Cross-layer MAC Protocol for Delay Sensitive

%./#%%TQUUNC[GT/#%2TQVQEQNHQT&GNC[5GPUKVKXG9KTGNGUU5GPUQT0GVYQTM#RRNKECVKQPU

:

%./#%%TQUUNC[GT/#%2TQVQEQNHQT&GNC[ 5GPUKVKXG9KTGNGUU5GPUQT0GVYQTM#RRNKECVKQPU

.HFKDU%RXDEGHOODKDQG6HNKUL/DUEL

8QLYHUVLW\RI2UDQ $OJHULD

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

2GVTK0GVU#RRNKECVKQPU

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««««««««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


UHTXLUHWLJKWWLPHV\QFKURQL]DWLRQEHWZHHQQRGHVWRDYRLGRYHUODSRIWLPHVORWV7KLVLQWXUQ UHTXLUHVFRQWLQXRXVH[HFXWLRQRIDWLPHV\QFKURQL]DWLRQSURWRFRO 7KLV PDNHV WKH XVH RI WKHVH SURWRFROV PRUH FRPSOH[ LQ :61 ZKHUH HDFK QRGH KDV LQ JHQHUDOQRSULRULW\DVVLJQHGDQGYHU\OLPLWHGUHVRXUFHV

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

E\ LQWHUDFWLRQ

E\ XQLILFDWLRQ

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

4GNCVGFYQTM ,QWKLVVHFWLRQZHSUHVHQWVRPH0$&OD\HUSURWRFROVGHYHORSHGVRPH\HDUVDJRWKDWHQDEOH HQHUJ\FRQVHUYDWLRQLQ:61)LUVWFRPSDWLEOH26,SURWRFROVDUHSUHVHQWHGDQGIROORZHGE\ WZR LPSRUWDQW FURVVOD\HU SURWRFROV 0$&&5266 DQG ;/0 (VSHFLDOO\ 0$&&5266 SURWRFROLVFRQVLGHUHGDVDEDVLVRIWKHGHYHORSPHQWRIRXUSURSRVDO

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