de cette situation.La première partie de la thèse traite de l'étude et du développement de méthodes relevant de la famille Remez/Parks-McClellan pour la résolution de problèmes d'approximation polynomiale de type Chebyshev, en utilisant l'arithmétique virgule-flottante.Ces approches sont très robustes, tant du point de vue du passage à l'échelle que de la qualité numérique, pour l'élaboration de filtres à réponse impulsionnelle finie (RIF).Cela dit, dans le cas des systèmes embarqués par exemple, le format des coefficients du filtre qu'on utilise en pratique est beaucoup plus petit que les formats virgule flottante standard et d'autres approches deviennent nécessaires.Nous proposons une méthode (quasi-)optimale pour traîter ce cas. Elle s'appuie sur l'algorithme LLL et permet de traiter des problèmes de taille bien supérieure à ceux que peuvent traiter les approches exactes. Le résultat est ensuite utilisé dans une couche logicielle qui permet la synthèse de filtres RIF pour des circuits de type FPGA.Les résultats que nous obtenons en sortie sont efficaces en termes de consommation d'énergie et précis. Nous terminons en présentant une étude en cours sur les algorithmes de type Remez pour l'approximation rationnelle. Ce type d'approches peut être utilisé pour construire des filtres à réponse impulsionnelle infinie (RII) par exemple. Nous examinons les difficultés qui limitent leur utilisation en pratique. / The field of signal processing methods and applications frequentlyrelies on powerful results from numerical approximation. One suchexample, at the core of this thesis, is the use of Chebyshev approximationmethods for designing digital filters.In practice, the finite nature of numerical representations adds an extralayer of difficulty to the design problems we wish to address using digitalfilters (audio and image processing being two domains which rely heavilyon filtering operations). Most of the current mainstream tools for thisjob are neither optimized, nor do they provide certificates of correctness.We wish to change this, with some of the groundwork being laid by thepresent work.The first part of the thesis deals with the study and development ofRemez/Parks-McClellan-type methods for solving weighted polynomialapproximation problems in floating-point arithmetic. They are veryscalable and numerically accurate in addressing finite impulse response(FIR) design problems. However, in embedded and power hungry settings,the format of the filter coefficients uses a small number of bits andother methods are needed. We propose a (quasi-)optimal approach basedon the LLL algorithm which is more tractable than exact approaches.We then proceed to integrate these aforementioned tools in a softwarestack for FIR filter synthesis on FPGA targets. The results obtainedare both resource consumption efficient and possess guaranteed accuracyproperties. In the end, we present an ongoing study on Remez-type algorithmsfor rational approximation problems (which can be used for infinite impulseresponse (IIR) filter design) and the difficulties hindering their robustness.