Mobile Ad-Hoc Networks Applications

MOBILE ADHOC
NETWORKS:
APPLICATIONS
Edited by Xin Wang
Mobile Ad-Hoc Networks: Applications
Edited by Xin Wang
Published by InTech
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Copyright 2011 InTech
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First published January, 2011
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Mobile Ad-Hoc Networks: Applications, Edited by Xin Wang
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ISBN 978-953-307-416-0
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Part 1
Chapter 1
Chapter 2
Chapter 3
Chapter 4
Chapter 5
Chapter 6
Chapter 7
Part 2
Chapter 8
Preface IX
Vehicular Ad Hoc Networks 1
Survey on Multi-hop Vehicular Ad Hoc Networks
under IEEE 802.16 Technology 3
Gabriel Alejandro Galaviz Mosqueda, Ral Aquino Santos,
Luis A. Villaseor Gonzlez, Vctor Rangel Licea
and Arthur Edwards Block
Communications in Vehicular Networks 19
Zaydoun Yahya Rawashdeh and Syed Masud Mahmud
Modeling and Simulation of Vehicular Networks:
Towards Realistic and Efficient Models 41
Mate Boban and Tiago T. V. Vinhoza
Security Issues in Vehicular Ad Hoc Networks 67
P. Caballero-Gil
Routing in Vehicular Ad Hoc Networks:
Towards Road-Connectivity Based Routing 89
Nadia Brahmi, Mounir Boussedjra and Jospeh Mouzna
Traffic Information Dissemination
in Vehicular Ad Hoc Networks 107
Attila Trk, Balzs Mezny and Pter Laborczi
CARAVAN: Context-AwaRe Architecture for VANET 125
Sawomir Kukliski and Grzegorz Wolny
Security and Caching in Ad Hoc Networks 149
Trust Establishment in Mobile Ad Hoc Networks:
Key Management 151
Dawoud D.S., Richard L. Gordon,
Ashraph Suliman and Kasmir Raja S.V.
Contents
Contents VI
Grouping-Enabled and Privacy-Enhancing
Communications Schemes for VANETs 193
T.W. Chim, S.M. Yiu, Lucas C.K. Hui and Victor O.K. Li
APALLS: A Secure MANET Routing Protocol 221
Sivakumar Kulasekaran and Mahalingam Ramkumar
Meta-heuristic Techniques
and Swarm Intelligence in Mobile Ad Hoc Networks 245
Floriano De Rango and Annalisa Socievole
Impact of the Mobility Model
on a Cooperative Caching Scheme
for Mobile Ad Hoc Networks 265
F.J. Gonzalez-Caete and E. Casilari
Applications of Ad Hoc Networks 287
Ad Hoc Networks for Cooperative Mobile Positioning 289
Francescantonio Della Rosa, Helena Leppkoski,
Ata-ul Ghalib, Leyla Ghazanfari, Oscar Garcia,
Simone Frattasi and Jari Nurmi
Ad-hoc Networks
As an Enabler of Brain Spectroscopy 305
Salah Sharieh
MANET Mining: Mining Association Rules 323
Ahmad Jabas
Wired/Wireless Compound Networking 349
Juan Antonio Cordero, Emmanuel Baccelli,
Philippe Jacquet and Thomas Clausen
Multiple Multicast Tree Construction
and Multiple Description
Video Assignment Algorithms 375
Osamah Badarneh and Michel Kadoch
TCP in Ad Hoc Networks 399
TCP-MAC Interaction
in Multi-hop Ad-hoc Networks 401
Farzaneh R. Armaghani and Sudhanshu S. Jamuar
The Effect of Packet Losses and Delay
on TCP Traffic over Wireless Ad Hoc Networks 427
May Zin Oo and Mazliza Othman
Chapter 9
Chapter 10
Chapter 11
Chapter 12
Part 3
Chapter 13
Chapter 14
Chapter 15
Chapter 16
Chapter 17
Part 4
Chapter 18
Chapter 19
Contents VII
Other Topics 451
A Survey on The Characterization of the Capacity
of Ad Hoc Wireless Networks 453
Paulo Cardieri and Pedro Henrique Juliano Nardelli
Design and Analysis of a Multi-level Location Information
Based Routing Scheme for Mobile Ad hoc Networks 473
Koushik Majumder, Sudhabindu Ray and Subir Kumar Sarkar
Power Control in Ad Hoc Networks 489
Muhammad Mazhar Abbas and Hasan Mahmood
Part 5
Chapter 20
Chapter 21
Chapter 22
Preface
Mobile Ad hoc Networks (MANETs) are a fundamental element of pervasive networks,
where user can communicate anywhere, any time and on-the-y. MANETs introduce
a new communication paradigm, which does not require a xed infrastructure - they
rely on wireless terminals for routing and transport services. This edited volume
covers the most advanced research and development in MANET. It seeks to provide an
opportunity for readers to explore the emerging elds about MANET.
It includes ve parts in total. Part 1 discusses the emerging vehicular ad-hoc networks.
Part 2 focuses on the security and caching protocols. Part 3 introduces some new
applications for MANET. Part 4 presents novel approaches in transport-layer protocol
design. Some interesting topics about network capacity, power control, etc. are
discussed in Part 5.
Acknowledgements
The editors are particularly grateful to the authors who present their work in this book.
They would also like to express their sincere thanks to all the reviewers, who help
to maintain the high quality of this book. We hope that the readers will share our
excitement to present this volume on ad-hoc networks and will nd it useful.
Prof. Xin Wang
University of California, Santa Cruz,
USA
Part 1
Vehicular Ad Hoc Networks
1
Survey on Multi-hop Vehicular Ad Hoc Networks
under IEEE 802.16 Technology
Gabriel Alejandro Galaviz Mosqueda
1
, Ral Aquino Santos
2
, Luis A.
Villaseor Gonzlez
1
, Vctor Rangel Licea
3
and Arthur Edwards Block
2

1
Centro de Investigacin Cientfica y Educacin Superiore de Ensenada. Carretera
Ensenada-Tijuana, nm. 3918, Zona playitas, C. P. 22860, Ensenada, Baja California,
2
Facultad de Telemtica, Avenida Universidad 333, C. P. 28040, Colima, Col.,
3
Facultad de Ingeniera, Edificio Valdez Vallejo, 3er piso, Circuito Interior, Ciudad
Universitaria, Delegacin Coyoacn, C. P. 04510,
Mxico
1. Introduction
Today, there are many existing technologies designed to make vehicular road travel safer,
easier and more enjoyable, using geographical positioning system, proximity sensors,
multimedia communication, etc. The current data transmission requirements of these
technologies, unfortunately, place great demand on both the algorithms and equipment,
which often perform less than optimally, especially when having to interact with other
vehicles. For example, GPS can trace a route to a specific location, but does so without
taking into account some very important variables such as congestion caused by road
conditions, high traffic volume and traffic accidents, which can entirely block one-lane
traffic and affect two-lane traffic by almost 65% [1].
Presently, GPS permits users to obtain real-time location information. However, expanded
communications among vehicles and with roadside infrastructure can substantially expand
services drivers currently enjoy in the areas of traffic flow, safety, information (Internet),
communications (VoIP) and comfort applications, among others [2].
According to Sichitiu et al. applications for vehicular communications include the following:
Proactive safety applications: geared primarily to improve driver reaction and decision
making to avoid possible accidents (e.g. broadcast warnings from a vehicle that has
ignored red stop light) or minimize the impacts of an imminent crash (automated
braking systems).
Traffic management applications: mainly implemented to improve traffic flow and
reduce travel time, which is particularly useful for emergency vehicles.
Traffic coordination and traffic assistance: principally concerned with improving the
distribution and flow of vehicles by helping drivers pass, change lanes, merge and form
columns of vehicles that maintain constant relative speeds and distances (platooning).
Traveler Information Support: mainly focused on providing specific information about
available resources and assistance persons require, making their traveling experience
less stressful and more efficient.

4
Comfort Applications: primarily designed to improve the travel experience of the
passengers and the driver (e.g. gaming, internet, automatic tolls, etc.)
Figure 1 shows some potential applications.

Fig. 1. Some potential services to be offered by vehicular communication networks
In order to provide greater passenger safety, convenience and comfort, protocols and
equipment must provide more timely and reliable data transfer between network nodes for
them to effectively share vital information. In the case of WiMAX, network nodes must
efficiently transmit and receive data in a instantaneously changing network environment,
characterized by the constant entry and exit of nodes. In addition, mobile nodes must
handle handoffs between different clusters, all while functioning within very strict technical
parameters regarding packet loss, delay, latency, and throughput, among others.
Sichitiu and Kihl in [3] construct a taxonomy based on the way nodes exchange data. Their
work involves two forms of vehicular communication: vehicle to vehicle (IVC) and vehicle
to roadside (RVC). IVC can employ either a one hop (SICV) or multi-hop (MIVC) strategy.
On the other hand, RVC can be ubiquitous (URVC) or scarce (SRVC). Figure 2 schematizes
these authors taxonomy [3]. The following three figures explain this taxonomy and provide
examples of IVC, RVC and HVC.
Communications within VANETs can be either inter-vehicular or vehicle to roadside and
each type of communication imposes its specific requirements. For example, highway
collision warning systems can more easily be implemented using multi-hop
communications between vehicles (without infrastructure). On the other hand, traveller
information requires fixed infrastructure to provide connectivity between the vehicles and
Survey on Multi-hop Vehicular Ad Hoc Networks under IEEE 802.16 Technology

5

Fig. 2. Vehicular communications Taxonomy

Fig. 3. An IVC example
an information center. IVC deployment is significantly less expensive than RVC because it is
infrastructureless. This kind of architecture allows vehicles to send information between each
other via multi-hop communication, even with vehicles that are beyond their immediate radio
coverage area. IVC internet access is much more complicated than with RVC. As a result, IVC
can only provide a reduced number of applications. However, IVC is better suited for safety
applications because the vehicles can almost immediately detect collision or congestion
warning that is transmitted within the affected area. Figure 3 provides an example of inter
vehicular communication, where a vehicle approaching an accident detects the crash and

6
informs the vehicles behind it that it is about to brake suddenly. This forewarning could help
avoid other accidents caused by drivers who cannot apply their brakes opportunely and
allows vehicles further behind to change lanes to lessen traffic congestion.
RVC can offer a wider range of applications because of its more stable and robust access to
the Internet, which allows ready availability of information about specific places and the
services they provide. RVC, however, has two important drawbacks when considered for
safety applications:
the cost of deployment of base stations (BS) makes it difficult to provide full coverage
for so many vehicles over such a large area as vehicles leaving the BS coverage area lose
connectivity.
the delay caused by sending packets through a base station can prove disastrous in time
sensitive safety applications.
Different technologies have been tested to enable RVC, including cellular, WiFi (IEEE
802.11p) and WiMAX (IEEE 802.16e), but no standard has been established as of yet.
Presently, authors believe that WiMAX best fits VCN requirements because of its high
bandwidth, robust medium access control (MAC), versatility (i.e. wide range of compatible
standards) and QoS support. Importantly, it meets the already existing standard for mobile
nodes (IEEE 802.16e). Figure 4 illustrates examples of some RVC applications, which include
broadcasting the location of specific businesses and providing information about goods and
services offered by them.

Fig. 4. A RVC network example

7

Fig. 5. A mixture of IVC and RVC (HVC)
Both IVC and RVC have desirable benefits; while with IVC users can form groups
practically anywhere, with RVC persons can have access to internet and extend the
vehicular applications. Importantly, combining both of these architectures into a hybrid
vehicular communications (HVC) network can maximize benefits. HVC, however, is more
complex in various aspects: HVC need more complex routing protocols, a robust physical
layer and a medium access layer that is sufficiently dynamic to fully exploit the short
duration of links and organized enough to minimize interference.
Figure 5 illustrates a hybrid vehicular communication network where vehicles inside the
coverage area of a RVC can act as gateways for vehicles outside the coverage area. HVC
networks are very desirables because they can provide virtually any kind of service.
Importantly, however, as previously mentioned, research must first overcome many
technical challenges before HVC networks can be implemented in real-world applications.
This is primarily because of the incompatibility of technologies (e.g. WiFi was developed for
WLANs, while cellular communications were designed for WANs).
As previously mentioned, each type of vehicular communications (IVC, RVC or HVC) has
different technological requirements, although they all must meet several common demands
inherent in VCN (see Table 1 and Figure 6). Three of these network requirements include [4]:
radio transceiver technology that provides omni-directional coverage
rapid vehicle-to-vehicle communications to keep track of dynamic topology changes
highly efficient routing algorithms that fully exploit network bandwidth

8

Fig. 1. Types of scenarios for VCN

Rural Urban City Highway
Speed Low Medium/High Low/Very Low Very high
Vehicles Density Low Medium Very high Med/Low
Interference Low Medium Very high Low
Infrastructure Low Medium Very high Med/Low
Table 1. Features of Vehicular Scenarios
Numerous researchers have worked to overcome issues related to vehicular
communications (e.g. [5-9, 10-12]). In 2004, the IEEE group created the IEEE 802.11p
(wireless access in vehicular environments-WAVE) task force [13]. The workforce
established a new standard that essentially employs the same PHY layer of the IEEE 802.11a
standard, but uses a 10 MHz channel bandwidth instead of the 20 MHz used in IEEE
802.11a. With respect to the MAC layer, WAVE is based on a contention method (i.e.
CSMA/CA), similar to other standards in this group.
The MAC layer in IEEE 802.11p has several significant drawbacks. For example, in vehicular
scenarios, WAVE drops over 53% of packets sent according to simulation results [14].
WAVE also has a limited transmission range; simulations carried out by [15] show that only
1% of communication attempts at 750m are successful in a highway scenario presenting
multipath shadowing. Furthermore, results in [16] show that throughput decays as the
number of vehicles increases. In fact, throughput decreases to almost zero with 20
concurrent transmissions. The authors thus conclude that WAVE is not scalable.
Additionally, IEEE 802.11p does not support QoS, which is essential in Vehicular Ad hoc
Networks (VANETs). Importantly, safety applications using VCNs require not only
expanded radio coverage, but also demand minimal delay, robust bandwidth, negligible
packet loss and reduced jitter, among others (see Table 2).
Recently, the IEEE 802.16 taskforce [17, 18] actualized this standard to support QoS,
mobility, and multihop relay communications. Networks using the IEEE 802.16 MAC layer
now can potentially meet a wider range of demands, including VCN.
Worldwide Interoperability for Microwave Access (WiMAX) is a nonprofit consortium
supported by over 400 companies dedicated to creating profiles based on the IEEE 802.16
standard.

9
Application Maximum Required Range (m)
Approaching emergency vehicle warning ~1000
Emergency vehicle signal preemption ~1000
SOS services ~400
Postcrash Warning ~300
Table 2. Maximum required range for some applications in VCN
The first IEEE 802.16 standard considers fixed nodes with line of sight (LOS) between the
base station and each fixed remote node [19]. Later, the IEEE 802.16 task force amended the
original standard to provide mobility to end users (Mobile WiMAX[17]) in non-line-of-sight
(NLOS) conditions. The most recent modification to IEEE 802.16e was in March, 2007, which
later resulted in the IEEE802.16j multihop relay communications protocol, approved in 2009
[18].
IEEE 802.16j operates in both transparent and non-transparent modes. In transparent mode,
mobile stations (MS) must decode the control messages relayed from the base station (BS).
In other words, they must operate within the physical coverage radius of the BS because
relay stations (RS) do not retransmit control information. In non-transparent mode, one of
the RS provides the control messages to the MS. The main difference between transparent
and non-transparent mode architecture is that in transparent mode, RS increase network
capacity while in non-transparent mode, RS extend the BS range. Additionally, RS can be
classified according to their mobility and can be fixed (FRS), nomadic (NRS) or mobile
(MRS) [20].
Despite recent progress in implementing VCN with WiMAX, much work still has to be
done. This work presents proposals that employ IEEE 802.16 as their underlying technology
for multi-hop vehicular communication networks.
This paper is organized as follows: Section II analyzes various proposals suggested by
researchers for VCN using WiMAX networks; Section III presents challenges of using
WiMAX in VCN and Section IV presents conclusions.
2. State of the art of WiMAX in multi-hop vehicular communication networks
The authors in [21] propose a routing protocol called Coordinated External Peer
Communications (CEPEC), whose cross-layer protocol is designed for multi-hop vehicular
networks. They obtained their simulation results using a proprietary development tool
which guaranteed all vehicles fair access to the Internet, even over nodes that were several
hops distant from the BS. Their proposal includes organize the OSI model into three layers:
PHY, MAC and Network. However, the authors do not specify the modifications they made
to the IEEE 802.16-2004 standard that permitted the increased mobility and quicker
registration of the MS. The authors employ TDMA to assign channels, exploiting TDMAs
centralized scheduler and time division duplexing. Finally, and very importantly, CEPEC
needs to determine the geographic position of every vehicle. To do this, all vehicles must be
equipped with GPS.
An important disadvantage of CEPEC is that it only allows data communication from
vehicles to the BS and vice versa; therefore, it does not provide for vehicle-to-vehicle data

10
exchange. Additionally, CEPECs centralized scheduling mechanism reduces its scalability.
Since, as previously mentioned, the authors of [21] do not specify the changes they made to
the IEEE 802.16 standard, we must assume that vehicles enter the network according to
standard specifications for nodes in mesh mode. Of course, this implies that network
performance suffers significant deterioration. Also, the authors fail to detail the
modifications they made to the standard that permitted increased mobility and topology
control.
Figure 7 shows the segment configuration of a CEPEC simulation in which the green
vehicles are segment subscriber stations (SSSs) and the red ones are segment heads (SH).

Fig. 7. CEPEC Topology
The authors in [22] do not provide simulation or test bed results and limit their work to
making suggestions at a conceptual level about how to apply a hierarchical topology using
WiFi hotspots (i.e. IEEE 802.11p) as access points for vehicles and WiMAX mesh stations as
access points for WiFi hotspots. One major issue concerning this topology is that the IEEE
802.11p standard does not support QoS and the MAC contention-based method represents a
significant disadvantage.
The topology in [22] is comprised of a point of access (PoA) consisting of a WiMAX mesh
point (MP) and at least one access point (AP). The clusters are formed by several PoAs, one
of which serves as a cluster head (CH) and domain, which is formed by a group of clusters.
Figure 8 schematizes the described topology.
The authors in [23] propose a handoff mechanism called SWIFT, which includes
modification in the MAC and network layers.

11

Fig. 8. Conceptual Architecture of [22]
The objective of the architecture is to provide high speed internet access in trains with a soft
handoff, and having a minimum of connectivity interruptions. This proposal consists of a
three layer topology: Level 0 is an access point functioning under the IEEE 802.11e standard;
Level 1 uses base stations (BS) that work in conjunction with the IEEE 802.16m standard and
Level 2 enables an optical backbone to interconnect with base stations located alongside the
train tracks. Each train possesses two gateway interfaces that serve both as WLAN access
points (i.e. IEEE 802.11e) and IEEE 802.16m subscriber stations. Results obtained using the
popular NS-2 simulator show that the handoff latency of SWiFT is 52% less than with ipV6
mobile.
The SWiFT protocol can be seen as having a vehicle-to-roadside architecture where, as in
[22], there is no possibility of inter-vehicular communications to cause a reduction in
network services. Figure 9 shows the architecture of the SWiFT proposal.
In [24], the authors develop a handoff mechanism with a hybrid architecture using the IEEE
802.16e and IEEE 802.16j standards, which also includes control information of the vehicles
via V2V. In this handoff mechanism, vehicles leaving their relay vehicle coverage area,
called oncoming small size vehicles-OSV, directly transmit the information maintained in
layers 2 and 3 to the vehicles outside the coverage area (called broken vehicles) of the relay
vehicle. The information passed from OSV to BV is necessary to synchronize
communications between the oncoming vehicle and the network.
The NS-2 simulator tool was used in this work and results show that the handoff
mechanism developed helped reduce the handoff latency between relay vehicles. Figure 10
shows the topology described in [24] where the relay vehicles, in this case public buses, are
equipped with IEEE 802.16j, which is used to register the buses at a base station that

12

Fig. 9. SWiFT architecture

Fig. 10. A handoff with the VFHS mechanism.

13

Fig. 11. A possible network deployment using the scheduler mechanism proposed in [21].
functions according to IEEE 802.16e. This proposal does not provide a communications
solution for vehicles beyond the RS or BS coverage. Additionally, it does not recommend a
routing mechanism to assist nodes select the optimal RV for overlapping coverage areas.
The authors in [25] design a scheduling mechanism called "An interference and QOS aware
distributed scheduling approach for hybrid IEEE 802.16e mesh networks," which was
obtained using the NS-2 simulator. Their results show that the developed scheduling
mechanism facilitates efficient spectral reuse by permitting the deployment of base stations
under the IEEE 802.16-2004 mesh standard. Each BS also has an IEEE 802.16e interface that
provides access to mobile subscribers. Importantly, the backbone is enabled by satellite
communications and their proposal does not provide a routing mechanism to improve
network performance. Finally, vehicles outside the coverage area of the BS cannot access
network services. Figure 11 shows the topology suggested by [25].
The authors in [26] propose a routing mechanism for Mobile Ad-hoc networks (MANET).
This mechanism uses a WiMAX architecture to relay routing information. After the route is
enabled by a WiMAX BS, the data is sent through participating nodes.
The researchers in [26] implement their routing mechanism simulating speeds of up to 108
km/h. Their results show that packet delivery is good, but they do not mention the method
used to combine the MANET and WiMAX architectures. Also, the simulations varied node

14
densities at a speed of 18 km/h, which is an insufficient velocity for their results to be
conclusive. Another important issue concerns nodes leaving the BS coverage area, because
network performance can be compromised by node mobility.
In [27], the authors use a roadside architecture based on IEEE 802.16j as shown in Figure 12.
They suggest a method to select an optimal relay station. The method proposed is numerical
and based on non-linear optimization. Their results show that network capacity can
significantly increase; however, the authors do not validate their results via benchmarking
or simulation.

Fig. 12. Underlying Architecture with IEEE 802.16j for [27].

15
In [28], the authors propose a dynamic bandwidth allocation algorithm with a QoS
guarantee for IEEE 802.16j-enabled vehicular networks. They suggest employing an
optimization application that uses Lagrange multipliers. Their simulation results, obtained
by Mathlab simulation, minimized queue delay and maximized network utilization. They
assume that the primary link is the downlink and overlook that vehicular networks consist
of both a downlink and uplink, both of which are equally important.
3. Actual challenges and conclusions
Although the proposals reported in this work show that WiMAX is suitable for multi-hop
VCN because of its versatility and robustness in the physical and medium access layers,
there still remain several technical challenges that must be overcome before deploying
WiMAX as the underlying medium access and physical layer in VCN.
This current state of the art reveals that dynamic fully distributed routing mechanism which
satisfies the demands of VCN, have not been proposed. Only the proposal by [21] includes a
cross-layer hierarchical routing protocol; however, the scheduling mechanism is centralized
and is based on the infrastructure, instead of a distributed algorithm. How to best permit
intervehicular communication in VCN is still a contentious topic. Equally important are
issues related to architecture; more precisely, how to form groups in the absence of the BS
(ad-hoc domain) that can still interact with the BS upon demand. Equally important is how
to provide control access in the boundaries of the coverage areas and determine which
routing mechanism best optimizes network bandwidth. To the best of our knowledge, any
proposal that involves WiMAX and VCN can form an ad-hoc domain without a BS or RS.
The authors in [21] and [24] suggest a cooperative ad-hoc environment and infrastructure
domain; however, the ad-hoc domain must exist with at least one node within the BS
coverage area. Another important issue to be resolved is how to allocate bandwidth
resource in ad-hoc networks while optimizing their performance. Research carried out by
[25] and [28] provides a resource allocation mechanism for multi-hop networks; however,
only in presence of a roadside BS.
4. Conclusions
The proposals analyzed in this work suggest that WiMAX can represent a viable alternative
for roadside communication using present standards. Importantly, it also has the potential
to be used in conjunction with radio technology for inter-vehicular communications because
its strong PHY and QoS support. However, there are still significant technical challenges to
be overcome before WiMAX can be implemented as radio technology for inter-vehicular
communications networks.
Research provided in this chapter shows that integrating WiMAX technology into vehicular
ad hoc networks is a very rich area of inquiry, although current research is somewhat
limited. We believe that this is because standards for VCN are still in their infancy or have
only very recently been published (i.e. IEEE 802.16j/June 2009, and IEEE 802.16m/February
2010
1
). Consequently, we predict there will be much more research carried out in the future
as these standards are more fully exploited.
Table 3 shows the most outstanding features of the proposals included in this work [21-28].

16
Ref VRC IVC PHY MAC Red Sim 802.2 App Otras. Tec Ao
CEPEC Prop. 2004 Inter. 2007
Aspects of roadside backbone N/A Back.
2009
SWIFT NS2 e,m Inter.
IEEE 802.11e
2008
A cross layer Fast Handover NS2/N
IST
e, j Hand
2009
An interference and QoS aware
distributed sched.
NS2/N
IST
E,2004 Schd
2008
Position based conectionless NS2 2004 Capa. MANET
2008
Optimal Relay Selection in 16j
MHR Vehicular Networks
Mod.
Mat.
j Inter.
2010
Bandwidth Allocation Algorithm
with QoS Guarantee for 16j
vehicular Networks
Matl. j Inter.
2009

*CEPEC, vehicle-to-vehicle exchange is for control packages only.
Table 3. Outstanding features of the proposals discussed in this paper.
5. References
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[12] Car2car Communication Consortium,
http://www.car-tocar.org

17
[13] Jiang, D.; Delgrossi, L.; , "IEEE 802.11p: Towards an International Standard for Wireless
Access in Vehicular Environments," Vehicular Technology Conference, 2008. VTC
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[15] Yi Wang; Ahmed, A.; Krishnamachari, B.; Psounis, K., IEEE 802.11p performance
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noviembre 2009
2
Communications in Vehicular Networks
Zaydoun Yahya Rawashdeh and Syed Masud Mahmud
Wayne State University, Detroit, Michigan,
USA
1. Introduction
Recent advances in wireless networks have led to the introduction of a new type of networks
called Vehicular Networks. Vehicular Ad Hoc Network (VANET) is a form of Mobile Ad Hoc
Networks (MANET). VANETs provide us with the infrastructure for developing new systems
to enhance drivers and passengers safety and comfort. VANETs are distributed self
organizing networks formed between moving vehicles equipped with wireless
communication devices. This type of networks is developed as part of the Intelligent
Transportation Systems (ITS) to bring significant improvement to the transportation systems
performance. One of the main goals of the ITS is to improve safety on the roads, and reduce
traffic congestion, waiting times, and fuel consumptions. The integration of the embedded
computers, sensing devices, navigation systems (GPS), digital maps, and the wireless
communication devices along with intelligent algorithms will help to develop numerous types
of applications for the ITS to improve safety on the roads. The up to date information provided
by the integration of all these systems helps drivers to acquire real-time information about
road conditions allowing them to react on time. For example, warning messages sent by
vehicles involved in an accident enhances traffic safety by helping the approaching drivers to
take proper decisions before entering the crash dangerous zone (ElBatt et al., 2006) (Xu et al.,
2007). And Information about the current transportation conditions facilitate driving by taking
new routes in case of congestion, thus saving time and adjusting fuel consumption
(Dashtinezhad et al., 2004) (Nadeem et al., 2004). In addition to safety concerns, VANET can
also support other non-safety applications that require a Quality of Service (QoS) guarantee.
This includes Multimedia (e.g., audio/video) and data (e.g., toll collection, internet access,
weather/maps/ information) applications.
Vehicular networks are composed of mobile nodes, vehicles equipped with On Board Units
(OBU), and stationary nodes called Road Side Units (RSU) attached to infrastructure that
will be deployed along the roads. Both OBU and RSU devices have wireless/wired
communications capabilities. OBUs communicate with each other and with the RSUs in ad
hoc manner. There are mainly two types of communications scenarios in vehicular
networks: Vehicle-to-Vehicle (V2V) and Vehicle-to-RSU (V2R). The RSUs can also
communicate with each other and with other networks like the internet as shown in Figure 1.
Vehicular Networks are expected to employ variety of advanced wireless technologies such
as Dedicated Short Range Communications (DSRC), which is an enhanced version of the
WiFi technology suitable for VANET environments. The DSRC is developed to support the
data transfer in rapidly changing communication environments, like VANET, where time-
critical responses and high data rates are required.

20
RSU
RSU
Internet
V2V
V2R V2R
V2R
V2R
V2V

Fig. 1. VANET architecture
A number of technical challenges need to be addressed to make Vehicular networks more
efficient to provide services to drivers and passengers (Torrent-Moreno et al., 2005). These
challenges came from the unique features and characteristics (like frequent topology change,
abundant of nodes, etc) of the vehicular networks. However, due to these unique
characteristics, the standard MANET communication protocols are inefficient in the VANET
environment. Therefore, the new communication mechanisms, like media access, data
dissemination, routing, etc., designed for VANET should consider these unique
characteristics to provide reliable communications. The Media Access Control (MAC)
mechanisms should support fast link establishment and low latency communications to
ensure the service reliability for safety applications considering the time constraints required
by this type of applications. The data dissemination techniques should be designed to
efficiently deliver the safety data to the intended receivers on time. Safety messages are of a
broadcast nature targeting vehicles in a certain geographic area. Therefore, safety message
dissemination mechanisms should deal with different types of network densities to
eliminate the redundant rebroadcasted data, especially in very high network density
scenarios. The frequent topology change characteristics pose another challenge for routing
methods in VANET. In addition to the traditional routing challenges like broadcast
problems, the VANET routing algorithms should be designed to ensure the quality and
continuity of services for non-safety applications with high probability. Other challenges
related to security and data managements should also be studied in depth in VANET.
The main objective of this book chapter is to introduce the reader to the main applications
used in vehicular networks, the main characteristics of VANETs, and the challenges
associated with the designing of new VANET communication protocols. All these will be
covered in the context of the MAC, data dissemination, and routing mechanisms in VANET.

21
2. VANET characteristics and challenges
VANETs are characterized by their unique characteristics that distinguish them from
MANET. These special characteristics can be summarized as follows:
1. High mobility: VANET nodes are characterized by their high relative speed which
makes VANET environment high dynamic.
2. Predictable and restricted mobility patterns: Unlike the random mobility of MANET,
VANET node movements are governed by restricted rules (traffic flow theory rules),
which make them predictable at least on the short run.
3. Rapid topology change: VANET nodes are characterized by their high speed. This
leads to frequent network topology changes, which introduces high communication
overhead for exchanging new topology information.
4. No power constraints: Each vehicle is equipped with a battery that is used as an infinite
power supply for all communications and computation tasks.
5. Localization: Vehicles can use the Global Positioning System (GPS) to identify their
locations with high accuracy.
6. Abundant network nodes: Unlike MANETs that are characterized by a small network
sizes, VANET networks can be very large due to high density of the vehicles.
7. Hard delay constraints: Safety messages are the main goal of VANETs. Therefore,
safety messages should be given high priority and must be delivered on time.
The above unique characteristics create new challenges that need to be resolved in the
vehicular network environments. According to (Torrent-Moreno et al., 2005), the main
challenges of the vehicular networks can be summarized as follows:
Frequent neighbourhood change due to high mobility.
Increasing channel load (high density environment).
Irregular connectivity due to the variation of the received signal power.
Packet loss due to exposed and hidden terminal problems.
However, lots of efforts have been made to resolve these issues. The literature contains a
huge amount of studies addressing these challenges in all aspects. The studies tried to
address all layers related issues ranging from lower layers (physical and MAC layers)
enhancement to upper layers (application) developments.
2.1 DSRC technology
DSRC is an emerging technology developed based on the WiFi standards. The DSRC
technology will be used in the ITS domain to provide secure and reliable communication
links among vehicles and between vehicles and infrastructure. These communication links
allow the transfer of data that are necessary for the operation of different ITS applications.
The DSRC is developed to work in very high dynamic networks to support fast link
establishments and to minimize communication latency. Mainly, the DSRC is designed to
ensure the service reliability for safety applications taking into account the time constraints
for this type of applications. It can also support other non-safety applications that require a
Quality of Service (QoS) guarantee. DSRC is developed for the environments where short
time response (less than 50 msec.) and/or high data rates are required in high dynamic
networks.
2.2 Characteristics of DSRC spectrum and data rates
In the United States, the Federal Communications Commission has allocated the 5.9 GHz
Dedicated Short Range Communications (DSRC) (Xu et al., 2004) technique to support

22
public safety and commercial applications in V2V and V2R communication environments.
The 5.9 GHz (5.850-5.925) band is divided into seven non-overlapping 10 MHz channels as
shown in Figure. 2. One channel is called the control channel, and the other six are called
service channels. The channels at the edges are reserved for future use. The control channel
is used to broadcast safety data like warning messages to alert drivers of potential
dangerous conditions. It can also be used to send advertisements about the available
services, which can be transferred over the service channels. The service channels are used
to exchange safety and non-safety data like announcements about the sales in nearby malls,
video/audio download, digital maps, etc. Vehicles, using service channels, can relay the
received data to other vehicles in other regions or/and to the roadside units.
The DSRC supports different data transfer rates: 6, 9, 12, 18, 24, and 27 Mbps with 10 MHz
channels. The data rate can be increased to 54 Mbps with 20 MHz channels. Switching
between the different data transfer rates can be achieved by changing the modulation
schemes and channel code rate.

10 MHz 10 MHz 10 MHz 10 MHz
reserved
5.850
GHz
5 MHz
5.925
GHz
SCH_172 SCH_174 SCH_176
SCH_175
CCH_178
10 MHz 10 MHz
SCH_180 SCH_182
SCH_181
10 MHz
SCH_184

Fig. 2. DSRC channels
2.3 Applications and DSRC data traffic requirements
Numerous applications enabled by the DSRC technology have been proposed for VANET.
These applications are categorized as Safety and Non-safety applications and installed on
the OBUs and RSUs to process the safety and non-safety data. Different applications have
different requirements. Safety messages are given higher priority over the non-safety data.
Safety messages are time sensitive and should be disseminated to the vehicles in the
surrounding area of the event within a bounded time. Safety messages are of a broadcast
nature, therefore smart dissemination strategies should be employed to ensure the fast
delivery of these messages. Safety messages in DSRC are either event-driven or periodic-
based. For example, event-based safety messages are high priority messages generated and
sent by vehicles involved in an accident to warn the vehicles approaching the accident area.
On the other hand, periodic safety messages are considered preventive safety methods sent
at specific intervals (e.g., every T second). The periodic messages carry the current status
information like velocity, acceleration, direction, etc of the vehicles. These information are
used by vehicles in the neighbourhood to update the status of their neighbouring vehicles.
Periodic safety messages can also be sent by the RSU e.g., the RSU installed at the
intersection periodically sends messages about the intersection conditions. The non-safety
applications have different goals and can be used to provide a number of services ranging
from transportation management, toll collection, infotainment, music download, to
commercial advertisements. The non-safety data have low priority compared to the safety
data. Table I shows requirements for various DSRC applications.
The DSRC also supports a number of different network protocols, which gives it the ability
to interact with different types of networks. The DSRC supports the TCP/IP as well as IPv6
protocols. Thus, the internet applications/services can also be available in the VANET.
Moreover, IP-based routing can also be enabled in VANET.

23
Intersection
Collision Warning /
Avoidance
~100
Cooperative
Collision Warning
Work Zone
Warning
Transit Vehicle
Signal Priority
Toll
Collections
Service
Announcments
Movie Download (2
hours of MPEG 1)
Packet Size
(bytes)/
Bandwidth
Latency (ms)
Network
Data Type
Application
Range (m)
Priority
~100 Event
~100/
10Kbps
~100
~100/
1Kbps
~1000 Periodic
~100
~1000
300 - 1000
Safety
~100
~50
15
Non -
Safety
~100/
2Kbps
~500
Periodic
0 - 90
>20 Mbps
NA
NA 0 - 90
Safety
Non -
Safety
Non -
Safety
Applications
Periodic
Event
Event
300
50 - 300
300
Safety of
life
Safety of
life

Table 1. DSRC Application Requirements (Xu et al., 2004)
2.4 VANET applications enabled by DSRC
In the context of the VANET applications, new types of applications enabled by the DSRC
have been developed. These applications will benefit from the integration of different
hardware components (CPUs, Wireless transceivers, Sensors, Navigations Systems, and
input and output devices) that will be embedded in future vehicles. In the followings, we
summarize some of the different VANET applications:
2.4.1 Safety applications:
The main goal of the safety applications is to increase public safety and protect the loss of life.
The main characteristic of these applications is that the safety data should be delivered to the
intended receivers (vehicles approaching the dangerous area) within a bounded time. The
Vehicles Safety Communication (VSC) project has defined 34 different safety applications to
work under the DSRC technology (Xu et al., 2004). These applications were studied in depth to
determine the potential benefit provided by them. In the following, we present some of the
applications that, according to the VSC, provide the greatest benefit in terms of safety of life.
2.4.1.1 Cooperative Collision Avoidance (CCA):
The main goal of this application is to prevent collisions. This type of safety applications will
be triggered automatically when there is a possibility of collisions between vehicles.
Vehicles, upon detecting a possible collision situation, send warning messages to alert the
drivers approaching the collision area. The drivers can take the proper actions or the vehicle
itself can stop or decrease the speed automatically. Another scenario where the CCA are of
great importance is to avoid crashes during lane change. The CCA messages are
disseminated to vehicles approaching the collision area. One of the proposed techniques to
disseminate CCA messages on a highway was presented in (Biswas et al., 2006).

24
2.4.1.2 Emergency Warning Messages (EWM):
This type of applications is similar to the CCA. However, depending on the type of the
emergency event, the EWMs either vanish once they are disseminated or may reside in the
relevant area for longer period of time. For example, when vehicles detect an accident they
start to send EWMs to warn vehicles that are close to the accident area. Another example is
when vehicles sense a dangerous road conditions they send EWMs to other vehicles in a
certain area, and these vehicles disseminate the EWMs to the new vehicles entering that
area. Some of the proposed techniques are presented in (Yang et al., 2004) (Maihofer, 2003)
(Yu & Heijenk, 2008).
2.4.1.3 Cooperative Intersection Collision Avoidance (CICA):
This type of applications will be used to avoid collisions at the intersections (signalized or
non-signalized). Mainly, an RSU installed at the intersection periodically distributes the
state of the intersection to the approaching vehicles. The distributed information includes: 1)
Traffic Signal State (e.g., red, green, yellow, and time remaining until the traffic switches to a
new state). 2) State of the vehicles approaching the intersection that are within a relevant
distance/time from the intersection (e.g. location, speed, and so on). 3) Intersection
environmental conditions (e.g., weather, visibility, road surface at the intersection, and so
on). Several of the works about the intersection collision avoidance can be found in (Tong et
al., 2009) (Benmimoun et al., 2005).
2.4.2 Traffic managements:
This type of applications is used to facilitate traffic flow, thus reducing traffic congestion,
fuel consumption, and travel time. This type of applications is less strict on real-time
constraints. This means that if the messages are delayed, there is no real threat to life (no
collision to occur), as opposed to the safety messages where a real threat to the life may
occur if the messages are delayed. The information provided by these applications mainly
describes the status of the traffic in a certain areas like intersection or road constructions. In
this kind of applications, vehicles cooperate to generate messages;. These messages are
aggregated and sent, using inter-vehicle communications, in a multi-hop manner to other
vehicles in other geographic areas. Some of the papers that discuss the aggregation and
forwarding are (Kihl et al., 2008).
2.4.3 Advertisements, entertainment and comfort applications:
The goal of this type of applications is to provide comfort and entertainments to the
passengers. The advertisement applications have commercial purposes. The data of this
type of applications should not consume the bandwidth on the count of the safety data. The
priority should always be given to the safety data. Some of these applications are:
2.4.3.1 Electronic toll collection:
Using this service, the drivers dont need to stop and make the payment; instead the
payment is done electronically through the network.
2.4.3.2 Entertainment Applications:
Multimedia files (music, movies, news, e-books, and so on) can be uploaded to vehicles.
These data can also be transferred from one vehicle to another. Information about local

25
restaurants, hotels, malls, gas stations can be uploaded to the vehicles and can also be
exchanged among vehicles using the inter-vehicular networks to facilitate travelling.
2.4.3.3 Internet Access:
Passengers can browse the internet and send/receive emails (Zhang et al., 2007). Most of
these applications will be downloaded from other networks (like internet). However,
vehicles use the inter-vehicle networks to distribute these information to reduce the cost
associated with the installation of the infrastructure along the roads (Zhang et al., 2007)
(Wang, 2007).
2.5 Wireless Access in Vehicular Environment (WAVE) stack
Lots of efforts have been made to design new standards for the services and the interfaces
for VANET. These standards form the basis for wide range of applications in the vehicular
network environments. Recently, a trial of a set of standardized services and interfaces
defined under WAVE stack has been released. These services and interfaces cooperatively
enable a secure V2V and V2R communications in a rapidly changing communications
environment, where communications and transactions need to be completed in a short time
frame. The WAVE architecture is developed based on the IEEE 802.11p and the IEEE P1609
standards (Nadeem, 2004). The IEEE 802.11p deals with the physical and Media Access
Control layers, whereas the IEEE 1609 deals with the higher-layer protocols. In this section
we try to give a background on these standards especially the MAC protocol.
2.5.1 The IEEE 1609 family of standards for WAVE
The IEEE has defined four standards and released them for a trial use (IEEE, 2007). Figure 3
shows the architecture of the WAVE family of standards, while Figure 4 shows the IEEE
protocol architecture for vehicular communications (IEEE, 2007). These standards can be
defined as follows:
2.5.1.1 IEEE 1609.1: Resource Manager
This standard defines the services and the interfaces of the WAVE Resource Manager
applications. It describes the message formats and the response to those messages. It also
describes data storage format that is used by applications to access other architectures.
2.5.1.2 IEEE 1609.2: Security Services
This standard defines security and secure message formatting and processing. It also defines
how secure messages are exchanged.

Resource
Manager
Networking
Services
Multi-channel
Operations
Phys/MAC
IEEE 1609.1
IEEE 1609.3
IEEE 1609.4
IEEE 802.11p
Security
IEEE 1609.2

Fig. 3. IEEE WAVE Stack for trial use

26
WAVE MAC
WAVE PHYS
Logic Link Control
MLME
PLME
WME
WSMP
TCP/UDP
IPv6
Applications
Data Plane
Management Plane

Fig. 4. IEEE protocol architecture for vehicular communications ( IEEE, 2007).
2.5.1.3 IEEE 1609.3: Networking Services
This standard defines routing and transport layer services. It also defines a WAVE-specific
messages alternative to IPv6 that can be supported by the applications. This standard also
defines the Management Information Base (MIB) for the protocol stack.
2.5.1.4 IEEE 1609.4: Multi-Channel Operations
Multi-Channel Operations: This standard defines the specifications of the multi-channel in
the DSRC. This is basically an enhancement to the IEEE 802.11a Media Access Control
(MAC) standard.
2.5.2 The IEEE 802.11p MAC protocol for VANET
A new MAC protocol known as the IEEE 802.11p is used by the WAVE stack. The IEEE
802.11p basic MAC protocol is the same as IEEE 802.11 Distributed Coordination Function
(DCF), which uses the Carrier Sense Multiple Access/Collision Avoidance (CSMA/CA)
method for accessing the shared medium. The IEEE 802.11p MAC extension layer is based
on the IEEE 802.11e (IEEE, 2003) that uses the Enhanced Distributed Channel Access
(EDCA) like Access Category (AC), virtual station, and Arbitration Inter-Frame Space
(AIFS). Using EDCA, the Quality of Service (QoS) in the IEEE 802.11p can be obtained by
classifying the data traffic into different classes with different priorities.
The basic communication modes in the IEEE 802.11p can be implemented either using
broadcast, where the control channel (CCH) is used to broadcast safety critical and control
messages to neighbouring vehicles, or using the multi-channel operation mode where the
service channel (SCH) and the CCH are used. The later mode is called the WAVE Basic
Service Set (WBSS). In the WBSS mode, stations (STAs) become members of the WBSS in one
of two ways, a WBSS provider or a WBSS user. Stations in the WAVE move very fast and its
very important that these stations establish communications and start transmitting data very
fast. Therefore, the WBSSs dont require MAC sub-layer authentication and association
(IEEE, 2007). The provider forms a WBSS by broadcasting a WAVE Service advertisement
(WSA) on the CCH. The WSA frame contains all information including the service channels

27
(SCH) that will be used for the next SCH interval. After receiving the WBS advertisement,
the user joins the WBSS, and at the beginning of the next SCH interval, both the provider
and the user switch to the chosen SCH to start data exchange. Since the provider and the
user keep jumping between CCH and SCH, the provider can send a WSA frames during the
CCH to let other users detect and join the WBSS. The users have the option to join the
WBSS. The user can also receive other WBS frames while listening to the CCH to update the
operational parameters of existing WBSSs. Once the provider and the user finish sending
out all data frames, the provider ends the WBSS and the user also leaves the WBSS when no
more data frames are received from the provider.
2.5.3 Media access control in VANET
Different MAC schemes targeting VANET have been proposed in the literature. Mainly,
these schemes are classified as probability based and time based.
2.5.3.1 Probability-based MAC schemes
This type of media access control uses CSMA/CA technique to access the media. The
advantage of this method is that vehicle movements dont cause any protocol
reconfiguration. However, using this type of media access doesnt provide guarantee on a
bounded access delay. Therefore, one of the main challenges of this method is to limit the
access delay. The rest of this section presents a summary of three MAC schemes developed
based on CSMA method.
The authors of (Zang et al., 2007) proposed a congestion detection and control architecture
for VANET. The authors divided the messages into beacons (background data) having lower
priority, and event driven alert messages with higher priority. One of the congested control
methods is the adaptive QoS that deals with traffic of different types. The main goal of this
work is to prevent the channel from being exhausted by the lower priority traffic (e.g.,
background beacon messages). The paper presented a congestion detection method called
measurement based congestion detection, where nodes sense the usage level of the channel.
The authors adopted a technique similar to the IEEE 802.11e to prioritize the traffic. In this
technique the transmission queues are mapped to traffic with different priorities (access
categories). The basic concept of the QoS adaptive method is to reserve a fraction of the
bandwidth for safety applications. The authors defined three thresholds for the channel
usage value.
1. If 95% of the total channel usage has been exceeded, then all output queues, except the
safety message queue, are closed.
2. If 70% of the total channel usage has been exceeded, then the contention window size is
doubled for all queues except for the safety message queue.
3. If the total channel usage becomes less the 30%, then the contention window of all
queues is halved.
This work mainly uses the access category concept that is considered the core of the IEEE
802.11e. The work was implemented using one type of safety messages. It didnt show how
to prioritize safety messages among themselves (which safety messages have higher priority
than others when they attempt to access the media at the same time).
Another media access method called Distributed Fair Transmit Power Adjustment for
Vehicular Ad hoc Networks (D-FPAV) was proposed in (Torrent-Moreno, 2006). The
authors focused on adjusting the transmission power of periodic messages, and tried to
keep the transmission power under a certain predefined threshold called Maximum

28
Beaconing Load (MBL). Thus, using this technique a certain amount of the overall
bandwidth can be kept to handle unexpected situations. The authors tried to compromise
between increasing the transmission power to ensure safety (increasing power means
increasing transmission range, which means more receivers can be reached), and reducing it
to avoid packet collisions. The authors used the centralized approach algorithm presented in
(Moreno et al., 2005) to build the D-FPAV presented in (Torrent-Moreno, 2006). The
algorithm in (Moreno et al., 2005) works as follows: every node in the network starts an
initial minimum transmit power, then during every step, all nodes in the network start
increasing their transmission power by an increment as long as MBL is not exceeded. Then,
after this phase, each node finds the optimal transmit power value. Based on this, the
authors proposed the D-FPAV that works for node u as follows:
Based on the current state of the vehicles in the Carrier Sense (CS) range, use the FPAV
to calculate the transmission power level P
i
such that the MBL is not violated at any
node.
Send P
i
to all vehicles in the transmit range.
Receive messages and collect the power level calculated by all vehicles.
Assign the final power level according to the following equation:

: ( )
min{ , { }}
i MAx
i i j u CS j j
PA P min P
= (1)
Whereas CS
MAx
(j) is the carrier sense range of node j at the max power. The proposed work
relies on adjusting the transmission power of the periodic messages. However, reducing the
transmission power makes the coverage area small, which reduces the probability of
receiving periodic messages by distant nodes.
In (Yang et al., 2005), the authors proposed a CSMA-based protocol, which gives different
priority levels to different data types. The authors use different back-off time spacing (TBS)
to allow the higher priority traffic to access the media faster than those with lower priorities.
The TBS is inversely proportional to the priority such that high priority packets are given
shorter back-off time before a channel access attempt is made. However, this type of
prioritization mechanism was implemented in the IEEE 802.11e (IEEE, 2003). The paper also
proposes another feature in which a receiving vehicle polls vehicles in its proximity. If a
polled vehicles data is ready for transmission, then the vehicle generates a tone indicating
that state. Upon receiving the tone, the receiving vehicle clears it to transmit the packets
(Yang et al., 2005). However, even with the use of busy tones, there is no upper bound on
which channel access can take place.
2.5.3.2 Time-based MAC schemes
The time-based scheme is another approach to control the media access. In this approach,
the time is divided into frames, which are divided into time slots. This approach is called
Time Division Multiple Access (TDMA). The TDMA mechanism is a contention free method
that relies on a slotted frame structure that allows high communication reliability, avoids the
hidden terminal problem, and ensures, with high probability, the QoS of real-time
applications. The TDMA technique can guarantee an upper limit on the message
dissemination delay, the delay is deterministic (the access delay of messages is bounded)
even in saturated environments. However, this technique needs a complex synchronization
procedure (e.g., central point to distribute resources fairly among nodes). Some of the time-
based methods use distributed TDMA for media access (Yu & Biswas, 2007), while most of

29
the others use centralized structure like the clustering techniques (Su & Zhang, 2007)
(Rawashdeh & Mahmud, 2008). Some of the time-based approaches used in VANET are
summarized as follows:
The authors of (Yu & Biswas, 2007) proposed a distributed TDMA approach called
Vehicular Self-Organizing MAC (VeSOMAC) that doesnt need virtual schedulers such as
leader vehicle. The time is divided into transmission slots of constant duration , and the
frame is of duration T
frame
sec. Each vehicle must send at least one packet per frame, which is
necessary for time slot allocation. Vehicles use the bitmap vector included in the packet
header for exchanging slot timing information. Each bit in the bitmap vector represents a
single slot inside the frame (1 means the slot is in use, 0 means its free). Vehicles
continuously inform their one-hop neighbours about the slot occupied by their one-hop
neighbours. Vehicles upon receiving the bitmap vector can detect the slot locations in the
bitmap vector for their one-and two-hop neighbours, and based on this they can choose the
transmission slots such that no two one-hop or two-hop neighbours slot can overlap. The
authors proposed an iterative approach, using acknowledgments through the bitmaps, to
resolve the slot collision problem. The idea is to have each vehicle move its slot until no
collision is detected. The vehicles detect the collision as follows: each vehicle upon joining
the network marks its slot reservation and inform its neighbours. Upon receiving a packet
from a neighbouring node, the vehicle looks at its time slot. If the time slot is marked, by the
neighbouring node, as occupied, then the vehicle knows that the reservation was successful.
If the time slot is marked as free, then this means a collision occurred and the reservation
was not successful. However, this approach is inefficient when the number of the vehicles
exceeds the number of time slots in a certain area.
In (Su & Zhang, 2007), the authors try to make best use of the DSRC channels by proposing
a cluster-based multi-channel communication scheme. The proposed scheme integrates
clustering with contention-free and/or -based MAC protocols. The authors assumed that
each vehicle is equipped with two DSRC transceivers that can work simultaneously on two
different channels. They also redefined the functionality of the DSRC channels. In their
work, the time is divided into periods that are repeated every T msec. Each period is
divided into two sub-periods to upload and exchange data with the cluster-head. After the
cluster-head is elected by nearby nodes, the cluster-head uses one of its transceivers, using
the contention free TDMA-based MAC protocol, to collect safety data from its cluster
members during the first sub-period, and deliver safety messages as well as control packets
to its cluster members in the second sub-period. The cluster-head uses the other transceiver
to exchange the consolidated safety messages among nearby cluster-head vehicles via the
contention-based MAC protocol. However, this method is based on the assumption that
each vehicle is equipped with two transceivers. The authors also redefined the functionality
of all DSRC channels such that each channel is used for a specific task.
In (Rawashdeh & Mahmud, 2008), the authors proposed a hybrid media access technique
for cluster-based vehicular networks. The proposed method uses scheduled-based approach
(TDMA) for intra-cluster communications and managements, and contention-based
approach for inter-cluster communications, respectively. In the proposed scheme, the
control channel (CTRL) is used to deliver safety data and advertisements to nearby clusters,
and one service channel (SRV) is used to exchange safety and non- safety data within the
cluster. The authors introduced the so called system cycle that is divided into Scheduled-
Based (SBP) and Contention-Based (CBP) sub-periods and repeated every T msec. The
system cycle is shared between the SRV channel and CTRL channels as shown in Figure. 5.

30
The SRV channel consists of Cluster Members Period (CMP) and Cluster Head Period
(CHP). CMP is divided into time slots. Each time slot can be owned by only one cluster
member. The end of the CHP period is followed by the CBP period during which CRL is
used. At the beginning of each cycle, all vehicles switch to the SRV channel. During CMP,
each cluster member uses its time slot to send its status, safety messages and
advertisements. The CHP period follows the CMP and is allocated to the cluster-head to
process all received messages and to respond to all cluster members requests. Vehicles
remain listening to the SRV channel until the end of the SBP. After that they have the option to
stay on the SRV channel or to switch to any other service channel. By default, vehicles switch
to the CTRL channel. Through analysis and simulation, the authors studied the delay of the
safety messages. They focused on informing cluster members and informing neighbouring
cluster members. The analysis showed that the maximum delay to inform cluster members is
less than T, and to inform neighbouring cluster-members is less that 2T in the worst Case
scenarios (depending on when the message is generated and when the message is sent). The
authors showed the delay to deliver safety messages between two clusters.

Control Channel
Service Channel
CFP
CBP
Cycle i
CMP
SF
. Node
1
Node
2
Node
n
CHP
Delivery of safety messages
and Advertisements
Processing collected
messages
CFP
CBP
CMP
CHP
SF
Contention Free Period
Contention Based Period
Cluster Members sub-period
Cluster Head sub-period
:
:
:
:
:
Start Frame
Cycle i-1 Cycle i Cycle i+1

Fig. 5. System Cycle (Rawashdeh & Mahmud, 2008)
3. Data disseminations in VANET
In the context of the vehicular ad hoc networks data can be exchanged among vehicles to
support safe and comfort driving. Several applications that rely on distributing data in a
geographic region or over long distances have been developed. Different from routing that
is concerned with the delivery of data packets from source to destination via multi-hop
steps (intermediate nodes) over long distance, data dissemination refers to distributing
information to all nodes in a certain geographic region. Its key focus is on conveying data
related to safety applications particularly real-time collision avoidance and warning. While
one of disseminations main goals is to reduce the overload of the network; guaranteeing the
exchange of information between all necessary recipients without noticeable delay, is also of
great importance. Dissemination in VANET can also be seen as a type of controlled flooding
in the network. Consider a scenario of a high density network, assume that vehicles detect
an event and try to distribute the information about this event to other vehicles. The shared
wireless channel will be overloaded when the number of forwarders that are trying to relay
this data increases. Therefore, a smart forwarding strategy should be adopted to avoid

31
having the wireless channel congested. Moreover, safety messages are of a broadcast nature,
and they should be available to all vehicles on time. Therefore, the dissemination techniques
should minimize the number of unnecessary retransmissions to avoid overloading the
channel. The data dissemination methods can be categorized as flooding-based where each
node rebroadcasts the received message, and relay-based where smart flooding techniques
are used to select a set of nodes to relay received messages.
3.1 Flooding-based method
Flooding is the process of diffusion the information generated and received by a node to
other approaching vehicles. In this approach, each node participates in dissemination. The
flooding can be suitable for delay sensitive applications and also for sparsely connected
network. The main problem of this approach is that rebroadcasting each received message
leads to network congestions, especially when the network is dense. The flooding of data is
also limited by the ability of the system to handle properly new arrivals and dealing with
the scalability issues (network size).
3.2 Relay-based method
In this approach, smart flooding algorithms are used to eliminate unnecessary data
retransmissions. Instead of having all nodes disseminate the information to all neighbors, a
relay node or a set of nodes are selected to forward the data packet further in an effort to
maximize the number of reachable nodes. The relay-based methods have the ability to
handle the scalability problem (increasing number of nodes in the network) of the high
density nodes. However the main challenge of these approaches is how to select the suitable
relaying node in the algorithm. Different algorithms were developed under the smart
flooding techniques as follows: the time-based algorithms, the location-based algorithms.
3.2.1 Time-based algorithms
This type of dissemination algorithms is designed to eliminate unnecessary retransmissions
caused by classical flooding. This mechanism gives the nodes that cover more area and
maximizes the number of new receivers the chance (high priority) to forward the received
message. In (Briesemeister, 2000), nodes calculate the distance between themselves and the
sender of the message. If the message is received for the first time, each node sets a
countdown timer and starts decrementing until a duplicate message is overheard or the
timer is expired. The value of the timer is proportional to the distance from the sender. The
higher the distance, the lower the timer value as shown in the following equation.

( )
min{ , }
MaxWT
WT d d MaxWT
Range
d d Range
= +
=
(2)
Where Range is the transmission range, MaxWT is the maximum waiting time, and
d is the
distance to the sender.
The node whose timer expires first (timer value reaches zero), forwards the received
message. The other nodes, upon receiving the same message more than once, stop their
countdown timer. The same process is repeated until the maximum number of forwarding
hops is reached; in this case the packet is discarded.

32
3.2.2 Location-based algorithm
This approach relies on the location of the nodes with respect to the sender node. The node
that reaches a large number of new receivers in the direction of the dissemination is selected
to forward the messages. The goal is to reach as many new receivers as possible with less
number of resources. The authors of (Korkmaz et al., 2004) proposed a new dissemination
approach called Urban Multi-hop Broadcast for inter-vehicle communications systems
(UMB). The algorithm is composed of two phases, the directional broadcast and the
intersection broadcast. In this protocol, the road portion within the transmission range of the
sender node is divided into segments of equal lengths. Only the road portion in the
direction of the dissemination is divided into segments. The vehicle from the farthest
segment is assigned the task of forwarding and acknowledging the broadcast without any
apriori knowledge of the topology information. However, in dense scenarios more than one
vehicle might exist in the farthest segment. In this case, the farthest segment is divided into
sub-segments with smaller width, and a new iteration to select a vehicle in the farthest sub-
segment begins. If these sub-segments are small and insufficient to pick only one vehicle,
then the vehicles in the last subs-segment enter a random phase. When vehicles in the
direction of the dissemination receive a request form the sender to forward the received
data, each vehicle calculates its distance to the source node. Based on the distance, each
vehicle sends a black-burst signal (jamming signal) in the Shortest Inter Frame Space (SIFS)
period. The length of the black-burst signal is proportional to the distance from the sender.
The equation below shows the length of the black-burst in the first iteration.

1
max
d
R
L N SlotTime

=

(3)
Where L
1
is the length of the black-burst signal,
d is the distance from the sender, R is the

transmission range, N
max
is the number of segments in the transmission range, and SlotTime
is the length of a time slot.
As shown in Equ. (3), the farther the node, the longer the black-burst signal period. Nodes,
at the end of the black-burst signal, listen to the channel. If the channel is found empty, then
they know that their black-burst signal was the longest, and thus, they are the suitable nodes
to forward the message.
In the intersection phase, repeaters are assumed to be installed at the intersections to
disseminate the packets in all directions. The node that is located inside the transmission
range of the repeater sends the packet to the repeater and the repeater takes the
responsibility of forwarding the packet further to its destination. To avoid looping between
intersections, the UMB uses a caching mechanism. The vehicles and the repeaters record the
IDs of the packets. The repeaters will not forward the packet if they have already received
it. However, having the vehicle record the IDs of the packets will be associated with a high
cost in terms of memory usage. Moreover, the packet might traverse the same road segment
more than one time in some scenarios, which increases the bandwidth usage.
4. Routing in VANET
Routing is the process of forwarding data from source to destination via multi-hop steps.
Specifically, routing protocols are responsible for determining how to relay the packet to its
destination, how to adjust the path in case of failure, and how to log connectivity data. A

33
good routing protocol is one that is able to deliver a packet in a short amount of time, and
consuming minimal bandwidth. Different from routing protocols implemented in MANETs,
routing protocols in VANET environment must cope with the following challenges:
Highly dynamic topology: VANETs are formed and sustained in an ad hoc manner
with vehicles joining and leaving the network all the time, sometimes only being in the
range for a few seconds.
Network partitions: In rural areas traffic may become so sparse that networks separate
creating partitions.
Time sensitive transmissions: Safety warnings must be relayed as quickly as possible
and must be given high priority over regular data.
Applying traditional MANETs routing protocols directly in the VANET environment is
inefficient since these methods dont take VANETs characteristics into consideration.
Therefore, modifying MANET routing protocols or developing new routing protocols
specific for VANET are the practical approaches to efficiently use routing methods in
VANET. One example of modifying MANETs protocols to work in the VANET
environment is modifying the Ad hoc On Demand Distance Vector (AODV) with Preferred
Group Broadcasting (PGB). On the other hand, new routing protocols were developed
specifically for VANET (Lochert et al., 2003) (Lochert et al., 2005) (Tian et al., 2003) (Seet et
al., 2004) (Tee & Lee, 2010). These protocols are position-based that take advantage of the
knowledge of road maps and vehicles current speed and position. Mainly, most of
VANETs routing protocols can be split into two categories: topology-based routing and
position-based routing. In the following sections, we will further define these two types of
routing protocols. But, we will focus on the position-based type since it is more suitable for
VANET environments.
4.1 Topology based routing
Topology-based routing protocols rely on the topology of the network. Most of the
topology-based routing algorithms try to balance between being aware of the potential
routes and keeping overhead at the minimum level. The overhead here refers to the
bandwidth and computing time used to route a packet. Protocols that keep a table of
information about neighbouring nodes are called proactive protocols; while reactive
protocols route a packet on the fly.
4.1.1 Reactive topology based protocols
This type of protocols relies on flooding the network with query packets to find the path to
the destination nodes. The Dynamic Source Routing (DSR) (Johnson & Maltz, 1996) is one of
the reactive topology-based routing protocols. In the DSR, a node sends out a flood of query
packets that are forwarded until they reach their destination. Each node along the path to
the destination adds its address to the list of relay nodes carried in the packet. When the
destination is reached, it responds to the source listing the path taken. After waiting a set
amount of time, the source node then sends the packet from node to node along the shortest
path.
The Ad Hoc On-Demand Distance Vector (AODV) (Perkins & Royer) is another reactive
topology-based routing protocol developed for MANETs. The AODV routing protocol
works similar to DSR in that when a packet must be sent routing requests flood the network,
and the destination confirms a route. However unlike the DSR, in AODV the source node is

34
not aware of the exact path that the packet must take, the intermediate nodes store the
connectivity information. AODV-PGB (Preferred Group Broadcasting) is a modified version
of AODV that reduces overhead by only asking one member in a group to forward the
routing query.
4.1.2 Proactive topology based protocols
This type of protocols builds routing tables based on the current connectivity information of
the nodes. The nodes continuously try to keep up to date routing information. Proactive-
topology based Routing protocols are developed to work in low mobility environments (like
MANET). However, some of these protocols were modified to work in high mobility
environment (Benzaid et al., 2002). In (Benzaid et al., 2002), the authors proposed a fast
Optimized Link State Routing (OLSR), where nodes exchange the topology information
using beacons to build routing paths. The exchange of beacon messages is optimized such
that the frequency of sending these messages is adapted to the network dynamics. Mainly,
the proactive routing protocols consume a considerable amount of bandwidth. This is
because a large amount of data is exchanged for routing maintenance, especially in very
high dynamic networks where the neighbourhood of nodes is always changing. The high
dynamics of the network leads to frequent change in the neighbourhood, which increases
the overhead needed to maintain the routing table, and consume more bandwidth.

Fig. 6. Paths and junctions to route the packet
4.2 Position based routing
Position-based routing protocols or geographic routing protocols rely on the actual real
world locations to determine the optimal path for a packet. The nodes are assumed to be
equipped with device, like GPSs, allowing them to record their locations. Position-based
protocols usually perform better in VANET than topology-based protocols because
overhead is low, and node connectivity is so dynamic that sending a packet in the general
direction of its destination is the most effective method.
In (Lochert et al., 2003), the authors proposed a position-based routing protocol for VANET
called Geographic Source Routing (GSR). GSR relies on the maps of the cities and the

35
locations of the source and destination nodes. The nodes use Dijkstras algorithm to
compute the shortest path between source and destination nodes. In GSR, intersections can
be seen as junctions that represent the path that packets have to pass through to reach their
destination as shown in Figure 6. The GSR uses the greedy forwarding technique to
determine the location of the next junctions on the path. The greedy destination is the
location of the next junction on the path. A received packet is forwarded to the node that is
closer to the next junction. This process is repeated until the packet is delivered to its final
destination. Two approaches were proposed to deal with the sequence of junctions: the first
approach requires that the whole list of junctions is included in the packet header. In this
approach, the computation complexity and overhead is reduced, but bandwidth usage is
increased. The second approach requires that each forwarding node computes the list of
junctions. In this approach, bandwidth consumption is reduced, but computation overhead
is increased. Finally, there are some issues that are not clear in GSR implementation, for
example it is not clear how GSR deals with low connectivity scenarios and what happens
when the forwarding node cant find another node closer to the next junction.
Lochert et al. (Lochert et al., 2005) proposed a position-based routing protocol suitable for
urban scenarios. The routing protocols called Greedy Perimeter Coordinator Routing
(GPCR). Similar to GSR, the proposed algorithm considers intersections as junctions and
streets as paths. One of the main ideas implemented in the algorithm is restricted greedy
forwarding. In the restricted greedy forwarding, the junctions play very important role in
routing. Therefore, instead of forwarding packets as close as possible to the destination,
restricted greedy routing forwards packets to a node in the junction as shown in Figure 7.
v1
v2
v3
v4
restricted
greedy
normal
greedy
V3: coordinator

Fig. 7. Restricted greedy in GPCR
This is because the node on the junction has more options to route packets. In addition to
that, the local optimum can be avoided (local optimum happens when a forwarding vehicle
cant find a node closer to the destination than itself). The nodes close to the junction are
called Coordinators. Coordinators announce their role via beacons to let neighbouring
nodes know about them. Two approaches were proposed for the node to know whether its
role is a coordinator or not. The first approach requires that nodes include their neighbours
in the beacons, so that nodes can have information about their 2-hop neighbours. Based on
this, the node is considered a coordinator if it has two neighbours that are within direct

36
communication range with respect to each other, but dont list each other as neighbours.
This means that nodes are separated by obstacles. The second approach requires each node
calculate the correlation coefficient with respect to its neighbours. Assume that x
i
and y
i

represent the coordinates for node i. Assume also that
x and
y are the means for x-

coordinate and y-coordinate respectively. Let
xy
represents the covariance of x and y,
x
and
y
indicate the standard deviation of x and y respectively. The correlation coefficient can be
calculated as follows:

1
2 2
1 1
( )( )
( ( )) ( ( ))
xy
n
xy
i i i
n n
x x
i i i i
x x y y
x x y y
=
= =

= =

(4)
The value of
xy
is in the range [0,1]. If the value is close to 1, then it indicates linear
coherence, which is found when a vehicle is located in the middle of the street. A value close
to 0 shows no linear relationship between the positions of the nodes indicating that a node is
located on the junction. The authors used a threshold such that, if
xy
then the node is
located on the street, and if
xy
< , then the node is close to the junction.
Packets are forwarded along the street. The farthest node is a candidate to forward the
packets until they reach the intersection. Once a packet is delivered to a coordinator on the
junction, a decision about which road the packet should traverse is made. Mainly, a
neighbor that has the highest progress toward destination is selected.
The Spatially Aware Routing (SAR) (Tian et al., 2003) is a position based routing protocol
that is more relevant to an urban setting. SAR takes into account that packets cannot be
forwarded through the dense buildings in urban areas, so they must be forwarded through
the streets and intersections (similar to GSR). SAR uses the maps of the cities such that the
roads and intersections are represented as paths and junctions on a graph. The nodes select
the junctions that the packet has to go through to reach its destination. Nodes use Dijkstras
algorithm to compute the shortest path on the graph. Then, this path is included in the
header of the messages. The source node routes the packet using the shortest path algorithm
on that graph. Upon receiving a packet, the forwarding node chooses the neighbor that is
closer to the first junction in the GSR. The packet is forwarded to the next junction in the
path until it gets delivered. The SAR algorithm uses different approaches to deal with the
scenario when the forwarding node cant find another node closer to the next junction on
the path. The first option is storing the packet and periodically trying to forward it. The
packet will be discarded if the time limit is passed or the buffer becomes full. The second
option is forwarding the packet, using the traditional greedy forwarding routing, toward
the destination instead of the next junction. The third option is recalculating new path based
on the current situation after discarding the path computed by the source node.
Anchor Based Street and Traffic Aware Routing (A-STAR) (Seet et al., 2004) is similar to
SAR in that it also routes along streets and intersections. The packet is routed along a
directional vector that contains anchors or fixed geographic points that the packet must go
through. When A-STAR calculates the best path it prefers, streets with higher vehicle
density, making the protocol traffic aware. Higher vehicle density in a street provides better
transmission and less delay for a packet traveling along it. Traffic information is taken into
consideration when the routing protocol uses the shortest path algorithm to determine the
best path for the packet. Traffic information can be determined by the number of bus stops
on a street, or by actual real-time measurements of traffic density. The first method is called

37
the statistically rated map and the second is called the dynamically rated map. A-STAR also
has a novel way to deal with local maximums. When a packet reaches a void, the anchor
path is recalculated and the surrounding nodes are notified that particular path is out of
service.
Junction Based Adaptive Reactive Routing (JARR) (Tee & Lee, 2010) is a new routing
protocol designed specifically to deal with urban environments. It uses different algorithms
for when the packet is traveling to a junction, and when it has reached a junction. First the
packet is forwarded down an optimal path to a junction. At that point a different algorithm
takes over that determines the next optimal path and auxiliary routes. JARR takes into
consideration velocity, direction, current position, and density when determining the path
for a packet. In order for nodes to gather that information, a beacon regularly informs
neighboring nodes of its position and velocity. JARR is able to reap the benefits of the
beacon without paying the full price in overhead by adapting the frequency of the beacon as
vehicle density increases. The higher the density, the less frequently the beacon is used to
disseminate information. JARR also increases its throughput by allowing for some delay
tolerance. For example, if a packet is transferred to a node that loses connectivity with the
network, the packet will be carried until it can be forwarded.
5. Conclusion
This book chapter presented an overview and tutorial of various issues related to
communications in vehicular networks. Various types of challenges in vehicular
communications have been identified and addressed. A number of media access and
routing techniques are also clearly presented. This book chapter will allow readers to get an
understanding about what a vehicular network is and what type of challenges are
associated with vehicular networks.
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0
Modeling and Simulation of Vehicular Networks:
Towards Realistic and Efcient Models
Mate Boban
1,2
and Tiago T. V. Vinhoza
2
1
Department of Electrical and Computer Engineering, Carnegie Mellon University
5000 Forbes Avenue, Pittsburgh, PA, 15213
2
Instituto de Telecomunica c oes,
Departamento de Engenharia Electrot ecnica e de Computadores
Faculdade de Engenharia da Universidade do Porto, 4200-465, Porto, Portugal
USA and Portugal
1. Introduction
Vehicular Ad Hoc Networks (VANETs) have been envisioned with three types of applications
in mind: safety, trafc management, and commercial applications. By using wireless
interfaces to form an ad hoc network, vehicles will be able to inform other vehicles about
trafc accidents, hazardous road conditions and trafc congestion. Commercial applications
(e.g., data exchange, audio/video communication) are envisioned to provide incentive for
faster adoption of the technology.
To date, the majority of VANET research efforts have relied heavily on simulations, due to
prohibitive costs of employing real world testbeds. Current VANET simulators have gone a
long way from the early VANET simulation environments, which often assumed unrealistic
models such as random waypoint mobility, circular transmission range, or interference-free
environment Kotz et al. (2004). However, signicant efforts still remain in order to enhance
the realism of VANET simulators, at the same time providing a computationally inexpensive
and efcient platform for performance evaluation of VANETs. In this work, we distinguish
three key building blocks of VANET simulators:
Mobility models,
Networking (data exchange) models,
Signal propagation (radio) models.
Mobility models deal with realistic representation of vehicular movement, including mobility
patterns (i.e., constraining vehicular mobility to the actual roadway), interactions between the
vehicles (e.g., speed adjustment based on the trafc conditions) and trafc rule enforcement
(e.g., intersection control through trafc lights and/or road signs). Networking models are
designed to provide realistic data exchange, including simulating the medium access control
(MAC) mechanisms, routing, and upper layer protocols. Signal propagation models aim at
realistically modeling the complex environment surrounding the communicating vehicles,
including both static objects (e.g., buildings, overpasses, hills), as well as mobile objects (other
vehicles on the road).
We rst present the state-of-the art in vehicular mobility models and networking models
and describe the most important proponents for these two aspects of VANET simulators.
3
2 Theory and Applications of Ad Hoc Networks
Then, we describe the existing signal propagation models and motivate the need for more
accurate models that are able to capture the behavior of the signal on a per-link basis,
rather than relying solely on the overall statistical properties of the environment. More
specically, as shown in Koberstein et al. (2009), simplied stochastic radio models (e.g.,
free space Goldsmith (2006), log-distance path loss Rappaport (1996), two-ray ground
reection Goldsmith (2006), etc.), which are based on the statistical properties of the chosen
environment and do not account for the specic obstacles in the region of interest, are
unable to provide satisfactory accuracy for typical VANET scenarios. Contrary to this,
topography-specic, highly realistic channel models (e.g., based on ray tracing Maurer et al.
(2004)) yield results that are in very good agreement with the real world. However, these
models are computationally too expensive and usually bound to a specic location (e.g., a
particular neighborhood in a city), thus making them impractical for extensive simulation
studies. For these reasons, such models are not implemented in VANET simulators. Based
on the experimental assessment of the impact of mobile obstacles on vehicle-to-vehicle
communication, we point out the importance of the realistic modeling of mobile obstacles and
the inconsistencies that arise in VANET simulation results in case these obstacles are omitted
from the model. Motivated by this nding, we developed a novel model for incorporating the
mobile obstacles (i.e., vehicles) in VANET channel modeling. A useful model that accounts
for mobile obstacles must satisfy a number of requirements: accurate vehicle positioning,
realistic underlying mobility model, realistic propagation characterization, and manageable
complexity. The model we developed satises all of these requirements Boban et al. (2010).
The proposed model accounts for vehicles as three-dimensional obstacles and takes into
account their impact on the LOS obstruction, received signal power, and the packet reception
rate. The algorithm behind the model allows for computationally efcient implementation in
VANET simulators. Furthermore, the proposed model can easily be used in conjunction with
the existing models for static obstacles to accurately simulate the entire spectrum of VANET
environments with regards to both road conditions (e.g., sparse or dense vehicular networks),
as well as various surroundings (including highway, suburban, and urban environments).
VANET Simulation
Environment
Data Exchange
Modeling
Signal Propagation
Modeling
Mobility Modeling
Traffic Rule Enforcement
(intersection
management, speed
modeling, etc.)
Vehicle Interaction
Models (lane changing,
car following, accident
simulation, etc.)
Stochastic Models
Deterministic Models
Static Obstructions
Modeling (e.g., road
surface, buildings, hills,
foliage, etc)
Mobile Obstructions
Modeling (moving
vehicles)
Trace-based Mobility
Models
Real-world Traces Artificial Traces
Dedicated Traffic
Models
Mobility Patterns
(random waypoint,
Manhattan grid, road-
constrained, etc.)
Fig. 1. Structure of VANET simulation environment
42 Mobile Ad-Hoc Networks: Applications
Modeling and Simulation of Vehicular Networks: Towards Realistic and Efcient Models 3
2. Mobility models
Mobility models can be roughly divided in trace-based models and dedicated trafc models
(Fig. 1). Trace-based models are based on a set of generated vehicular traces which are
then used as an underlying mobility pattern over which the data communication is carried
over. The traces can be either real world (i.e., based on mapping of the positions of vehicles)
Ferreira et al. (2009) and Ho et al. (2007), or articially generated using the dedicated trafc
engineering tools Naumov et al. (2006). The advantage of trace-based models is they provide
the highest level of realism achievable in VANET simulations. However, there are also
several important shortcomings. Firstly, in order to collect the real world mobility traces,
signicant time and cost are involved. This often makes the traces collected limited with
respect to both the number of the vehicles that are recorded and the region over which the
recording has been made. Further this implies that there is rarely a chance to record the
mobility of all the vehicles in a certain region (as it would often involve equipping each
vehicle with the location devices), thus leading to a need for compensating algorithms for
the non-recorded vehicles. Finally, since the traces are collected/recorded beforehand, the
feedback connection from the networking model to the mobility model is not available.
This is a very important shortcoming, given that a large number of proposed Intelligent
Transportation System (ITS) applications carried over VANETs can affect the movement of
the vehicles (this is especially the case with trafc management applications), thus rendering
the trace-based models inadequate for any application with the feedback loop between the
trafc and networking models. A vivid example of such application is Congested Road
Notication Bai et al. (2006), which aids the vehicles in circumventing congested roads, thus
directly affecting the mobility of the vehicles through the network communication.
A characteristic that distinguishes the dedicated trafc models from the trace-based ones,
capability to support the feedback loop between the mobility model and the networking
model, is an important reason for adopting the more exible dedicated trafc models. This
way, the information from the networking model (e.g., a vehicle receives a trafc update
advising the circumvention of a certain road) can affect the behavior of the mobility model
(e.g., the vehicle takes a different route than the one initially planned). Early VANET mobility
models were characterized by their simplicity and ease of implementation. For quite some
time, the random waypoint mobility model Saha & Johnson (2004), where the vehicles move
over a plane from one randomly chosen location to another, was the de facto standard for
VANET simulations. However, it was shown that the overly simplied mobility models such
as random waypoint are not able to model the vehicular mobility adequately Choffnes &
Bustamante (2005). A signicant step towards the realism were the simple one-dimensional
freeway model and the so-called Manhattan grid model Bai et al. (2003), where the mobility
is constrained to a set of grid-like streets which represent an urban area. Further elaboration
of the mobility models was achieved by using map generation techniques, such as Voronoi
graphs Davies et al. (2006), which constrain the movement of the vehicles to a network of
articially generated irregular streets. Recently, the most prominent mobility models (e.g.,
Choffnes & Bustamante (2005), Conceic ao et al. (2008), and Mangharam et al. (2005)) started
utilizing real world maps in order to constrain the vehicle movement to real streets based on
some of the available geospatial databases (e.g., the U.S. Census Bureaus TIGER data U.S.
Census Bureau TIGER system database (n.d.) or the data collected in the OpenStreetMap project
Open Street Map Project (n.d.)). Furthermore, the distinction can be made with regards to the
coupling between the mobility and networking and signal propagation models. On one side of
the spectrum are the mobility models embedded with the networking model (e.g., Choffnes &
43 Modeling and Simulation of Vehicular Networks: Towards Realistic and Efficient Models
Bustamante (2005) and Mangharam et al. (2005)), thus allowing for a more efcient execution
of the simulation. On the other side, there are mobility models which are based on the
dedicated trafc simulators stemming from the trafc engineering community (e.g., SUMO
- Simulation of Urban MObility (n.d.) and CORSIM: Microscopic Trafc Simulation Model (n.d.)),
which are then bidirectionally coupled with the networking model (e.g., Sommer et al. (2008)
and Pi orkowski et al. (2008)). These types of environments are characterized by a high level
of trafc simulation credibility, but often suffer from inefciencies caused by the integration
of two separate systems Harri (2010).
Vehicle interaction (Fig. 1) includes modeling the behavior of a vehicle that is a direct
consequence of the interaction with the other vehicles on the road. This includes the
microscopic aspects of the impact of other vehicles, such as lane changing Gipps (1986) and
decreasing/increasing the speed due to the surrounding trafc, as well as the macroscopic
aspects, such as taking a different route due to the trafc conditions (e.g., congestion). Another
important aspect of mobility modeling is trafc rule enforcement, which includes intersection
management, changing the vehicle speed based on the speed limits of the roads, and generally
making the vehicle obey any other trafc rules set forth on a certain highway. Even though
the vehicle interaction and the enforcement of trafc rules were shown to be essential for
accurate modeling of vehicular trafc Helbing (2001), as noted in Harri et al. (2009), many
of VANET mobility models have scarce support for these microscopic aspects of vehicular
mobility. For this reason, signicant research efforts remain in order to make these aspects of
mobility models more credible, and for the research community to strive for the simulation
environments that realistically model these components.
With regards to the implementation approaches for the mobility models, the most prolic
proponents are Helbing (2001): the cellular automata models (e.g., Nagel & Schreckenberg
(1992)), the follow-the-leader models (e.g., car-following Rothery (1992) and intelligent driver
model Treiber et al. (2000)), the gas-kinetic models (e.g., Hoogendoorn & Bovy (2001)), and
the macroscopic models (e.g., Lighthill-Whitham model Lighthill & Whitham (1955)). Further
classication of mobility models can be made with respect to the granularity at which the
mobility is simulated, categorizing the mobility models as microscopic, mesoscopic, and
macroscopic. Microscopic models are simulating the mobility at the per-vehicle level (i.e.,
each vehicles motion is simulated separately). Prominent examples of such models are the
car following model Rothery (1992) and cellular automata models Nagel & Schreckenberg
(1992), Tonguz et al. (2009). Macroscopic models simulate the entire vehicular network as an
entity that possesses certain physical properties. Such models can give insights into the overall
statistical properties of vehicular networks (e.g., the average vehicular density, average speer,
or the ow/density relationship of a given vehicular network). Examples of such models
are kinematic wave models Jin (2003) and uid percolation Cheng & Robertazzi (Jul. 1989).
Mesoscopic models are simulating the mobility at the ow level, where a number of vehicles
is characterized by certain averaging properties (e.g., arrival time, average speed, etc.), but
the ows are distinguishable. Gas-kinetic model Hoogendoorn & Bovy (2001) is an example
of mesoscopic models. For an extensive treatment focusing on modeling the vehicular trafc
in general, we refer the reader to Helbing (2001), and for the overview of the mobility models
used in VANET research, we refer the reader to Harri (2010).
3. Networking models
Unlike the mobility models or signal propagation models for VANETs, which have signicant
differences when compared to models used in other types of mobile ad hoc networks
(MANETs) Murthy & Manoj (2004), the networking models for VANETs are quite similar to
those used in other elds of MANET research. The data models used in the current simulators,
such as NS-2 Network Simulator 2 (n.d.), JiST/SWANS/STRAWChoffnes &Bustamante (2005),
and NCTU-NS Wang et al. (2003), rely on discrete event simulation, where different protocols
of the network stack are executed based on the events triggered either by upper layer (e.g., an
application sends a message to the networking protocol) or by lower layer (e.g., the link layer
protocol noties the network layer protocol about the correct reception of the message). The
main difference arises in the use of a dedicated VANET protocol stack called Wireless Access
in Vehicular Environments (WAVE), standardized under the IEEE 1609 working group IEEE
Trial-Use Standard for Wireless Access in Vehicular Environments (WAVE) - Networking Services
(Apr. 2007).
In 1999, the U.S. Federal Communications Commission (FCC) allocated 75 MHz of spectrum
between 5850 - 5925 MHz for WAVE systems operating in the Intelligent Transportation
System (ITS) radio service for vehicle-to-vehicle (V2V) and infrastructure-to-vehicle (V2I)
communications. Similarly, the European Telecommunications Standards Institute (ETSI) has
allocated 30 MHz of spectrum in the 5.9 GHz band for ITS services in August 2008, and
many other countries are actively working towards standardizing the 5.9 GHz spectrum,
thus allowing worldwide compatibility of WAVE devices in the future. WAVE provisions for
public safety and trafc management applications. Commercial (tolling, comfort Bai et al.
(2006), entertainment Tonguz & Boban (2010), etc.) services are also envisioned, creating
incentive for faster adoption of the technology. The lower layers of the WAVE protocol
stack are being standardized under the Dedicated short-range communications (DSRC) set
of protocols IEEE Draft Standard IEEE P802.11p/D9.0 (July 2009). DSRC is based on IEEE
802.11 technology and is proceeding towards standardization as IEEE 802.11p. Fig. 2 shows
the WAVE protocol stack. On the network layer, WAVE Short Message Protocol (WSMP)
is being developed for fast and efcient message exchange in VANETs. It is planned to
support both safety as well as for non-safety applications. Applications running over WSMP
will directly control the physical layer characteristics (e.g., channel number and transmitter
power) on a per message basis. As seen in Fig. 2, applications running over the standard
TCP/IP protocol stack are also supported. Their operation is restricted to the predened
underlying physical layer characteristics, based on the application type. The applications
will be divided in up to eight levels of priority, with the safety applications having the highest
level of priority. The multi-channel operation IEEE Trial-Use Standard for Wireless Access in
Vehicular Environments (WAVE) - Multi-channel Operation (2006) is aimed at providing higher
availability and managing contention. Channels are divided into Control Channel (CCH)
and Service Channels (SCH). WAVE devices must monitor the Control Channel (CCH) for
safety application advertisements during specic intervals known as CCH intervals. CCH
intervals and are specied to provide a mechanism that allows WAVE devices to operate on
multiple channels while ensuring all WAVE devices are capable of receiving high-priority
safety messages with high probability IEEE Trial-Use Standard for Wireless Access in Vehicular
Environments (WAVE) - Multi-channel Operation (2006). For a tutorial on WAVE protocol stack,
we refer the reader to Uzc ategui & Acosta-Marum (2009).
Due to the relative novelty of DSRC and WAVE protocols, the majority of the widely used
VANET simulators do not implement the DSRC and WAVE protocols. One exception is
the NCTUNS simulation environment Wang et al. (2003), which implements both DSRC
(IEEE 802.11p) and WAVE (IEEE 1609 set of standards) in its current version. Modeling the
networking stack realistically is important for the credibility of the results obtained at each
Fig. 2. WAVE protocol stack.
level of the protocol stack, and especially for the application level, since all the potential
simulation errors from the lower layers are reected at the application layer. To this end, it
was recently shown that several stringent constraints exist in VANETs for applications Boban
et al. (2009), and even with the optimal settings with regards to the networking model, some
of the results reported with simplied models, especially with regards to connectivity and
message reachability (e.g., Palazzi et al. (2007)) are unachievable.
4. Signal propagation models
In order to adequately model the signal propagation in VANETs, appropriate models need to
be developed that take into account the unique characteristics of VANET environment (e.g.,
high speed of the vehicles, obstruction-rich setting, specic location of the antennas, etc.).
In the early days of VANET research, simple signal propagation models were utilized (e.g.,
unit area disk model Gupta & Kumar (2000), free-space path loss Goldsmith (2006), among
others), which were carried over from MANET research. Due to the signicantly different
environment, these models do not provide satisfying accuracy for typical VANET scenarios
Koberstein et al. (2009). Based on whether the model is accounting for a specic location
of the objects or generalized distribution of objects in the environment, we can distinguish
deterministic and stochastic models (Fig. 1). Deterministic models attempt to model the
signal behavior based on the exact environment in which the vehicle is currently located,
and with specic locations of the objects surrounding the vehicle (e.g., Maurer et al. (2004).)
Stochastic models, on the other hand, assume a location of the surrounding objects based on
a certain (often pre-dened) statistical distribution (e.g., Acosta & Ingram (2006)). Based on
the approach of modeling the environment, we distinguish geometrical or non-geometrical
models. Geometrical models use the concepts of computational geometry to characterize
the environment by generating the possible paths or rays between the transmitting and
receiving vehicle. Non-geometrical models use the higher level properties of the environment
(e.g., path-loss exponent Wang et al. (2004)) to approximate the signal power at the receiver.
Furthermore, geometrical signal propagation models have to account for two types of
obstructions that affect the signal: static obstructions (e.g., road surface, buildings, overpasses,
OBSTRUCTINGVEHICLE
TRANSMITTER RECEIVER TRANSMITTER RECEIVER
ANTENNA
Fig. 3. Experiment setup.
hills, etc.) and mobile obstructions (moving vehicles). Numerous studies have dealt with
static obstacles as the key factors affecting signal propagation (e.g., Nagel &Eichler (2008) and
Giordano et al. (2010)) and proposed models for accurately quantifying the impact of static
obstacles. However, due to the nature of VANETs, where communication is often performed
in V2V fashion, it is reasonable to expect that the moving vehicles will act as obstacles to the
signal, often affecting the signal propagation even more than static obstacles (e.g., in case of
an open road).
Furthermore, the fact that the communicating entities in VANETs are vehicles exchanging
data in a V2V fashion raises new challenges in signal modeling. We observe, for example,
that antenna heights of both transmitter and receiver are relatively low (on top of the vehicles
at best), such that other vehicles can act as obstacles for signal propagation by obstructing
the LOS between the communicating vehicles. The natural conclusion is that analyzing static
obstacles only is not sufcient; vehicles as moving obstacles have to be taken into account.
These assumptions have been conrmed in several previous studied. Specically, Otto et
al. in Otto et al. (2009) performed V2V experiments at 2.4 GHz frequency band in an open
road environment and pointed out a signicantly worse signal reception on the same road
during the trafc heavy, rush hour period in comparison to a no trafc, late night period.
A similar experimental V2V study presented in Takahashi et al. (2003) analyzed the signal
propagation in crowded and uncrowded highway scenarios (depending on the number
of cars currently on the road) for the 60 GHz frequency band, and reported signicantly
higher path loss for the crowded scenarios. Several other studies (Jerbi et al. (2007), Wu et al.
(2005), Matolak et al. (2005), and Vehicle Safety Communications Project, Final Report (2006)) hint
that other vehicles apart from the transmitter and receiver could be an important factor in
modeling the signal propagation by obstructing the LOS between the communicating vehicles.
Despite this, virtually all of the state-of-the-art VANET simulators consider the vehicles as
dimensionless entities that have no inuence on signal propagation Martinez et al. (2009).
This motivated our study on the impact of vehicles as obstacles on V2V communication
described in Boban et al. (2010) and presented in the next section.
5. Model for incorporating vehicles as obstacles in VANET simulation
environments
5.1 Empirical measurements
In order to quantify the impact that the vehicles have on the received signal strength, we
performed experimental measurements. To isolate the effect of the obstructing vehicles, we
aimed at setting up a controlled environment without other obstructions and with minimum
Dimensions (m)
Vehicle Height Width Length
2002 Lincoln LS (TX) 1.453 1.859 4.925
2009 Pontiac Vibe (RX) 1.547 1.763 4.371
2010 Ford E-250 (Obstruction) 2.085 2.029 5.504
Table 1. Dimensions of Vehicles
impact of other variables (e.g., other moving objects, electromagnetic radiation, etc). For this
reason, we performed experiments in an empty parking lot in Pittsburgh, PA (Fig. 3). We
analyzed the received signal strength for the no obstruction, LOS case, and the non-LOS
case where we introduced an obstructing vehicle (the van shown in Fig. 3) between the
transmitter (Tx) and the receiver (Rx) vehicles. The received signal strength was measured
for the distances of 10, 50, and 100 m between the Tx and the Rx. In case of the non-LOS
experiments, the obstructing van was placed in the middle between the Tx and the Rx. We
performed experiments at two frequency bands: 2.4 GHz (used by the majority of commercial
WiFi devices) and 5.9 GHz (the band at which spectrum has been allocated for automotive
use worldwide IEEE Draft Standard IEEE P802.11p/D9.0 (July 2009)). For 2.4 GHz experiments,
we equipped the Tx and Rx vehicles with laptops that had Atheros 802.11b/g wireless cards
installed and we used 3 dBi gain omnidirectional antennas. For 5.9 GHz experiments, we
equipped the Tx and Rx vehicles with NEC Linkbird-MX devices Festag et al. (2008), which
communicate via IEEE 802.11p IEEE Draft Standard IEEE P802.11p/D9.0 (July 2009) wireless
interfaces and we used 5 dBi gain omnidirectional antennas. In both cases, antennas were
mounted on the rooftops of the Tx and Rx vehicles (Fig. 3). The dimensions of the vehicles
are shown in Table 1, and the height of the antennas used in both experiments was 260 mm.
The transmission power was set to 18 dBm. The Atheros wireless cards in laptops as well as
IEEE 802.11p radios in LinkBird-MXs were evaluated beforehand using a real time spectrum
analyzer and no signicant power uctuations were observed. The central frequency was set
to 2.412 GHz and 5.9 GHz, respectively, and the channel width was 20 MHz. The data rate
for 2.4 GHz experiments was 1 Mb/s, with 10 messages (140 bytes in size) sent per second
using the ping command, whereas for 5.9 GHz experiments the data rate was 6 Mb/s (the
lowest data rate in 802.11p for 20 MHz channel width) with 10 beacons Festag et al. (2008)
(36 bytes in size) sent per second. Each measurement was performed for at least 120 seconds,
thus resulting in a minimum of 1200 data packets transmitted per measurement. We collected
the per-packet Received Signal Strength Indication (RSSI) information.
Figures 4a and 4b show the RSSI for the LOS (no obstruction) and non-LOS (van obstructing
the LOS) measurements at 2.4 GHz and 5.9 GHz, respectively. The additional attenuation
at both central frequencies ranges from approx. 20 dB at 10 m distance between Tx and Rx
to 4 dB at 100 m. Even though the absolute values for the two frequencies differ (resulting
mainly from the different quality radios used for 2.4 GHz and 5.9 GHz experiments), the
relative trends indicate that the obstructing vehicles attenuate the signal more signicantly
the closer the Tx and Rx are. To provide more insight into the distribution of the received
signal strength for LOS and non-LOS measurements, Fig. 5 shows the cumulative distribution
function (CDF) of the RSSI measurements for 100 m in case of LOS and non-LOS at 2.4 GHz.
The non-LOS case exhibits a larger variation and the two distributions are overall signicantly
different, thus clearly showing the impact of the obstructing van. Similar distributions were
observed for other distances between the Tx and the Rx.
35
40
LOS
15
20
25
30
35
RSSI(dB)
LOS
Obstructed
0
5
10
15
10m 50m 100m
Distance
(a) 2.4 GHz
35
40
LOS
15
20
25
30
35
RSSI(dB)
LOS
Obstructed
0
5
10
15
10m 50m 100m
Distance
(b) 5.9 GHz
Fig. 4. RSSI measurements: average RSSI with and without the obstructing vehicle.
0
0,1
0,2
0,3
0,4
0,5
0,6
0,7
0,8
0,9
1
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
CDF
RSSI (dB)
100 m - No Obstruction
100 m - Obstructing Van
Fig. 5. Distribution of the RSSI for 100 m in case of LOS (no obstruction) and non-LOS (obstructing van)
at 2.4 GHz.
5.2 Model analysis
5.2.1 The impact of vehicles on line of sight
In order to isolate and quantify the effect of vehicles as obstacles on signal propagation, we do
not consider the effect of other obstacles such as buildings, overpasses, vegetation, or other
roadside objects on the analyzed highways. Since those obstacles can only further reduce the
probability of LOS, our approach leads to a best case analysis for probability of LOS.
Figure 6 describes the methodology we use to quantify the impact of vehicles as obstacles
on LOS in a V2V environment. Using aerial imagery (Fig. 6a) to obtain the location and
length of vehicles, we devise a model that is able to analyze all possible connections between
vehicles within a given range (Fig. 6b). For each link such as the one between the vehicles
designated as transmitter (Tx) and receiver (Rx) in Fig. 6b the model determines the existence
or non-existence of the LOS based on the number and dimensions of vehicles potentially
obstructing the LOS (in case of the aforementioned vehicles designated as Tx and Rx, the
vehicles potentially obstructing the LOS are those designated as Obstacle 1 and Obstacle 2 in
Fig. 6b).
The proposed model calculates the (non-)existence of the LOS for each link (i.e., between all
communicating pairs) in a deterministic fashion, based on the dimensions of the vehicles
and their locations. However, in order to make the model mathematically tractable, we
derive the expressions for the microscopic (i.e., per-link and per-node) and macroscopic (i.e.,
system-wide) probability of LOS. It has to be noted that, from the electromagnetic wave
propagation perspective, the LOS is not guaranteed with the existence of the visual sight line
Tx
Rx
Obstacle 1
Obstacle 2
(a) Aerial photography (b) Abstracted model showing possible
connections
LOS not obstructed
LOS potentially obstructed
60% of First
Fresnel Ellipsoid
Tx Rx Obstacle 1 Obstacle 2
d
d
obs1
d
obs2
h
1
h
i
h
j h
2
(c) P(LOS) calculation for a given link
Fig. 6. Model for evaluating the impact of vehicles as obstacles on LOS (for simplicity, vehicle antenna
heights (h
a
) are not shown in subgure (c)).
between the Tx and Rx. It is also required that the Fresnel ellipsoid is free of obstructions
(Rappaport, 1996, Chap. 3). Any obstacle that obstructs the Fresnel ellipsoid might affect
the transmitted signal. As the distance between the transmitter and receiver increases, the
diameter of the Fresnel ellipsoid increases accordingly. Besides the distance between the Tx
and Rx, the Fresnel ellipsoid diameter is also a function of the wavelength.
As we will show later in Section 5.3, the vehicle heights follow a normal distribution. To
calculate P(LOS)
ij
, i.e., the probability of LOS for the link between vehicles i and j, with one
vehicle as a potential obstacle between Tx and Rx (of height h
i
and h
j
, respectively), we have:
P(LOS|h
i
, h
j
) = 1 Q
_
h
_
(1)
and
h = (h
j
h
i
)
d
obs
d
+ h
i
0.6r
f
+ h
a
, (2)
where the i, j subscripts are dropped for clarity, and h denotes the effective height of the
straight line that connects Tx and Rx at the obstacle location when we consider the rst Fresnel
ellipsoid. Furthermore, Q() represents the Q-function, is the mean height of the obstacle,
is the standard deviation of the obstacles height, d is the distance between the transmitter
and receiver, d
obs
is the distance between the transmitter and the obstacle, h
a
is the height of
the antenna, and r
f
is the radius of the rst Fresnel zone ellipsoid which is given by
r
f
=
_
d
obs
(d d
obs
)
d
,
with denoting the wavelength. We use the appropriate for the proposed standard for
VANET communication (DSRC), which operates in the 5.9 GHz frequency band. In our
studies, we assume that the antennas are located on top of the vehicles in the middle of the roof
(which was experimentally shown to be the overall optimum placement of the antenna Kaul
et al. (2007)), and we set the h
a
to 10 cm. As a general rule commonly used in literature, LOS
is considered to be unobstructed if intermediate vehicles obstruct the rst Fresnel ellipsoid by
less than 40% (Rappaport, 1996, Chap. 3). Furthermore, for N
o
vehicles as potential obstacles
between the Tx and Rx, we get (see Fig. 6c)
P(LOS|h
i
, h
j
) =
N
o
k=1
_
1 Q
_
h
k

k
k
__
, (3)
where h
k
is the effective height of the straight line that connects Tx and Rx at the location of the
k-th obstacle considering the rst Fresnel ellipsoid,
k
is the mean height of the k-th obstacle,
and
k
is the standard deviation of the height of the k-th obstacle.
Averaging over the transmitter and receiver antenna heights with respect to the road, we
obtain the unconditional P(LOS)
ij
P(LOS)
ij
=
_ _
P(LOS|h
i
, h
j
)p(h
i
)p(h
j
)dh
i
dh
j
, (4)
where p(h
i
) and p(h
j
) are the probability density functions for the transmitter and receiver
antenna heights with respect to the road, respectively.
The average probability of LOS for a given vehicle i, P(LOS)
i
, and all its N
i
neighbors is
dened as
P(LOS)
i
=
1
N
i
N
i
j=1
P(LOS)
ij
(5)
To determine the system-wide ratio of LOS paths blocked by other vehicles, we average
P(LOS)
i
over all N
v
vehicles in the system, yielding
P(LOS) =
1
N
v
N
v
i=1
P(LOS)
i
. (6)
Furthermore, we analyze the behavior of the probability of LOS for a given vehicle i over time.
Let us denote the i-th vehicle probability of LOS at a given time t as P(LOS)
t
i
. We dene the
change in the probability of LOS for the i-th vehicle over two snapshots at times t
1
and t
2
as
P(LOS)
i
= |P(LOS)
t
2
i
P(LOS)
t
1
i
|, (7)
where P(LOS)
t
1
i
and P(LOS)
t
2
i
are obtained using (5).
It is important to note that equations (1) to (7) depend on the distance between the node i
and the node j (i.e., transmitter and receiver) in a deterministic manner. More specically, the
snapshot obtained from aerial photography provides the exact distance d (Fig. 6c) between
the nodes i and j. While in our study we used aerial photography to get this information,
any VANET simulator would also provide the exact location of vehicles based on the assumed
mobility model (e.g., car-following Rothery (1992), cellular automata Tonguz et al. (2009), etc.),
hence the distance d between the nodes i and j would still be available. This also explains why
the proposed model is independent of the simulator used, since it can be incorporated into
any VANET simulator, regardless of the underlying mobility model, as long as the locations
of the vehicles are available. Furthermore, even though we used the highway environment for
testing, the proposed model can be used for evaluating the impact of obstructing vehicles on
any type of road, irrespective of the shape of the road (e.g., single or multiple lanes, straight
or curvy) or location (e.g., highway, suburban, or urban
1
).
5.2.2 The impact of vehicles on signal propagation
The attenuation on a radio link increases if one or more vehicles intersect the ellipsoid
corresponding to 60% of the radius of the rst Fresnel zone, independent of their positions
on the Tx-Rx link (Fig. 6c). This increase in attenuation is due to the diffraction of the
electromagnetic waves. The additional attenuation due to diffraction depends on a variety of
factors: the obstruction level, the carrier frequency, the electrical characteristics, the shape of
the obstacles, and the amount of obstructions in the path between transmitter and receiver. To
model vehicles obstructing the LOS, we use the knife-edge attenuation model. It is reasonable
to expect that more than one vehicle can be located between transmitter (Tx) and receiver
(Rx). Thus, we employ the multiple knife-edge model described in ITU-R recommendation
ITU-R (2007). When there are no vehicles obstructing the LOS between the Tx and Rx, we use
1
However, to precisely quantify the impact of obstructing vehicles in complex urban environments,
further research is needed to determine the interplay between the vehicle-induced obstruction and the
obstruction caused by other objects (e.g., buildings, overpasses, etc.).
the free space path loss model Goldsmith (2006)
2
.
Single Knife-Edge
The simplest obstacle model is the knife-edge model, which is a reference case for more
complex obstacle models (e.g., cylinder and convex obstacles). Since the frequency of DSRC
radios is 5.9 GHz, the knife-edge model theoretically presents an adequate approximation for
the obstacles at hand (vehicles), as the prerequisite for the applicability of the model, namely
a signicantly smaller wavelength than the size of the obstacles ITU-R (2007), is fullled (the
wavelength of the DSRC is approximately 5 cm, which is signicantly smaller than the size of
the vehicles).
The obstacle is seen as a semi-innite perfectly absorbing plane that is placed perpendicular
to the radio link between the Tx and Rx. Based on the Huygens principle, the electric eld is
the sum of Huygens sources located in the plane above the obstruction and can be computed
by solving the Fresnel integrals Parsons (2000). A good approximation for the additional
attenuation (in dB) due to a single knife-edge obstacle A
sk
can be obtained using the following
equation ITU-R (2007):
A
sk
=
6.9 +20log
10
_
_
(v 0.1)
2
+1 + v 0.1
_
;
for v > 0.7
0; otherwise,
(8)
where v =
2H/r
f
, H is the difference between the height of the obstacle and the height of
the straight line that connects Tx and Rx, and r
f
is the Fresnel ellipsoid radius.
Multiple Knife-Edge
The extension of the single knife-edge obstacle case to the multiple knife-edge is not
immediate. All of the existing methods in the literature are empirical and the results vary from
optimistic to pessimistic approximations Parsons (2000). The method in Epstein & Peterson
(1953) presents a more optimistic view, whereas the methods in Deygout (1966) and Giovaneli
(1984) are more pessimistic approximations of the real world. Usually, the pessimistic
methods are employed when it is desirable to guarantee that the system will be functional
with very high probability. On the other hand, the more optimistic methods are used when
analyzing the effect of interfering sources in the communications between transmitter and
receiver. To calculate the additional attenuation due to vehicles, we employ the ITU-R method
ITU-R (2007), which can be seen as a modied version of the Epstein-Patterson method, where
correcting factors are added to the attenuation in order to better approximate reality.
5.3 Model requirements
The model proposed in the previous section is aimed at evaluating the impact of vehicles as
obstacles using geometry concepts and relies heavily on realistic modeling of the physical
environment. In order to employ the proposed model accurately, realistic modeling of the
following physical properties is necessary: determining the exact position of vehicles and
the inter-vehicle spacing; determining the speed of vehicles; and determining the vehicle
dimensions.
2
We acknowledge the fact that the free space model might not be the best approximation of the LOS
communication on the road. However, due to its tractability, it allows us to analyze the relationship
between the LOS and non-LOS conditions in a deterministic manner.
Dataset Size # vehicles # large vehicles Veh. density
A28 12.5 km 404 58 (14.36%) 32.3 veh/km
A3 7.5 km 55 10 (18.18%) 7.3 veh/km
Table 2. Analyzed highway datasets
Determining the exact position of vehicles and the inter-vehicle spacing
The position and the speed of vehicles can easily be obtained from any currently available
VANET mobility model. However, in order to test our methodology with the most realistic
parameters available, we used aerial photography. This technique is used by the trafc
engineering community as an alternative to ground-based trafc monitoring McCasland, W
T (1965), and was recently applied to VANET connectivity analysis Ferreira et al. (2009). It is
well suited to characterize the physical interdependencies of signal propagation and vehicle
location, because it gives the exact position of each vehicle. We analyzed two distinct data
sets, namely two Portuguese highways near the city of Porto, A28 and A3, both with four
lanes (two per direction). Detailed parameters for the two datasets are presented in Table 2.
For an extensive description of the method used for data collection and analysis, we refer the
reader to Ferreira et al. (2009).
Determining the speed of vehicles
For the observed datasets, besides the exact location of vehicles and the inter-vehicle distances,
stereoscopic imagery was once again used to determine the speed and heading of vehicles.
Since the successive photographs were taken with a xed time interval (5 seconds), by
marking the vehicles on successive photographs we were able to measure the distance the
vehicle traversed, and thus infer the speed and heading of the vehicle. The measured speed
and inter-vehicle spacing is used to analyze the behavior of vehicles as obstacles while they
are moving.
The distribution of inter-vehicle spacing for both cases can be well tted with an exponential
probability distribution. This agrees with the empirical measurements made on the I-80
interstate in California reported in Wisitpongphan et al. (Oct. 2007). The speed distribution
on both highways is well approximated by a normal probability distribution. Table 3 shows
the parameters of best ts for inter-vehicle distances and speeds.
Determining the vehicle dimensions
From the photographs, we were also able to obtain the length of each vehicle accurately,
however the width and height could not be determined with satisfactory accuracy due
to resolution constraints and vehicle mobility. To assign proper widths and heights to
vehicles, we use the data made available by the Automotive Association of Portugal Associa c ao
Autom ovel de Portugal (n.d.), which issued an ofcial report about all vehicles currently in
circulation in Portugal. From the report we extracted the eighteen most popular personal
vehicle brands which comprise 92% of all personal vehicles circulating on Portuguese
roads, and consulted an online database of vehicle dimensions Automotive Technical Data
and Specications (n.d.) to arrive at the distribution of height and width required for our
analysis. The dimensions of the most popular personal vehicles showed that both the vehicle
widths and heights can be modeled as a normal random variable. Detailed parameters for
the tting process for both personal and large vehicles are presented in Table 4. For both
width and height of personal vehicles, the standard error for the tting process remained
below 0.33% for both the mean and the standard deviation. The data regarding the specic
Data for A28
Parameter Estimate Std. Error
Speed: normal t
mean (km/h) 106.98 1.05
std. deviation (km/h) 21.09 0.74
Inter-vehicle spacing : exponential t
mean (m) 51.58 2.57
Data for A3
Parameter Estimate Std. Error
Speed: normal t
mean (km/h) 122.11 3.97
std. deviation (km/h) 28.95 2.85
Inter-vehicle spacing : exponential t
mean (m) 215.78 29.92
Table 3. Parameters of the Best Fit Distributions for Vehicle Speed and Inter-vehicle spacing
types of large vehicles (e.g., trucks, vans, or buses) currently in circulation was not available.
Consequently, the precise dimension distributions of the most representative models could
not be obtained. For this reason, we infer large vehicle height and width values from the data
available on manufacturers websites, which can serve as rough dimension guidelines that
show signicantly different height and width in comparison to personal vehicles.
5.4 Computational complexity of the proposed model
In order to determine the LOS conditions between two neighboring nodes, we analyzed the
existence of LOS in a three dimensional space, as shown in Fig. 6 and explained in the previous
sections. Our model for determining the existence of LOS between vehicles and, in case
of obstruction, obtaining the number and location of the obstructions, belongs to a class of
computational geometry problems known as geometric intersection problems de Berg et al.
(1997), which deal with pairwise intersections between line segments in an n-dimensional
space. These problems occur in various contexts, such as computer graphics (object occlusion)
and circuit design (crossing conductors), amongst others Bentley & Ottmann (1979).
Specically, for a given number of line segments N, we are interested in determining,
reporting, and counting the pairwise intersections between the line segments. For our specic
application, the line segments of interest are of two kinds: a) the LOS rays between the
communicating vehicles (lines colored red in Fig. 6b); and b) the lines that compose the
bounding rectangle representing the vehicles (lines colored blue in Fig. 6b). It has to be
noted that the intersections of interest are only those between the LOS rays and the bounding
rectangle lines, and not between the lines of the same type. Therefore, we arrive at a
special case of the segment intersection problem, namely the so-called red-blue intersection
problem. Given a set of red line segments r and a set of blue line segments b, with a total of
N =r +b segments, the goal is to report all K intersections between red and blue segments, for
which Agarwal in Agarwal (1991) presented an efcient algorithm. The time-complexity of
the algorithmproposed in Agarwal (1991), using the randomized approach of Clarkson (1987),
is O(N
4/3
logN + K), where K is the number of red-blue intersections, with space complexity
of O(N
4/3
). This algorithm ts our purposes perfectly, as the red segments correspond to
the LOS rays between the communicating vehicles and blue segments are the lines of the
Personal vehicles
Parameter Estimate
Width: normal t
mean (cm) 175
std. deviation (cm) 8.3
Height: normal t
mean (cm) 150
Large vehicles
Parameter Estimate
Width: constant
mean (cm) 250
Height: normal t
mean (cm) 335
Table 4. Parameters of the Best Fit Distributions for Vehicle Width and Height
bounding rectangles representing the vehicles (see Fig. 6b).
To assign physical values to r and b, we denote v as the number of vehicles in the system
and v
as the number of transmitting vehicles. The number of LOS rays results in r = Cv
,
where the average number of neighbors C is an increasing function of the vehicle density
and transmission range. The number of lines composing the bounding vehicle rectangles can
be expressed as b = 4v, since each vehicle is represented by four lines forming a rectangle
(see Fig. 6b). Therefore, a more specic time-complexity bound can be written as O((Cv
+
4v)
4/3
log(Cv
+4v) + K).
Apart from the algorithm for determining the red-blue intersections, the rest of the proposed
model consists in calculating the additional signal attenuation due to vehicles for each
communicating pair. In the case of non-obstructed LOS the algorithm terminates, whereas for
obstructed LOS, the red-blue intersection algorithm is used to store the number and location
of intersecting blue lines (representing obstacles). The total number of intersections is given
by K = gr, where g is the number of obstacles (i.e., vehicles) in the LOS path and is a subset
of C. The complete algorithm for additional attenuation due to vehicles is implemented as
follows.
Algorithm 1 Calculate additional attenuation due to vehicles
for i = 1 to r do
[coord] = getIntersect(i) {For each LOS ray in r, obtain the location of intersections as per
Agarwal (1991)}
if size([coord]) = 0 then
att = calcAddAtten([coord]) {Calculate the additional attenuation due to vehicles as
per ITU-R (2007)}
else
att = 0 dB {Additional attenuation due to vehicles equals zero.}
end if
end for
Highways
Transmission Range (m)
Highway 100 250 500
A3 P(LOS) 0.8445 0.6839 0.6597
A28 P(LOS) 0.8213 0.6605 0.6149
Table 5. P(LOS) for A3 and A28
The function getIntersect() is based on the aforementioned red-blue line intersection
algorithm Agarwal (1991), and has complexity O((Cv
+4v)
4/3
log(Cv
+4v) + gr), whereas

the function calcAddAtten() is based on multiple knife-edge attenuation model described
in ITU-R (2007) with time-complexity of O(g
2
) for each LOS ray r. It follows that the
time-complexity of the entire algorithm is given by O((Cv
+4v)
4/3
log(Cv
+4v) + g
2
r).
In order to implement the aforementioned algorithm in VANET simulators, apart from
the information available in the current VANET simulators, very few additional pieces of
information are necessary. Specically, the required information pertains to the physical
dimensions of the vehicles. Apart from this, the model only requires the information on the
position of the vehicles at each simulation time step. This information is available in any
vehicular mobility model currently in use in VANET simulators.
5.5 Results
We implemented the model described in previous sections in Matlab. In this section we
present the results based on testing the model using the A3 and A28 datasets. We also
present the results of the empirical measurements that we performed in order to characterize
the impact of the obstructing vehicles on the received signal strength. We emphasize that
the model developed in the paper is not dependent on these datasets, but can be used
in any environment by applying the analysis presented in Section 5.2. Furthermore, the
observations pertaining to the inter-vehicle and speed distributions on A3 and A28 are used
only to characterize the behavior of the highway environment over time. We do not use these
distributions in our model; rather, we use actual positions of the vehicles. Since the model
developed in Section 5.2 is intended to be utilized by VANET simulators, the positions of the
vehicles can easily be obtained through the employed vehicular mobility model.
We rst give evidence that vehicles as obstacles have a signicant impact on LOS
communication in both sparse (A3) and more dense (A28) networks. Next, we analyze the
microscopic probability of LOS to determine the variation of the LOS conditions over time for
a given vehicle. Then, we used the speed and heading information to characterize both the
microscopic and macroscopic behavior of the probability of LOS on highways over time in
order to determine how often the proposed model needs to be recalculated in the simulators,
and to infer the stationarity of the system-wide probability of LOS. Using the employed
multiple knife-edge model, we present the results pertaining to the decrease of the received
power and packet loss for DSRC due to vehicles. Finally, we corroborate our ndings on the
impact of the obstructing vehicles and discuss the appropriateness of the knife-edge model
by performing empirical measurements of the received signal strength in LOS and non-LOS
conditions.
5.5.1 Probability of line of sight
Macroscopic probability of line of sight. Table 5 presents the values of P(LOS) with respect to the
observed range on highways. The highway results show that even for the sparsely populated
A3 highway the impact of vehicles on P(LOS) is signicant. This can be explained by the
exponential inter-vehicle spacing, which makes it more probable that the vehicles are located
close to each other, thus increasing the probability of having an obstructed link between two
vehicles. For both highways, it is clear that the impact of other vehicles as obstacles can not
be neglected even for vehicles that are relatively close to each other (for the observed range of
100 m, P(LOS) is under 85% for both highways, which means that there is a non-negligible
15% probability that the vehicles will not have LOS while communicating). To conrm these
results, Fig. 7 shows the average number of neighbors with obstructed and unobstructed LOS
for the A28 highway. The increase of obstructed vehicles in both absolute and relative sense
is evident.
100 300 500 750
0
10
20
30
40
50
Transmission range (meters)
A
v
e
r
a
g
e

N
u
m
b
e
r

o
f

N
e
i
g
h
b
o
r
s
LOS Not Obstructed
LOS Obstructed
Fig. 7. Average number of neighbors with unobstructed and obstructed LOS on A28 highway.
Microscopic probability of line of sight. In order to analyze the variation of the probability of LOS
for a vehicle and its neighbors over time, we observe the P(LOS)
i
(as dened in equation
(7)) on A28 highway for the maximum communication range of 750 m. Table 6 shows the
P(LOS)
i
. The variation of probability of LOS is moderate for periods of seconds (even for the
largest offset of 2 seconds, only 15% of the nodes have the P(LOS)
i
greater than 20%). This
result suggests that the LOS conditions between a vehicle and its neighbors will remain largely
unchanged for a period of seconds. Therefore, a simulation time-step of the order of seconds
can be used for calculations of the impact of vehicles as obstacles. Froma simulation execution
standpoint, the time-step of the order of seconds is quite a long time when compared with
the rate of message transmission, measured in milliseconds; this enables a more efcient and
scalable design and modeling of vehicles as obstacles on a microscopic, per-vehicle level. With
the proper implementation of the LOS intersection model discussed in Sections 5.2 and 5.4
, the modeling of vehicles as obstacles should not induce a large overhead in the simulation
execution time.
P(LOS)
i
in %
Time offset < 5% 5-10% 10-20% >20%
1ms 100% 0% 0% 0%
10ms 99% 1% 0% 0%
100ms 82% 15% 3% 0%
1s 35% 33% 22% 10%
2s 31% 25% 29% 15%
Table 6. Variation of P(LOS)
i
over time for the observed range of 750 m on A28.
110 100 90 80 70 60 50 40
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
Received Power Level (dBm)
C
u
m
u
l
a
t
i
v
e

D
i
s
t
r
i
b
u
t
i
o
n

F
u
n
c
t
i
o
n
Rx sensitivity level
Vehicles as obstacles
Free Space
Fig. 8. The impact of vehicles as obstacles on the received signal power on highway A28.
Data Rate (Mb/s) Modulation Minimum sensitivity (dBm)
3 BPSK 85
4.5 BPSK 84
6 QPSK 82
9 QPSK 80
12 QAM-16 77
18 QAM-16 70
24 QAM-64 69
27 QAM-64 67
Table 7. Requirements for DSRC Receiver Performance
5.5.2 Received power
Based on the methodology developed in Section 5.2, we utilize the multiple knife-edge model
to calculate the additional attenuation due to vehicles. We use the obtained attenuation to
calculate the received signal power for the DSRC. We employed the knife-edge model for its
simplicity and the fact that it is well studied and often used in the literature. However, we
point out that the LOS analysis and the methodology developed in Section 5.2 can be used in
conjunction with any channel model that relies on the distinction between the LOS and NLOS
communication (e.g., Zang et al. (2005) or Wang et al. (2004)).
For the A28 highway and the observed range of 750 m, with the transmit power set to 18 dBm,
3 dBi antenna gain for both transmitters and receivers, at the 5.9 GHz frequency band, the
results for the free space path loss model Goldsmith (2006) (i.e., not including vehicles as
obstacles) and our model that accounts for vehicles as obstacles are shown in Fig. 8. The
average additional attenuation due to vehicles was 9.2 dB for the observed highway.
Using the minimum sensitivity thresholds as dened in the DSRC standard (see Table 7)
Standard Specication for Telecommunications and Information Exchange Between Roadside and
Vehicle Systems - 5GHz Band Dedicated Short Range Communications (DSRC) Medium Access
Control (MAC) and Physical Layer (PHY) Specications (Sep. 2003), we calculate the packet
success rate (PSR, dened as the ratio of received messages to sent messages) as follows. We
analyze all of the communicating pairs within an observed range, and calculate the received
signal power for each message. Based on the sensitivity thresholds presented in Table 7, we
determine whether a message is successfully received. For the A28 highway, Fig. 9 shows the
PSR difference between the free space path loss and the implemented model with vehicles as
100 250 375 500 625 750
0.4
0.5
0.6
0.7
0.8
0.9
1
Transmission Range (m)
P
a
c
k
e
t

s
u
c
e
s
s

r
a
t
e
3Mb/s obstacles
6Mb/s obstacles
12Mb/s obstacles
3Mb/s free space
6Mb/s free space
12Mb/s free space
Fig. 9. The impact of vehicles as obstacles on packet success rate for various DSRC data rates on A28
highway.
obstacles for rates of 3, 6, and 12 Mb/s. The results show that the difference is signicant, as
the percentage of lost packets can be up to 25% higher when vehicles are accounted for.
These results show that not only do the vehicles signicantly decrease the received signal
power, but the resulting received power is highly variable even for relatively short distances
between the communicating vehicles, thus calling for a microscopic, per-vehicle analysis of
the impact of obstructing vehicles. Models that try to average the additional attenuation due
to vehicles could fail to describe the complexity of the environment, thus yielding unrealistic
results. Furthermore, the results show that the distance itself can not be solely used for
determining the received power, since even the vehicles close by can have a number of other
vehicles obstructing the communication path and therefore the received signal power becomes
worse than for vehicles further apart that do not have obstructing vehicles between them.
5.6 Discussion
In this section, we describe the impact that the obtained results have on various aspects of
V2V communication modeling, ranging from physical to application layer to the realism of
VANET simulators.
5.6.1 Impact on signal propagation modeling
The results presented in this paper clearly indicate that vehicles as obstacles have a signicant
impact on signal propagation; therefore, in order to properly model V2V communication, it is
imperative that vehicles as obstacles are accounted for. Furthermore, the effect of vehicles
as obstacles cannot be neglected even in the case of relatively sparse vehicular networks,
as one of the two analyzed highway datasets showed (namely, the dataset collected on the
A3 highway). Therefore, previous efforts pertaining to signal propagation modeling in V2V
communication which do not account for vehicles as obstacles, can be deemed as optimistic
in overestimating the received signal power level.
5.6.2 Impact on data link layer
Neglecting vehicles as obstacles on the physical layer has profound effects on the performance
of upper layers of the communication stack. The effects on the data link layer are twofold: a)
the medium contention is overestimated in models that do not include vehicles as obstacles in
the calculation, thus potentially representing a more pessimistic situation than the real-world
with regards to contention and collision; and b) the network reachability is bound to be
overestimated, due to the fact that the signal is considered to reach more neighbors and at a
higher power than in the real world. These results have important implications for vehicular
Medium Access Control (MAC) protocol design; MAC protocols will have to cope with an
increased number of hidden vehicles due to other vehicles obstructing them.
5.6.3 Impact on the design of routing protocols
If vehicles as obstacles are not accounted for, the impact on routing protocols is represented
by an overly optimistic hop count; in the process of routing, next hop neighbors are selected
that are actually not within the reach of the current transmitter, thus inducing an unrealistic
behavior of the routing protocol, as the message is considered to reach the destination with a
smaller number of hops than it is actually required.
As an especially important class of routing protocols, safety messaging protocols, are often
modeled and evaluated using distance information only. As our results have shown, not
accounting for vehicles as obstacles in such calculations results in the overestimation of the
number of reachable neighbors, which yields unrealistic results with regards to network
reachability and message penetration rate. Therefore, it is extremely important to account
for vehicles as obstacles in V2V, especially since safety applications running over such
protocols require that practically all vehicles receive the message, thus posing very stringent
requirements on the routing protocols.
For these reasons, it is more benecial to design routing protocols that rely primarily on the
received signal strength instead of the geographical location of vehicles, since this would
ensure that the designated recipient is actually able to receive the message. However, even
with smart protocols that are able to properly evaluate the channel characteristics between
the vehicles, in case of lower market penetration rates of the communicating equipment,
the vehicles that are not equipped could signicantly hinder the communication between
the equipped vehicles; this is another aspect of routing protocol design that is signicantly
affected by the impact of vehicles as obstacles in V2V communication.
Similarly, the results suggest that, where available, vehicle-to-infrastructure (V2I)
communication (where vehicles are communicating with road side equipment) should be
favored instead of V2V communication; since the road side equipment is supposed to be
placed in lamp posts, trafc lights, or on the gantries above the highways such as the one in
the Fig. 6a), all of which are located 3-6 meters above ground level, other vehicles as obstacles
would impact the LOS much less than in the case of V2V communication. Therefore, similarly
to differentiating vehicles with regards to their dimensions, routing protocols would benet
from being able to differentiate between the road side equipment and vehicles.
5.6.4 Impact on VANET simulations
VANET simulation environments have largely neglected the modeling of vehicles as obstacles
in V2V communication. Results presented in this paper showed that the vehicles have a
signicant impact on the LOS, and in order to realistically model the V2V communication
in simulation environments, vehicles as obstacles have to be accounted for. This implies that
the models that relied on the simulation results that did not account for vehicles as obstacles
have been at best producing an optimistic upper bound of the results that can be expected in
the real world.
In order to improve the realism of the simulators and to enable the implementation
of a scalable and realistic framework for describing the vehicles as obstacles in V2V
communication, we proposed a simple yet realistic model for determining the probability of
LOS on both macroscopic and microscopic level. Using the results that proved the stationarity
of the probability of LOS, we showed that the average probability of LOS does not change
over time if the vehicle arrival rate remains constant. Furthermore, over a period of seconds,
the LOS conditions remain mostly constant even for the microscopic, per-vehicle case. This
implies that the modeling of the impact of vehicles as obstacles can be performed at the rate
of seconds, which is two to three orders of magnitude less frequent than the rate of message
exchange (most often, messages are exchanged on a millisecond basis). Therefore, with the
proper implementation of the proposed model, the calculation of the impact of vehicles on
LOS should not induce a large overhead in the simulation execution time.
6. Conclusions
We discussed the state-of-the-art in VANET modeling and simulation, and described the
building blocks of VANET simulation environments, namely the mobility, networking
and signal propagation models. We described the most important models for each of
these categories, and we emphasized that several areas are not optimally represented
in state-of-the-art VANET simulators. Namely, the vehicle interaction and trafc rule
enforcement models in most current simulators leave a lot to be desired, and the lack of WAVE
and DSRCprotocol implementation in the simulators is also a fact for most simulators. Finally,
we pointed out that the models for moving obstacles are lacking in modern simulators, and
we described our proposed model for vehicles as physical obstacles in VANETs as follows.
First, using the experimental data collected in a measurement campaign, and by utilizing
the real world data collected by means of stereoscopic aerial photography, we showed that
vehicles as obstacles have a signicant impact on signal propagation in V2V communication;
in order to realistically model the communication, it is imperative that vehicles as obstacles
are accounted for. The obtained results point out that vehicles are an important factor in both
highway and urban, as well as in sparse and dense networks. Next, we characterized the
vehicles as three-dimensional objects that can obstruct the LOS between the communicating
pair. Then, we modeled the vehicles as physical obstacles that attenuate the signal, which
allowed us to determine their impact on the received signal power, and consequently on the
packet error rate. The presented model is computationally efcient and, as the results showed,
can be updated at a rate much lower than the message exchange rate in VANETs. Therefore,
it can easily be implemented in any VANET simulation environment to increase the realism.
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4
Security Issues in Vehicular Ad Hoc Networks
P. Caballero-Gil
University of La Laguna
Spain
1. Introduction
Communications are becoming more wireless and mobile than ever. Thus, in the near
future, we can expect that vehicles will be equipped with wireless devices, which will enable
the formation of Vehicular Ad Hoc NETworks (VANETs). The main goal of these wireless
networks will consist in providing safety and comfort to passengers, but their structure will
be also taken advantage with many different aims, such as commercial, access to Internet,
notification, etc.
From a general point of view, the basic idea of a VANET is straightforward as it can be seen
as a particular form of Mobile Ad hoc NETwork (MANET). Consequently, in a first
approach we could think on considering well-known and widely adopted solutions for
MANETs and install them on VANETs. However, as explained in this chapter, that proposal
would not work properly.
A VANET is a wireless network that does not rely on any central administration for
providing communication among the so-called On Board Units (OBUs) in nearby vehicles,
and between OBUs and nearby fixed infrastructure usually named Road Side Unit (RSU). In
this way, VANETs combine Vehicle TO Vehicle (V2V) also known as Inter-Vehicle
Communication (IVC) with Vehicle TO Infrastructure (V2I) and Infrastructure TO Vehicle
(I2V) communications (see Figure 1).

Fig. 1. V2V, V2I & I2V Communications
On the one hand, OBUs in vehicles will broadcast periodic messages with the information
about their position, time, direction, speed, etc., and also warnings in case of emergency. On
the other hand, RSUs on the roads will broadcast traffic related messages.
Additional communications can be also useful depending on the specific application.
Among all these messages, routine traffic-related will be one hop broadcast, while
emergency warnings will be transmitted through a multi hop path where the receiver of

68
each warning will continue broadcasting it to other vehicles. In this way, drivers are
expected to get a better awareness of their driving environment so that in case of an
abnormal situation they will be able to take early action in order to avoid any possible
damage or to follow a better route.
VANETs are expected to support a wide variety of applications, ranging from safety-related
to notification and other value-added services. However, before putting such applications
into practice, different security issues such as authenticity and integrity must be solved
because any malicious behaviour of users, such as modification and replay attacks with
respect to disseminated traffic-related messages, could be fatal to other users.
Moreover, privacy-regarding user information such as drivers name, license plate, model,
and travelling route must also be protected. On the other hand, in the case of a dispute such
as an accident scene investigation, the authorities should be able to trace the identities of the
senders to discover the reason of the accident or look for witnesses. Therefore, specific
security mechanisms for VANETs must be developed (Hubaux et al., 2004).
Great attention both from industry and academia has been received to this promising
network scenario, and standards for wireless communications in VANETs are nowadays
under preparation. In particular, IEEE 802.11p is a draft standard for Wireless Access in
Vehicular Environment (WAVE), and IEEE 1609 is a higher layer standard on which IEEE
802.11p is based. At a superior level, Communications, Air-interface, Long and Medium
(CALM) range is an initiative to define a set of wireless communication protocols and air
interfaces for the so-called Intelligent Transportation System (ITS).

Fig. 2. Convergence of technologies
It is foreseeable that VANETs will combine a variety of wireless methods of transmission
used by CALM and based on different types of communication media such as WAVE,

WiMAX
Satellite
RFID
Bluetooth
DSRC
cellular telephone
infrared
WAVE

69
infrared, cellular telephone, 5.9 GHz Dedicated Short-Range Communication (DSRC),
WiMAX, Satellite, Bluetooth, RFID, etc. The current state of all these standards is trial use
(see Figure 2).
In this way, the field of vehicular applications and technologies will be based on an
interdisciplinary effort from the sectors of communication and networking, automotive
electronics, road operation and management, and information and service provisioning.
Without cooperation among the different participants, practical and wide deployment of
VANETs will be difficult, if not impossible.
In the future it could be expected that each vehicle will have as part of its equipment: a black
box (EDR, Event Data Recorder), a registered identity (ELP, Electronic License Plate), a
receiver of a Global Navigation Satellite System like GPS (Global Positioning System) or
Galileo, sensors to detect obstacles at a distance lesser than 200 ms, and some special device
that provides it with connectivity to an ad hoc network formed by the vehicles, allowing the
node to receive and send messages through the network (see Figure 3). One of the most
interesting components of this future vehicle is the ELP, which would securely broadcast the
identity of the vehicle.

Fig. 3. Components of a future vehicle
Two hypotheses that are necessary to guarantee the protection of a VANET are that security
devices are reliable and tamper-proof, and that the information received through sensors is
also trustworthy. It is generally assumed by most authors that messages sent through the
VANET may be digitally signed by the sender with a public-key certificate.
This certificate is assumed to be emitted by a Certification Authority (CA) that is admitted
as reliable by the whole network. The moments corresponding to the vehicle purchase and
to the periodic technical inspections are proposed to be respectively associated to the
emission and renovation of its public-key certificate. In general, symmetric authentication is
acknowledged by most authors as not a valid option due to important factors in VANETs
such as time and scalability (Raya & Hubaux, 2005).
Different security challenges of vehicular networks are here addressed, paying special
attention to the application of several known security primitives such as symmetric and
asymmetric cryptography, strong authentication, data aggregation and cooperation
enforcement.

Forward
Radar
Human-Machine
Interface
EDR
Computer
Platform
Connectivity
Facility
ELP
GPS or Galileo
Rear
Radar

70
In particular, the chapter is organized as follows. A brief summary of the main
characteristics of VANETs is included in Section 2. Section 3 classifies their most important
applications while Section 4 describes several security threats and challenges in VANETs.
The following section introduces definitions of basic cryptographic requirements and drafts
of several solutions that other researchers have proposed to provide these networks with
security. Section 6 briefly describes some security schemes here proposed to protect VANET
authenticity, privacy and integrity. Finally, Section 7 concludes the chapter by highlighting
conclusions and open problems.
2. Characteristics
There are several general security requirements, such as authenticity, scalability, privacy,
anonymity, cooperation, stability and low delay of communications, which must be
considered in any wireless network, and which in VANETs are even more challenging
because of their specific characteristics such as high mobility, no fixed infrastructure and
frequently changing topology that range from rural road scenarios with little traffic to cities
or highways with a huge number of communications.
Consequently, VANET security may be considered one of the most difficult and technically
challenging research topics that need to be taken into account before the design and wide
deployment of VANETs (Caballero-Gil, Hernndez-Goya & Fster-Sabater, 2009).
Among the main key technical challenges the following issues can be remarked:
The lack of a centralized infrastructure in charge of synchronization and coordination of
transmissions makes that one of the hardest tasks in the resulting decentralized and
self-organizing VANETs is the management of the wireless channel to reach an efficient
use of its bandwidth.
High node mobility, solution scalability requirements and wide variety of
environmental conditions are three of the most important challenges of these
decentralized self-organizing networks. A particular problem that has to be faced comes
from the high speeds of vehicles in some scenarios such as highways. These
characteristics collude with most iterative algorithms intended to optimize the use of
the channel bandwidth or of predefined routes.
Security and privacy requirements in VANETs have to be balanced. On the one hand,
receivers want to make sure that they can trust the source of information but on the
other hand, this might disagree with privacy requirements of the sender.
The radio channel in VANET scenarios present critical features for developing wireless
communications, which degrade strength and quality of signals.
The need for standardization of VANET communications should allow flexibility as
these networks have to operate with many different brands of equipment and vehicle
manufacturers.
Real-time communication is a necessary condition because no delay can exist in the
transmission of safety-related information. This implies that VANET communication
requires fast processing and exchange of information.
The existence of a central registry of vehicles, possible periodic contact with it, and
qualified mechanisms for the exigency of fulfilment of the law are three usual
assumptions that are necessary for some proposed solutions.
Communication for information exchange is based on node-to-node connections. This
distributed nature of the network implies that nodes have to relay on other nodes to

71
make decisions, for instance about route choice, and also that any node in a VANET can
act either as a host requesting information or a router distributing data, depending on
the circumstances.
Another interesting characteristic is the dependency of confidentiality requirements on
specific applications. On the one hand, secret is not needed when the transmitted
information is related to road safety, but on the other hand, it is an important requirement in
some commercial applications (Caballero-Gil et al., 2010).
As aforementioned, VANETs can be seen as a specific type of MANET. However, the usual
assumption of these latter networks about that nodes have strict restrictions on their power,
processing and storage capacities does not appear in VANETs. Another difference with
respect to pure MANETs is that in vehicular networks, we can consider that access to a fixed
infrastructure along the roadside is possible when RSU is available either directly or
through routing.
When developing a simulation of a VANET (see Figure 4), some special features have to be
considered:
Each vehicle generally moves according to a road network pattern and not at random
like in MANETs.
The movement patterns of vehicles are normally occasional, that is to say, they stop,
move, park, etc.
Vehicles must respect speed limitations and traffic signals.
The behaviour of each vehicle depends on the behaviour of its neighbour vehicles as
well as on the road type.
VANETs can provide communication over 5-10 Km.
Two nodes cannot exist in the same location at the same time.
Nodes usually travel at an average speed lower than 120 Km/h.

Fig. 4. Example of simulation
Despite the aforementioned differences between MANETs and VANETs, some security
tools designed for their use in MANETs have been evaluated for their possible application
in VANETs (Fler et al., 2007).
Such as it happens in MANETs, in VANETs the nodes are in charge of package routing. Up
to now, several routing protocols originally defined for MANETs have been adapted to
VANETs following different approaches.
Reactive protocols designed for MANETs such as Ad hoc On-demand Distance Vector
(AODV) and Dynamic Source Routing (DSR) have been modified to be used in VANETs.
Nevertheless, simulation results do not indicate a good performance due to the highly
unstable routes. Consequently, we can conclude that those adaptations might be
successfully used only in small VANETs.

72
In other routing protocols based on geographic location of nodes, the decisions related to
package routing are taken based on street guides, traffic models and data collected with
global positioning systems available in the vehicles.
According to simulations, this type of protocols based on geographic information seems to
be the most promising for its use in different types of sceneries such as cities and highways.
In particular, in VANETs it might be useful to send messages only to nodes in a precise
geographic zone. Specific routing protocols with this characteristic have been designed, and
mentioned in the bibliography as geocast routing. This way to proceed allows disseminating
information only to interested nodes (for instance, in case of an accident, only to proximal
vehicles, and in case of an advertisement, only to nodes that are in the zone of the advertised
service). In (Li & Wang, 2007) a comparative study among different routing schemes is
presented.
Also like in MANETs, routing in VANETs basically follows two ways of action:
Proactive: All vehicles periodically broadcast messages on their present states (beacons)
containing their ELP, position, timestamp, speed, etc., and resend such messages if it is
necessary.
Reactive: Each vehicle sends messages only after it detects an incident, generates a
request, or must resend a received message.
We have an example of how to take advantage of the proactive mode when a parked vehicle
is witness of an accident thanks to its sensors, and stores the corresponding data in its EDR,
so that they could be later used to determine liabilities.
In the proactive mode, the frequent beacons are very costly. Furthermore, they imply the
possibility of their use to track vehicles. This fact leads to the necessity of a solution that
might consist in encrypted beacons. The high frequency of those beacons combined with the
higher computational cost of asymmetric cryptography suggests the application of a hybrid
solution combining it with symmetrical cryptography. This hybrid solution also seems the
best option, independently of the routing protocol, for some specific applications.
3. Applications
After full deployment of VANETs, when vehicles can directly communicate with other
vehicles and with the road side infrastructure, several safety and non-safety applications
will be developed. Although less important, non-safety applications can greatly enhance
road and vehicle efficiency and comfort.
3.1 Safety-Related
A possible application of VANETs for road safety, besides the warning dissemination of
accidents or traffic jumps that constitute their main application, is the warning
dissemination of danger before any accident or traffic jump has taken place. This would be
the case for example of a high speed excess or a violation of a traffic signal (such as a traffic
light or a stop sign). In these cases, when some vehicle detects a violation through its
sensors, it must activate the automatic dissemination of warning messages communicating
the fact to all neighbour vehicles in order to warn them about the danger.
An additional difficulty of this application is due to the fact that the dangerous vehicle is in
motion. This implies that it is not clear what any vehicle that receives the message can do to
avoid the danger without being able to identify the actual location of the guilty vehicle.

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Another related application of VANETs in road safety is the warning dissemination of
emergency vehicle approach.
The situations of vehicles that have suffered an accident or have met a traffic jump can be
dealt in the same way as any other detection of anything that might be classified as an
obstacle, such as extremely slow vehicles, results of possible natural phenomena on the
road, stones, bad conditions of the pavement due to works on the road, or bad
meteorological conditions like low visibility. In all these cases we have that the
corresponding information is important for road safety, and that the incident can be
characterized by a certain location and moment.
Consequently, in these cases of applications for driver assistance, the aforementioned
hypothesis referring to the existence of a Global Navigation Satellite System in vehicles is
fundamental because it allows locating both the own location and that of the detected
incident (see Figure 5).

Fig. 5. Accident warning
Given the importance of the warnings of incidents for road safety, in these cases it would be
advisable the use of an evaluation system of messages previous to their massive
dissemination. For example, we could stipulate that in the scenery of the incident at least a
minimum number of vehicles higher than a pre-established threshold activates or signs the
same warning. This can be implemented for example by means of a voting scheme among
the vehicles in the area nearby the incident.
In addition, note that with this proposal, possible Denegation of Service (DoS) attacks and
sending of false warnings are prevented. In this sense, note that, although privacy is an
important aspect in VANETs, its protection cannot stop the use of information by the
authorities in order to establish responsibility in case of accident (Caballero-Gil et al., 2010).
On the other hand, it is foreseeable that the reception of a warning of abnormal and/or
potentially dangerous incident will have influence in the behaviour of the other drivers. For
that reason, in these schemes it is necessary to consider possible attacks based on trying to
inject or to modify messages in order to obtain an effect like for example a road free of
vehicles.
In order to inform cars in their vicinity to warn their drivers earlier of potential hazards, so
that they have more time to react and avoid accidents, vehicles exhibiting abnormal driving

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patterns, such as a dramatic change of direction, send messages including information
derived from many sources like sensors, devices ABS, ESP, etc., use of airbags, speed,
acceleration or deceleration of vehicle, as well as information originating from other sources
like radars or video monitors, and SOS telephones or traffic lights used as repeaters to
extend the dissemination rank of warnings.
From the combination of all these data, neighbouring vehicles can directly identify in many
cases the type of incident by means of the interpretation of this information. A similar
approach can be applied at intersections where cars communicate their current position and
speed, making it possible to predict possible collisions between cars.
There is another important case that does not correspond exactly to a warning of an incident
with a determined location and moment, but has also important implications in road safety.
That is the case of a warning of the presence of an emergency vehicle like police, ambulance,
fire-fighters, etc. In this case, the warning should include location, moment and foreseeable
destiny or route of the emergency vehicle, and the objective is that the other vehicles can
receive this information with enough time to clear the path of emergency vehicles in real-
time, hence saving crucial time.
3.2 Non-safety-related
There is a whole variety of non-safety applications included in Value-Added Services
(VASs), which can be provided through a VANET. Passengers in vehicles who spend a very
long period in transit might be interested in certain application domain for vehicular
networks consisting in the provision of many different types of information. Such
information could be data about the surrounding area such as nearby businesses, services,
facilities or road conditions, different entertainment-oriented services like Internet access
(see Figure 6) or sharing multimedia contents with neighbours (Franz et al., 2005), and
advertisement services (Lee et al., 2007). This diversity of possible applications comes from
the fact that vehicular networks can be considered a form of pervasive network, that is to
say, they operate anywhere and at any time.

Fig. 6. Internet access
Internet

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Vehicular networks could be also used for traffic monitoring. In particular, traffic authorities
might be interested in obtaining information about road users so that for example they
could get traffic flows to deduce current congestion levels and detect potential traffic jams.
In general, dissemination of that type of information among nodes can be used to manage
traffic, not only in the aforementioned cases when an incident occurs, but also in normal
conditions, when it can be used for the optimization of traffic flow.
Therefore, on the one hand, VANETs could be used for traffic management by extending
drivers horizons and supporting driving manoeuvres so that they provide drivers with
information they might have missed or might not yet be able to see, in order to help them in
decision making. A special traffic management application is a lane positioning system that
uses inter-vehicle communication to improve GPS accuracy and provide lane-level
positioning. Such detailed positioning allows the provision of services such as lane
departure warning, as well as lane-level navigation systems.
On the other hand, if junctions are equipped with a controller that can either listen to
communication between vehicles or receive messages from arriving vehicles, then the
controller would be able to build an accurate view of the traffic at the junction through the
aggregation of the received data corresponding to traffic conditions in the area, and could
therefore adapt its behaviour to optimize the throughput. Traffic management applications
could be also used to allow emergency vehicles to change traffic lights at signalized
intersection in order to synchronize adequately to the objective of clearing the path.
An approach similar to the general case of traffic monitoring could be extended by the use
of audio and video devices, which could be used for terrorist activities monitoring.
Closely related to traffic monitoring and a current particularly useful application of
VANETs is traffic management. For instance, V2I solutions for road tolling are already
deployed in certain places in the world to allow paying for road usage on congested roads,
with prices depending on congestion levels. In the future, vehicular networks could enable
that drivers are charged for their specific usage of the road network (Cottingham et al.,
2007).
The idea of autonomous vehicles that are able to operate in urban areas while obeying traffic
regulations is part of a collection of revolutionary applications called coordinated driving
applications. This special type of safety-related applications improves performance and
safety of participant vehicles through their collaboration with each other. Proposed
coordinated driving applications focus mainly on three scenarios: adaptive cruise control,
platooning and intersection management.
The simplest coordination application is adaptive cruise control, which performs control
manoeuvres in order to maintain a safe distance for each vehicle to the vehicle in front by
using forward sensors, wireless communication and cooperation among vehicles.
In a platoon, V2V communication is used to coordinate platoon members through a leader
or a teamwork model in which autonomous vehicles follow a decentralized management
scheme. The main benefits of platoon applications are: increase of road capacity and
efficiency, reduction in congestion, energy consumption and pollution, and enhancement of
safety and comfort. Demonstrations of cars travelling in platoons have already proven the
feasibility of such a radical approach in certain protected settings. In particular, (Hedrick et
al., 1994) and (Gehring & Fritz, 1997) have demonstrated the technique of coupling two or
more vehicles together electronically to form a train.
Finally, the third mentioned coordinated driving application is intersection management for
collaborative collision avoidance of autonomous vehicles while reducing delay in

76
comparison to traffic lights or stop signs. This interesting application allows improving road
safety through cooperative driving in dangerous road points where certain circumstances
exist according to which several vehicles compete for a common critical point that all have
to go over so that the VANET can offer support for certain driving manoeuvres. That is the
case for example of the access to a highway or a road intersection without visibility or traffic
lights, where it is convenient that vehicles act co-ordinately through group communications
in order to avoid accidents.
Each application implies several important differences in the security schemes that are used.
In order to use VANETs as practical support for advertisement dissemination, a system of
incentives must be defined both for the advertiser and for the nodes of the VANET, so that
both gain when disseminating the advertisements through the network (Caballero-Gil et al.,
2009). In this sense, the VANET can offer several advantages because the driver would be
aimed to listen to advertisements, and even to help in their dissemination, if it obtains
something in return, for example, some valuable good as gasoline. Obviously, in these cases
it is necessary to define measures to prevent possible frauds of those who try to gain
without receiving/redistributing the advertisements.
A similar incentive-based approach might be used for other Value-Added Services, like for
example, the supply and demand of useful information like alternative routes, near parking
zones, gas stations, hotels, restaurants, access points to Internet, etc. In all these cases it is
fundamental that the information is encrypted in order to prevent access to non-authorized
users who have not paid for the service. These other VAS applications have some
similarities and differences with respect to the described advertising support service.
Both in the case when the information is a warning of incident or emergency vehicle, and in
the case of dissemination of publicity or other VAS, it is remarkable that the messages have
a definite origin (crashed/in traffic jump/emergency/VAS applicant vehicle, or advertiser
business) but do not have a unique and definite destiny, what has clear implications in
security issues. In fact, in all those cases the objective is to disseminate the message to the
largest number of nodes but with different optimization criteria. In order to achieve such a
goal the origin broadcasts the message to all the vehicles within its neighbourhood.
There are several authors (Dousse et al., 2002); (Wischof et al., 2005) who have proposed
different algorithms to optimize the propagation of information through a VANET
depending on the road type, traffic density, vehicles speed, etc. For example, in highways,
the authors of (Little & Agarwal, 2005) consider the possible formation of vehicle blocks,
with more or less frequent gaps between blocks. Since these gaps could cause a temporal
fragmentation of the network, in order to solve the problem, the authors propose the use of
vehicles against the sense of the march for spreading communications.
4. Threats
VANETs represent a challenge in the field of communication security, as well as a
revolution for vehicular safety and comfort in road transport. In some of the aforementioned
applications, messages can influence on driver behaviour, and consequently on road safety.
In other cases like certain VASs, they can have economic consequences. In any of these
cases, VANET deployment must consider the possible existence of adversaries or attackers
who try to exploit the different situations, for example by injecting false, modified or
repeated messages or by impersonating vehicles. Therefore, the security of communications
in VANETs is an essential factor to preventing all these threats.

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Even though some physical security measures can help to defend certain vehicular
components against manipulations, tamper-protection instruments rarely can help to
identify attacks or threats. Hence, even perfect tamper-proof components like ELPs could be
stolen and installed into another vehicle to carry out impersonation attacks. Consequently, it
is necessary to develop security algorithms that help to guarantee the correct and secure
operation of VANETs.
An attacker can be seen as an entity who wants to spread false information, interrupt
communications, impersonate legitimate nodes, compromise their privacy, or take
advantage of the network without cooperating in its normal operation.
Attacks can be categorized on the basis of the attackers, into internal or external. Also they
can be classified according to their behaviour, into passive or active attackers.
External attackers are mainly nodes outside the network who want to get illegitimate access
mostly to inject erroneous information and cause the network to stop functioning properly.
Internal attackers are legitimate nodes that have been compromised, so that they launch
attacks from inside the network mostly to feed other nodes with incorrect information. In
general, internal attacks are more severe then external attacks.
On the other hand, most passive attackers are illegitimate eavesdroppers, or selfish nodes
that do not cooperate with the purpose of energy saving. In contrast to active attacks, in
general passive attackers do not try to actively interfere with communications. In active
attacks, misbehaving nodes spend some energy to perform a harmful action.
Most usual active attacks are malicious attempts to introduce invalid data into the network
or to produce communication failures. Both types of attackers can have a direct influence on
the correct functioning of the network. On the one hand, active malicious nodes can directly
cause network traffic to be dropped, redirected to a different destination or to take a longer
route to the destination by increasing communication delays. On the other hand, selfish
nodes can severely degrade it by simply not participating in the network operations.
Malicious nodes can execute two of the most harmful actions in VANETs: DoS and integrity
attacks.
DoS attacks, and especially jamming, are relatively simple to launch yet their effects can be
devastating, bringing down the whole VANET. Jammers deliberately generate interfering
transmissions to prevent communication in the VANET. Since the network coverage area,
e.g., along a highway, is well-defined, jamming is a low-effort exploit opportunity because
such an attacker can easily, without compromising cryptographic mechanisms and with
limited transmission power, partition the vehicular network.
With respect to integrity attacks, especially interesting are spoofing where malicious nodes
impersonate legitimate nodes, and transmission of false information to contaminate the
communication network.
Consider, for example, an attacker that masquerades an emergency vehicle to mislead other
vehicles, or impersonates RSU to spoof false service advertisements or safety hazard
warnings. In conclusion, fundamental security functions in vehicular networks should
always include correct authentication of the origin of data packets and of their integrity
(Caballero-Gil et al., 2009); (Caballero-Gil & Hernndez-Goya, 2009). To achieve this, most
authors assume that vehicles will in general sign each message with their private key and
attach the corresponding certificate. Thus, when another vehicle receives this message, it
verifies the key used to sign the message and the message.

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Selfish behaviour of any node acting as a relay forwarding other nodes traffic can also
seriously impair communications in the network because it can drop messages that might be
valuable or even critical traffic notifications or safety messages.
There exists a different type of attacks whose main objective is the privacy of nodes. In this
case, the attacker either passively or actively, and internally or externally, tries to extract
data such as time, location, vehicle identifier, technical descriptions, or trip details.
Afterwards, based on those data, the attacker tries to derive private information about the
attacked node.
5. Security background
Among the main cryptographic requirements to solve security issues in VANETs are:
Availability: The network must be available at all times in order to send and receive
messages. Two possible threats to availability are for example DoS and jamming
attacks. Another availability problem might be caused by selfish nodes that do not
provide their services for the benefit of other nodes in order to save their own resources
like battery power.
Confidentiality: Secrecy must be provided to sensitive material being sent over the
VANET, like in certain commercial applications.
Integrity: Messages sent over the network should not be corrupted. Possible attacks that
would compromise their integrity are malicious attacks or signal failures producing
errors in the transmission.
Authenticity: The identity of the nodes in the network must be ensured. Otherwise, it
would be possible for an attacker to masquerade a legitimate node in order to send and
receive messages on its behalf.
Non-Repudiation: A sender node might try to deny having sent the message in order to
avoid its responsibility for its contents. Non-repudiation is particularly useful to detect
compromised nodes.
It is almost impossible to protect all the aforementioned characteristics against the wide
variety of existing threats. Furthermore, different applications have specific security
requirements to take into consideration. As a result of this diversity, many different
approaches exist that focus on different properties.
Authentication is a must in order to achieve the necessary trust in vehicular ad hoc
networks. The existence of an authentication service makes it more difficult for attackers to
join the network in the first place and thus increases the cost of misbehaviour. Hence, by
verifying the authenticity of any node before exchanging information, mobile nodes reduce
the amount of undesired data. For example, users of many VAS applications should obtain
authentication credentials by subscribing to the service.
According to the DSRC protocol, the security overhead of this type of schemes is usually
bigger than the message contents. Consequently, such an issue has to be well addressed due
to the limited wireless channel bandwidth available in VANETs. Symmetric cryptography
usually implies less communication overhead than asymmetric cryptography.
Consequently, we might think that symmetric cryptography is a good solution, but due to
the huge amount of network members in VANETs, it seems not appropriate as a generalized
solution for all communications.
For comfort/commercial-related packets, sent information should be encrypted. However,
safety-related messages have a different management due to their strict requirements on

79
delay, reliability and dissemination. In fact, urgent safety-related messages must be
automatically sent and checked through tamper-proof devices so that they are not
encrypted/decrypted them. What is really important for such type of information is that it
must be truly reliable, what implies the need of aggregation schemes for checking not only
possible unintentional transmission errors but also probable intentional fraud attempts.
There are safety related events that can be detected by a single vehicles sensors. In that case
local sensor information is aggregated and if there is a matching event, a message is sent out
(Doetzer et al., 2005).
Most researchers in security of VANETs (Parno & Perrig, 2005); (Raya & Hubaux, 2007)
propose a Public Key Infrastructure (PKI) solution, with anonymous or pseudonymous
certificates issued by a CA. This solution assumes that each vehicle is assigned a
public/private key pair that is stored in a tamper-proof device.
Every time a vehicle sends a message, it includes its signature produced with its private key
together with the public-key certificate signed by the CA. So, digital signatures are added to
each message, and messages are not always encrypted. Its main drawback is the big
computational need and bandwidth overhead of all communications. Furthermore, since
messages are not always encrypted, even outsiders can eavesdrop and possibly create
movement profiles. In this way, the receiver can verify the integrity and authenticity of each
message and signer.
In order to reduce overhead, some authors have proposed to attach certificates only if new
neighbours are discovered (Papadimitratos et al., 2008). Also to meet the overhead
requirements in terms of either processing or bandwidth, Elliptic Curve Cryptography has
been chosen for the IEEE 1609 trial standard. On the other hand, the authors in (Choi et al.,
2005) suggest a system based exclusively on symmetric cryptography. The main problem of
their proposal is that vehicles have to contact always the base station to decrypt and verify
messages.
Some other authors (Zarki et al., 2002) outline security and privacy issues in VANETs but do
not present a security infrastructure. Regarding routing protocols, authors of (Rudack et al.,
2002) focus on the impacts of vehicular traffic dynamics on them. With respect to node
authentication, (Caballero-Gil et al., 2009) proposes differentiated services according to
privacy and efficiency needs. Finally, the first to investigate the potential of ring signatures
to achieve anonymity and untraceability in mobile networks were the authors of (Freudiger
et al., 2008).
6. Security proposal
In this section group formation is proposed as a valid strategy to strengthen privacy and
provide authenticity, privacy and integrity protection, while reducing communications in
VANETs. To make it possible, group management within the network must be very fast to
minimize time lost in that task (Johansson, 2004).
In particular, we propose location-based group formation according to dynamic cells
dependent on the characteristics of the road, and especially on the average speed. In this
way, any vehicle that circulates at such a speed will belong to the same group within its
trajectory. It is also proposed here that the leader of each group be the vehicle that has
belonged to the same group for the longest time (see Figure 5).
According to our proposal, V2V between groups will imply package routing from the
receiving vehicle towards the leader of the receiving group, who is in charge of broadcasting

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it to the whole group if necessary. If the cells have a radio that is greater than the wireless
coverage of the OBU, the group communication may be carried out by proactive Optimized
Link State Routing (OLSR).

Fig. 5. Proposal structure
In the two phases corresponding to group formation and node joining, each new node has to
authenticate itself to the leader through asymmetric authentication. Later, the leader sends a
shared secret key to it, encrypted with the public key of the new node. In particular, this
secret key is shared among all the members of the group, and used both for V2V within the
group and for V2V between groups, as it is explained in the following sections.
We propose the application of different cryptographic primitives for node authentication,
while paying special attention to the efficiency of communications and to the need of
privacy. In this way, we distinguish four different ways of authentication, which are
analyzed in the following subsections.
6.1 I2V authentication
Since privacy-preserving authentication is not necessary in I2V, we propose for such a case
the use of Identity-Based Cryptography because it provides a way to avoid the difficult
public-key certificate management problem.
Identity-Based Cryptography is a type of public-key cryptography in which the public key
of a user is some unique information about the identity of the user (e.g. the ELP in
VANETs).
The first implementation of an Identity-Based scheme was developed in (Shamir, 1984),
which allowed verifying digital signatures by using only public information such as the
users' identifier. A possible choice for VANETs could be based on the modern schemes that
include Boneh/Franklin's pairing-based encryption scheme (Boneh & Franklin, 2001), which
is an application of Weil pairing over elliptic curves and finite fields.

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6.2 V2I authentication
Unlike I2V communication, in V2I communications privacy is an essential ingredient. Here
we propose a challenge-response authentication protocol based on a secret-key approach
where each valid user is assigned a random key-ring with k keys drawn without
replacement from a central key pool of n keys (Xi et al., 2007).
According to the proposed scheme, during authentication each user chooses at random a
subset with c keys from its key-ring, and uses them in a challenge-response scheme to
authenticate itself to the RSU in order to establish a session key, which is sent encrypted
under the RSU's public key.
This scheme preserves user privacy due to the feature that each symmetric key is with a
high probability (related to the birthday paradox and dependent on the specific choice of
parameters) shared by several vehicles.
When a vehicle wants to communicate with the RSU, it sends an authentication request
together with a set of c keys taken at random from its key-ring and a timestamp. All this
information is then encrypted by the established session key. Note that a set of keys, instead
of only one key, is proposed for authentication, because there is a high probability for the
OBU to have one key shared by a large amount of vehicles. This makes it difficult to identify
a possible malicious vehicle if just one key is used. However, there is a much lower
probability that a set of keys be shared by a large number of vehicles, and so it is much
easier to catch a malicious vehicle in the proposal.
After the RSU gets the authentication request from the vehicle, it creates a challenge
message by encrypting a random secret with the set of keys indicated in the request, by
using Cipher-Block Chaining (CBC) mode. Upon receiving the challenge, the vehicle
decrypts the challenge with the chosen keys and creates a response by encrypting the
random secret with the session key. Finally, the RSU verifies the response and accepts the
session key for the next communications with the vehicle.
In the first step, in order to make easier the task of checking the key subset indicated in the
request by the RSU, we propose a tree-based version where the central key pool of n keys
may be represented by a tree with c levels (Buttyn et al., 2006). Each user is associated to k/c
leaves, and each edge represents a secret key.
In this way, the key-ring of each user is formed by several paths from the root to the leaves
linked to it. During each authentication process the user chooses at random one of its paths,
which may be shared by several users. In this way, to check the keys, the RSU has to
determine which first-level key was used, then, it continues by determining which second-
level key was used but by searching only through those second-level keys below the
identified first-level key.
This process continues until all c keys are identified, what at the end implies a positive and
anonymous verification. The key point of this proposal is that it implies that the RSU
reduces considerably the search space each time a vehicle is authenticated.
6.3 V2V authentication inside groups
At the stages of group formation and group joining, each new node has to authenticate itself
to the group leader by using public-key signatures (Sampigethava et al., 2006).
After group formation or group joining, the group leader sends a secret shared key to every
new member of the group, encrypted with the public key of this new node (see Figure 6). Such
a secret group key is afterwards used for any communication within the group both for node
authentication and for secret-key encryption if necessary (e.g. for commercial applications).

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In this way, the efficiency of communications inside the group is maximized because on the
one hand certificate management is avoided, and on the other hand, secret-key
cryptography is in general more efficient than public-key. Note that the use of a shared
secret key also contributes to the protection of privacy.

Fig. 6. Group-based organization
6.4 V2V authentication between groups
In order to protect privacy, group signatures might be proposed for node authentication
between groups. A group signature scheme is a method for allowing a member of a group
to anonymously sign a message on behalf of the group so that everybody can verify such a
signature with the public key of the group. This group signature identifies the signer as a
valid member of the group and does not allow distinguishing among different group
members. This concept was first introduced in (Chaum & van Heyst, 1991).
Essential for a group signature scheme is the group leader, who is in charge of adding group
members and has the ability to reveal the original signer in the event of disputes. In this
proposal, the group leader issues a private key to each vehicle within the group, which
uniquely identifies each vehicle, and at the same time allows it to compute a group
signature and prove its validity without revealing its identity.
In this way, any vehicle from any group will be able to communicate with any vehicle
belonging to other group anonymously. In particular, a proposal for group signature might
be based on the cryptographic primitive of bilinear pairings, which was also proposed for
I2V authentication.
6.5 Privacy
In order to guarantee the privacy of mobile nodes, they must be both anonymous and
untraceable. Our proposal allows both saving communications and preserving privacy

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mainly thanks to the management of communications through groups. Group keys and
symmetric cryptography are used for one-hop communications inside groups.
In order to protect privacy of group members and to avoid the need of group managers,
ring signatures might be used in communications between groups. Since each node of a
VANET is assumed to have a public/private key pair, the knowledge of the public keys of
the other nodes in the group is sufficient to create a ring signature without any interaction,
so it can be performed by any member of any group (Rivest et al., 2001). Hence, unlike
group signatures, ring signatures have no group managers and do not require any
coordination among ring members. In this way, it would be difficult to determine which of
the group members' keys was used to produce the ring signature. Also, it would be
impossible to revoke the anonymity of an individual signature, and any group of nodes
might behave as a group without any additional setup. Furthermore, ring signatures can be
constructed with any public-key cryptographic scheme, and are usually based on combining
functions.
Both membership management and group support in the absence of any infrastructure are
complex research issues. Consequently, a model to describe group membership dynamics is
essential. In particular it is necessary to provide efficient and flexible mechanisms for group
formation within the highly dynamic scenario of the VANETs. The capability of creating
and dynamically manage the membership of groups in such a mobile scenario is, at the
same time, a critical issue and a challenging research area.
The problem of group key establishment can be dealt in different ways. A first solution that
might be considered is key transport, which consists in allowing a group leader to create a
group key and multicast it to all members. This solution involves just one round but focuses
most computational load on the group leader, which is also a possible point of failure. As a
second possible solution, key agreement might also be considered but in general it involves
several operations and rounds of multicasts or anycasts among all group members (Rafaeli,
& Hutchison, 2003). A third interesting solution (Boyd, 1997) is the combination of key
transport and key agreement where the leader plays a special role but it is not exactly who
chooses the group key. In such a protocol, the group key is generated with a combining
function on some number contributed by the leader together with the outputs of a one-way
function over the contribution of each other node. First, all members except the leader
multicast their contributions, then the group leader sends its contribution encrypted with
the public key of each group member, and finally each member decrypts such a contribution
and generates the group key.
Group memberships in VANETs are likely to change very fast. Hence another challenge in
secure group management is the efficient handling of join and leave operations of members.
The simplest approach for a join operation would be based on a key transport process to
transfer the existing group key to the new member. Also, if the key must be changed during
each joining operation, the necessary process is not too complex since it is possible to send
the new group key through multicast to the old group members encrypted with the old
group key. However, changing the group key after a member leaves is far more complicated
since the old key cannot be used to distribute a new one, because the leaving member knows
the old key. Therefore, for the sake of simplicity, it can be assumed that when a member
leaves a group it is not necessary to update the group key.
Another critical problem of group management is the definition of group memberships.
Regarding this issue, group formation will take place in the VANET as soon as vehicle
density exceeds a threshold. Two other characteristics of the proposal are that the cell size

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depends on the transmission range of vehicles (around 300m), and the closest vehicle to the
cell centre is considered the group leader.
6.6 Integrity
The trustworthiness of messages sent by a node is determined by the trustworthiness of the
sender because messages from any node are trusted if and only if node authentication is
valid. Apart from checking node authenticity, in vehicular networks it is extremely
important to validate also the trustworthiness of data since, although in most cases identities
of the nodes are irrelevant, correctness of the data they send is fundamental. For example, a
simple attack based on transmitting fraudulent data about road congestion or vehicle
position can be quite damaging and hence must be avoided.
In our proposal, a pervasive communication system is assumed in which mobile nodes
automatically exchange information upon meeting. However, instead of doing message
dissemination in VANETs through direct flooding, an approach based on location-based
data aggregation is assumed so that message dissemination is delegated only to selected
vehicles, which in our proposal are the group leaders. The data that group leaders
disseminate are computed through a data aggregation scheme using those data received
from members of its group that share a similar view of their environment. In this way, data
aggregation helps both to improve security and efficiency of VANETs.
The data aggregation scheme here proposed is based on the most consistent version of data
with respect to the collected information. In order to obtain such a version, one solution
might be based on that versions of data obtained from other nodes receive scores according
to nodes trustworthiness, and in this case the collector node accepts just those data with the
highest scoring. However, due to the large size and mobility of VANETs, such reputation
schemes carried out by nodes are not appropriate. We only consider a type of reputation
scheme where nodes that are the source of incorrect information are detected by the RSU,
which stores such information and scores nodes trustworthiness.
Data aggregation requires that group leaders crosscheck information concerning an event by
comparing messages received from several sources with the data obtained from their own
sensors, which are always considered trustworthy. After this step, instead of independent
safety-related messages reporting the same event and sent by individual nodes, aggregated
messages signed by a group with a ring signature are sent by the group leader. Thus, all the
overhead will be grouped in one message as an alternative to be spread over several
messages, resulting in a more efficient channel usage. In addition, once a vehicle receives
such a combined message, it can trust data after the ring signature verification because the
combined signature implies that all the involved signers agree on the content of the
message.
Another possible useful application of data aggregation schemes in VANETs is the
exploitation of data exchanged among vehicles in order to produce knowledge that can be
used later by the nodes. For example, such data might allow detecting potentially dangerous
road segments or determining the areas with a higher probability to find an available
parking space. Furthermore, within this secondary application of data aggregation schemes
it would be possible to exchange aggregated data between vehicles in order to improve their
respective knowledge. According to this idea, each node should collect aggregated data,
according to a map concept named Local Dynamic Map (LDM), which must reflect all
relevant static and dynamic information in the vicinity, organized as a four layer structure
with increasing dynamics. Furthermore, every time a vehicle moves towards some place, it

85
should merge its LDM with the LDM of its group neighbours in order to try to build an
LDM containing information about its destination and route.
7. Conclusion
VANETs represent a challenge in the field of communications security, as well as a
revolution for vehicular safety, comfort and efficiency in road transport. In this chapter we
have briefly described different security characteristics and services for VANETs.
Some basic ideas of some tools that can be used to improve communication security in
VANETs have been here presented. We have addressed several important security issues
with a special focus on efficiency and self-organization in our proposal.
The main goals of any design for VANETs should be: wide applicability, node privacy,
efficient group management, strong authentication, and data verification. In order to reach
them, any solution has to combine well-known building blocks (e.g. PKI, ring signatures,
identity-based schemes) according to a modular design that includes several components
specifically devoted to authentication, encryption, group management, data aggregation,
simulation, safety-related/value-added applications, etc.
A brief description of several proposed security schemes has been given. In particular, for
I2V authentication, since there is no need of privacy, Identity-Based cryptography seems the
best option to avoid certificates management. In the remaining cases, privacy is a must. In
V2I a challenge-response authentication protocol using a secret-key approach based on
random key-trees might be a good scheme as it provides an efficient solution for
anonymous authentication. In this chapter, groups have been proposed as the most efficient
way to save communications. On the one hand, in order to provide privacy between groups,
we proposed group or ring signatures. On the other hand, for V2V inside groups, secret-key
authentication is the basis of the proposed solution.
Since security in VANETs is yet a work in progress, many questions are open. Some of those
questions are the concrete definitions of proposals, the analysis of interactions among
existing schemes, and the implementation of the different proposed algorithms in order to
be able to compare different possible solutions to choose the best option for a wide practical
deployment of VANETs.
8. Acknowledgment
This research has been supported by the Spanish Ministry of Education and Science and the
European FEDER Fund under TIN2008-02236/TSI Project, and by the Agencia Canaria de
Investigacin, Innovacin y Sociedad de la Informacin under PI2007/005 Project.
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5
Routing in Vehicular Ad Hoc Networks:
Towards Road-Connectivity Based Routing
Nadia Brahmi, Mounir Boussedjra and Jospeh Mouzna
Department of Intelligent Transportation System,
IRSEEM-ESIGELEC
France
1. Introduction
The proliferation of wireless technologies has inspired researchers from both academia and
automotive industry to integrate advanced capabilities to the vehicles and provide new
services and mobile applications. In particular, vehicular networks have emerged as a novel
class of Mobile Ad Hoc Networks (MANETs) formed between moving vehicles equipped
with wireless devices. Based on multi-hop communications, these self-organizing networks
enable data exchanges among nearby vehicles and between vehicles and the road side
infrastructure.
Driven by the transportation safety and efficiency issues, Vehicle-to-Vehicle (V2V) and
Vehicle-to-Infrastructure (V2I) communications are attracting considerable attention in
providing Intelligent Transportation Systems (ITS). In this context, a variety of services are
offered to road users for improving their security and comfort. These emerging applications
include among others safety applications for traffic monitoring and collision prevention,
road information services, and infotainment and so on.
However, unlike other ad hoc networks, Vehicular ad hoc Networks (VANETs) have their
unique characteristics which give rise to many challenging issues. One of the most salient
features is the high mobility of vehicles resulting in dynamic topology changes.
Accordingly, data routing remains a key networking issue that needs to be addressed in
order to support the emerging applications. Over the last decades, many efforts have been
concerted to design efficient routing protocols after recognizing the inefficiency of
traditional MANET protocols to meet the requirements of vehicular environments.
This chapter presents an analysis of the routing problem in vehicular ad hoc networks. First,
it discusses the main characteristics and challenges of VANETs that distinguish them from
the traditional MANETs. Then, it reviews the most relevant routing strategies proposed in
the research community highlighting their advantages and disadvantages.
Based on these considerations, we introduce a new class of geographic routing protocols
called RCBR, Road Connectivity-based Routing for vehicular networks. The proposed
approach exploits information about road connectivity and vehicles distribution to find
stable routes and reduce the probability of links breakage. Simulations results are used to
show how traffic awareness combined with a spatial knowledge of the environment can
optimize the routing decisions in high dynamic networks.

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2. Routing protocols in vehicular networks
This section presents a brief overview of routing protocols proposed or adapted for
vehicular ad hoc networks. According to the type of information used to make the routing
decisions, these protocols can be classified into 5 categories as shown in figure 2.1. In the
following subsections, we describe the principal protocols in each group and analyses their
adaptability for VANETs scenarios.

Fig. 1. Taxonomy of existing routing protocols in vehicular ad hoc networks
2.1 Topology-based routing
The topology-based protocols use the information about the network topology and the state of
communication links between nodes to perform the routing decisions. They can be further
categorized into proactive and reactive approaches.
The proactive protocols, such as Optimized Link State Routing (OLSR) (Clausen et al., 2001)
and Destination-Sequenced Distance-Vector Routing (DSDV) (Perkins & Bhagwat, 1994)
compute and maintain routing information about all available paths in the networks even if
no data traffic is exchanged. For instance, in DSDV, every node maintains a vector of
distances to every known destination. Therefore, frequent broadcast messages are issued by
all nodes to learn periodically about their 1-hop neighbors or to advertize topology changes
(e.g. link breakages). Similarly, OLSR floods the network by the topology control messages
in order to disseminate the link states information throughout the entire network showing
which nodes are connected to which other nodes.
This additional traffic used in proactive approaches for the maintenance of unused paths
has several drawbacks. First, it consumes the networks resources and wastes a part of the
bandwidth for control messages that increase with rapid changes. Moreover, the use of
flooding increases the network congestion and leads to the loss of messages because of
collision. They face a trade-off between the freshness of the routing information and the
control overhead. Clearly, proactive solutions do not scale well in very large networks with
a high number of nodes joining and leaving the network over a short time, which is the case
for VANETs.
On the contrary, reactive protocols such as AODV (Perkins & Royer, 1999) and DSR
(Johnson & Maltz, 1996) determine a route to a given destination only on-demand. They
Routing in Vehicular Ad Hoc Networks: Towards Road-Connectivity Based Routing

91
reduce the overhead by restricting the route maintenance only between nodes that need to
communicate. In other words, route discovery is only initiated when a sending node has to
set up a valid path towards a given destination. Obviously, this extends the delay before
that the packets could be actually sent through the network. In addition, most of reactive
protocols use the flooding technique to establish the communication between the source and
destination and consequently, consume a lot of the available bandwidth.
Because of the high mobility of vehicles, the topology-based algorithms fail to handle
frequent broken routes usually constructed as a succession of vehicles between the source
and the destination. Moreover, the route instability and frequent topology changes increase
the overhead for path repairs or change notifications and thus, degrade the routing
performances.
Generally, in topology-based approaches, routing paths are built as successions of mobile
nodes, and hence the chance of losing the connectivity is higher. Therefore, they are not
suitable for vehicular scenarios and no further investigation will be done on their
applications in these extremely dynamic environments.
2.2 Position-based routing
Position-based protocols perform the routing decisions based on the geographic information
of the nodes. This class offers an alternative approach known to be more robust to face the
mobility issues (Giordano & Stojmenovic, 2003). Indeed, no global knowledge of the
network topology is required; a purely local decision is made by each node to make a better
progress towards the destination. Therefore, they require all nodes to be aware of their
physical positions as well as their neighbours positions. They also assume that the sending
node knows the position of the destination. Typically, a location management service is
responsible for querying this information (Li et al., 2000).
2.2.1 Greedy perimeter stateless routing
As a representative example of the position-based algorithms, Greedy Perimeter Stateless
Routing (GPSR) seems to be the most popular candidate for dynamic networks (Karp &
Kung, 2000). Typically, there are several requirements on the availability of position
information: GPSR requires that each node is able to obtain its current location e.g., through
a GPS receiver as it is becoming standard equipment in vehicles. Furthermore, it assumes
that each node learns about the existence of its direct neighbors and their current positions
through the exchange of periodic HELLO messages. To make the routing decisions, a source
node needs to know the position of the destination. The source node forwards the packets to
its neighbor which is geographically closest to the destination. This procedure, known as
Greedy Forwarding, is recursively applied by intermediate nodes until the final destination
is reached. However, packets can reach node that has no neighbor which is closer to the
destination than itself. This problem known as local maximum is likely to happen in case of
sparse networks.
In such a case, GPSR switches to a recovery strategy called Perimeter Mode using the right
hand rule algorithm of planer graph traversal to route the packets out of the local maximum
region. Being expensive this recovery procedure is abandoned as soon as possible to go back
to the greedy strategy since it can decrease the performance when used often.
Nevertheless, using only the position information may lead packets to be forwarded a
wrong direction and looses consequently good candidates that ensure its delivery. As

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shown in figure 2, following a position-based approach the packets take the direction of the
node A instead of the destination D facing so a local maximum problem.

Fig. 2. Failure of Greedy Forwarding by selecting wrong direction
2.3 Movement-based routing
Numerous protocols enhance the basic position-based scheme to optimize the routing
decisions. Indeed, due to the local maximum problem packet drops still occur using only
position information. To address this shortcoming, some approaches like Directional Greedy
Forwarding (DGR) (Gong et al., 2007) and Movement Aware Greedy Forwarding (MAGF)
(Brahmi et al., 2009) suggest making use of additional information about vehicles movement
such as direction and speed. The basic idea is to compute a weighted score W
i
as a function
of different factors (position, direction, speed) for assigning priority between neighboring
nodes while selecting the next forwarder. This enhancement of the pure position-based
scheme reduces the number of encountered local maximum by avoiding sending packets
away from the destination while selecting a wrong direction.
Considering the fact that vehicles follow a predicable mobility pattern, the authors of ( Gong
et al., 2007) propose Predictive Directional Greedy Routing (PDGR) to forward packet to the
most suitable next hop based on both current and predicable future locations. The mobility
prediction scheme allows a packet relay to ensure the validity of a selected neighbor.
These enhanced solutions are likely to fit more to highway scenarios than to city-scenario
where the topology of road determines the movement and the behaviours of cars.
2.4 Map-based routing
The Map-based routing protocols combine the position information with topological
knowledge about the road and the surroundings. The idea is to build a spatial model
representing the underlying road topology and select a routing path that overlaps with the
streets. For this purpose, the road maps are represented by graphs where vertices are
crossroads and edges are road segments. Commonly, the edges of the graph are weighted
with static data extracted from the street maps. Examples of these static data could be

93
distance, travel time or speed limits. Accordingly, the routing path is selected based on the
new constructed graph and the data packets are only forwarded respecting the particular
mobility pattern restricted by the road topology.
These approaches vary from source routing approaches, where the entire path towards the
destination is pre-computed by the data source, to the dynamic routing where decisions are
made only at road intersections based on various parameters.
As example of protocols that belong to this class we present in the following sub-sections
Geographic Source Routing (GSR) (Lochert et al., 2003) and Spatial Aware Routing (SAR)
(Tian et al., 2003).
2.4.1 Geographic source routing
The first protocol to use the knowledge of the underlying map of the streets was Geographic
Source Routing (GSR) which is mainly proposed for urban environments. (Lochert et al.,
2007). Assuming the availability of such information through a navigation system, a given
source computes the shortest path to an intended destination using Dijkstras algorithm
based on the distance metric. The computed path consists of a sequence of junctions IDs
known as Anchor Points (AP), along which packets should be forwarded to reach the
destination. These anchors, obtained from the streets map, reflect the underlying road
topology and usually represent the road intersections where decisions are made. The list of
junctions is then inserted into the header of each data packet sent by the source.
The packets are forwarded over the selected path successively from one AP to the next AP
using the greedy forwarding scheme. Moreover, it is important to note that the authors
make use of a reactive location service to retrieve the current position of a desired
destination. Concretely, the source node floods the network to query the location of a
specific distant node and thus, leads to bandwidth wastes.
The studies conducted to compare GSR with topology-based protocols show the advantage
of this map-based approach in realistic vehicular environments. However, it should be
noted that the insertion of the entire path in the packets header cannot be preferred in case
of a long route between the source and the destination since it causes an additional packet
overhead. Furthermore, assuming the connectivity of the shortest path is not realistic since it
does not consider situations where there is no sufficient number of vehicles on the road
between two involved junctions to ensure the road connectivity. That is, if along one road
segment the packets face a local maximum situation that prevent them from progressing
towards the next AP, they are directly discarded although an alternative longer path may
exist.
2.4.2 Spatially aware packet routing
The authors of (Tian et al., 2003) introduce the Spatially-Aware Packet Routing (SAR)
protocol to improve the basic GSR with a recovery procedure to avoid a local maximum. As
we have already noted, the greedy routing used to forward packets along the shortest path
may fail if there are no vehicles ensuring connectivity to the next intersection. In such
situations, GSR drops the packets although a valid path may exist. On the contrary, SAR
suggests finding an alternative path from the current location where the local maximum
occurs and then replaces the original route with the new one. The new path is computed
again using Dijkstra algorithm after removing the current road segment where the local
maximum is detected. According to the authors, another option would be to store the packet

94
in a suspension buffer and wait for an incoming neighbor that provides positive progress
towards the next intersection. The suspended packets will be dropped if the buffer is full or
if they cannot be forwarded during a predefined interval depending on the application
requirements. Although these recovery procedures are defined to be used separately, it
seems advantageous to combine both mechanisms to decrease the risk of packet drop.
The performances evaluation has shown that SAR is more robust to the mobility than
topology-based routing protocols (DSR) since the routing path is computed independently
of specific mobile nodes.
Although knowing the road topology represents a big advantage, this approach fails in the
case where the algorithm tries to forward packets over streets where no vehicles are moving.
Moreover, frequent network partitions can cause path disconnections and prevent packets
from progressing towards their destinations. These problems were addressed by extending
the road topology knowledge with the vehicular traffic awareness. The following sub-
section presents some representative examples of such protocols that include information
about vehicular traffic and density in addition to basic street-level data extracted from
digital maps.
2.5 Traffic-aware routing
The traffic-aware routing protocols suggest the use of available data about vehicular traffic
density and flows in addition to spatial information. Thus, only streets where vehicles are
moving will be used for packet forwarding. The following sub-section examines examples of
such routing solution which are designed using traffic information.
2.5.1 Anchor-based street and traffic aware routing
One of the protocols that exploit the idea of traffic awareness in designing a routing scheme
is the Anchor-based Street and Traffic-Aware Routing (A-STAR) (Lee et al., 2004). Generally,
in city environments, vehicles are concentrated more in some areas than in others and hence
the connectivity is higher in these roads. A-STAR added a new feature to the basic GSR
using historical information on bus traffic to identify anchor-based paths with the highest
connectivity according to the bus traffic regularity. It builds a weighted graph where edges
weight is assigned based on the number of bus lines that traverse the road segment. The
more the bus lines are, the more stable the traffic is and so the less weight attributed to the
road is. Then, the anchor route is constructed using the Dijkstras algorithm applied to the
produced graph. The bus traffic information can be extracted from statically rated maps
with preconfigured routes or from dynamically rated ones where the street traffic is
updated periodically based on road-side units. In A-STAR, the packets are forwarded along
the defined route on the same way defined in SAR. Besides, the authors define a recovery
procedure similar to the one used by SAR to counter local maximum. It consists of
computing an alternative anchor route from the local maximum to the destination. To
prevent other packets from traversing the same area, a road segment where a local
maximum is detected is market as out of service (OFF). This information is afterwards
disseminated in the network to update the graph so that these routes will not be used for
new paths computation.
The study comparing the protocol to other existing protocols like GPSR and GSR show that
the traffic information are useful for routing in VANETs. Nevertheless, the authors do not
give any indication about the network overhead generated in order to monitor the city
traffic condition and distribute such information to every vehicle.

95
In addition, it seems worthy to observe that historical data, such as bus traffic, cannot
always accurately describe the current road traffic conditions since road congestion and
events like road constructions cannot be detected. This makes the protocol inappropriate for
highly dynamic environments. Based on this observation, new approaches propose to
investigate more the use of real traffic information.
2.5.2 Connectivity aware routing
Yang et al. propose Connectivity Aware Routing protocol (Yang et al., 2008) which uses the
statistical data collected by different vehicles to estimate the probability of connectivity of
each road segment. In their model, the authors consider also the clustering phenomenon
resulting from vehicles movement affected by the traffic light. The connectivity information
is disseminated in the entire network to provide a global vision about the network
connectivity. Based on that, a connectivity graph is defined from a combination between
road topology information extracted from digital maps and the gathered connectivity
information. For packet routing, CAR uses Dijkstras algorithm to compute the optimal path
along which packets will face the least probability of network disconnection. In other words,
the route with the highest probability of connectivity is selected as the routing path.
The simulations studies have shown that the real-time information used in CAR improves
the performances of routing in VANETs compared to GPSR and GSR. However, no
indication was given about the overhead generated by collecting and exchanging
connectivity information about the entire network especially that this information is volatile
due to vehicles mobility. Since CAR relies on the statistic traffic data, the authors propose to
investigate in their future work how they can further improve the protocols performances
by exploiting real-time traffic information.
2.5.3 Road-based with vehicular traffic
Recently, a group of Road-Based with Vehicular Traffic protocols (Nzouonta et al., 2009) has
been proposed for VANETs. These protocols incorporate real-time vehicular traffic to
compute road-based paths consisting of successions of road intersections connected among
them through vehicular communications. Two variants of RBVT are presented: a reactive
protocol, RBVT-R, and a proactive protocol, RBVT-P. In RBVT-R, only source nodes discover
the connected road segments on demand by initiating route discovery packets which
traverse the network towards the destination. Being a source routing, RBVT-R includes the
discovered routes in the packets headers and utilizes a greedy forwarding procedure to
transmit packets along road segments forming the selected path. On the other hand, RBVT-P
maintains a graph of all connected road segments. To discover the network topology,
connectivity packets (CP) are generated periodically by multiple vehicles randomly selected
in the network. Each node decides independently whether to generate a new CP based on
the estimated current number of vehicles in the networks, the historic hourly traffic
information and the time interval since it last received a CP update.
These packets traverse the road map and record the road segments with enough vehicular
traffic before returning to the generator segment. Using the collected information, any
vehicle belonging to that segment which receives the CP after all intersections marked are
visited will construct the connectivity graph and disseminate it in the entire network. Then,
the shortest path to the destination is computed only from the road segments that are
marked as connected. The evaluation study comparing RBVT to topology-based routing,

96
position-based routing and map-based routing show an improvement in its performances
when used for dynamic vehicular networks. This improvement is due to real-time traffic
consideration that makes routing decisions adapted to network conditions. Nevertheless,
this procedure generates an additional overhead to maintain the freshness of the topology
information. More adapted and suitable schemes for providing the connectivity information
should be used to improve the scalability of RBVT protocols.
In the rest of this chapter, we introduce a new routing approach which is well adapted to
vehicular ad hoc networks called Road Connectivity-based Routing (RCBR). Based on the
fact that the density of vehicles moving along one road is not an accurate indicator of its
connectivity, RCBR defines the concept of road connectivity to provide real-time view of the
network topology. In addition to providing a good support for delay sensitive applications,
RCBR has the advantage of performing well under sparse networks. A detailed description
of the proposed scheme is given on the following section.
4. New approach: road connectivity-based routing protocols
RCBR routing approach combines information about the real-time vehicular traffic and the
road-topology to select more stable routing paths. The idea is mainly based on the concept
of road connectivity describing the state of each road segment whether it is connected or
disconnected. In this context, a road is defined as connected if it has enough vehicular traffic
which allows the transmission of the packet through multi-hop communications between its
two adjacent intersections. For that, we define an algorithm predicting the connectivity
duration over each road segment.
We designed two variants of RCBR protocols: a source routing protocol S-RCBR and a
dynamic version of D-RCBR. S-RCBR computes the route using a global connectivity graph
of the real-time state of the road segments and includes them in the packets. In D-RCBR,
dynamic routing decisions are executed only in the proximity of road intersections to select
a next segment through which data packets will be forwarded.
This class of protocols assumes that each car is equipped with a Global Positioning System
(GPS) to get its own position and a navigation system that provides information about the
local road map. In addition, the current position of a destination node is discovered by mean
of location service. The road topology is mapped into a graph, G (V, E) where V is the set of
vertices representing the road intersections and E is the set of edges representing the
segments of road connecting adjacent vertices.
4.1 Road-connectivity model
In this subsection, we present the mathematical model used by RCBR routing protocols to
estimate the connectivity of each road segment. First, we introduce some definitions that
serve to this illustration and will be used throughout this chapiter. Then we describe the
prediction model.
1. Intersection virtual range: in this context, the range of a road intersection is defined as
the area within the circle centred on it and which radius is half of the wireless
communication range. This value is delimited to the half of the transmission radius to
ensure that the distance between any two vehicles in this area is less than the radio
range and hence they can communicate.
2. Link duration (LD): the link duration between two vehicles represents the period
during which they remain within the transmission range of each other. It can be

97
estimated by applying the mobility prediction method presented in [Su et al.,]. If we
consider, two vehicles N
i
and N
j
, with a transmission range R, speeds vi and vj,
coordinates (x
i
, y
i
) and (x
j
, y
j
), and velocity angles
i
and
j
, respectively, the Link
Duration LD
i,j
is predicted by:

2 2 2 2
,
2 2
( ) ( ) ( )
i j
ab cd a c r ad bc
LD
a c
+ + +
=
+
(1)
Where
a cos cos
sin sin
i i j j
i j
i i j j
i j
v v
b x x
c v v
d y y

=
=
=
=

Through the beacon messages periodically exchanged between neighboring nodes, each
vehicle maintains a table of its neighbours information which uses to compute their
corresponding link durations [17].
3. Path Connectivity (PC): the path connectivity CP
i
of a multi-hop path P
i
formed by n-1
links connecting n neighboring vehicles N
1
, N
2
, ...,N
n
is defined as the duration for
which all the links are still available. It is called also lifetime and can be formulated as:
CPi= min(LD
Nj,Nj+1
) (2)
Where N
i
and N
j+1
are two successive nodes of P
i
.
4. Road Connectivity (RC): A road segment is said to be connected if there is at least one
multi-hop path connecting its two adjacent intersections. To estimate the connectivity
over one road, we exploit the concept of path connectivity. In this context, a path
between two adjacent intersections I
i
and I
j
is defined as a multi-hop path formed by
links between neighbor vehicles moving on the road segment delimited by these
intersections and connecting two vehicles situated on virtual range of I
i
and I
j

respectively. Figure.3 shows an example of a path between two adjacent intersections I
1

and I
2
.

Fig. 3. A connected road segment delimited by intersections I
1

98
As a consequence, the Road Connectivity of a segment [I
i
, I
j
] can be formulated as the
highest Path Connectivity of all the paths P
i
between the adjacent intersections I
i
and I
j
. It is
computed by the following formula:
CPi = max(CPi ) {Pi path connecting I
i
and I
j
} (3)
In practice, a vehicle directly connected to one intersection computes the period during
which it remains in its virtual range and inserts it in its hello message. Through the
propagation of the beaconing messages, all vehicles in this road are then able to estimate
their connectivity to both intersections delimiting the road segment. Only the vehicles in the
proximity of the intersection maintain a connectivity table containing the information about
all the adjacent intersections. This table is updated based on the information exchanged
between different vehicles in the proximity of the intersection.
4.2 S-RCBR: source routing protocol
RCBR is a source routing protocol that proactively computes paths between the source and
the destination using the connected road segments. Based on the road connectivity model
described above, it defines a global real-time graph called Connectivity Graph to maintain
a consistent view of the network connectivity. The connectivity information is exchanged
between vehicles and a server deployed on the roadside infrastructure using V2I
communications. Each source uses the road segments marked as connected to compute an
optimal stable path which is then stored in the header of data packets to be used for
geographic forwarding.
4.2.1 Network connectivity discovery
To optimize the routing decisions using the support of the infrastructure, we suggest
deploying a Connectivity Server (CS) integrated to the roadside infrastructure and able to
communicate with the vehicles through V2I communications. The CS aggregates all the
connectivity information received from different vehicles in order to build a Connectivity
Graph describing the state of all the road segments in the nearby zone.
Therefore it maintains a table with entries of the form
<Ibegin, Iend, Duration, Ts> (4)
where Ibegin and Iend indicate the two adjacent intersections limiting the road segment,
Duration represents the connectivity period calculated at the instant Ts.
In order to reduce the data traffic managed by the server, only some particular vehicles
transmit Connectivity Packets (CP) to the server. In fact, after predicting the connectivity of
the road segment using the model described below, the nearest vehicle to the intersection
sends a CP to the server and notifies its neighbors by adding into the next hello message.
Further, the CP initiation time is known by all the vehicles located on the range of the
intersection and only one CP is sent per intersection. As a consequence, the server receives a
connectivity packet from each intersection; note that it is possible to receive multiple CP
related to the same road from different nodes present in both intersections defining the
segment.
On the reception of each CP, the server updates the corresponding entry in the connectivity
graph. Once the graph is rebuilt, it can be transmitted on-demand to different nodes present
in the zone. To give an overview of the above process, figure 4 illustrates an example of the
server updates and the form of connectivity graph created for the road structure.

99

Fig. 4. The Connectivity Graph (CG) is constructed using connectivity packets (CP) sent by
the nearest vehicle to each intersection.
4.2.2 The routing algorithm
In S-RCBR, the routing process consists of two main tasks: 1) defining the routing paths
through which the packets will be forwarded and 2) forwarding data packets along the
selected path using the greedy forwarding.
S-RCBR uses road-based paths consisting of sequence of intersections to transmit the data
packet through connected road segments. When a source node needs to send information to a
given destination, it initiates a CRequest to obtain the connectivity graph from the server.
Based on the newly received graph, a routing path with most stable routes is constructed along
the segments with the highest connectivity. These routes are stored in the headers of the data
packet to be used by intermediate nodes while transferring packets between intersections
denoting the defined path. In between intersections, the greedy forwarding is used.
To maintain fresh information about the network connectivity, a data source periodically
generates a CUpdate to get the latest information from the server. The routing paths are
updated accordingly using fresher information.
Finally, since network partitions cannot be avoided in highly dynamic environment like
VANET, S-RCBR uses the Carry-and-forward strategy. Indeed, to handle network
disconnections, packets are buffered and later forwarded when an available next hop is
found to restore the connection.
4.3 D-RCBR: dynamic routing protocol
D-RCBR is a dynamic variant of RCBR that only requires a local view of the road
connectivity, since collecting global real-time information about the entire network can be
expensive especially with the mobility of vehicles. The new protocol performs local routing
decisions only near road intersections. It uses the road connectivity prediction model

100
described in the section above to estimate the connectivity over each road segment. Through
the propagation of the beaconing messages, all vehicles moving along a given road are able
to estimate the expected time for which they remain connected to both intersections
delimiting the road segment. Then, this connectivity information is gathered near each
intersection thanks to the dissemination mechanism based on the exchange of HELLO
messages between different vehicles in the proximity of the intersection. Therefore, each
vehicle located inside the virtual range of an intersection maintains a local connectivity table
with entries about all the adjacent intersections. Based on this local connectivity information,
the vehicles make the routing decisions and select the next vertex towards the destination.
The idea of the greedy scheme is applied to select the closest intersection to the destination
only among the adjacent connected intersections. However, the packets can reach an
intersection which has no adjacent intersection closer to the destination. This situation
known also as a local maximum is likely to happen considering only a greedy selection of
vertex. To address this problem, D-RCBR defines a recovery procedure inspired from the
right hand rule (Karp & Kung, 2000).
The routing process includes two main tasks: 1) Select the next intersections towards the
destination using one of the two strategies: Greedy or right-hand rule for the vertex
selection 2) forward data packets hop by hop towards the selected intersection.
1. Greedy Vertex-Selection: In this mode the idea of the greedy scheme is applied to select
the closest intersection to the destination among all the adjacent connected intersections.
When a packet reaches a vehicle in the range of an intersection, the vehicle selects the next
intersection towards the destination. Only a connected adjacent vertex can be selected to
ensure the delivery of the packet along the forwarding road. However, to minimize the
networking delays, the closest intersection to the destination is chosen. To do so, all the
neighbor vertices which are disconnected from the current vertex are removed from the
road graph G and then the shortest path between the current vertex and the destination is
computed using Dijkstra algorithm. The next intersection in the determined path is inserted
into the packet header. Between two intersections the greedy forwarding scheme is used to
forward the packet. An example of packet routing with the proposed D-RCBR is shown in
Figure 5 where a source node S has a packet addressed to the destination D. S is in the
proximity of the intersection I
1
so the shortest path should be computed from intersection I
1

to the destination near the intersection I
6
. By exploiting the local connectivity information
gathered by the nodes near I
1
, the intersection I
2
is marked as unreachable and is not
considered for the shortest path computation. As a consequence, the closest vertex to the
destination among all the adjacent connected vertices is selected as the next intersection. The
greedy vertex selection is repeated until the packet reached the intersection I
6
as one of the
destinations road. In the figure, the disconnected roads are marked by a cross.
2. Right-Hand rule for Vertex Selection: Using the greedy selection of vertex, D-RCBR
helps reducing the overhead needed by a global knowledge of the network connectivity.
However, there is no guarantee for the packets to be delivered until the destination. An
example is shown in Figure 6 when a packet reaches the range of intersection I
5
and the
adjacent intersection I
6
which represents the destination vertex is disconnected. As a
consequence, the greedy selection fails although a possible path exists between I
1
and I
6
. To
address the aforementioned problem, we suggest using the idea of the right hand rule to
select an intersection in counter clockwise. This idea was previously adopted by GPSR, but
contrary to GPSR, in D-RCBR the right hand rule is applied to the road graph where vertices
are intersections instead of the network graph where vertices are mobile nodes.

101

Fig. 5. The greedy strategy applied for the vertex selection in D-RCBR
Hence, if the greedy selection of intersection fails, the forwarding node in a range of an
intersection selects, following the right hand rule, a next vertex among the connected
neighbor vertices. The protocol should returns back to the greedy selection of vertex as soon
as the packet escapes from the local maximum. With this procedure, D-RCBR can ensure
finding a possible path to destination if any exists.
To illustrate the recovery procedure described above, a scenario of the failure of greedy
selection is described in figure 6 using the same road topology. A data packet reaches the

Fig. 6. The right hand rule for vertex selection

102
range of intersection I
5
where a local maximum occurs since no adjacent connected
intersection is closer to the destination. D-RCBR switches to the recovery mode and selects
according to the right hand rule the vertex I
2
as next vertex. The packet is the sequentially
forwarded through the intersections I
3
and I
6
where it can be delivered to the destination.
4.4 Simulation and analysis
In order to evaluate the proposed solution, an implementation two variants of RCBR
protocols has been developed under Network Simulator (NS2). The simulations were
carried out with different nodes densities and velocities. The results were then compared
with those achieved by three other existing protocols: GPSR, GSR and CAR.
In particular, we were interested in comparing two main metrics: the packet delivery ratio
and the average end-to-end delay.
In the following subsections, we describe the simulation environment and present a detailed
analysis of the results.
4.4.1 Simulation environment and setup
The simulations have been performed for a vehicular mobility scenario in city environment.
The road topology is based on a real map extracted from TIGER (Topologically Integrated
Geographic Encoding and Referencing) database. The mobility traces of vehicle movement
were generated using a realistic vehicular traffic generator VanetMobiSim (Hrri et al.,
2006). Vehicles move along the streets with speed limits equal to 50km/h and they change
their directions at road intersections. The key parameters of the simulation are summarized
in table1.

Simulation parameter Value
Simulation time 600s
Map size 2500 x 2500 m2
Number of roads 39
Number of road-intersections 33
Number of vehicles 150
Vehicle velocity 15-50km/m
Wireless transmission range 250m
Beacon interval 1s
Data packet size 512bytes
Table 1. The simulation parameters
4.4.2 Packet Delivery Ratio
One of the metric used to evaluate the performance of a routing protocol is the packet
delivery ratio (PDR). It is computed as the ratio of the total number of packets received by
the total number of packets transmitted by different source nodes.
The graph in Figure 7 shows the average delivery ratio varies as a function of the packet
generation rate obtained by varying the sending interval for the different studied protocols.
GPSR considers neither the road topology nor the vehicular traffic and hence packets are
more likely to encounter a local maximum which explain the low delivery ratio. On the
other hand, GSR improved the forwarding decision with spatial awareness as the sequence

103

Fig. 7. Packet Delivery ratio Vs Packet sending interval
of junctions is computed before data forwarding. However, since the path is determined
without considering real-time traffic, some packets fail to reach their destination when being
forwarding along non connected streets which explain the obtained success delivery rate.
The proposed S-RCBR protocol demonstrates the highest delivery ratio than other protocols.
This is because the real time traffic information guaranties the connectivity of the entire
selected path. Hence, packets are forwarded along connected paths. Moreover, networks
partitions are avoided and fewer packets are suspended. Nevertheless a disadvantage that
can be noted in S-RCBR is the need for roadside infrastructure which can be costly and not
always possible.
The figure depicts also that the number of successfully received packets in D-RCBR are
comparable with CAR and even with a relative improvement. The advantage of D-RCBR is
that, contrary to S-RCBR and CAR no global knowledge of the network traffic density or
real-time connectivity is assumed. The path is dynamically determined following the local
connectivity information available in crossroads. So, a packet is only forwarded along
connected roads that successfully lead to the destination. Hence, D-RCBR adapts to frequent
networks changes.
4.4.3 End-To-end Delay
The results presented in Figure 8 show that S-RCBR achieves a lower end-to-end delay
compared to the rest of the protocols (GPSR, GSR, D-RCBR and CAR). The main reason is
that S-RCBR offers an accurate view of the network that helps a source node to select a
connected path reducing so the chance of facing network disconnections. The packets are
simply forwarded along a pre-computed path following the greedy scheme which decreases
the networking delays.
GSR does not consider the vehicular traffic to guarantee the connectivity of the shortest path
and that is why more packets are likely to be suspended and buffered. CAR also may select

104

Fig. 8. The end-to-end delay of different protocols
a non optimal path due to the error in the road density information that affects the
estimation of the probability of connectivity.
In its turn, D-RCBR achieves a lower end-to-end delay compared to GSR and its
performances are as good as CAR. In D-RCBR approach, the routes are discovered while
relaying the packet so that the probability of route breaks is much reduced during the
forwarding delay. However, CAR uses a source routing approach and generates an
additional overhead for the density estimation.
The delay remains higher in D-RCBR than in GPSR because the packets which are usually
dropped in GPSR when the perimeter mode fails to handle the local maximum frequently
encountered in city environments; they are successfully delivered with D-RCBR mechanism.
Note that both D-RCBR and S-RCBR provide an average latency less than 240 ms which
proves that the proposed scheme meets the requirements of delay sensitive applications
with a good tradeoff between the delivery ratio and the end-to-end delay.
5. Conclusion
Throughout this chapter, we have analyzed the routing problem in vehicular ad hoc
networks and presented a taxonomy of existing protocols.
Several routing protocols have been proposed or adapted for the vehicular applications.
Nevertheless, the geographic routing has become the trends taking advantages of the
availability of navigation system that makes the vehicle aware of its own location as well as
its surrounding. Many studies showed that the exploitation of the road-topology improves
the routing performances especially with complex mobility patterns of vehicular
environments. Also the use of traffic information is proved to be of a great importance and
demonstrated better performances. Different ways are used to model this traffic awareness
through the historical density data or the real-time traffic information.
In this chapter, we proposed two routing protocols S-RCBR and D-RCBR that combine both
the road topology and the real-time traffic. RCBR protocols define a prediction model to

105
estimate the connectivity along the road segments. Then based on this connectivity
information either a source route is computed as a sequences of intersection along the
connected roads or the path is dynamically adjusted at each intersection. Geographical
forwarding is used to transfer the data packets between the vehicles along the road
segments that form these paths. The simulation results showed that the proposed protocols
outperforms existing approaches and provide a good support for vehicular scenarios. In
particular, D-RCBR can be used for vehicular applications where throughput is the main
requirement while S-RCBR is suitable for delay-sensitive applications.
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0
yTrafc Information Dissemination in Vehicular Ad
Hoc Networks
Attila T or ok, Bal azs Mezny and P eter Laborczi
Bay Zolt an Foundation For Applied Research,
Institute for Applied Telecommunication Technologies
Hungary
1. Introduction
Today, cars are equipped with all kind of on-board sensors and microcomputers that are able
to measure geolocation, speed, tire pressure, raindrops on the windshield, etc., and based
on these information Intelligent Transportation Systems (ITS) are built. The ITS applications
are intended to ease the everyday life of drivers by reducing the risk of accidents, improving
safety, increasing road capacity and reducing trafc jams. Many research papers, for example
Torok et al. (2008) and Sormani et al. (2006), pointed out that a signicant reduction of trafc
jams can be achieved through the use of vehicular ad-hoc networks (VANETs). Vehicles
could serve as Trafc and Travel Information (TTI) collectors and transmit this information to
other participants in the vehicular network Laborczi et al. (2006). The ITS applications could
utilize this information to actively relieve trafc congestion. Practically, vehicles could detect
trafc congestion automatically when the usual (historical) characteristics of trafc patterns
drastically change, i.e. the number of neighboring vehicles is high and/or the average speed
is too low. Then this information should be relayed, disseminated to the vehicles approaching
the congested area; thus, they will have enough time to choose alternative routes.
Due to their inherent characteristics, viable communication is harder to support in ITS
scenarios than in conventional wireless networks. Vehicles are usually moving much faster
than traditional mobile nodes; moreover, a vehicular network might be very heterogeneous in
terms of node density, becoming fragmented in many cases. Reliability is also compromised
due to the usually high interference in urban scenarios. Thus, there is a need to reconsider the
wireless ad hoc communication networking protocols, and to use new concepts that t better
the specicities of ITS applications.
Trafc and Travel Information (TTI) spreading in vehicular ad hoc networks is achieved by
the means of a ooding mechanism. To overcome network fragmentation the vehicles usually
maintain and carry a copy of the packets, which is disseminated along the road segments
Zhao & Cao (2006), Burgess et al. (2006), Tian et al. (2004). The frequency of subsequent
transmissions will control the quality of the TTI reports, in terms of delay and accuracy. If
the frequency of TTI transmissions is high, the time necessary for the information to reach the
outer bounds of the geographic area is lower. The accuracy of TTI also varies in function of
the amount of communication involved in the travel information gathering and transmission.
Frequent information exchange leads to a more accurate picture about the trafc situation,
but also to superuous dissemination. Superuous forwarding can be reduced by using
adaptivity in the ooding mechanisms. Adaptivity can be introduced by controlling the
6
frequency of information exchange (timely manner) or limiting the dissemination only to areas
where the TTI is really necessary (spatial manner).
Besides the presentation of the most important spatial TTI dissemination protocols we also
investigate the problem of determining the areas of interest of trafc jams. As we argue, the
presented spatial dissemination protocols fail to properly dene the places where the TTI is
useful. These solutions are only effective when are employed with additional mechanisms,
which provide context-aware information to calculate the areas of interest of specic trafc
jams.
2. Literature review
This section presents protocols related to spatial adaptivity-based TTI dissemination,
which can be achieved pro-actively, using a data-push model Sormani et al. (2006),
Leontiadis & Mascolo (2007), or based on a data-pull model Dikaiakos et al. (2007), when the
information is obtained on-demand. In the rst case the data is usually disseminated fromthe
trafc incidents towards the outer inbound road segments, while in the second case the data is
pulled to the locations of interest on-demand. In both cases the question is how to control and
limit the trafc information dissemination only to places where the respective information is
useful.
2.1 Spatial adaptivity by using data-push protocols
2.1.1 Dissemination restricted through publish/subscribe
The possibility of restricting the TTI dissemination to certain areas is investigated in
Leontiadis & Mascolo (2007). In their proposal the authors present a publish-subscribe
method, as the members of the trafc will receive only messages of their interest. The solution
works well with methods employing the data-push model, for example the one described in
Sormani et al. (2006). The publish-subscribe process starts with a vehicle subscribing to a topic
(e.g. trafc congestion information). When a vehicle publishes a message, the area of interest
and validity time of the message is determined. Vehicles subscribed to the given topic will
receive the message if they are within the area of interest and the message is still valid. The
basic idea is to maintain the message in the notication area, so every vehicle approaching
the area where the message was generated (for example a trafc accident) gets the notication
and has a chance to consider its reaction to the event (e.g. taking an alternate route to its
destination). This is achieved by generating a xed number of replicas of the message, which
means that only those vehicles will broadcast the message which have a replica of the message.
This way the load of the communication network is reduced compared to the general ooding
mechanism, where every node of the network retransmits the received message, resulting in a
broadcast storm. If a vehicle carrying a replica of the message is leaving the notication area,
then it hands over the replica to an other vehicle, preferably driving the opposite direction, to
keep the message replica in the desired area.
There are two questions regarding the message replicas. How many replicas should be there,
and who should carry them? Before the replica owner broadcasts the message, it poll its
neighbouring vehicles regarding the topic of the message. There are three possible answers to
this poll:
Informed: The answering vehicle is already received a notication for the given topic (e.g.
if the topic is parking spots, this vehicle already knows where are free parking spaces).
Interested: This vehicle is subscribed to the topic.
yTrafc Information Dissemination in Vehicular Ad Hoc Networks 3
Not interested: The vehicle is not subscribed.
If there are interested vehicles the carrier broadcasts the message. Also if the carrier is leaving
the designated area, it selects a new carrier heading for the notication area, with the most
interested vehicles in its vicinity. The aim of this selection method is to get the message
replica where the most uninformedvehicles come from. This mechanismresults in the replicas
converging to areas where the information is needed, and if there are two replicas in the same
area, one of them will move to an other area where the message is needed.
The number of the replicas is determined adaptively. Every replica carrier keeps the result of
the last k polls, and based on these statistics the following options are possible:
If there was at least one uninformed subscriber in the last k polls, the replica is kept.
If there were at least k uninformed subscribers then a new replica is generated and
forwarded to a vehicle, determined by the new carrier selection mechanism.
If there are no uninformed subscribers, the replica is marked for deletion. In order to avoid
deleting replicas simultaneously, the replicas are merged and are deleted only if the carrier
receives a broadcast from an other carrier.
This way the number of replicas are adapted to the demand for the message, and they are
forwarded to areas with the most subscribers.
However, due to the carrier selection and TTI replication mechanisms, it is not always
guaranteed that the information carriers will meet their subscribers. The chance that a replica
survives insensitivity, and meets proper subscribers, depends on the estimate of the replicas
necessity, which is represented by the number of last k polls. Thus, the successful outcome of
the protocol highly depends on the topological context and the ne tuning of the system. For
example, considering the simulation results presented in Figure 1 for a scenario where two
intersections are interconnected through two one way roads (one with trafc jam), it turns out
that the fraction of cars entering the jammed road depends highly on the frequency of TTI
disseminations (Timer), respectively on the number of transmissions until a TTI remains alive
(TTL). If the frequency is too high then the TTI message is not transported until the intersection
where the vehicles must be informed, even considering higher values for TTL. This can be
attributed to the fact that the TTI replication and propagation was determined based on the
interest of other neighboring vehicles, and in this particular case all the vehicles are heading
outwards the jammed area; thus, they are uninterested about this particular jam. In order to
overcome such problems additional context information regarding the road infrastructure has
to be taken in consideration.
2.1.2 Dissemination restricted through propagation functions
In Sormani et al. (2006) the authors investigate methods on how to propagate the trafc
messages to areas where the respective information is useful. They outline a scenario, where
an accident occurs on a highway. A message broadcast happens within one mile of the
accident, telling the vehicles to slow down. A second message is delivered to key points
of the highway, where drivers can take alternative routes, in this scenario these points are
the highway exits. This method can be considered as a data-push model, where the message
is disseminated even if the information wasnt requested by an entity. The main idea is the
denition of a propagation function, which restricts the message propagation to areas where
the message is important. For our example this represents the highway, there is no point in
disseminating the message outside this area. This propagation function has minimum points
at the target zones, and its value is increasing as the distance from the target zones increase.
109 Traffic Information Dissemination in Vehicular Ad Hoc Networks
Fig. 1. Effect of TTI replication on alternative route selection
The message, originated the place of an event (e.g. a trafc accident), is always forwarded to
a vehicle whose position results in the lowest value in the propagation function. This way the
message will be routed towards the minimum of the propagation function, the target zone.
The shape of this function is determined to follow the road network, where the vehicles can
disseminate the message. The propagation function is either computed by the originator of the
message, taking into account the current trafc situation and the road network in the vicinity,
or it can be precomputed for important areas.
The authors consider some basic protocols to disseminate the trafc message in order to
evaluate the effects of the propagation function. The most basic protocol is a modication of
the ooding mechanism, where the received message is rebroadcasted only for the rst time
it has been seen and the value of the propagation function at the receiving vehicle is lower
than at the sender of the message (One Zero Flooding, OZF). An other basic protocol is a
further modication, taking into account the distance between the sender and the receiver
(Distance Driven Probabilistic Diffusion, DDPD). This distance is used for probabilistic
message forwarding, where the probability of forwarding is the distance between the vehicles
divided by the communication range (approximately 200 meters for 801.11 capable devices).
This way the surplus message retransmissions can be avoided. A more advanced protocol
takes into account the shape of the propagation function (Function Driven Probabilistic
Diffusion, FDPD). In this case the probability of forwarding is zero at the senders position
and is increasing as the value of propagation function decreases, and takes the value of
one at the lowest value of the propagation function inside the communication radius of the
sender of the message. This method yields to a more accurate routing, as a lower value
of the propagation function is not enough, the algorithm tries to nd the lowest possible
value. The authors propose some store & forward variations of these algorithms, where
after receiving a message the vehicle not only retransmits it immediately but carries it for
some time and rebroadcasts the message periodically. The rst store & forward variant
(Function Driven Feedback-augmented Store & Forward Diffusion, FD-FSFD) is based on
FDPD with the addition of a feedback augmented store & forward mechanism. The feedback
augmention means, if the carrier receives a message from a vehicle whose position results
in a lower value of the propagation function, then the further broadcasts are cancelled as
the message already reached a lower point of the propagation function. The second store &
forward algorithm (Direction-aware Function Driven Feedback-augmented Store & Forward
Diffusion, DFD-FSFD) is an extension of FD-FSFD by taking into account the direction of
movement of the nodes. This means that only nodes moving towards lower points of the
propagation function are used to carry the message. These methods are useful in sparse
networks where the connection between clusters of vehicles is not guaranteed.
Unfortunately, there are no methods presented to calculate the propagation function, i.e., the
locations where the information should be propagated. Therefore, this protocol is not ready
to be applied for TTI dissemination in urban scenarios.
2.2 Spatial adaptivity by using data-pull protocols
In Dikaiakos et al. (2007) the authors outline an application-layer communication protocol
(Vehicular Information Transport Protocol, VITP), which could be used in VANETs to
disseminate location based information. Such location based information can be trafc
information regarding road conditions (e.g. slippery road or congestion), or some kind of
roadside service information (e.g. fuel prices at gas stations or menus of restaurants). These
kinds of information are typically requested by someone; thus this method can be called as the
data-pull model. The authors introduce the concept of virtual ad-hoc servers (VAHS), which
means that an information request is processed by a number of peers at the target location of
the request, and the result is sent back to the originator of the query. For example, if a vehicle
wants to know the trafc condition on a road segment in its path, it sends a request to that
road segment. When a vehicle in the target area receives the query, it attaches the requested
information to the message, and retransmits the message, so other vehicles can contribute
to the reply. The ones contributing to the reply constitute the virtual ad-hoc server. After a
certain threshold is met, for example ten vehicles attached their velocity information to the
message, the last vehicle generates the reply from the gathered data, and sends it back to the
originator vehicle. This way the answer can be more accurate, than in the case where only one
vehicle made the reply, or when separate replies were generated by multiple vehicles. The
data-push method is also supported by the proposed protocol as it is favorable in some cases,
for example in case of an accident. The vehicles couldnt be forced to constantly generate
queries for accidents, instead the information is pushed to them. The described protocol is
also capable of caching the information in some cases, so a reply could be made before the
query reaches the target location, speeding up the process. The effect of caching is further
elaborated in Dikaiakos et al. (2010), and it is shown that signicant improvements can be
achieved in both the data-pull and the data-push cases.
2.3 Aggregation scheme for roadside unit placement
The authors of Lochert et al. (2008) present a method for optimization of roadside unit
placement in order to minimize the required bandwidth for trafc information dissemination.
A domain specic aggregation scheme is presented, then a genetic algorithm is proposed
to identify the most appropriate positions for the roadside units. The aggregation scheme
is conceived in a hierarchical fashion: the farther away a region is, the coarser will be
the information on its trafc situation. By using this scheme a vehicle traveling along the
road network will obtain coarser and coarser approximations about the trafc situation,
travel times will be summarized in regions that are farther and farther away. Thus, the
aggregation scheme will allow to limit the bandwidth requirements for TTI dissemination, by
reducing the network capacity necessary for information spreading. The aggregation scheme
is based on the denition of special multi-level landmarks, which will cover the hierarchy
of the road networks. The higher levels are constituted by highways or junctions of main
roads, while the lower levels will include all higher level landmarks plus more and more
intersections of smaller streets. Thus, cars can make investigations about the travel times
between neighboring landmarks, which information will be disseminated in the surroundings
of the respective road segment. A coarser picture, calculated from travel times between
landmarks of higher levels, will be disseminated to a larger area, which leads to a summarized
view of the travel times in the area. Roadside units are placed to form a backbone network,
allowing them to exchange the TTI to be disseminated. In order to use a very limited
number of roadside units the authors propose a toolchain for placement optimization. Since
the identication of the optimal subset of roadside unit locations is a difcult optimization
problem a genetic algorithm based approximation method is used to obtain a good result
subset. The toolchain is composed from a network and trafc simulator (ns-2 and VISSIM),
respectively from a closely interacting application simulator and the genetic algorithm. The
application simulator is used to process the log le of the network-trafc simulator, perform
the specic aggregation methods, decide about the dissemination of TTI beacons. At the level
of the network simulator all the possible roadside unit locations are simulated, all of them
transmit the periodic beacons. The non-existing roadside units are ignored at the level of
the application simulator, the received beacons are not considered when its knowledge base
is updated by the genetic algorithm. Thus, with the separation of movement and network
issues from application behavior travel time savings are achieved by calculating the vectors
of active roadside unit locations. These savings are used as a tness metric, making the
application-centric optimization through the genetic algorithm. The viability of the approach
is conrmed through simulations by applying the proposed solution to a large-scale city
scenario.
3. Spatially-aware congestion elimination (SPACE)
In this section the SPatially-Aware Congestion Elimination algorithm (SPACE) is designed.
An algorithm is given to determine the locations, domain of interests, where a possible event
(e.g. trafc jam) on a certain road inuences the route choice of the driver. To illustrate
the problem, a small example is presented, then we formulate it as a graph theoretical
optimization problem. Both a heuristic and a linear programming optimization solution are
provided. Thus, we give a well dened area (the Domain of Interest, DoI) where information
about a specic trafc jam is useful.
3.1 Example
First let us consider an example of one way roads fromleft to right (Figure 2), which represents
a subset of a larger road network.
We assume that a vehicle enters the network at node 1, its destination is at node 10. The vehicle
has route decisions at nodes 2,3,4 and 5, respectively. It can take either Route A, Route B, Route
C or Route D to reach its destination. Route Ais shortest and fastest; consequently, the vehicle
takes the middle route in the default case. If route A at road segment 6-7 is congested, this
information has to be disseminated throughout the road network.
The Domain of Interest (DoI) is dened as the set of road segments, where the information about
a trafc jam inuences the route choice of the driver, i.e., the roads where the information
should be disseminated. At these places, the vehicles are still able to change their routes,
without a drastic deterioration in their travel time. However, if the vehicle leaves a critical
junction, enters in the zone of no return, where is no possibility to avoid the trafc jam, or only
with a major increase in the travel time. Our scope is to optimize the area of DoI in order to
Fig. 2. Example road network
reduce the amount of TTI ooding and at the same time to achieve as low vehicle travel times
as possible.
Traditional ooding methods disseminate this information towards any directions. However,
in the example this information is only interesting at the decision point 4 (optimized DoI),
since the second best choice is route B. It is useless to deliver the TTI further than junction
4, as vehicles are heading towards junction 4, anyway. There is no sense in providing
this information to the whole DoI, like (1,2,3,8,9). However, if both routes A and B would
be congested, this information should be provided to an earlier decision point (junction 2,
segment 1-2), where both routes can be avoided by the by-pass route C. This means that the
DoI can also present characteristics varying over the time.
3.2 Problem formulation
The road network is represented by a directed and weighted graph G(V, E) with
representation described in Speicys & Jensen (2008), using two types of edges E
r
and E
t
(E
r
E
t
=E, E
r
E
t
=). E
r
is a directed edge representing a road between two intersections.
One-way roads are represented with directed edges, while two-way roads with two opposite
directed edges. The set of E
t
represents the turning regulations, i.e., an edge from n
1
V to
n
2
V, where n
1
is the destination node of e
1
while n
2
is the origin node of e
2
, is included in
the graph if and only if a turn is allowed from e
1
to e
2
. The weight of an edge represents the
travel time on the corresponding road, or turning.
The event (trafc jam) is associated to a set of failed roads E
f
, which is a subset of the roads
(E
f
E). We assume that the set E
f
contains the core of the problem, where the actual speed
decreases to a fraction of the normal speed.
We also assume that an estimated Origin-Destination (OD) function for the road network is
known. The OD function OD(n, m) represents the average amount of vehicles traveling from
node n V to m V. If the OD function is not known then it can be assumed that it has
uniform distribution, i.e., OD(n, m) = 1 for each n, m V.
The output of the algorithm is an Impact Vector I
E
f
(e) that shows whether an event on edges
of E
f
has an impact on the route choice of vehicles travelling on edge e, and if yes, in what
extent. The value of I
E
f
(e) is zero if it has no impact on edge e, non-zero if it has an impact.
The value I
E
f
(e) expresses the average amount of vehicles on edge e, whose route choice is
impacted by the knowledge about an event on roads of E
f
.
3.3 SPACE algorithm
In this section the proposedSPACE Algorithmis described, which generates the Impact Vector
I. The algorithm simulates the impact of an event (obstacle, trafc jam) on a set of edges
of the graph. For each affected optimal path p of the graph it is assumed that the travel
time on edges of E
f
increases signicantly. Then, the weights of the affected edges of E
f
are increased, or these edges are excluded from the graph temporarily, and a new optimal
path (the by-pass route) is calculated by running the shortest path algorithmin the temporary
graph, resulting in path p
. We dene three parts of the optimal route p, and illustrate it

on Figure 2, where p=(1,2,3,4,5,6,7,10), and the alternative route bypassing the edges with
increased weights p
=(1,2,3,4,8,7,10):
Part I. Set of edges common with p
, before the disjoint part: e.g., road (1,2,3),

Part II. Set of edges not included in p
, before the event: e.g., road (4,5,6),

Part III. Set of edges after the event: e.g., road (7,10).
In this case, an event on edges in E
f
is important for the last X of edges in part I of p (in
order to choose another route), and in the disjoint part before the event (part II.), in order to
be informed about the obstacle (without the possibility of choosing the other route). These
edges are called relay edges in the algorithm. For all these edges the impact vector I has to be
increased with the amount of vehicles traveling on that route (or by 1, if an OD matrix is not
available). The algorithm is summarized as follows:
Input: Directed Weighted Graph G, OD matrix, Set of failed roads E
f
Output: Impact Vector I
for all Pair of nodes (n, m) OD do
Calculate in G the optimal path p from n to m;
Create a new temporary graph G
E
f
: increase weights of edges of E
f
signicantly;
Calculate by-pass route p
from n to m in G
E
f
;
Calculate the set of relay edges: E
R
E;
for all edge e
r
E
R
do
Increase I
E
f
(e) by OD(n, m);
end for
end for
3.4 SPACE ILP algorithm
In this subsection the problemof nding the optimal Domain of Interest (DoI) is formulated as
an Integer Linear Programming (ILP) problem, as presented in Torok et al. (2010). Although,
solving an ILP by a solver has a long running time, we emphasize that this formulation has
the following motivations: the formulation gives an exact denition of the TTI dissemination
problem and it allows a precise analysis of the problem compared to heuristic algorithms.
First, let us dene the normal route of the vehicles. For each edge (i, j), i, j V, and origin
and destination nodes n, m V, we dene the set of assignment variables, X = {x
nm
ij
}. The
variable x
nm
ij
takes value 1 if edge ij is used in the shortest path from n to m, and 0 otherwise.
The known ow conservation constraints for the default routes are as follows:
For each j, n, m V where OD(n, m) >0:
iV
x
nm
ij

kV
x
nm
jk
=
1 if j = n
1 if j = m
0 otherwise
(1)
Similarly, the by-pass route is dened for the vehicle. For each edge (i, j), i, j V, and origin
and destination nodes n, m V, we dene the set of assignment variables, Y = {y
nm
ij
}. The
variable y
ij
takes value 1 if edge ij is used in the by-pass route from n to m, otherwise 0. The
ow conservation constraints for the by-pass routes are as follows:
iV
y
nm
ij

kV
y
nm
jk
=
1 if j = n
1 if j = m
0 otherwise
(2)
Furthermore, in the formulation, both the normal and the by-pass routes are to be split in
several pieces. For this, ve more assignment variables are dened: a
nm
ij
, b
nm
ij
, c
nm
ij
, d
nm
ij
,
f
nm
ij
(for each edge (i, j), i, j V and origin and destination nodes n, m V) with following
denitions:
a
nm
ij
is 1 if edge ij belongs to the common part of the normal and the by-pass route, 0
otherwise.
b
nm
ij
is 1 if edge ij belongs to the normal route after the fork of the normal route but before
the trafc jam, 0 otherwise.
c
nm
ij
is 1 if edge ij belongs to the trafc jam ((i, j) E
f
), 0 otherwise.
d
nm
ij
is 1 if edge ij belongs to the normal route after the fork of the normal route but after the
trafc jam, 0 otherwise.
f
nm
ij
is 1 if edge ij belongs to the by-pass route while not to the normal route, 0 otherwise.
For an example of these denitions see Figure 2 with origin=1, destination=10, optimal route
(1,2,3,4,5,6,7,10) and by-pass route (1,2,3,4,8,7,10). a
nm
ij
= 1 for roads (1,2),(2,3),(3,4) and (7,10).
b
nm
ij
= 1 for roads (4,5) and (5,6). c
nm
ij
= 1 for road (6,7). d
nm
ij
=0 for all roads. f
nm
ij
=1 for roads
(4,8) and (8,7).
The above denitions are ensured by the following equations:
For each (i, j) E and n, m V where OD(n, m) >0:
a
nm
ij
+ b
nm
ij
+ c
nm
ij
+ d
nm
ij
= x
nm
ij
(3)
x
nm
ij
+ f
nm
ij
1 (4)
a
nm
ij
+ f
nm
ij
= y
nm
ij
(5)
Furthermore, the part of the default route after the jammed link (d) has to be distinguished
form the part before the jam (b) with the following constraint:
iV
d
nm
ij

kV
d
nm
jk
=
1 if c
nm
ij
= 1
0 otherwise
(6)
For each road (i, j) affected by the trafc jam ((i, j) E
f
) set c
nm
ij
to 1 and y
nm
ij
to 0, while for
each other (not jammed) road ((i, j) / E
f
) set c
nm
ij
to 0.
Next, the assignment variables for the propagation region are dened and we formulate the
fact that vehicles does not by-pass the jamuntil they receive a message about it, i.e., the normal
route and corresponding by-pass route are to be the same outside the propagation region. For
each edge (pair of nodes) (i, j), i, j V, we dene the set of assignment variables, R = {r
ij
}.
The variable r
ij
takes value 1 if edge ij is included in the propagation region, otherwise 0.
In order to ensure a propagation region that reaches all places where normal and by-pass
routes are to be forked, the following constraints are dened:
For each n, m V where OD(n, m) >0:
r
ij
b
nm
ij
(7)
Finally, we dene the objective by minimizing the weighted average of the length of all
by-pass routes and the total length of the propagation region:
min

(i,j)E
ij

n,mV
y
nm
ij
+ (1 )l
ij
r
ij
(8)
l
ij
denotes the cost (length, travel time, etc.) of travelling on road ij while l
ij
denotes the
cost (e.g., road length, communication cost) of propagating information on road ij. Parameter
(0 1) expresses the importance of minimizing the total length of all by-pass routes
against the total propagation region.
In summary, for the ILP formulation we dene constants: c
nm
ij
, l
ij
, l
ij
; binary variables x
nm
ij
,
y
nm
ij
, r
ij
, a
nm
ij
, b
nm
ij
, d
nm
ij
, f
nm
ij
; objective: (8) and constraints: (1)-(7).
3.5 Query-based information gathering
As we presented above, in Dikaiakos et al. (2007) a query-based protocol is provided to
achieve spatial adaptivity by the means of pull-based techniques. Unfortunately, there is
no exact mechanism specied to calculate at what extent the queries, respectively the TTI
reply/caching, should be propagated inside the road network. In the original paper the
authors present simulations, where the queries are propagated only to a randomly selected
value of 400-800 meters inside the road segments. This means that in certain situations the
information will not be received in time to calculate the proper by-pass route. Therefore,
additional mechanisms are necessary to determine the critical points until when the queries
must be propagated, i.e., from where the TTI information has to be gathered. Considering a
vehicle entering at junction 1 in the road graph of Figure 2, it is hard to decide when and how
deep to inject the trafc information query in order to discover a possible trafc jam on route
A. This problem is related to the calculation of the optimal DoI, and can only be solved by
using additional information about the vehicles context, i.e. the route graph traversed during
the trip.
In Laborczi et al. (2010) an extension of the previous ILP formulation is given, with the aim to
optimize the positions where vehicles along their routes should send query messages, in order
to collect information about possible trafc jams. Thus, this formulation can be considered as
an optimization of the query protocol presented in Dikaiakos et al. (2007). The numerical
results of the formulation are presented in the following section.
The equations 1 - 6 fromthe previous section are the same also for the query-basedinformation
gathering.
In order to nd an optimal point to send a query message, we have to dene the following set
of variables:
s
nm
ij
is 1 if edge ij belongs to the common part of the normal and the by-pass route and to
the DoI as well.
With the following three constraints the properties of variables s
nm
ij
are ensured:
For each n, m V where OD(n, m) >0:
r
ij
b
nm
ij
+ s
nm
ij
(9)
s
nm
ij
a
nm
ij
(10)
Edges where s
nm
ij
or b
nm
ij
takes value 1 should be a coherent region, which ends at the trafc
jam:
iV
(s
nm
ij
+ b
nm
ij
)

kV
(s
nm
jk
+ b
nm
jk
) =
1 if k c
nm
jk
= 1
0 otherwise
Finally, the propagation delay of the distributed messages has to be taken into account. It
takes some time for the query message to reach the jam, and the reply message to reach the
originator. The query message should reach the begin of jam, collect information and the reply
message should reach the vehicle before it reaches the optimal decision point expressedby the
following constraint:
(i,j)V
(s
nm
ij
l
ij
v
veh
(2b
nm
ij
+ s
nm
ij
)
l
ij
v
mess
) 0, (11)
Where l
ij
is the length of the ij road segment, v
veh
is the velocity of the vehicle, v
mess
is the
velocity of the message propagation.
Finally, we dene the objective by minimizing the weighted average of the length of all
by-pass routes and the total length of the DoI:
min

(i,j)E
ij

n,mV
y
nm
ij
+ (1 )l
ij
r
ij
(12)
where, l
ij
is the cost (length, travel time, etc.) of traveling on road (i, j) while l
ij
denotes the cost
(e.g., road length, communication cost) of propagating information on road (i, j). Parameter
(0 1) expresses the importance of minimizing the total length of all by-pass routes
against the total DoI.
In the next section, we use this formulation as follows. First, for each n, m V where
OD(n, m) >0 calculate shortest path and set variables x
nm
ij
based on the result of the shortest
path algorithm. Second, solve the following ILP problem: constants: x
nm
ij
, c
nm
ij
, l
ij
, l
ij
; binary
variables: y
nm
ij
, r
ij
, a
nm
ij
, b
nm
ij
, d
nm
ij
, f
nm
ij
, objective: (12) and constraints: (2)-(6) and (9)-(11).
4. Numerical analysis of the SPACE and SPACE ILP algorithms
In this section we present the evaluation of the proposed heuristic and linear programming
algorithms. All the simulations were effectuated on the same section of a digital map of
Budapest.
4.1 SPACE
The output of the SPACE algorithmis demonstrated on Figure 3 for two roads of the Budapest
test network. A main road (bridge, solid line), and a side road (from down-town, dotted line)
were considered for analysis. The x-axis represents the domain of interest, i.e., the sum of
road lengths on which the information about the event is disseminated, while y-axis represent
the impact factor. The information is sent to roads (e) of higher impact factors (I
E
f
(e)), while
roads with minor impact factors can be neglected. First, we assume that there is a trafc jam
(obstacle) on the main road (depicted with solid line). If the TTI information is ooded to the
whole domain of interest, then it should be spread to 16,000 meters. Therefore, a threshold
(e.g., TR = 4,000) should be set in order to avoid superuous forwarding. In this way the
information is carried to the majority of vehicles (just 1,000 from more than 15,000 do not
receive the information in time), while the domain of interest is decreased to 4,000 meters,
instead of 16,000. Second, we consider an obstacle on a side street (dashed line). As expected,
the impact factor of such streets is less, i.e., if the threshold is set to 1,000 then the domain of
interest is 500 meters.
Fig. 3. Domains of Interest for different road types using the SPACE algorithm
4.2 SPACE ILP
In order to have a better understanding, the results of the SPACE ILP algorithmare presented
below. A main road ( bridge), and different side roads (fromdowntown area) were considered
for analysis. The bridge graph represents averaged values for trafc demands initiated from
both sides of the city, considering trafc jam on one of the bridge lanes. The downtown graph
represents averaged values from different congested downtown roads (considering also the
major roads leading to the bridge).
Figure 4 shows the Domain of Interest (DoI) depending on the parameter (see Objective
(8)). We recall that (0 1) expresses the importance of minimizing the total length of
all vehicle by-pass routes against the importance of minimizing the propagation region (area
of dissemination). The DoI is represented as the sum of the road segment lengths included in
the propagation region.
It is obvious that for both graphs the DoI increases by increasing . On the other hand, the
gure shows that the two types of roads represent different dynamics considering their DoI.
In case when the obstacle is on the bridge, the DoI increases steeply with the increase of . This
means that in order to reach all roads of the maximumDoI, higher efforts must be involved for
TTI dissemination. However, after a limit ( 0.6) the DoI is not increasing signicantly (only
about 1 km). A crucial point for is between 0.3 - 0.4, where the DoI increases signicantly.
Considering congestion on downtown roads the situation is different. It can be seen, that the
Fig. 4. Domains of interest in function of parameter
variance of the DoI values is higher; however, the area of DoI for downtown scenarios is only
a fraction of the values of the bridge scenarios.
These observations are also validated if we consider the length of alternative (by-pass) routes
in function of (Figure 5). As increases, the length of by-pass routes will decrease, because
more and more vehicles will be able to choose the ideal by-pass routes to avoid the congestion.
For the bridge scenario the length of alternative routes decreases with about 30% if we
disseminate TTI by employing = 0.4. In case of downtown congestions, we can observe
that the length of alternative routes will not decrease signicantly as we increase , since the
best by-pass routes are closer to the area of congestion. Thus, for downtown roads it is useless
to disseminate the information further than the next couple of road segments (e.g. 200-300
meters), since the by-pass routes would not become shorter in any case.
Numerous analysis have been carried out that also show that the effect of on the DoI and
length of alternative routes is signicant between 0.2 and 0.4 for most of the roads.
4.3 Query-based information gathering
In this section we present the numerical results of the generic query-based trafc information
gathering protocol. The results were generated by creating a large amount of random
source-destination route pairs on the road graph of Budapest. Optimal query locations were
generated by solving the ILP formulation described in the previous section. A characteristic
set of results, presenting interesting cases, were selected for presentation.
On Figure 6 the x-axis represents the distance of the source (n) of a vehicle fromthe trafc jam
(while the destination (m) was xed), while the y-axis represents the alteration in length of
the respective metrics. The road length increase presents the difference between the original
and the different by-pass routes (
(i,j)E
l
ij
(y
nm
ij
x
nm
ij
), for source n and destination m), while
the query distance metric presents the distance from where the query is injected towards the
point of interest (
(i,j)E
(l
ij
r
ij
), l
ij
= l
ij
= length of road (i, j)).
In case when the jam was on a bridge (diagrams noted with (B)), the length of the original
route was 3300 meters. When the distance was less than 200 meters from the trafc incident,
the increase in the by-pass route length was nearly 1600 meters, an increase of around 50% of
Fig. 5. Length of alternative routes in function of parameter
the original route. As the source was generated further away from the trafc jam, the by-pass
route length increase could be reduced signicantly. The breakpoints in the graph are the
points in the road network, where a new by-pass route could be taken. As we can see, the
optimal query distance in this case is around 1000 meters. That is the point where the vehicles
can take the shortest by-pass route according to the information contained in the returned TTI
message.
On the diagrams noted with (M2), a major road in the city is displayed, where the length of
the original route was 2500 meters. It can be seen that in case of short query distances the
length of the by-pass routes could be as much as the double of the original route length. As
the query distance is increased to 1000 meters, the by-pass route length decreases to around
600 meters, and with a query distance of 1200 meters, the route length increase is only 100
meters. This shows that nding the optimal query distance is really important, because the
length of the by-pass route can be reduced signicantly.
The diagrams noted with (M1) present a case when the trafc jamis on a main downtown road
with plenty of nearby roads, which can be taken as by-pass routes. Thus, the query distance
can be set to a small value, since the increase in by-pass route will become negligible.
4.4 Comparison of SPACE and SPACE ILP
Until now we investigated the effect of trafc congestion on TTI dissemination separately
studying the heuristic (SPACE) and the optimal (SPACE ILP) Domain of Interest calculation
algorithms. Considering the results from Section 4.1 and Section 4.2 we can afrm that the
outcome of the algorithms present certain similarities. For example, from both approaches
it turns out that the trafc jams can be classied in two major categories. One category
is represented by trafc jams of main, crucial roads (e.g. bridge), with a large Domain of
Interest and an increased length of the by-pass routes. The dissemination of TTI for such
trafc incidents is extremely important, since the zone of no return of these trafc jams is also
large. The second category of trafc jams is represented by downtown roads with small DoI
Fig. 6. Query results of different trafc jams
values. Such congestions can be avoided quite easily, since there is a large number of shorter
by-pass routes around them.
Besides discovering resemblances of the algorithms outcome it is also important to consider
their potential benets and differences. The main advantage of SPACE ILP is the optimal size
of DoI result sets for different parameters of the actual context (e.g. network load, reected by
parameter ). However, the SPACE ILP algorithm can be employed only for the calculation
of a limited number of DoI calculations, since its running time is relatively high; thus, it
cannot be used to calculate the DoI for all the segments of a larger road network. That
is where the SPACE algorithm comes into picture, because it presents much faster running
times. Unfortunately, there is no method dened on how to select the most important road
segments fromthe outcome of the SPACE algorithm. The impact factor metric gives us a good
measure regarding the importance of different road segments, but it does not indicate a certain
threshold , which would limit the DoI area for the respective result set. Therefore, the aim of
this subsection is to provide a method, which provides a relationship, associates the results of
the two DoI generator algorithms.
In order to nd such a relationship we opted to compare and analyze the result sets of the
two algorithms in a spatial manner. We designed and built an extension for our RUBeNS
vehicular simulation environment Laborczi et al. (2006), which is able to load, store and
analyze the DoI result sets of the algorithms. The extension is built in the PostgreSQLdatabase
management system and takes advantage of its geographic support, PostGIS and pgrouting.
In this framework by using common map references we have an unied view of uploaded
data, and through embedded functions we are able to dene different spatial operations and
methods for analyzing the uploaded result sets. For example, we can calculate the area or
perimeter of DoIs, we can compare the DoI result sets regarding their spatial coverage and
relationships, and we can design methods to intelligently reduce the area of SPACE DoIs.
For the reduction of SPACE DoI areas we implemented the following simple method. From
the uploaded DoI sets of SPACE ILP we selected certain cases, which represent characteristic
DoIs (for large and small trafc jams). From these DoIs we get the optimized set of road
segments, which in turn will be searched in the DoI set of the SPACE algorithm for the same
trafc jam. Based on this we get a reduced set of road segments from the respective SPACE
Fig. 7. Comparison of Domains of Interest of the SPACE and SPACE ILP algorithms
DoI, for which the dissemination area is optimal. Then considering the impact factors and
domain of interest lengths for this result set we calculate the derivative of the graphs slope.
This will provide the threshold for limiting the area of other DoI result sets. For reducing
the size of other SPACE DoI result sets we always select road segments until their graphs
slope represents higher values than the calculated threshold. This would mean that these
road segments are still important for TTI dissemination about the respective trafc incident.
By using this calculation the size of all SPACE DoIs can be reduced; thus, a corresponding
association between the two algorithms was identied.
The results of the method are presented on Figure 7, where we represent how the road
segments with different relevance regarding the DoI are situated along a selected vehicles
route. A cross-bridge route was selected, where the length of DoI (considered only on this
specic path) is represented in function of the link IDs along the path, the trafc jams were
generated consecutively for the respective road segments. On the gure trafc jams with large
inuence (large DoI) can be observed between links with IDs 113870 and 114205 (critical part),
where the DoI (along the route) of SPACE can reach even 1400 meters. This means that in case
of a trafc jam situated along this critical part the TTI should be disseminated to a large part
of the route, in order to avoid the trafc jam of the respective links with small by-pass routes.
This critical part of the route contains also the bridge. For the rest of the route the congested
links can be avoided easily, this is represented by small values for DoI.
It is important to observe that the results of DoI sets for SPACE and SPACE ILP represent
similar behavior, emphasizing the difference between the different kinds of trafc jams (with
small, respectively large DoI values). The difference between the values of DoI length of the
algorithms output come from the fact that in the case of the SPACE algorithm we added
a few more link segments (additional length increase), since we wanted to provide a larger
zone for query and decision making during the trip along the respective route segment. The
outcome of SPACE ILP is a little bit to optimistic, since it does not take into account the delays
of information propagation.
By applying the method for the whole set of uploaded SPACE DoIs (Figure 8) we can observe
that size of DoIs (original, without reduction) shifts from the larger values towards much
smaller ones (reduced DoIs). This can be attributed to the fact that only a few road segments
Fig. 8. Reshaping the Domains of Interest of the SPACE algorithm
are really important (large DoI areas), while the majority of trafc jams affect roads with
small inuence (from downtown areas). Similar results could be achieved by employing the
SPACE ILP algorithm for DoI calculations. Thus, the SPACE DoI reduction algorithm proves
to be effective to determine the correct size of dissemination areas.
5. Conclusions
The current trends and problems of intelligent transportation systems have been presented
in the beginning of this chapter. We presented a short overview of research on providing
location-aware services in vehicular networks by disseminating information messages, for
example regarding trafc congestion or fuel prices at a gas station, and maintaining these
messages at key areas in the trafc network. This way the vehicles that traverse through
these areas get informed about the content of the message and are able to alter their route
accordingly. In the second part of the paper we presented SPACE, a heuristic algorithm
to determine the domains of interest to a given event, for example a trafc jam, where
the dissemination of the message is important. Following that we have given a linear
programming formulation to determine the optimal domains of interest for a given trafc
scenario. In the next section an extension of the linear programming formulation was
described, to take the velocity of the vehicles and the message propagation delay into
account. This allowed the extension of the DoI, so the vehicles could be notied before
they reach the junction where the optimal alternative route starts. In the nal section we
evaluated the heuristic and the linear programming algorithms with different settings of the
adjustable parameters using the RUBeNS simulation environment. It was shown, that the
linear programming solution can be used to calibrate the heuristic algorithm, although SPACE
does not presents the optimal solution like the linear ILP algorithm, but it runs signicantly
faster, thus it is more usable.
6. References
Burgess, J., et al., MaxProp: Routing for Vehicle-Based Disruption-Tolerant Networks, IEEE Infocom
2006, 2006 April, Barcelona, Spain.
Dikaiakos, M. D., et al. (2007), Location-Aware Services over Vehicular Ad-Hoc Networks using
Car-to-Car Communication, IEEE Journal on Selected Areas in Communications, vol.
25, no. 8, October 2007.
Dikaiakos, M. D., et al. (2010), On the Evaluation of Caching in Vehicular Information Systems, 9th
Hellenic Data Management Symposium; 2010 July 2.
Laborczi, P., et al., In: Vehicle-to-Vehicle Trafc Information System with Cooperative Route
Guidance, 13th World Congress on Intelligent Transport Systems; 2006 October 8-12;
London, United Kingdom.
Laborczi, P., Mezny B., Torok, A., Ruzsa, Z., Query-based Information Gathering in Intelligent
Transportation Systems, International Symposium on Combinatorial Optimization,
March 24-26, 2010, Hammamet, Tunisia
Leontiadis, I., Mascolo, C., Opportunistic SpatioTemporal Dissemination System for Vehicular
Networks, The First International Workshop on Mobile Opportunistic Networking
ACM/SIGMOBILE MobiOpp 2007; 2007 June 11; San Juan, Puerto Rico, USA.
Lochert C., et al., Data Aggregation and Roadside Unit Placement for a VANET Trafc Information
System, ACM VANET08, September 15, 2008, San Francisco, California, USA.
Sormani, D., et al., Towards Lightweight Information Dissemination in Inter-Vehicular Networks,
The Third ACM International Workshop on Vehicular Ad Hoc Networks; 2006
September 29; Los Angeles, California, USA.
Speieys, L., Jensen, C. S., Enabling Location-based Services Multi-Graph Representation of
Transportation Networks, Journal GeoInformatica, Publisher Springer Netherlands, ISSN
1384-6175
Tian, J., Han, L., Rothermel, K., Spatially Aware Packet Routing for Mobile Ad Hoc Inter-Vehicle
Radio Networks, IEEE Intelligent Transportation Systems, 2004, 2004 October 12-15.
Torok, A., Laborczi, P., Gerhath, G., Spatially Constrained Dissemination of Trafc Information
in Vehicular Ad Hoc Networks, IEEE Vehicular Technology Conference VTC2008-Fall,
21-24 Sept., 2008, Calgary, Canada.
Torok, A., Laborczi, P., Mezny, B., Context-aware Trafc Information Flooding in Vehicular Ad Hoc
Networks, Tamkang Journal of Science and Engineering, Vol. 13, No. 1, 2010
Zhao, J., Cao, G., VADD: Vehicle-Assisted Data Delivery, Vehicular Ad Hoc Networks, IEEE
Infocom 2006, 2006 April, Barcelona, Spain.
7
CARAVAN: Context-AwaRe
Architecture for VANET
Sawomir Kukliski
1
and Grzegorz Wolny
2

1
Orange Labs Poland, Warsaw University of Technology
2
Orange Labs Poland, University of Warsaw
Poland
1. Introduction
One of the new networking concepts which was born during the last decade is the
communication between cars using short range wireless solutions, known as VANET
(Vehicular Ad hoc NETwork). Despite the significant research efforts the VANET are still in
the infancy and so far there are no implementations. In fact the VANET concept imposes a
lot of serious problems, which so far have been resolved only partially. The most important
problem is the intermittent connectivity of VANET nodes caused by high mobility of cars.
The high dynamics of cars combined with usage of short range communications make the
connectivity among the cars very unstable, so even the best effort service cannot be
guaranteed. Of course, the communication quality differs in cities during traffic jams (where
we may obtain dense and stable networks) from one in highways (where the VANET
network is sparse and the topology is highly dynamic). Due to the variety of communication
scenarios it is very hard to predict the generic transport characteristics of VANET networks.
It is worth to mention that there have been created many routing protocols for VANET.
Unfortunately, most of them are focused on specific scenarios only. Another VANET
problem deals with the definition of services suitable for these networks. VANET can be
used for safety applications (this is the primary goal), for driving support information
services (information about parking places, points-of-interest, etc.) and, in some concepts, it
can offer classic Internet services including high quality media streaming. Of course, the
above mentioned VANET problem with highly unreliable communication will limit the
service portfolio in the same way as it is observed in other networks. It has to be noted
however, that in VANET the diversity of communication quality is enormous; in some
situations high quality links of high throughput can be created (in case of parked cars) but at
the other extreme there is highly intermittent communication which enables only the
exchange of short messages between the nodes (the highway case). The next VANET
specific problem is related to the identification of service recipients and the way in which
the information is disseminated among them. It has to be noted that the client-server model,
very popular in the Internet, has only limited or even no usage in VANET, because such
networks are generally server-less. Using node address for service delivery also has limited
usage, because it characterizes neither a node nor its service requirements. The classic
unicast communication has very limited usage as well. The range controlled broadcast,

126
multicast (if groups are identified) or anycast in some cases are better suited for, and in
many (though not all) cases the geocasting is a solution of choice.
A very important problem concerns the incremental deployment of VANET and is linked to
VANET business model. There is no doubt that the deployment of such networks will
progress gradually, and it is expected that VANET nodes will be built in cars by car
vendors. That way only new cars will be equipped with VANET nodes and it will take years
before almost all cars will have them on board. Of course, such slow deployment creates
several important issues; in the beginning the VANET nodes density will be extremely low
resulting in sporadic communication only. On the other hand, in coming years, due to the
technology progress, new and more advanced VANET concepts can be developed. The last
problem calls for an open approach to VANET architecture that is able to accommodate new
concepts on the component basis.
In this chapter we present a unified architectural VANET framework, called CARAVAN
(Context-AwaRe Architecture for VANET), which is aimed to cope with all problems
mentioned above. This framework is able to simultaneously handle different
communication schemes (including disruption tolerant networking), to deal with rich
service portfolio adapted to communication limitations, and to accommodate most of
algorithmic concepts designed for VANET. The unified framework behavior and adaptation
is driven by contexts (context-aware approach). Contexts are related to service/application
requirements, communication ability, mobility vectors and the mutual space-time relations
of cars/nodes. In the proposed approach the communication scheme is based on multiple
protocols. The selection of the protocol is made accordingly to the quality and stability of
links that typically depend on the distance between the nodes and on the mobility vectors.
The heart of the proposed concept is the context engine which processes context coming
from different layers of the architecture.
In Section 2 of this chapter a short introduction to VANET which will help in the
understanding of the proposed solution is presented. Section 3 contains the related work and
short review of main algorithmic concepts which are applicable to VANET. Section 4 is the
main part of this chapter and it contains the CARAVAN concept description together with the
description of its implementation and sample use case. Section 5 concludes the chapter.
2. Vehicular ad hoc networks
Vehicular ad hoc networks (VANETs) have recently become an important research area
with contributions split between government and industrial consortia, as well as the
academic community. Current efforts focus on the design of a new set of vehicular
applications and services improving the comfort and security of the driving experience. The
specification of this type of mobile networks enables many new possibilities, but from the
other side it creates many non-trivial challenges. This section is a very short introduction to
VANET. Much more detailed descriptions of VANETs can be found in (Olariu & Weigle,
2009) and (Moustafa & Zhang, 2009).
2.1 Characteristics
Vehicular ad hoc networks can be considered as a special case of mobile ad hoc networks
(MANETs). However, there are several important factors, which make this type of networks
specific and which allow to treat them as a separate category. Here are the fundamental
VANET features:
CARAVAN: Context-AwaRe Architecture for VANET

127
Very high dynamics of nodes resulting in fast topology changes. As the communication
devices are installed inside vehicles, the network nodes are much more mobile and they
move with much higher speeds. Vehicles are restricted to move using roads and to
abide by the traffic rules, so some mobility patterns can be observed and some statistical
mobility models for VANET have been designed (Hrri et al., 2006).
Information about the current position, movement direction, current velocity, city map
and planned movement trajectory of VANET nodes is available, as more and more
vehicles are equipped with GPS devices and navigation systems.
VANETs impose lack of energy constraints, higher computational power and
practically unlimited memory capacity, in comparison to some other ad hoc networks
(especially to sensor networks).
VANET networks are usually of very large size (case of traffic jams) but also may exist
in a form of many small, neighboring networks with a high probability of splitting and
joining.
There is a big diversity of VANET services and applications, and one-to-one
communication is less important than some intelligent broadcast (for example geocast)
required by most safety related applications.
Besides the scenarios when vehicles communicate only with each other (sometimes called
Vehicle to Vehicle (V2V) or Car to Car (C2C) communication) there exist two other scenarios
which also distinguish VANETs from MANETs. Some research studies consider a case of
communication between vehicles and fixed roadside equipment (Vehicle to Infrastructure
(V2I) or Car to Infrastructure (C2I)). Such communication can be used for Internet access or
in some new vehicular applications, e.g., vehicles exchanging data with a service station
while being in repair. Last scenario is a hybrid case when vehicles can be treated as relays to
increase the range of ground services.
2.2 Services and applications
VANET services and applications differ significantly from the classic ones known from
MANETs. Possibly the most important group of services, which makes research studies on
VANETs increasingly popular, are those related to driving safety. Safety applications
include among others: current traffic reports dissemination, road obstacles warning
(accidents, works and other unusual situations), driving maneuvers assistance (vehicles
overtaking, lane changing) or traffic-aware trajectory planning.
Another group of applications which can gain popularity among road users are
infotainment services. The most basic ones are related to advertising distributing
information about free hotels rooms, restaurants offers, discounts in stores, etc.. Gasoline
prices, information about free parking spaces of the nearest service station can also be
disseminated. Probably such services will have to be extended by some publish/subscribe
mechanisms, so that driver is not spammed with a number of unwanted messages. Some
infotainment services can be also useful for pedestrians e.g., buses can estimate time of
arrival at the bus stop using knowledge about traffic conditions and then distribute this
information to the waiting passengers.
Some one-to-one services can also be considered, but probably they can be applied only in
the limited range because of highly intermittent communication. Much more applications
will be based on the intelligent context-aware data dissemination.

128
2.3 VANET related projects
Vehicular ad hoc networks are a hot topic nowadays, so many researchers are involved in
national and international consortia leading great number of projects related to different
challenges in this area. The best known consortia are Car 2 Car Communication Consortium
(C2C-CC) (Baldessari et al., 2007) in Europe, Vehicle Safety Consortium (VSC), Collision
Avoidance Metrics Partnership (CAMP), Vehicle Infrastructure Integration Consortium
(VIIC) in United States and Advanced Safety Vehicle (ASV) in Japan. The Intelligent Car
Initiative (Reding, 2006) is one of the biggest initiatives of the European Union which aim is
to investigate the potential of information and communication technologies in improving
life quality also by development of intelligent vehicular systems in order to make cars
smarter and safer. Here is a short list of selected projects related to VANETs:
FleetNet (Franz et al., 2001) a pioneer research project investigating the direct
communication between cars,
Network on Wheels (NoW) (Festag et al., 2008) the successor of FleetNet which aimed
at developing an open communication platform designed for safety, traffic efficiency
and infotainment purposes,
PReVENT (Schulze et al., 2005) a R&D project on the use of different technologies to
help the driver to avoid an accident with two main issues being investigated wireless
local danger warning and intersection safety,
Co-operative Vehicle-Infrastructure Systems (CVIS) (Mietzner, 2007) another R&D
which is focused on providing methods for continuous V2I communication and
cooperative services in order to increase road safety and traffic efficiency,
SAFESPOT (Giulio, 2007) a project designing Safety Margin Assistant which should
help to detect in advance the dangerous situations and to make a driver more aware of
the environment surrounding,
SeVeCom (Leinmller et al., 2006) a project focusing on the security and privacy
issues in vehicular communication.
Beside pure research oriented projects trying to resolve particular problems there is also
whole big branch of consortia involved in regulation and standardization activities. Car-to-
Car Communication Consortium composed of about 50 partners is working on the industry
standard for vehicular communication using wireless LAN technology. An institution
playing a major role is the European Telecommunications Standard Institute (ETSI) with a
new technical committee for Intelligent Transport Systems (TC ITS). Different working
groups are focusing on application requirements, architectural and cross-layer issues,
transport and network, media and related issues, and security. CEN is the European
Committee for standardization it is a private and non-profit organization which works on
such issues as electronic fee collection, dedicated short-range communication (DSRC) and
identification of vehicles. Another standardization works are done by ISO and Internet
Engineering Task Force (IETF).
A comprehensive review of the VANET related European consortia, projects and
standardization activities can be found in (Le et al., 2009).
3. VANET supporting concepts state of the art
The characteristics of the VANET listed in Section 2.1 call for a specific approach to VANET.
It should consider proper routing in very dynamic network, content dissemination, service
specific issues and finally a security and privacy. In fact some concepts developed for

129
mobile ad hoc networks (MANET) that have been studied for a long time can be reused and
adapted to VANET, however some VANET specific properties may require completely new
approach. This chapter provides a short overview of the most popular concepts which were
developed for VANET. This overview is very important in the context of the CARAVAN
that has been designed in order to obtain the synergy by integration and dynamic selection
of the already developed VANET algorithms.
3.1 Routing protocols
The detailed survey of routing protocols in the context of vehicular networks can be found
in (Ros et al., 2009), which has been a main guide for creating this review.
The design of the routing protocols for VANET is especially challenging task due to the high
mobility of nodes, large network size and the intermittent communication. The first
attempts base on the usage of routing protocols developed for mobile ad hoc networks
(MANET). These protocols can be divided into four groups proactive, reactive, hybrid and
geographic routing. In proactive routing, the paths between all pair of nodes are determined
in advance, i.e., before they are needed. The most popular proactive protocol is Optimized
Link State Routing (OLSR) (Clausen & Jacquet, 2003) in which the nodes discover network
topology using beacon messages. Knowing the topology each node computes the shortest
paths to all possible destinations and stores the next hops in its routing table. OLSR is a
good approach for dense, small and relatively static networks, thus it can be applied to
stable groups of VANET nodes. The reactive routing protocols try to find the path to the
destination only when it is needed. Two most known protocols belonging to this category
are Dynamic Source Routing (DSR) (Johnson et al., 2001) and Ad hoc On Demand Distance
Vector (AODV) (Perkins & Royer, 1999). The first one finds a path to the destination by
broadcasting route request messages into the network. Each node forwarding the request
updates it by adding itself to the path. When the message achieves the destination it
contains the complete path. The DSR protocol includes some optimization and the path
maintenance procedures. Each packet sent from the source to the destination stores the path
in its header this is a big drawback in large networks, where routes are usually long. The
AODV protocol uses quite similar approach but the paths are stored in the routing tables of
the nodes instead in packets themselves. Each node builds such table whenever it is possible
by storing next hop nodes on the paths to the destinations. The mechanism of the sequence
numbers in route request packets guarantees loops freedom. Reactive protocols can handle
well the dynamic topologies. Unfortunately, they are not well suited for large static
networks, thus they can be used in limited ranges in city scenarios with increased nodes
density, but not necessarily in case of traffic jams.
The main representative of hybrid routing protocols category is Zone Routing Protocol
(ZRP) (Haas & Pearlman, 2001). All nodes have assigned their own zone including all
neighbors that are at most k hops away, where k is a protocol parameter, which can vary
depending on external conditions. Inside this zone the proactive Intra-Zone Routing
Protocol (IARP) is used while to communicate with peripheral nodes the reactive Inter-Zone
Routing Protocol (IERP) applies. This approach splits the network into interconnected
zones, which provides increased scalability. Unfortunately, the criterion for the network
split (i.e., the hop distance) has limited value in VANET.
The protocols belonging to the categories mentioned above can be used in vehicular
networks, but they do not match well all possible VANET communication scenarios. The
main drawbacks of these protocols are: scalability, incorrect assumption about full network

130
connectivity and extensive use of flooding, that leads to high consumption of network
resources and increases the contention to medium access as well as communication latency.
Another important issue is that the paths established in VANET are usually valid only for
short period of time, as a result of high mobility of nodes. These protocols usually do not take
into account the VANET specific features, such as the access to information about the
geographic position, city maps, node trajectories, mobility constraints and possibilities to
predict the movement of nodes in the near future that is based on mobility patterns. However,
there are also so called geographic routing protocols that use the information listed above.
The first geographic routing protocols were simple greedy algorithms. In Greedy Scheme
(GS) (Finn, 1987) approach the forwarding node as a successor chooses a node assuring the
greatest progress. In Compass Routing (CR) (Kranakis et al., 1999) protocol the idea is very
similar but the choice is based on the smallest angle between the line to the destination and
the line to the neighboring node. The Most Forward within R (MFR) (Takagi & Kleinrock,
1984) approach deals with loops problem which can occur in the previous concepts. One of
the most important solutions in this category is Greedy-Face-Greedy (GFG) (Frey &
Stojmenovic, 2006) protocol, which uses some simple geometrical properties of planar
graphs. The nodes transform the network connections graph using some localized
planarization algorithm and then they try to follow adjacent faces intersecting the line to the
destination. These protocols form a good foundation for further work on geographic routing
protocols optimized for vehicular networks.
Another group of geographic routing protocols can be characterized as source routing. The
Geographic Source Routing (GSR) (Lochert et al., 2003) protocol tries to use a street map to
find the shortest path with Dijkstra algorithm. The route is represented by a list of streets
intersections. Then greedy forwarding is used to deliver packets between junctions on the
list. The Spatial Aware Routing (SAR) (Reichardt et al., 2002) is a modification of GSR which
deals with a local maximum problem (it appears when there is no node to which we can
forward a message and make a progress). SAR introduces buffering of packets in nodes
which are not able to forward immediately. Such nodes wait a predefined time for the
suitable successor before dropping a packet. The next protocol named Anchor based Street
and Traffic Aware Routing (A-STAR) (Seet et al., 2004) makes use of information about road
traffic and tries to find a path consisting of road segments with the greatest possible traffic
density. The Connectivity Aware Routing (CAR) (Naumov & Gross, 2007) protocol is based
on similar idea of building a path using crossroads instead of nodes, but it achieves a goal
without a map access. During the route finding phase the nodes which are close to the
crossroads add their locations to the created path (so called anchor points). Moreover, such
nodes create dynamic guards in the neighborhood of anchor points which are later used
during packet forwarding.
The next set of geographic routing protocols is represented by Greedy Perimeter
Coordination Routing (GPCR) (Lochert et al., 2005). As in CAR protocol there is no
assumption on the street map data. The nodes which are near the junctions become
coordinators and using beacon messages they build virtual topology graph with streets as
edges and junctions as vertices. When such coordinator receives a message to forward, it
makes a decision about the correct street to push it there.
Table 1 taken from (Ducourthial & Khaled, 2009) clearly shows that there is no single
routing protocol that is suitable for all vehicular scenarios. Not all of them are mentioned in
the presented short summary of the routing solutions. Reader will find a nice survey of the
protocols in the book chapter mentioned above.

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Communication Kind
One-to-One One-to-Many One-to-All
Trafc Kind Topology Position Geocast Mobility
Adapted to
sparse
networks
Epidemic,
MDDV,
VADD
Epidemic,
MDDV,
VADD
Epidemic,
MDDV,
VADD
General AODV,
DSR,
OLSR
DREAM,
GSR,
MGF,
MORA,
MURU
DRG,
GAMER,
IVG, LBM,
MGF
RBM,
TRADE
DREAM
Adapted to
dense
networks
CBRP,
HSR,
CAR,
GPCR,
GPSR
GeoGRID LBF,
OABS,
ODAM,
SB, SOTIS,
UMB

Table 1. Application-based taxonomy for routing protocols according to traffic density in
VANET (Ducourthial & Khaled, 2009)
3.2 Location services
There is a silent assumption of many geographic routing protocols that nodes know the
destination position. Depending on the applications, the requirements for location can vary
considerably. Node position data and sometimes street topology obtained from GPS
navigation system are usually sufficient. Other techniques for obtaining position of nodes
include dead reckoning, which works well for short periods of GPS unavailability, cellular
localization and relative distributed ad hoc localization. For many services information such as
maximum range or direction of message propagation is enough. For the others especially
based on one-to-one communication quite detailed knowledge is required. Some protocols
(like GSR) find the destination node by flooding route request messages and only if this phase
ends with success they can use their geographic properties. Other protocols use various
independent location service mechanisms. For example in the CarTalk2000 project (Reichardt
et al., 2002) nodes position is distributed only to nodes within a given number of hops.
Researchers involved in FleetNet project proposed Grid Location Service (Li et al., 2000) using
some nodes as location servers, and Reactive Location Service (Ksemann et al., 2002),
finding position of destination on demand. The V-Grid (Gerla et al., 2006) approach is based
on two complementary location services one in infrastructure network and the second in
vehicular network. Node looking for destination position has to communicate with the nearest
fixed infrastructure point providing location information.
3.3 Clustering
Nodes clustering algorithms are useful in order to identify similar or close in terms of the
predefined clustering metric nodes and form their groups (clusters). Clustering in the
routing enables partitioning of the whole network into smaller subnetworks, thus in some
cases resolves the scalability problem of routing. In dynamic networks clustering helps to

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identify the regions of relatively stable topology. Having a partition of the network nodes
different protocols can be used for the communication inside the clusters and outside of
them (hierarchical routing). Examples of routing protocols that use clusters are Clustered
OLSR (COLSR) (Ros & Ruiz, 2007) and Directional Propagation Protocol (DPP) (Little &
Agarwal, 2005). There also exist pure clustering algorithms such as Modified Distributed
and Mobility Adaptive Clustering (Modified DMAC) (Wolny, 2008) or Density Based
Clustering (DBC) (Kukliski & Wolny, 2009), both of which use mobility patterns and nodes
behavior prediction to form stable clusters. Another possible application of clustering
technique is the automatic identification of user groups that can be interested in the same
kind of services.
In conclusion, the clustering technique is a powerful mechanism and can have various
applications in VANET.
3.4 Content dissemination
One of the biggest challenges in vehicular networks, besides the high mobility of the nodes
causing constant topology changes, is the intermittent communication. In such environment
it is extremely difficult to achieve a reliable content dissemination between the nodes. In
VANET it is very common that the path between the source and the destination is not only
unstable (has very short lifetime), but often it simply does not exist. Due to the high
dynamics of nodes and the use of short range communication of VANET radio interfaces a
permanent communication between the nodes cannot be guaranteed. A possible solution to
this problem is the usage of some roadside fixed infrastructure or some additional
communication channel, e.g., cellular networks. Such solutions have some obvious
drawbacks like limited range (the first approach) and high costs (the second one). Another
possible way of dealing with this problem is to use the Delay-Tolerant Networks (DTN)
approach. DTNs are the main research topic of the Delay-Tolerant Networking Research
Group (Fall & Farrell, 2002), which is focused on the application of DTN to satellite
communications. DTN also has easily observable disadvantage, because it can be applied
only for services which are not delay aware. Fortunately, in many potential VANET
applications longer delays are perfectly acceptable just to mention infotainment and traffic
control services or even some safety ones, e.g., when the nodes have to spread information
about some road obstacles.
The main idea of DTN is to aggregate messages into so called bundles. Bundles can be
stored in nodes buffers when the immediate forwarding is not possible and forwarded later,
when the communication is established again. This communication paradigm sometimes is
described as store-carry-forward, which means that nodes have a possibility to place
bundles in their local buffers and then carry them until a proper node, to which the bundle
should be forwarded, is found. In case when no destination node is reached in a specific
period of time, the bundle is discarded. It is clear that DTN forwarding decisions are more
or less effective depending on the quality of information about network topology and
mobility vector of nodes. DTN routing protocols can be split into deterministic and
stochastic ones. Their common goal is to maximize delivery probability while minimizing
the delay. Some deterministic DTN protocols assume that almost full knowledge about the
network and its future topology evolution is given, sometimes even with the possibility to
affect nodes behavior in order to optimize communication. Such assumption does not make
sense in vehicular networks. A category of protocols which best suits the vehicular
environment can be described as passive stochastic routing protocols. Epidemic Routing

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(ER) (Vahdat & Becker, 2000) is an exemplary protocol belonging to this group. The idea is
trivial nodes carrying the bundles forward them whenever it is possible. This protocol
works well in networks with large buffers, long interaction between nodes and low network
load. In such a case the Epidemic Routing assures minimal delays and high success rates. It
is the most popular benchmark for performance evaluation of newly designed algorithms.
Another popular DTN routing protocol is called Spray and Wait (Spyropoulos et al., 2005)
this time the number of forwarded bundle copies is limited by a certain threshold.
Moreover, there is also a Wait phase, during which nodes try to deliver bundle straight to
the destination. If they do not succeed the new Spray phase begins. The interesting
observation is that with increasing network density the lower copies threshold is needed for
the same protocol performance. A slightly different solution is used in Probabilistic Routing
Protocol using History of Encounters and Transitivity (PROPHET) (Lindgren et al., 2004),
where nodes estimate probability of delivering message to each possible destination.
Research studies on DTN routing protocols for VANET resulted in a development of several
new concepts. The Vehicle Assisted Data Delivery (VADD) (Zhao & Cao, 2008) uses
knowledge about stree topology, mean traffic density, average and maximum speed on each
each street in order to select a path with the smallest expected delivery delay for example
in case when there is no direct connection between source and destination the node will try
to select streets with higher nodes speed and density so that vehicles carrying packets can
do it faster. Motion Vector Scheme (MoVe) (Lebrun et al., 2005) is a solution which uses
information about neighbors velocities to choose node which makes the biggest progress
towards destination. Geographic Opportunistic Routing for Vehicular Networks (GeOpps)
(Leontiadis & Mascolo, 2007) is a trajectory-based protocol which uses the vehicular
mobility patterns properties as well as assumption that each node knows its complete
trajectory from the navigation system.
A more detailed survey of DTN solutions for VANET can be found in (Shao et al., 2009).
There is no doubt, that DTN is a viable content delivery solution which can not be ignored
in VANET.
3.5 Context aware mechanisms
In the descriptions of VANET related concepts presented in the previous sections there is
one common property of the majority of presented solutions i.e., the use of the knowledge
about the network, nodes environment and the mobility, in order to make optimized
decisions. The collected information concerning the node itself as well as the network can be
treated as node context. Using contexts led us to so called Context-Aware Networks
paradigm. In case of VANET the Node Context may consists of, among others, node
position, velocity vector, neighborhood information, street topology together with
information such as vehicles density or speed limits, planned movement trajectory,
communication capabilities, services in use and many more. All this context data can be
used by the routing protocols to increase their performance. In VANET we may also use the
context-awareness for efficient data dissemination. On the context basis we may use
message addressing instead of node addressing; the message destination is described by the
context, e.g., location or maximum distance from the source, not by a destination or
identifier (e.g., the IP address). The message context can also include information about time
validity of the message, priority or service requirements, e.g., whether it is delay tolerant
or not.

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One of the interesting approaches to data dissemination is called Conditional Transmissions
technique (Ducourthial et al., 2007). Authors assume that most of the applications require in
fact broadcast communication and the receiver can be described by some set of conditions.
As the consequence to deal with highly dynamic environment the conditional addressing is
considered instead of network addressing, the path maintaining instead of traditional
unicast and the conditional transmissions instead of broadcast. Each application can use its
own conditions (e.g., the geographic information, the time-related information, the
trajectory related information, the node identity related information, any combination of the
above or even more) to define destination nodes. Conditional transmission service has been
implemented (it is called HOP) and in some simple scenarios it has proved to behave better
than many existing routing protocols.
3.6 Security and privacy
Security and privacy issues although it is a topic of great importance, especially as far as
safety services are concerned have not gained yet a big attention in VANET research
community. Insecure safety services can lead to a counter effect. Gaps in privacy data
protection can result in poor driver interest. Without going into details, there is a possible
attack classification, which shows the challenges in designing security system for vehicular
networks. It should be resistant to both internal and external attacks, where internal attacks
are those by authenticated users and they can be the most dangerous ones. Another
distinction is on intentional and unintentional attacks, with the second type caused usually
by communication errors. There exist active (modification of network traffic) and passive
(captured data used for later unauthorized use) attacks. We can also split attacks into
independent and coordinated ones. The main security challenges for vehicular networks
include real-time constraints, data consistency liability, low tolerance for errors, key
distribution and high mobility of the nodes. Some security requirements which should be at
least taken into account are: availability, message integrity, confidentiality, source
authentication, mutual authentication, authorization and access control, non-repudiation
and privacy protection. The outlined issues are only a short introduction into the problems
which should be resolved before wider deployment of VANET.
A good introduction into a security related issues in VANETs together with a
comprehensive list of references can be found in (Tchepnda et al., 2009).
4. CARAVAN
4.1 Motivation
This section presents CARAVAN, the unified VANET framework, which is able to
accommodate most of the existing VANET mechanisms and use them in an optimal way.
The first version of the concept was defined in (Kukliski et al., 2010). This framework is
component based thus enables independent modification of every component functionality
without the necessity to redesign other components or the overall architecture. In the
proposed framework the usage of a specific mechanism is tuned individually to the nodes
environment and service requirements. The component based architecture enables easy
deployment of new applications which can use well-defined, lower level services offered to
the application platform.
There are several observations which led us to the development of the framework:

135
The communication quality and reliability in VANET may take extremely different
values that depend on nodes specific situation. For example on the highways the
combination of high mobility of nodes and the short range of radio coverage (50 300
metres) leads to the intermittent communication of low quality, but during traffic jams
we may obtain stable links being able to handle HDTV services.
There are car mobility models which can be used to predict car positions. Moreover,
most cars are equipped with GPS or navigation systems, thus the information about car
position, direction, speed and even about the travel destination is generally available to
every node and can be disseminated to node neighbors. This information can be used
for the proper selection of the communication scheme and services offered to a node.
There is an easy way to determine the proximity of nodes or their communication
ability. It can be done using periodic transmission of HELLO messages. That way it is
possible to discover neighbors and nodes density. These HELLO messages and
responses may contain the position of the node and the mobility vector. Subsequent
analysis of this data can lead to the identification of the longevity and the quality of the
possible communication links between the nodes and their potential belonging to
groups (clusters), which can be formed. Such clusters may provide relatively stable
intra-cluster communication. Thus the group membership can be used for
communication purposes (selecting the communication scheme or protocol), but it is
not limited to. From the service point of the view nodes proximity (group membership)
has an important value it is possible that group members can be interested in the same
or similar set of services. So, the identification of the relative positions of nodes has an
important impact on nodes communications abilities and on their potential interest in
services. In such model every node can be treated as an isolated node, group
membership candidate (during the group membership inclusion procedure) or a group
member. For every node category a different communication and service scenario can
and should be applied.
There have been many routing protocols designed for VANET in order to resolve the
problem of communication reliability. It can be improved by the specific mechanism of
the routing protocols, applying clustering, or the multi-path routing. All the mentioned
mechanisms can improve reliability, but still a lack of communications in case of sparse
networks can be observed, and the intermittent communication still may occur in case
of high speed moving cars. Thus, we cannot guarantee the existence of permanent
communication. The disruption tolerant networking paradigm (DTN) which uses store-
carry-forward mechanism seems to be a good solution for handling temporary lack of
communication. The information about nodes mobility vectors and even the destination
(GPS and navigation based) makes VANET a good candidate for efficient
implementation of DTN. Additionally, DTN enabled cars which do not belong to any
stable group of cars (cluster) can play an important role of mules, which can carry on
the information between the groups, thus such an isolated node plays a positive role in
the overall communication model. In conclusion, the communication capability of every
node can be different for groups of nodes (clusters) and for isolated nodes. The
communication protocol should take into account the individual node state. At present,
there is no single approach which is able to handle all the mentioned cases. That
observation has led to the conclusion that for every node a local environment (number
of other nodes, topology stability, and group membership) should determine the
protocol which is used for data exchange or content delivery.

136
In a very conservative approach the number of VANET services is limited to driving
safety applications only. These simple services usually transmit short local messages,
which should be geocasted or broadcasted. In more advanced service scenario we may
think about the inclusion of video services, voice services and all other, Internet-like
services. The real-time services, like video or voice based, require higher
communications QoS guarantees which in VANET networks are hard to fulfill in
general. However, there are some cases, for example the one-hop communication in
which the communication ability of VANET goes beyond the most demanding services.
In the opposite case, the DTN example, no real-time services are possible at all. This
observation leads to the well-known conclusion that the service offer is limited by
network transport capabilities, but this conclusion in the mentioned case has more
dramatic meaning that in the classic, wired networks the variance of the network QoS
is much, much bigger. So, before the services will be offered to the end users, their
communication ability has to be checked first. It is obvious that these communications
properties will change over time, in some cases pretty rapidly.
Due to the distributed nature of VANET networks there is a lack of special nodes (servers)
which can help in service offering. Because of that, the nodes do not have a list of the
preferred addresses and the (IP) addresses of their neighbors have for them very
limited usefulness what is the reason to communicate with them? What is represented
by an IP address? There is, of course, a set of messages which can be delivered to all nodes
in a specific area, but such geocasting should not be used for all services. In some
situations, the car driver can indicate which service he or she is looking for, but the
mechanism of service selection by the end-user should be kept at the very minimum level
the end-user should not be attacked by new services, but he should be well informed
only about these services on which he is really interested in. It means that the end-user
should have a possibility to indicate which services are interested for him at the specific
moment. In that context the publish-subscribe mechanism can be applied. The variety of
possible services in terms of their QoS requirements and the dissemination range and type
make the classical IP service not adequate for VANET.
All of the observations presented above have led to the conclusion that it is unrealistic to
cover all the possible network configurations, communication issues and service scenarios
by a single approach. The communications and services should be adapted according to
nodes density, mobility, relative mobility, group membership and user preferences. In order
to cope with all these problems the best solution is a rich set of well-defined tools that are
appropriately selected accordingly to the environment status and/or to service preferences.
In the proposed unified framework there are multiple sets of tools and the choice of the
appropriate one depends on the set of node contexts. The overall behavior of the nodes is
individually controlled by the Cross-context Processing Engine, which receives and sends
context from different components of the architecture.
4.2 CARAVAN design
As it was outlined in section 3, a rich selection of algorithms has been developed for VANET
in order to cope with different problems. Unfortunately, so far there is no single approach
which enables to use them as components of a bigger system. The main idea of the proposed
framework is to collect a set of algorithms (tools) that are useful in different VANET
situations and for a specific application, nodes density and mobility select appropriate set of

137
MOBILITY LAYER
Cluster #i
Cluster #j
OBU
OBU OBU OBU OBU
OBU
OBU
OBU
CH
OBU
OBU
OBU
OBU
OBU
OBU
CH
CONNECTIVITY LAYER
RSU RSU RSU RSU
APPLICATION LAYER
N AN
disruptive
forwarding
AN
AN
AN
AN AN
AN
AN AN
ANN AN
ANN AN
RSU
MC
MC
mobility context
interaction
MC
MC
MC
MC
MC
MC
MC
Source
Destination
APPLICATION
CONTEXT
C
O
N
T
E
X
T

P
R
O
C
E
S
S
I
N
G

E
N
G
I
N
E
CONNECTIVITY
CONTEXT
MOBILITY
CONTEXT
Legend
OBU : On-Board Unit
RSU : Road-Side Unit
MC : Mobility Context
CH : Cluster-Head
AN : Abstract Node

Fig. 1. Framework layers
them on a per node basis. Such individual and dynamic selection of tools provides obvious
profits, but it imposes a new problem related to the criteria of algorithms selection and the
way in which this process is implemented.
The discussion presented in the previous sections has shown that the communication ability of
every node depends on the node mobility, the number of nodes in the neighborhood and their
mobility vectors. The information about the node such as its current and averaged position,
speed and direction and node track can be obtained from GPS. More information about the
future node position and the final destination can be taken from the navigation system (if
available and active). The GPS and navigation system provide the information about nodes
position expressed in absolute coordinates. However, the information about the relative
position of the nodes is very useful as well. Such information can be retrieved by processing
the GPS data but can be also obtained directly when the neighboring nodes should respond to
request sent over the radio channel (for example beacon messages). Using this mechanism we
can determine in a very simple way the local density of nodes and using time averaging of
responses we may find good candidates to create a cluster (Kukliski & Wolny, 2009). There is
no doubt that for the estimation of the absolute and relative position of nodes, for creating
clusters a plethora of algorithms exists, thus the proposed framework should be able to
accommodate them. The information about the nodes mobility, their mutual communication
relation and about nodes clusters is of great importance for routing as well as for services. This
is the reason why in the framework we decided to introduce an independent component
which offers to other elements of the framework the preprocessed information about nodes
mobility, clusters etc. We named this component the Mobility Layer. The internal elements of
the Mobility Layer are not fixed, however they should perform all the functions described
above. In the proposed framework the context-aware approach is used. In-line with this
philosophy the output of the Mobility Layer is the Mobility Context.

138
In Section 3.1 a short overview of different MANET and VANET routing protocols has been
presented. Every of the described protocols has both advantages and deficiencies. Some of
them are well suited for stable network topologies, other work efficiently in a sparse, but not
in a dense network. These observations has led to the conclusion that in the proposed
framework every node (or group of nodes) should select the routing protocol accordingly to
the node mobility and neighborhood density. In the proposed framework the set of different
routing protocols and content dissemination mechanisms (including DTN) composes the
Connectivity Layer. The selection of the routing protocol for a specific node is based on the
Mobility Context and on the service requirements. These service requirements and
properties are exposed by another component of the framework that is the Application
Layer. The Mobility and Application contexts have impact on the selection of the
appropriate routing protocol; however they of course have no impact on the quality of the
obtained connectivity. This connectivity is characterized by the Connectivity Context, which
is exposed by the Connectivity Layer.
The Application Layer generates contexts that describe the applications and user
requirements, but it also adapts the applications to the connectivity, quality and mobility
information.
In the CARAVAN all the contexts of the Mobility Layer, the Connectivity Layer and the
Application Layer are processed by the Context Processing Engine (CPE). The CPE is a heart
of the proposed framework and it is responsible for the dynamic selection of the tools to the
overall context that characterize node mobility, connectivity possibility and service
requirements and restrictions. The details of implementation of CARAVAN are presented in
the subsequent sections.
4.3 CARAVAN software architecture
The CARAVAN is composed of three functional layers, focused on mobility, connectivity
and application. The internal behavior of layer components is controlled and described by a
set of key parameters, represented as context information. This information is exchanged bi-
directionally between the layers by applying cross-layer context adaptation. Transferring
significant contexts in a unified format transversally between the layers facilitates the
optimization of both important intra-layer operations, as well as the overall performance of
an architecture based on this framework (e.g., selecting the best routing or forwarding
scheme according to mobility information).
The entire framework is driven by context data exchange and decisions based on it, so node
internal architecture can be defined around the idea of context exchange in a layered
approach, by emphasizing the three key components mobility, connectivity and
application. Each component features mechanisms for processing context and feeds it to a
cross-layer component which centralizes all of the context data (including that from the
other components). The cross-layer component makes intelligent decisions and then feeds
back key input context, influencing the behavior of the component. Such architecture can be
applied to all types of entities, such as unclustered nodes, clusters and roadside
infrastructure nodes. The architecture driven by context information exchange is based on:
a layered functional structure centered on mobility, connectivity and application,
a cross-layer transversal interaction, in order to optimize intra-layer and overall system
performance,
a relatively simple architecture, ideal for adding new functionality to improve
intralayer operations.

139
This generic architecture for the Abstract Node (AN) being the basic entity inside the
proposed framework is depicted in Figure 2. In order to enable incremental upgrades, an
implementation calls for a modular design to be derived from the defined framework and
applied to the AN.
4.4 Abstract node description
As mentioned in the previous section, we are applying a modular design for the AN. This
design is based on a hierarchy of modules (see Figure 2), implementing specific functions
related to mobility, connectivity and application.

ABSTRACT NODE
CONTEXT PROCESSING ENGINE
TRANSLATION LOGIC
LOM LOM
MOBILITY
CONTEXT
MODULE
...
LOM LOM LOM LOM
... ...
H
O
M
s
H
O
M
s
ABSTRACT MODULE
I/O
INTERNAL
PARAMETERS
CORE LOGIC DRIVER
Legend
HOM High-Order Module
LOM Low-Order Module
CONTEXT
MANAGER
CONNECTIVITY
CONTEXT
MODULE
CONTEXT
MANAGER
APPLICATION
CONTEXT
MODULE
CONTEXT
MANAGER

Fig. 2. Abstract Node and Abstract Module architecture
4.4.1 High-Order Modules
The proposed abstract node architecture has a hierarchical structure and consists of a
Context Processing Engine (CPE) and three dedicated High-Order Modules (HOMs).
HOMs, together with CPE, create a fixed core. Each of the HOMs, specifically the Mobility
Context Module (MCM), Connectivity Context Module (CCM) and Application Context
Module (ACM) correspond to a different layer of the framework and is functionally
separated from the other modules. There is no direct transfer between them the only way
to communicate with each other is a bi-directional exchange of context information with the
CPE using the same established interface in all three cases. The CPE performs a context
adaptation and enables the cross-layer transfer of the relevant data in order to perform in
the most suitable way. A dedicated Context Manager (CM) in each of the HOMs and a
Translation Logic (TL) in CPE are directly responsible for data exchange between the top
level modules. They all are also involved in the core logic of their parent modules. The

140
typical communication looks as follows the TL receives a context information from specific
CMs, then it does some data processing, e.g., translation of the received data into some
unified language, and afterwards it feeds the other modules with a newly obtained
information according to their needs. Due to a single module gathering context information
from all functional planes and its proper processing and distribution, it can be helpful in
selecting some specific behaviors inside a particular HOM, e.g., choosing the
routing/forwarding mechanism best suitable to a certain node mobility information.
4.4.2 Low-Order Modules
In addition to the above HOMs there exists the second tier of the modules hierarchy which
are called Low-Order Modules. They are introduced into the framework to make it easily
extensible by enabling a possibility of adding new mechanisms and algorithms, e.g., new
routing schemes or new data dissemination mechanisms. Such approach allows the
integration of the existing VANET concepts and leads to the diversity of choices in order to
increase the overall performance of the system. LOMs are by design exchangeable user-
defined modules which provide specific VANET algorithms. Each of the LOMs has to be
attached to one of the HOMs depending on its destination for mobility, connectivity or
application layer.
As it was already mentioned the fixed core of the architecture consisting of the CPE and
three HOMs secures the integrity of the framework together with a functional separation
between the defined layers. The role of the LOMs is to allow a flexible definition of new
algorithms and their integration into the overall logic of the system. This makes the
proposed architecture open also for the many existing VANET solutions. An important
fact is that all LOMs are built on a common internal definition of the generic module, called
the Abstract Module (AM), which is presented in the bottom part of Figure 2. Due to this
fact, all LOMs can be integrated into framework and handled in a very similar way.
The Abstract Module definition assumes the use of a simple interface to exchange data
between LOM and the parent top level module. As the whole architecture is built around
the idea of context-awareness, also in this case the exchanged data can be seen as some
specific context encoded using some generic format. Depending on its role in the system the
LOM can provide context information to the system or require such information. However,
in most cases the LOM can do the both. The capabilities of each module together with its
needs are registered in the system using a built-in Driver during a module initialization
phase. If all the needs are fulfilled, which means the LOM can be fed with the required input
context information; the module is ready to work. The received data are processed by the
Core Logic and the proper output context information is provided as the result. The Core
Logic implements the algorithm or mechanism for which the module is intended, e.g., a
routing scheme or a scheduling mechanism. The processing part of the module can be
constrained by a set of adjustable internal parameters.
The majority of developed LOMs implement functions related to one of the three HOMs
corresponding to one of the three functional layers, although it is possible to define a LOM for
some particular CPE functionality, such as scheduling of DTN bundles. Therefore the most
typical connection will be between low and high order modules. LOMs are plugged in the
proper Context Manager, so the role of the Context Manager is to register such LOM inside the
TL of CPE and to manage all of the LOMs connected to it. This means the CM is actively
involved in the HOM logic and the context processing is not focused on CPE, but rather it is
distributed in the core of the framework with some of the decisions being shifted to the CMs.

141
4.5 High Order Modules description
The defined framework features three functional layers built on the importance of mobility,
connectivity and application context information. As described in the previous section, each
of these three layers has a corresponding High-Order Module in the module hierarchy
defining the Abstract Node architecture.
4.5.1 Mobility Context Module
The Mobility Context Module is responsible for processing of nodes mobility data. Among
its functionalities there is the network topology discovery. Whenever it is appropriate it can
group the network nodes into a set of clusters, obtaining this way a topology composed of
virtual entities called Abstract Nodes. When a clustering is not performed in the network,
each Abstract Node will correspond to one real node. This HOM monitors a set of mobility
parameters, such as geographical position and velocity vectors, as well as the neighboring
nodes behavior and inter-nodes dependencies.
As the framework is thought to be mobility driven this module is of great importance. The
collected and processed context mobility data can be used for many purposes. First of all
some clustering algorithm can be fed with this data to optimize its operations. Clusters of
nodes can be treated as virtual Abstract Nodes with their own mobility contexts defined for
example in relation to distinguished real node being a cluster head.
The mobility context of the node itself and of the neighborhood can be used to make some
movement prediction. Such information, distributed among the other modules using a
Context Manager connected with a Translation Logic has a potentially great value for
routing and forwarding schemes especially those dealing with delay tolerant networking.
An important advantage is that introducing MCM allows making all mobility context
related data gathering and processing only once in a single dedicated place for many
different protocols and mechanisms.
4.5.2 Connectivity Context Module
The Connectivity Context Module is presented in the Figure 3. The main goal of this module is
providing connectivity between the virtual Abstract Nodes created in MCM. This means the
module is responsible for routing and forwarding functionalities. The routing functionality
uses a logic implemented in the Routing Manager (RM) which finds routes to particular
network destinations using the best Routing Scheme selected from the available ones. The
Context Manager managing all the connected LOMs participates in this selection process. The
forwarding duties are performed by the Forwarding Manager (FM) which makes the decisions
such as selecting the right forwarding scheme and choosing the next hop. The choices are
depended on many factors, e.g., application context containing the information about QoS
requirements. There is also some additional custody transfer mechanism implemented by the
dedicated Custody Manager to support disruption-tolerant forwarding. Moreover, the CCM
cares about its local routing table to be up-to-date. Another important group of the module
duties is computing the performance metrics related to routing or even DTN forwarding and
providing this data as a connectivity context to other modules.
4.5.3 Application Context Module
The Application Context Module implements functions similar to those included in the
Application Layer in the OSI stack. It is closest to the end user of the system and it interacts

142
CONNECTIVITY CONTEXT MODULE
ROUTI TT NG SCH CC EM EE E ROUTING SCHEME
CUSTODY
MANAGER
AOMDV
I/O
...
OLSR
I/O
ROUTING
MANAGER
FORWARDING
MANAGER
ROUTING
TABLE
C ONTE XT MANAGE R
HEME DTN SCHEME
Epidemic
I/O
...
Probabilistic
I/O

Fig. 3. Connectivity Context Module architecture
with some applications. New context based services can be defined and integrated in a
similar way, by using LOMs.
One of key issues in implementing the proposed architecture is the addressing of nodes and
services, especially if there is the requirement of enabling disruption-tolerant communication
between the nodes. In the case of the highly dynamic vehicular environment, most
applications involve a kind of controlled broadcast of information and there is little need for
unicast applications.
In this case, assigning a constant address to the node is irrelevant. The address of the
destination is not known and is not bound to the source, since the destination is constantly
on the move. To address the groups of destination nodes characterized by high mobility,
much more important is the context information related to location and neighborhood of the
group, as well as its structure and interaction with other groups. In a dynamic network the
services are context-addressable, hence the importance of context information exchange
between modules.
4.5.4 Context Processing Engine
The Context Processing Engine which internal architecture is shown in Figure 4 is the most
crucial part of the framework. It is a module where majority of system intelligence is
hidden, which gathers and scatters important context information from and to the three
HOMs and which manages a local Repository in which the context data is stored. The
output data from the other modules is continuously monitored, filtered and processed, not
to mention that sometimes future predictions are made in order to improve specific
functions inside HOMs, e.g., the prediction related to the node mobility pattern can help to
optimize routing and forwarding. CPE feeds the other modules with the context data
according to their requirements reported in the initial registration phase. Hence, a
registration is a moment when a set of rules and dependencies in relation to the already
registered LOMs is created. These rules are then used to store and manage context data to
meet the requirements of the newly attached LOM. Another area of responsibilities of CPE
is scheduling of DTN bundles which is performed by a Scheduling Manager, while DTN
bundles are queued and stored in the Repository.
The Translation Logic included in CPE adapts the received information and delivers it to the
proper Context Module for being handled. The TL has some basic logic which makes use of
Context Ontology (CO) engine. Use of ontology concept is necessary because an open
architecture allows attaching many different LOMs which exchange data in many possibly

143
HIGH-ORDER EE MODULES EE HIGH-ORDER MODULES
CONNECTIVITY
CONTEXT
MODULE
MOBILITY
CONTEXT
MODULE
CONTEXT PROCESSING ENGINE
APPLICATION
CONTEXT
MODULE
TRANSLATION LOGIC
CONTEXT
MANAGER
CONTEXT
MANAGER
CONTEXT
MANAGER
CONTEXT ONTOLOGY
ENGINE
CONTEXT MONITORING
AND ADAPTATION
PREDICTION
SCHEDULING
MANAGER REPOSITORY
- CONTEXT
- ONTOLOGY
- QUEUES
SCH CC EDULING
SCH CC EM EE E
SCHEDULING
SCHEME
DWRR
I/O
WFQ
I/O
...

Fig. 4. Context Processing Engine architecture
different formats, so that translation into one formal context information representation is
needed. The CO consists of a set of keywords, rules and structures for describing context
data and all context relations using a common language which can be easily
understandable and interpreted by the Context Managers. Usually the three representations
are used. The CO approach allows for integration of new solutions into the framework
which can be expressed using contexts, even if the offered capabilities were not available in
the beginning stage of the designed system based on the framework.
Context in the presented framework is not just a set of external constraints on the system for
a given instance. It is redefined to model every piece of information, be it internal control
data, instance related data or external data. Building context information is done in
accordance with the implemented ontology. Defining such a CO is in fact adding a new
template to the architecture itself, which becomes context-aware, making it more robust.
Inside the CPE the Scheduling Manager is responsible for choosing the best Scheduling
Scheme for DTN bundles before passing them to the CCM. There exists a possibility to
integrate new scheduling schemes in the form of LOMs attached directly to the Scheduling
Manager. The selection of a particular scheduling scheme, together with the context
information monitoring and adaptation are part of a broader cognitive functionality inside
the CPE, specifically the capability of the system to behave differently according to the given
external context and learn from previous experiences.
To implement the architecture in a real network, other functions will need to extend the CPE
logic, such as security functions related to data validation and user authorization, as well as
convergence components to support inter-working with multiple communication stacks for
different radio technologies. Although these functionalities are not yet handled, they are
very important issues related to VANET and need to be solved in the future.
4.6 Interface description
A challenge in implementing the new system architecture is the design of the interfaces for
data exchange between modules. Useful parameters and data are adapted to context
information and passed between entities, to ensure compatibility and inter-working
between them. The most important interfaces are described in Table 2.

144
All the listed interfaces are quite simple which allows for easier framework expansions by
user developed modules. This simplicity can be assured due to context-aware design of
CARAVAN.

Interface Description
CM generic interface Bi-directional generic interface for exchanging context in-
formation with Context Managers both between a HOM
and the CPE, specically between a CM and the TL and
between HOM and attached LOMs.
Bundle transfer interface Aside from the standard CM-TL generic interface, there
is also a second bi-directional interface between CPE and
CCM, for sending and receiving DTN bundles. It is up to
the CPE to provide the necessary adaptation of the Appli-
cation Data Units (ADUs) to the bundles.
External I/O interface The AN external I/O interface is responsible for physical
communication with other devices in the network. This
bi-directional interface connects to the CPE.
ADU transfer interface Aside from the standard CM-TL generic interface, there
is also a second bi-directional interface between the ACM
and CPE, for sending and receiving ADUs (Application
Data Units).

Table 2. Description of the interfaces
4.7 CARAVAN a sample use case

CONTEXT
PROCESSING
ENGINE
TRANSLATION LOGIC
APPLICATION
CONTEXT
MODULE
CONTEXT
MANAGER
CONNECTIVITY
CONTEXT
MODULE
CONTEXT
MANAGER
MOBILITY
CONTEXT
MODULE
CONTEXT
MANAGER
TDM DBCM OLSRM AODVM FTPM OWAM
H
O
M
s
MM
H
O
M
s
ERM
L
O
M
s
MM
L
O
M
s

Fig. 5. Sample use case of the framework
To make the CARAVAN concept easier to understand a sample use case is presented in this
section. As it is shown in Figure 5, the sample system built on the framework has following
Low Order Modules attached:
Topology Discovery Module (TDM) the mobility layer module which uses GPS device
and beacon messages to gather mobility context data of the node itself and from the
neighboring nodes,
Density Based Clustering Module (DBCM) the mobility layer module implementing
DBC clustering algorithm, responsible for assigning roles of cluster visitors, cluster

145
candidates and cluster members to neighboring nodes, for finding stable groups of
nodes, for selecting clusterhead node being a cluster representative, and for choosing
nodes being cluster border gateways,
Optimized Link State Routing Module (OLSRM) the connectivity layer module which
makes sure that the routing tables for intra-cluster communication are up to date using
OLSR routing protocol,
Ad hoc On Demand Distance Vector Module (AODVM) the connectivity layer
module implementing AODV routing protocol for short range communication with
nodes connected using the stable paths,
Epidemic Routing Module (ERM) the connectivity layer module which is used by
context-aware services that can deal with longer delays,
File Transfer Protocol Module (FTPM) the application layer module allowing data
transfer between node with a stable connection using FTP protocol,
Obstacles Warning Assistant Module (OWAM) the application layer module which
warns other vehicles about road obstacles to increase driving safety.
All the Low Order Modules are connected using the generic CM interface for bi-directional
exchange of the context data. Each of the modules has to be previously registered in the system
using the built-in driver. For example the TDM will advertise itself that it is able to provide
necessary nodes position and mobility data with no requirements for system input. The DBCM
as the input needs some data generated by the TDM and as the output it offers information
about nodes relations such as identification of stable clusters and about nodes which are bad
candidates for cluster members, for example because they are moving faster than the group
(however, this makes them potential candidates for passing data in DTN forwarding schemes).
There can be observed dependence between DBCM and TDM. Due to the registration phase
and the logic embedded in the top level modules, every such LOMs dependence can be tuned.
The DBCM requires only at specified intervals and only some subset of data which TDM is
able to provide. Hence, the TDM knows that there is no point to deliver neither more data nor
to do it more frequently than it is needed. Of course, a demand for context data can vary in
time as it depends on activity of different modules. The discussion on the relationship between
the DBCM and TDM is also a good opportunity to clarify another introduced concept of
Translation Logic inside CPE and ontologies. Let us consider the case when DBCM modules
need velocity vectors of neighboring nodes for proper work and when TDM is able to provide
information about direction and speed of nodes movement. Although it is not exactly the
same, there exists a very simple one-to-one correspondence between these notions. Such rule
can be easily encoded in the ontology and therefore the translation can be easily done in TL.
Similar dependencies occur between the other modules in the presented sample system
e.g., FTP data transfer can be applied only when a stable connection is detected, so it is
possible inside the cluster (OLSR routing protocol is used) or in the traffic jam (AODV
routing protocol is used). The OWAM module is designed to warn about obstacle the
drivers which are moving towards it so in this case the delay-tolerant forwarding can be
applied combined with the context-aware (in a given direction) data dissemination. The best
candidates for passing messages, that is nodes which are moving quickly in a right
direction, can be selected using context information from TDM and DBCM.
It should be clear that the presented system can be easily extended by other modules
implementing new applications or vehicular services, as well as new protocols to allow a
selection of the most suitable solution depending on both external and internal
circumstances in order to optimize the overall system performance.

146
5. Conclusions
In this chapter a new approach to VANET has been proposed. The main idea of the proposal
is to integrate many VANET concepts into a common framework and use them on the
dependency of the service requirements, connectivity properties and node mobility
characteristics. In the proposed framework context-aware approach is used. Contexts are
related to service/applications requirements, communications ability, mobility vectors of
cars/nodes and the mutual space-time relations between them. The usage of contexts
provides high level of adaptability and flexibility. In the CARAVAN we defined three
layers: the Mobility Layer, the Connectivity Layer and the Application Layer. Such
functional decomposition of the architecture provides ability to incremental modification of
every layer via adding or modifying layer internal components without the necessity of the
redesign of other components of the architecture. In fact the operations which are most
influential on the system behavior are performed by the Cross-Context Processing Engine,
i.e., the component that is responsible for the selection of appropriate tools for a specific,
overall context. The presented software oriented view together with a sample use case give
some clues how the CARAVAN can be implemented and deployed to make vehicular
networks idea closer to the reality.
6. Acknowledgements
Authors would like to gratefully thank Zygmunt Wereszczyski from Orange Labs Poland
for his invaluable help.
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Part 2
Security and Caching in Ad Hoc Networks
25
Trust Establishment in Mobile Ad Hoc
Networks: Key Management
Dawoud D.S.
1
, Richard L. Gordon
2
,
Ashraph Suliman
1
and Kasmir Raja S.V.
3

1
National University of Rwanda
2
University of KwaZulu Natal
3
SRM University, Chennai,
1
Rwanda
2
South Africa
3
India
1. Introduction
Mobile ad hoc networks are complex wireless networks, which have little or no existing
network infrastructure. These networks can be established in a spontaneous manner
allowing organizations and network members to work together and communicate, without
a fixed communication structure. The mobility, spontaneity and ad hoc nature of these
networks makes them optimal solutions for disaster area communication and tactical
military networks. Due to recent wireless technology advances, mobile devices are equipped
with sufficient resources to realize implementation of these dynamic communication
networks. However, for ad hoc networks to find a wide spread within both the military and
commercial world, they must be secured against malicious attackers.
Mobile ad hoc networks have distinct characteristics, which make them very difficult to secure.
Such characteristics include: the lack of network infrastructure; no pre-existing relationships;
unreliable multi-hop communication channels; resource limitation; and node mobility. Users
cannot rely on an outside central authority, like a trusted third party (TTP) or certificate
authority (CA), to perform security and network tasks. The responsibility of networking and
security is distributed among the network participants. Users have no prior relationship with
each other and do not share a common encryption key. Therefore, only after the network has
been formed, the users establish trust and networking links. The establishment of networking
links is identified as being vulnerable to security attacks. Trust establishment should allow
protection for the network layer and ensure that honest links are created.
The sporadic connectivity of the wireless links, inherent to mobile ad hoc networks, results
in frequent link breakages. These characteristics introduce unique challenges to trust
establishment. Both the routing and trust establishment protocols must be designed to
handle the unreliable wireless communication channels: the dynamic topology changes and
the distributive nature. The security solutions used for conventional wired networks cannot
simply be applied to mobile ad hoc networks. More complex network management must be
implemented to achieve trust establishment in mobile ad hoc networks.
8
Mobile Ad-Hoc Networks: Applications 152
Ad hoc network security research initially focused on secure routing protocols. All routing
schemes however, neglect the crucial task of secure key management and assume pre-
existence and pre-sharing of secret and/or private/public key pairs [Zhou & Haas, 1999].
This left key management considerations in the ad hoc network security field as an open
research area. Security solutions which use cryptographic techniques rely on proper key
management to establish trust. This chapter together with the next chapter focus upon key
management which aids these cryptographic solutions.
Outlines of the Chapter
This chapter and the next chapter form one unit. The two chapters focus largely upon
establishing trust in mobile ad hoc networks, and concentrate more specifically on secure
key management on the network layer. Our research focuses upon providing a solution for
the security issues found in mobile ad hoc networks.
The current chapter is organised in the following manner: Section-2 provides a theoretical
background to mobile ad hoc networks and the security issues that are related to such
networks. These networks and their characteristics are defined in terms of trust
establishment. As the focus of this research is on the network layer, attacks specific to this
layer are identified and explained.
Section-3 presents a survey of the existing key management solutions for mobile ad hoc
networks. Discussions are based on: functionality; availability; security services; scalability;
efficiency; and computational cost. A comparative summary is presented, which identifies
the difference in the requirements and the application of each solution.
In the next chapter , Section-2, we continue the discussions given in Section-3 of this chapter
by offering a survey of the existing secure routing protocols for mobile ad hoc networks. The
two sections identify the problem that the two chapters are addressing. There exists secure
routing mechanisms to address the unique characteristics of mobile ad hoc networks,
however, these solutions assume that key management is addressed prior to network
establishment. A novel, on-demand solution to the key management problem for mobile ad
hoc networks will be introduced in next chapter. The implementation of the proposed
model, simulation of the model, the results and there analysis are given in next chapter.
2. Mobile ad hoc networks
An ad hoc network is a network with no fixed infrastructure. It allows for users to enter and
exit any time, while seamlessly maintaining communication between other nodes. Mobile
Ad Hoc Networks (MANETs) are advanced wireless communication networks which
operate in an ad hoc manner. The term ad hoc is defined as:
Meaning "to this" in Latin, it refers to dealing with special situations as they occur rather than
functions that are repeated on a regular basis. (The American Heritage Dictionary of the
English Language, Fourth Edition. Houghton Mifflin Company, 2004)
This definition suggests that it is a network which is formed in a spontaneous manner so as
to solve an immediate communication need between mobile nodes. Mobile ad hoc networks
differ from existing wired networks because they do not rely on a fixed network
infrastructure [Capkun et al., 2003] [Haas et al., 2002], such as base stations or mobile
switching centres. Instead, network functionality (e.g., routing, mobility management, etc.)
is adopted by the nodes themselves. When using a multi-hoping routing protocol, mobile
nodes within each others radio range communicate directly via wireless links. However the
Trust Establishment in Mobile Ad Hoc Networks: Key Management 153
nodes that are far apart depend on the other nodes to relay the message in a multi-hop
fashion. Figure 1 [Zhou & Hass, 1999] demonstrates these autonomous, multi-hop
characteristics. Connection between nodes is made by means of other nodes within the
network. In Figure 1, the circle represents wireless range of node A. In Figure 1, when node
D appears within the range of node A, the topology changes to maintain the connection.
Note that all network functions are performed by the nodes and no host or outside authority
exists.

Fig. 1. Ad Hoc Network Topology
2.1 Application
Mobile ad hoc networks have become widely desired in military and commercial
applications, due to the ever increasing development of mobile technology. The networks
lack of infrastructure and independent nature allows for a robust network to be created
within an unlikely networking environment.
a. Military Application
The first ad hoc networks were primarily deployed in the military domain in the early
1970s by the US Department of Defence, under the projects of DARPA and Packet Radio
Network (PRnet) [Haas et al., 2002]. Ad hoc networks remain an important part of current
and future military communication. They feature prominently in the following areas of
military application: sensor networks; tactical networks; and positional systems.
Their application within the military field is based on the networks high mobility,
survivability, and self-organized nature. This allows mobile military units to communicate
effortlessly irrespective of the distance between each detachment. In a hostile environment,
such as the battle field, an ad hoc networks distributive architecture eliminates the problem
of a vulnerable network host or the loss of the network host. The modern battle field is
characterized by highly mobile forces and the effect of a network which fails to maintain
communication and high mobility is disastrous. An example of this can be seen in the
experience of the Iraqi forces during the 1991 Gulf War. For this reason, soldiers would
prefer mobile ad hoc networks, as opposed to existing local networks. Both invading and
defending soldiers would avoid using the local operator, therefore ensuring communication
stealth required for battle. Another illustration of the downfall of using an existing local
network can be seen in Chechnya, where a general was killed by a missile which tracked the
uplink signal of his portable phone. It is clear from these examples that mobile ad hoc
networks provide stealth, mobility, and security in the battle field.
153 Trust Establishment in Mobile Ad Hoc Networks: Key Management
The military context is the most obvious application for mobile ad hoc networks. More
recently in July 2008, DARPA invested $8.5 million in the Intrinsically Assurable Mobile Ad
Hoc Network program (IAMANET) [Jameson, 2008]. This project aims to improve the
integrity, availability, reliability, confidentiality, safety, non-repudiation of MANET
communication and data in the future.
b. Commercial Application
Early application and developments were military focused. However, non-military
applications have grown rapidly due to the availability and advances in mobile ad hoc
research. The introduction of new standards such as IEEE 802.16e, IEEE 802.11g and IEEE
802.15.4, have significantly helped the deployment of wireless ad hoc network technology in
the commercial domain [Haas et al., 2002]. In this sector the aforementioned networks are
desirable due to their dynamic and self organized nature, which allows rapid network
deployment. This is particularly useful in situations where infrastructure is damaged or
does not exist, and where existing conventional networks are unaffordable or lack sufficient
network coverage and need to be side-stepped. Some examples of these applications
include: personal area networks; sensor networks; emergency networks; and vehicular
communication
Personal area networks are created when a small number of nodes meet spontaneously to
form a network for the purpose of teleconferencing, file sharing, or peer-to-peer
communication. An example of this can be seen when attendees in a conference room share
data using laptops or handheld devices.
Sensor networks are used to monitor data across an area. An example of these networks
includes small sensor devices which are located in animals and other strategic locations that
collectively monitor and analyze the environmental conditions. Sensor networks have also
been developed, by the PermaSense Project, to monitor the permafrost found in the Swiss
Alps [Talzi et al., 2007].
The application of this network to an emergency context often occurs in a hostile
environment, similar to the military context. Natural or man-made disasters may result in
the existing network infrastructure being unavailable or unreliable. Ad hoc emergency
services could allow communication and sharing of video updates of specific locations,
among relief workers and the command centre. An illustration can be seen in the event of
the New York World Trade Centre disaster, on September 11, 2001. The majority of the
phone base stations were knocked out in less than twenty minutes, after the attack. The
remaining base stations were unable to operate because they could not work in ad hoc
mode. The Wireless Emergency Rescue Team recommended afterwards that telecom
operators provide ad hoc mode for their infrastructure in the event of emergency situations
to enable co-operation between police, firemen and hospital networks [Karl & Rauscher,
2001]. Mobile ad hoc networks can allow for rapid network deployment in an emergency
situation. Emergency networks can be set up in remote or hostile areas where there is no
existing communication infrastructure, thereby assisting relief work and rescue missions.
A Vehicular ad hoc network provides communication between vehicles, roadside
equipment and vehicles travelling in close proximity. Data is exchanged between nearby
vehicles to provide traffic information and early warnings for accidents and road works.
The purpose of Vehicular ad hoc networks is to provide a communication network of safety
and information for users [Raya & Hubaux, 2005].
The benefits of ad hoc networks have realized new non-military communication
opportunities for the public. Companies are starting to recognize the potential for
commercial ad hoc network applications, and as a result laptops and handheld devices are
being equipped with wireless functionalities. Businesses are offering products using ad hoc
networking technology in areas of: law enforcement; intelligent transport systems; and
community networking. These dynamic networks have still not reached their full potential,
and it is clear that ad hoc technology has an imminent role to play in the development
commercial technology of today and the future.
2.2 Ad hoc network challenges
An ad hoc network is a dynamic type of network which is both similar and very different to its
parent fixed communication network. In the following we introduce the properties of an ad
hoc network as a way of defining its shortcomings and to highlight its security challenges.
a. Dynamic Network Architecture
Ad hoc networks have no fixed or existing network infrastructure. The network
architecture is continuously changing as the network evolves. There is no pre-existing or
fixed architecture which handles all network tasks such as: routing security and network
management. Instead, the network infrastructure is spontaneously set up in a distributive
manner. Each participating node shares the networks responsibilities. Distribution of
network functionality avoids single point attacks and allows for the network to survive
under harsh network circumstances.
A fixed entity structure, such as a base station or central administration, is crucial for
security mechanisms. A trusted third party member [William, 1999], which is expected in
traditional networks, is similar to a fixed entity as both define security services; manage and
distribute secret keying information (which allows secure communication of data through
encryption and decryption techniques). Therefore the absence of such a control entity
introduces new opportunities for security attacks on the network.
b. Self Organized Nature
Wireless ad hoc nodes cannot rely on an off-line trusted third party member. The security
functions of the trusted third party member are distributed among the participating nodes.
Each node takes responsibility for establishing and maintaining its own security and is,
therefore, the centre of its own world and authority. A wireless ad hoc network is therefore
referred to as a self organized network [Capkun et al, 2003].
c. No Prior relationships
In ad hoc networks, nodes can have no prior relationships with other nodes within the
network. Prior acquaintance between nodes can be considered as pre-trust relationships
between nodes. However, the ad hoc nature of these networks does not allow for these
assumptions, as it cannot be assumed that secrets exist between the respective pair of nodes
[Eschenauer & Gligor, 2002]. If nodes can join and leave the network at random without
prior trust relationships with nodes, access control becomes a difficult task for the security
mechanism.
d. Multi-hop communication channel
Wired networks include fixed nodes and fixed wired communication lines. Wireless ad hoc
networks have mobile wireless nodes (often in the form of hand held devices) and, as
suggested, their communication medium is wireless. This allows for greater network
availability and easy network deployment. Each nodes transmission range is limited and
network communication is realized through multi-hop paths. Co-operation and trust along
these paths is a crucial aspect of the security mechanism and ensures successful
communication. The shared wireless communication medium means that any user can
participate in the network. This creates access control problems for security mechanisms as
adversaries are able eavesdrop on communication or launch active attacks to alter message
data.
e. Mobility
Nodes are expected to be mobile within an ad hoc network, creating a dynamic and
unpredictable network environment. In certain situations the nodes mobility is not totally
unsystematic and assumptions can be made in the form of mobility patterns [Capkun et al,
2006]. An example of these patterns is evident in a vehicular ad hoc network where vehicles
move along fixed paths, or roads, at speeds which have a high probability of being within
the local speed limit. However, nodes demonstrate random mobility within these
predictions [Capkun et al, 2006].
Connectivity between nodes is sporadic. This is due to the shared, error-prone wireless
medium and frequent route failures which caused by the unpredictable mobility of nodes
[Van der Merwe & Dawoud, 2005]. Increased mobility can result in the multi-hop
communication paths being broken and network services becoming unavailable. Security
mechanisms must account for the weak connectivity and unavailability. Furthermore, due to
mobility and sporadic connectivity, these mechanisms must also aim to be scalable with the
changing network density.
f. Resource Limitations
Wireless nodes allow for the freedom of mobility and easy network establishment and
deployment. Wireless nodes are often smaller hand-held devices that do not experience the
same resource privileges of traditional wired nodes [Hass et al, 2002]. Mobile nodes are
ideally low cost and small in size as to maximize node availability and mobility. In attempt
to achieve these objectives wireless nodes have limited resource, specifically in the following
areas:
x Battery life
x Communication range
x Bandwidth
x Computational capacity
x Memory resources
If mobility is to be attained, nodes must be battery powered. Battery powered nodes suffer
from the consequences of power failures which break connectivity. They also run a high
possibility of failing to be on-line the entire duration of the network. This could hinder
network service availability. Cost and power restrictions limit the design features of wireless
nodes. Power and transmission range are directly related, resulting in wireless devices
having limited transmission ranges and bandwidths. Low powered, low cost CPUs are
preferred, as this reduces the computational capacity and memory resources available for
routing and security operations. As discussed above, network and security tasks are not
performed by a central authority, but rather distributed among all the nodes. This creates a
heavy burden upon the nodes to perform their own tasks as well as the network services. If
the security mechanisms do not distribute the load fairly, adversaries can act in a selfish
manner, forcing other nodes to perform extra tasks. In some instances malicious nodes will
flood a single node with service requests in the aim of depleting its limited resources. A
well designed security algorithms optimizes computational processing and operation to
meet the limited resource requirements of these dynamic networks.
g. Physical Vulnerability
Another challenge in ad hoc networks is the physical vulnerability of nodes. In a mobile ad
hoc network nodes are mobile and often small devices. This contributes to a higher
probability of being capture or compromised when compared to traditional wired networks
with stationary entities [Lidong &Zygmunt, 1999]. This means that wireless ad hoc networks
are more prone to insider attacks and security mechanisms and must be designed with this
in mind. An inside attacker could analyze the node to gain secret keying information or use
the node to compromise other nodes. The same threats exist in wired formal networks.
Although they may rely on a secure host to detect and recover compromised nodes.
Sensitive security information may also be stored on that host, minimizing the consequences
upon the network if a single node is captured. In an attempt to enhance security within
hybrid ad hoc networks [Salem et al, 2005] a fixed architecture is combined with a volatile
distributive architecture.
2.3 Security objectives and services
Securing mobile ad hoc networks requires certain services to be met. A security service is a
made available by a protocol which ensures sufficient security for the system or the data
transferred. The security objectives for mobile ad hoc networks are similar to that of fixed
wired networks. The security objects are described in six categories, adapted from
discussions in [Stalling, 2003]:
x Authentication
x Access Control
x Data Confidentiality
x Data Integrity
x Non-repudiation
x Availability Services
2.4 Attacks
Threats or attacks upon the network come from entities. They are known as adversaries.
Mobile ad hoc networks inherit all the threats of wired and wireless networks. With these
networks unique characteristics, new security threats are also introduced [Zhou & Haas,
1999]. Before the development of security protocols, it is essential to study the attacks
associated with these unique networks.
a. Attack characteristics
Attacks will be launched against either the vulnerable characteristics of a mobile ad hoc
network or against its security mechanisms. Attacks against the security mechanism in all
types of networks, including mobile ad hoc networks, include authentication and secret key
sabotage. Mobile ad hoc networks have distinctive characteristics, as identified in Section
2.2. Attackers are expected to target these points of vulnerability, for example the multi-hop
nature of communication routes. The attacks are classified by their different characters. The
attacks, accordingly, are classified as follows:
Passive and Active Attacks
Security attacks can be classified by the terms active and passive [Stalling, 2002]. Passive
attacks attempt to steal information from the network without altering the system resources.
Examples of passive attacks include, eavesdropping attacks and traffic analysis attacks. It is
difficult to detect passive attacks as they leave no traceable affect upon the system resources
or network functionality. Although the results or the need for securing against these attacks
may not be monitored or visibly present, it is still a priority to protect networks from these
seemingly harmless attacks, particularly in a military context. Concerning this point, Bruce
[Bruce, 2003] mentioned: If security is too successful, or perfect then the security expenditures are
seen as wasteful because success is too invisible. However, Schneier assures one that, despite
the lack of visible results, the need to secure information still exists.
Active attacks attempt to modify system resources or network functionality. Examples of
these attacks are message modification, message replay, impersonation and denial of service
attacks.
Insider and Outsider Attacks
Malicious nodes are not authorized participants in the network, which launch outsider
attacks. Impersonation, packet insertion, and denial of service are some examples of
outsider attacks. In contrast to outsider attackers, inside attackers are more difficult to
defend against. Inside attacks are launched from nodes which are authorized participants in
the network. Insider attacks are common in pure mobile ad hoc network, where any user
can freely join or exit. Security mechanism become vulnerable when participates are
malicious and the confidentiality of keying information can be compromised. Thus, an
advantage of the non-repudiation and authentication techniques, malicious insider nodes
can be identified and excluded.
Layer Attacks
There are threats at each layer of the mobile ad hoc network communication protocol. The
physical layer is vulnerable to passive and active attacks. The attacks found at the physical
layer are as follows: eavesdropping; denial of service; and physical hardware alterations.
Encrypting the communication links and using tamper-resistant hardware helps to protect
the physical layer. However, at the data link layer adversaries can flood the communication
links with unnecessary data to deplete network resources. Security mechanisms that
provide authentication and non-repudiation can prevent this, as they allow invalid packets
transfers to be identified. At the application layer messages are exchanged in an end-to-end
manner using wireless multi-hop routes established by the network layer. The wireless
multi-hop routes are invisible to the application layer. Conventional security techniques
used for wired networks can be used to prevent expected attacks upon the application layer.
The application layer is dependent upon the network layer to provide secure routes between
the two communicating parties.
The network layer provides a critical service to the mobile ad hoc network, and the routing
protocol. In the context of trust and security, the provision of secure routes is one of the
most vital elements for trust establishment.
b. Attack Types
The different types of attacks are identified and described below. While there is a focus on the
networking layer, attacks such as impersonation and denial of services can occur on any layer.
Wormhole attack
In a wormhole attack a compromised node receives packets at one place in the network. The
attacker tunnels the packets to another destination (i.e. an external attacker) in the network,
where the packets are resent back into the network [Qian & Li, 2007]. The tunnel created by
the adversary is known as a wormhole. A wormhole allows adversaries to disturb the
routing protocol, by intercepting routing messages and creating denial of service attacks. If
the routing mechanism is not protected against such an attack mobile ad hoc routing
protocols may fail to find valid routes.
Black hole attack
During route discovery a malicious node may falsely advertise itself as possessing the
optimal route to the requested destination. The adversary, therefore, attracts all routing
messages. The attacker then creates a black hole attack by dropping all routing packets, and
disrupting the routing protocol and discovery phase.
Byzantine attack
During this type of attack a malicious node, or a group of malicious nodes, will launch
attacks on the routing protocol. The aim is to direct routing packets to follow: non-optimal
routes; routing loops; and selective dropping of packets [Awerbuch et al, 2002]. Byzantine
behaviour is difficult to detect. A network could be operating with byzantine failures and be
unaware of the attack on its routing mechanism.
Eavesdropping
An eavesdropping attack involves message or routing packet monitoring. It is a passive
attack on the mobile ad hoc network. Eavesdropping attacks are performed by adversaries
and can reveal confidential information about the network regarding: its topology;
geographical locations; or optimal routes in the network. Attackers can use this information
to launch other attacks at identified points of vulnerability. All networks are prone to
passive eavesdropping attacks. It is the nature of wireless, mobile ad hoc networks that
make them more vulnerable. In wireless networks adversaries do not need a physical wired
communication link to monitor the routing packets. The wireless communication medium
allows for any users, within range, to analyze the traffic. Attackers can also exploit the
multi-hop nature of routes in mobile ad hoc networks. An adversary can position itself
along a route path and forwarding the routing messages along the multi-hop path. This
allows adversaries to also analyze every packet that is forwarded along the path.
Eavesdropping is a common problem in networks and encryption techniques can protect
routing protocols from these attacks.
Packet Replay
Like eavesdropping, replay is a passive attack where data is captured by monitoring
adversaries. Old routing messages are then retransmitted to other nodes disturbing the
routing process. Adversaries can, therefore, cause other nodes routing tables to be updated
with outdated information. Malicious attackers can also record authorized routing messages
and replay them to gain unauthorized access to protected nodes.
Resource consumption attack
Mobile ad hoc nodes are restricted by their limited resources. Attackers exploit this by
launching attacks that consume a nodes resources hindering them from network
participation. Resources targeted by attackers are: bandwidth, computational power and
battery life.
Sleep deprivation attacks, are resource attacks which are, specifically aimed against mobile ad
hoc nodes battery power. Nodes attempt to save power by going into a sleep mode, where a
periodic scanning occurs and less battery power is used. Sleep deprivation attacks prevent
nodes from going into sleep mode therefore draining the battery life and disabling the node
itself. Attackers will flood a target node with redundant routing requests or routing packets to
be processed, thereby keeping the node and its resources unnecessarily busy.
Packet replication is another type of resource attack where adversaries duplicate out of date
packets and re-transmit them. This not only consumes battery life, bandwidth and
computational power, but also disrupts the routing protocol.
Sleep deprivation attacks, flooding attacks and packet replication result in the depletion of
precious resources. If this is not protected against, it will result in nodes and services
becoming unavailable in the network.
Routing Table Poisoning
Malicious nodes will target the routing table in an attempt to sabotage the establishment of
routes. One such attack is the routing table poisoning attack where malicious nodes send
counterfeit routing updates or modify existing routing updates. This results in conflicting
link information, unnecessary traffic congestion or denial of service.
Rushing attack
Mobile ad hoc networks that use on-demand routing protocols are vulnerable to rushing
attacks [Hu et al, 2003a]. On-demand routing protocols, such as AODV [Perkins et al, 2003]
and DSDV [Perkins & Bhagwat, 1994], use route request messages to discover the optimal
route to a destination node. The network is flooded with route request messages. These
messages are forwarded until the optimal route is found between the source and destination
nodes. An adversary that receives a route request performs a rush attack by hurriedly
flooding the network with that route request before other nodes, receiving the same route
request, can respond. When other nodes receive the legitimate routing request, it is assumed
to be a duplicate of the request which is distributed by the adversary, and the legitimate
routing request is dropped. Therefore, the adversary will become part of the route that is
discovered. This will result in an overall, insecure route.
Selfish attack
Misbehaving nodes will act in a greedy or selfish manner, resisting cooperating or
participating in the network operations. This is a denial of service and the attack causes the
nodes to refuse to make their resources available. Selfish nodes do not cooperate in network
operations that do not benefit them. Rather they conserve their limited resources, such as
battery life. Nodes may refuse to forward route request packets or turn off their devices
when they are not transmitting data. The distributive architecture and multi-hop nature of
mobile ad hoc networks means the network relies upon node cooperation [Molva &
Michardi, 2003]. A security protocol should ensure fair distribution of network operation in
order to provide reliable network services, and prevent nodes resources becoming depleted
because of selfish node attacks.
Impersonation
Impersonation attacks are also known as masquerading or spoofing attacks. The attacks
occur when adversaries take the identity of an authorized node and breach the security of
the network. Masquerading nodes are able to receive routing packets destined for other
nodes. Mobile ad hoc networks can help protect against impersonation attacks by
authenticating their routing messages.
Pure mobile ad hoc networks are more vulnerable as they have no access control. If there is
no strong binding between the physical entity and the network identity, malicious nodes
can adopt different identities. A severe attack which is prone to mobile ad hoc networks is
the Sybil attack [Hashmi & Brooke, 2008] [Douceur, 2002]. A single adversary node launches
a Sybil attack by adopting multiple identities and participating in the network with all
identities at once. The result of such an attack gives the attacker a majority vote or
considerable control in the network.
2.5 Security model
A security model for mobile ad hoc networks is illustrated, in general terms, in Figure 2. A
message M is to be transmitted from the source A, across a network of nodes, to a
destination node B. The two entities who are primary participants must collaborate for the
transaction to occur. A routing protocol establishes a multi hop route between the primary

Fig. 2. General Security Model
participants. The multi-hop route will involve secondary participating nodes. Security is
provided by two accompanying techniques: a security related transformation applied to the
message (resulting in an encrypted message C) and secret keying information shared by the
principal participants.
The general mobile ad hoc security model shows four basic tasks for a security mechanism:
1. The design of a security algorithm.
2. Generation of secret keying material used in conjunction with this security algorithm.
3. Distribution of secret keying material.
4. Protocol for the participants to follow which will achieve the required security services.
Tasks 1 and 2 deal with the cryptographic algorithm used to provide security services. It is
widely recognized that existing cryptographic technology can provide sufficiently strong
security mechanisms to ensure routing message confidentiality, authentication and
integrity. The establishment of these security mechanisms is a dynamic problem in wireless
ad hoc networks, as this network cannot adopt the same approaches of its wired
predecessors. The focus of this chapter is upon tasks 3 and 4: the establishment of the
security protocols in the mobile ad hoc environment.
3. Key management in mobile ad hoc networks
In Section-2 we discussed the different types of attacks upon wireless ad hoc networks. In
this section the techniques used to prevent these malicious attacks and specifically key
management techniques, will be looked at. Security solutions which use cryptographic
techniques rely on proper key management to establish trust. This chapter focuses upon key
management which aids these cryptographic solutions.
3.1 Description of key management
In any communication network, the cryptographic network security is dependent on proper
key management. Mobile ad hoc networks vary significantly from standard wired networks.
A specific efficient key management system is required to realize security in these networks.
Key management is defined as a set of procedures employed to administrate the
establishment and maintenance of secure key base relationship. The purposes of key
management, as stated by Menezes et al [Menezes et al, 1996b], is to:
1. Initialize system users within a network.
2. Generate, distribute and install keying material.
3. Control the use of keying material within the network.
4. Update, revoke, destroy and maintain keying material.
5. Store, backup and recover keying material.
Key management systems are responsible for the secure distribution of keys to their
intended destinations. Keys which are required to remain secret must be distributed in a
way that ensures confidentiality, authenticity and integrity. For example, in symmetric key
cryptography both, or all, the participants must receive the key securely. For asymmetric
key cryptography, the key management system must ensure that private keys are kept
secret and only delivered to the required, authorized participants. Public keys do not
require confidentiality but, authentication and integrity is vital. The key management
system must protect confidentiality and authenticity of the keys. This system must also
prevent unauthorized use of keys, for example the use of keys which are out-dated and
invalid.
Cryptographic algorithms can provide confidentiality, authentication and integrity.
However, the primary goal of key management is to guarantee that the secret keying
material is shared among the specific communicating participants securely. There are
several methodologies of sharing the keying material. The main approaches are: key
transport; key arbitration; key pre-distribution; and key agreement [Menezes et al, 1996b].
a. Key Transport
In a key transport system, one entity generates keys, or obtains keying material, and
securely transports them to other entities in the network. The simplest key transport method
is the key encrypting key method (KEK). This method assumes a prior shared key exists
among the participating nodes. The prior shared key is used to encrypt new keys and
transport them to all participating nodes. Prior shared keying relationships cannot be
assumed in networks, especially in mobile ad hoc networks. If a public key infrastructure
exists, then the new keys can be encrypted by the respective receivers public key and
transported without the existence of prior keying relationships. This approach assumes the
existence of a trust third party (TTP) member which transports all the keying material. In
pure mobile ad hoc networks a TTP member would not be available. Shamirs three-pass
protocol [Shamir, 1979] is a key transport method, without prior shared keys.
b. Key Arbitration
A key arbitration system is a division of key transportation. In key arbitration a central
arbitrator is assigned to create and distribute keys to all participants. The arbiter is often a
wired node with no resource constraints. In mobile ad hoc networks nodes are wireless
with resource constraints. The arbiter would be required to be online throughout the
network communication and be accessible to every member in the network. This is difficult
in mobile ad hoc networks because of the resource constraints such as: bandwidth;
transmission range; and energy. A solution to these potential problems is a distributive
system, where the arbiter is replicated at different nodes. Simple replication of the arbiter
has severe resource expenses on certain nodes and creates multiple points of vulnerability in
the network. If a single replicated arbiter is compromised the entire network can be at risk.
c. Key Pre-distribution
Keys are distributed to all participating member before the start of communication. Key
pre-distribution requires prior knowledge of all participating nodes. Its implementation is
simple and involves much less computation than other schemes. This method is suitable for
mobile ad hoc sensor networks, as they have highly restrictive resource capabilities. The set
of sensor nodes is also established before the network is deployed and data is tracked. Once
the network is deployed there is no service which allows for new members to join or for
keys to be changed. This method is extended by allowing sub-groups of communication to
form in the network. Similarly, the decision is made prior to deployment, and not during
communication.
d. Key Agreement
Key agreement is used to enable two participants to agree upon a secret key. In this way,
keys are shared and establish a secure communication line over which a session can be run.
Key agreement schemes are often based on asymmetric key cryptography and have high
computational complexity, but little pre-configuration required. The most widely used key
agreement scheme is the Diffie-Hellman key exchange [Steiner et al, 1996]. This is an
asymmetric keying approach based on discrete logarithms.
3.2 Key management in mobile ad hoc networks
Ad hoc wireless networks have unique characteristics and challenges, which do not allow
the simple replication of conventional key management methods that are used for wired
networks. Mobile ad hoc networks lack of infrastructure poses the greatest threat to the
establishment of a secure key management scheme. Fixed infrastructure such as: a trusted
third party member; an administrative support or certificate authority; dedicated routers; or
fixed reliable communication links, cannot be assumed in wireless ad hoc networks. Unique
solutions are required for such unique networks. The focus of this chapter is around the
investigation of the existing key management schemes for mobile ad hoc networks.
Key management schemes are investigated with regard to: functionality; scalability;
availability; security services; efficiency; and computational cost. A key management
solution, which is scalable, will effectively provide security services in a network which
dynamically changes in size, as nodes join and leave the network. Availability is essential
for a network whose topology is rapidly changing. Nodes should have easy access to
authority members and keying services. A high priority is given to a key management
solution that can successfully and efficiently provide crucial security services for the keying
material. Such services include: key confidentiality; key authenticity; key integrity; and
fresh key updates. These services are congruent with the security services described in
Section 2.
Of the existing key management solutions, asymmetric cryptography is predominately used
when managing trust via a public key infrastructure (PKI) of some sort. Existing PKI
schemes utilize either the: hierarchical or web-of-trust model.
a. Hierarchical Trust models
The hierarchical trust models are more structured, as they use a PKI and a certificate
authority as a source of trust. The certificate authority (CA) is a trusted entity used to verify;
issue; and revoke certificates, therefore enabling successful public key cryptography. A key
management service for public key cryptography would include the certificate authority
service which has a public key, K, and private key, k. The CAs public key is distributed to
all the nodes in the network. The nodes know that any certificate signed by the CAs private
key may be trusted. Each node also has its own public/private key pair, which allows for
nodal communication. The CA stores the public keys of all the network nodes and
distributes the respective keys to the nodes that request to setup a secure communication
with another node [William, 1999]. A fixed CA is not considered in this investigation, due
to the limitations caused by no TTP.
The CA distributes trust in a hierarchical manner, as seen in Figure 3. A root CA issues
certificates to delegated CAs or end users. The CA can issue certificates to user nodes or other
CA nodes. The PKI X.509 framework is an example of such an infrastructure [Stalling, 2003].
The following types of hierarchal trust models have been investigated in the context of
mobile ad hoc networks:
1. Off-line trusted third party models: use a trusted outside entity to achieve a large portion
of the key management tasks.
2. Partially distributed certificate authority models: distribute the functionality of the CA to a
small set of nodes.
3. Fully distributed certificate authority models: are self organized models, which are similar
to the previous distribute to the CA. However, this model is across the entire network
in a self organized manner.
4. Cluster based model: is a special kind of hierarchical trust in the form of group
authentication, where clustered groups of nodes are treated as single trust entities and
authenticated as a group.

Fig. 3. Hierarchical trust
b. Web-of-Trust Models
The Pretty Good Privacy model (PGP) [Abdul-Rahman, 1997], also known as a web-of-
trust-model, enables nodes to act as independent certification authorities. There is no
distinction between a CA and an end user node. Nodes provide individual trust opinions of
other nodes, thereby creating a web of trust, as illustrated in Figure 4. Each user node is
the centre of its own world and is responsible for certificate management. The advantage
of a PGP model is its dynamic, autonomous nature, which is seemingly ideal for application
in decentralized environments such as ad hoc networks [Davis, 2004].

Fig. 4. PGP web-of-trust
Certificates are issued by the nodes themselves. However, a public certificate directory is
required for their distribution. This directory is often located at an online, centralized,
trusted third party entity. This makes the PGP model unsuitable for ad hoc network
application. Steps are needed to be taken to localize such directories and realize certificate
distribution. The autonomous nature of the web-of-trust model means that it is more
susceptible to malicious attackers than to more structured networks. For example, if one
entity is compromised a corrupt set of certificates is filtered throughout the network. The
self issued certificate model is investigated as a foundation for PGP based solutions in
mobile ad hoc networks. Figure 5 illustrates the key management solutions investigated in
this chapter.
3.3 Off-line trusted third party models
A progress trust negotiation scheme was introduced by Verma [Verma et al, 2001]. It is a
hierarchical trust model where authentication is preformed locally, but an off-line trusted
third party performs trust management tasks like the issuing of certificates. The off-line
trusted third party also manages the certificate revocation process. This scheme is extended
through a localized trust management scheme proposed by Davis [Davis, 2004]. Davis
attempts to localize Vermas solution. The only trust management task that is not
implemented locally is the issuing of the certificates.

Fig. 5. Key Management Solutions
a. System Overview
Each node possesses its own private key and the trusted third partys public key. The
maintenance of these keys is the responsibility of each node. Trust is established when the
trustor provides the trustee with a certificate that has not expired, or has not been revoked
and the trustee can verify it with the trusted third partys public key (possessed by the
trustee). Furthermore, to realize certificate revocation, each node must possess two
certificate tables: a status and profile table. The profile table, illustrated in Figure 6, describes
the conduct or behaviour of each node. The status table describes the status of the certificate,
i.e. revoked or valid. These two tables are maintained locally by the nodes themselves, with
the purpose of maintaining consistent profiles.

Off-line TTP Model
Partially Distributed CA
Cluster-based Group
Model
Self Issued Certificate
Chaining
Proximity-based
Identification
Fully Distributed CA
Hierarchical Trust
Web of Trust
Key Management
Daviss scheme is a fully distributed scheme. It requires that a node broadcasts its
certificates and its profile table to all the nodes in the network. It also requires that each
nodes profile table be kept updated, and distributed with synchronization of data content.
The profile table contains information from which the user node may define if a certificate
can be trusted or of it must be revoked. Node is profile table stores three pieces of data:
1. Accusation info: the identity of nodes that have accused node i of misbehaving.
2. Peer n ID: the identity of nodes that node i has accused, acting almost as a CRL
(certificate revocation list).
3. Certificate status: a 1-bit flag indicating the revocation status of the certificate.
The fully distributed information in the profile tables should be consistent. If there is any
inconsistency detected, an accusation is expected to be launched against the node in
question. Inconsistent data can be defined as data which differs from the majority of data.

Fig. 6. Profile Table
The status table is then used to calculate the certificates status, i.e. revoked or not revoked.
The node is status table stores and analysis the following factors: A
i
(total number of
accusations against node i); a
i
(total number of accusations made by node i) ; N (expected
maximum number of nodes in the network). These factors are used to calculate the weight
of node is accusation and the weight of other nodes accusations against node i. A revocation
quotient is then calculated, R
j
, as a function of the sum of the weighted accusations. It is then
compared to a network defined revocation threshold R
T
. If R
j
> R
T
then the node is
certificate is revoked.
b. Analysis
This scheme uses a hierarchical trust model which relies upon an off-line trusted third party
for aspects of key management. The off-line trust third party is to be resident as a trusted
source if required. This scheme assumes the existence of a trusted off-line entity which
initializes certificates, and securely distributes them amongst the network participants. This
scheme is a pre-distributive key exchange model. It provides robust security; however, its
implementation is more realistic within a hybrid infrastructure. A key management scheme
with a hybrid infrastructure is a scheme which makes use of both wired and wireless
architecture. A wired trusted off-line node performs all or a portion of the key management
services to maximise security and efficiency. Hybrid infrastructures allow for greater
security and a simple solution to the central problem of key distribution in mobile ad hoc
networks.
Verma and Daviss solution does not specify that a wired node be the off-line authority for
key pre-distribution. Nevertheless, a separate trusted entity capable of intense computation,
high security and network distribution must exist for the success of Verma and Daviss
model. Such assumptions cannot be made in pure mobile ad hoc networks. The hybrid
nature of Daviss solution is displayed in Figure 7.
Verma localizes the task of authentication. Davis goes one step further by localizing the
revocation module of the scheme by proactively maintaining accusation information in
profile tables and locally, calculating revocation decisions. This scheme mitigates against
malicious accusation exploits. This could result in a node being revoked based on single
malicious offenders broadcast information. To solve this problem one must not treat all
accusations equally, but rather use a sum of weighted accusations, which are calculated
before the node is revoked. Daviss scheme succeeds in taking steps toward self-
organization in ad hoc network trust establishment as it provides a protocol that enables
revocation of certificates, without continual trusted third party involvement.

Fig. 7. Hybrid progressive trust negotiation scheme
3.4 Partially distributed certificate authority
The solution proposed by Zhou and Haas [Zhou & Hass, 1999] allows for the functionality
of the certificate authority to be shared amongst a set of nodes in the network. This solution
aims to create the illusion of an existing trusted third party. Zhou and Haass proposal in
1999 was instrumental in the initial research of key management solutions for ad hoc
networks. This approach has been extended to incorporate the heterogeneous nature of
nodes in [Yi & Kravets, 2001].
a. System overview
The CAs public key, K, is known by all nodes (m) and the CAs private key, k, is divided
and shared by n nodes where n < m. The distributed CA signs certificates by recreating the
private key via a t threshold group signature method. Each CA node has a partial signature.
The CAs signature is successfully created when t correct partial signatures are combined, at
a combiner node. To prevent the distributed CA nodes from becoming compromised and
the authentication becoming compromised, a preventive proactive scheme is implemented
as to refresh the CA nodes. A simple partially distributed CA system is illustrated in
Figure 8.

Offline
TTP

Fig. 8. Partially Distributed Certificate Authority
b. Threshold Scheme
Threshold cryptography is used to share the CA service between nodes. A threshold
cryptography scheme allows the sharing of cryptographic functionality. A (t-out-of-n)
threshold scheme allows n nodes to share the cryptographic capability. However, it requires
t nodes, from the n node set, to successfully perform the CAs functionality jointly. Potential
attackers need to corrupt t authority nodes, before being able to exploit the CAs
functionality and analyze secret keying information. Therefore, a (t-out-of-n) threshold
scheme tolerates t-1 compromised nodes, from the n node set [Aram et al, 2003].
When applying threshold cryptography to the shared CA problem, the CA service is shared
by n nodes across the network called authority nodes. The private key k, crucial for digital
signatures, is split into n parts (k
1
,k
2
,k
3
,,k
n
) assigning each part to an authority node (an).
Each authority node has its own public key, K
n,
and private key, k
n,
(as seen in Figure 9).It

an
an

an

an
an
an
Partially distributed CA nodes
Participating nodes
CA availability
stores the public keys of all the network nodes (including other authority nodes). Nodes
wanting to set-up secure communication with node i need only request the public key of
node i (K
i
) from the closest authority node - therefore increasing the CAs availability. For
the CA service to sign and verify a certificate, each authority node produces a partial digital
signature using its respective private key, k
p,
and then submit the partial digital signature to
a combining node. Any node may act as a combiner in the ad hoc network. The partial
digital signatures are combined at a combiner (c) to create the signature for the certificate, t
correct partial digital signatures are required to create a successful signature. Therefore,
protecting the network against corrupt authority nodes, up to t-1 corrupt authority nodes
may be tolerated [Lidong & Zygmunt, 1999].
For example, Figure 10 shows a (2-out-of-3) threshold scheme where the message m is signed
by the CA, two partial signatures (PS) are accepted, while the third (an
2
) was corrupted. The
partial signatures meet the threshold requirements and the partial signatures are combined
at c and applied to the message.

Fig. 9. (2-out-of-3) Threshold Key Management

Fig. 10. (2-out-of-3) Threshold Signature
c. Proactive security
Threshold cryptography increases the availability and security of the network by de-
centralizing the CA. Security is maintained with the assumption that all CA authority nodes
cannot be simultaneously corrupt.
It is possible for a malicious attacker to compromise all the CAs authority nodes over time.
An adversary of this type is then able to gain the CAs sensitive keying information.
Proactive schemes [Van der Merwe & Dawoud, 2004] [Herzberg et al, 1997] [Frankel et al,
1997] [Jarecki, 1995] are implemented to avoid such adversaries.
A proactive threshold cryptography scheme uses share refreshing. This enables CA
authority nodes to compute new key shares from old ones, without disclosing the CAs
k
an
1
an
2
an
3
K
1
/k
1
K
2
/k
2
K
3
/k
3
m
an
1

an
2

an
3
c
PS(m,an
1
)
PS(m,an
2
)
public/private key. The new key shares make a new (t-out-of-n) sharing of the CAs
public/private key pair. These are independent of the old pair [Herzberg et al, 1995].
Share refreshing relies on the following mathematical property:
If (s
11
, s
21
, ,s
n1
) is a (t-out-of-n) sharing of k
1
and (s
12
, s
22
, ,s
n2
) is a (t-out-of-n) sharing of
k
2
, then (s
11
+ s
12
, s
21
+ s
22
, ,s
n1
+ s
n2
) is a (t-out-of-n) sharing of k
1

+

k
2
. Therefore if k
2
is 0,
then we get a new (t-out-of-n) sharing of k
1
.
The share refreshing scheme is applied to a threshold CA. A threshold CA is a (t-out-of-n)
system that shares the CAs private key k among n authority nodes (an
1
, , an
n
) each with a
share of the CAs private key. To generate a new (t-out-of-n) sharing (an
1
, , an
n
) of k, each
authority node an
i
generates sub-shares (an
i1
, an
i2
, , an
in
) a (t-out-of-n) sharing of 0, which
represents the ith column, as seen in Figure 11. Each sub-share an
ij
is sent to the authority
node an
j
. When authority node an
j
has received all sub-shares (an
1j
, an
2j
, , an
nj
), which
represents the jth row, seen in Figure 11, it then generates its new share an
1
by using the
mathematical property described above.

Fig. 11. (t-out-of-n) Share Refreshing
The communication of the sub-shares requires a secret redistribution protocol [Desmendt &
Jajodia, 1997] [Chor et al, 1985] to ensure secure transmission. Note that share refreshing
does not change the CAs private key pair. Share refreshing may occur periodically and be
extended to occur upon events. These events can include the detection of compromised
nodes or a change in network topology. Therefore, the key management service is able to
transparently adapt itself to changes in the network and maintain secure communication.
d. Heterogeneous Extension
An extension to Zhou and Haass scheme can be seen in the Mobile Certificate Authority
(MOCA) scheme by Yi and Kravets [Yi & Kravets, 2003]. The MOCA scheme also uses
threshold cryptography to implement a public key, which is a partially distributed
certificate authority solution. The functionality of the certificate authority is distributed to n
nodes, called MOCAs. The assumption is made that all nodes have heterogeneous visible
qualities. These visible qualities act as initial trust evidence and are used when selecting the
an
1
an
i
an
n
an
11
an
i1
an
n1
an
ij
an
1j
an
nj
an
1n
an
1n
an
1n

an
1
an
j
an
n

.
.
.
. .
.
.
.

MOCA nodes to distribute authority. Such visible evidence can include: computational
power; physical security; or position. This evidence is based on a trust decision and
authority distributed, accordingly. Similar to Zhou and Haass scheme, nodes require t+1
partial signatures from a set of n MOCAs to allow for certificate verification and trust
relationship establishment, with a threshold of t. The MOCA scheme further builds on
Zhou and Haass solution by adding a revocation of certificates. Certificate revocation lists
are stored at each MOCA. For certificates to be revoked, t+1 MOCAs must sign a revocation
certificate request with t+1 partial signatures from the MOCAs. Once the partial signatures
are gathered, the certificate revocation list is updated. Malicious nodes wanting to
unnecessarily revoke another nodes certificate can only do so with the approval of t+1
trusted MOCAs, therefore ensuring the reputation of each nodes certificate.
e. Analysis
This solution demonstrates some of the problems of an ad hoc network. Despite its obvious
weaknesses, it is noted as one of the earliest key management solutions to ad hoc networks.
The partial distributive scheme proposed by Zhou and Haas requires that an off-line TTP
member exists at the initialization phase in order to establish the distributive CA. The off-
line TTP: generates the threshold private key; shares it among the appointed CA authority
nodes; and distributes the CAs public key to all participating nodes in the network. All
certificate related tasks including signatures, generation, distribution, refreshing and
revocation, are performed by the participating nodes without the involvement of a TTP.
The off-line TTP is not as involved in Verma [Verma et al, 2001] and Daviss [Davis, 2004]
proposals. However, in spontaneous ad hoc networks such a trusted entity cannot be
assumed at initialization.
The advantage of distributing the CA allows for the functionality of the CA to be distributed
among the nodes. This avoids single point attacks and allows the computational overhead of
the CAs services to be distributed. Although the CA is distributed, it still remains
centralised between a few nodes.
The centralization of authority creates availability issues. The availability issues are sensitive
as communicating nodes require communicating with t authority nodes before acquiring a
signature. The CAs availability is dependent on the threshold parameters t and n. These
parameters must be selected to provide a suitable trade-off between: availability; security;
and cost of computation. The larger the threshold (t), the higher the security, but, the
availability will pay the cost. The centralization of authority also results in a select group of
nodes carrying the burden of security computations. This breaks the value of fair
distribution in a network.
This solution requires that the CA authority nodes store all the certificates issued, which
necessitates a costly synchronization mechanism. Furthermore, a share refreshing or
proactive method is required. This is achieved by using a secret redistribution protocol
[Desmendt & Jajodia, 1997]. With this in place, it is, therefore, certain that all the CA
authority nodes are not compromised. The procedure of synchronization, updating and
proactive refreshing is costly to resource constrained nodes.
Another potential problem is related to network participants addressing the CA authority
nodes. A node requesting a service from the CA entity is required to contact t out of n
nodes. The CA can then be given a multicast address and participating nodes can multicast
their requests to the CA. The CA authority nodes can then unicast replies to the requesting
participant. In ad hoc networks, which do not support multicasting, a participating node
can broadcast its request. This approach is more common in mobile ad hoc networks,
despite its potential of a large amount of network traffic.
Zhou and Haass partially distributed certificate authority approach provides much of the
groundwork for future solutions through the implementation of threshold cryptography in
ad hoc networks.
3.5 Fully distributed certificate authority
The threshold scheme, investigated in [Luo & Lu, 2000] [Luo et al, 2002], uses ideas
proposed by the partial distributive threshold scheme, found in [Lidong &Zygmunt, 1999].
Luo and Lu propose a scheme which embraces the distribution of the CA. In a network of m
nodes, the network and security services are shared across m nodes. Therefore, a fully
distributed system is realized, as seen in Figure 12. This scheme further differs from [Lidong
&Zygmunt, 1999] in that there is no need to select specialized nodal authorities, as all nodes
perform this role. Like the partial distributive scheme, the fully distributive scheme includes
the use of share refreshing. This allows proactive security against significant nodes that are
compromised. This scheme is designed for, and aimed at, long-term ad hoc networks which
have the capacity to handle public key cryptography.
a. System overview
The Fully Distributive Certificate Authority scheme is a public key cryptography scheme. It
takes the functionality of the certificate authority and distributes it across m nodes, where m is
the total number of nodes in the network. This threshold scheme requires k or more nodes to
act in collaboration to perform any operations of the CA. The CAs private key is divided and
shared among all the participating nodes. This effectively enhances availability and allows
nodes that are requesting the CA, to contact any k one-hop neighbour nodes. It is assumed that
each node will have more than k one-hop neighbours [Luo & Lu, 2000]. Therefore, only one-
hop certificate communication can occur. This allows for more reliable communication, in
comparison with multi-hop communication. It is also easier to detect compromised nodes.
Figure 12 illustrates the fully distributive network, where all nodes have a portion of authority
in the form of a partial CA signature. Figure 12 shows a network with threshold k=3, where
nodes B, C and D can find a coalition of partial CA nodes to form a group authentication CA
signature. Node A is unable to find a sufficient coalition of nodes.

Fig. 12. Fully distributive CA system

C
B
A
D
b. Off-line Initialization
The initial phase of [Luo & Lu, 2000] [Luo et al, 2002] requires an off-line trusted third party
(TTP) to establish the initial set of nodes. The off-line TTP will provide each node i with its
own: certificate; the CAs public key; and a share of the CAs private key. A certificate is a
binding between a nodes ID and its public key. The certificate is signed by CAs private key
k
CA
and can be verified by the CAs public key K
CA -
which is made available to all the
participating nodes. The off-line TTP initialises the threshold private key to the first k nodes
by the following steps:
1. Generate the sharing polynomial f(x) = a
0
+ a
1
x + ... + a
k-1
x
k-1
where a
0
= k
CA

2. Securely distribute node i identified by ID
i
where with its secret share S
i
= f(ID
i
)
3. Broadcast k public witnesses of the sharing polynomials coefficients {
} and
then the off-line TTP involvement is over.
4. Each node with ID
i
that has received a secret share S
i
verifies it by checking the sharing
polynomials coefficients such that
.
After the initial establishment of the shared secret key amongst the first k nodes, the TTP is
no longer responsible for the full distribution of the CAs private key. The off-line TTP
maintains the responsibility of issuing new nodes with their initial certificates binding, and
as a result impersonation attacks are prevented.
c. On-line Shared Initialization
New nodes entering the network need to be provided with their own share of the CA
private key k
CA
so that they can be part of the signing process. The participating nodes in
the network perform this initialization process, without the interference of an off-line TTP.
Shared initialization is modelled on Shamirs threshold secret sharing scheme [Shamir,
1979]. This scheme allows for a culmination of t nodes to initialize a joining node, with a
share of the CA private key k
CA
.
A node i, already initialized by the off-line authority, can generate a partial secret share S
p,i

for a joining node p. The combination of k partial secret shares results in node ps secret
share S
p.
This is a partial share of the CAs private key.

Node is secret share S
i
can be derived from each partial secret share S
p,
which is sent to
node p. The joining node p must not be allowed to know the secret shares of other nodes, as
this would breach confidentiality. The aim is to hide the actual partial secret shares S
p,I
,
while still transporting the combined secret share S
p
to node p. A shuffling scheme is used
to solve this problem. The shuffling scheme is illustrated in Figure 13. From Figure 13,
nodes i and j wish to initialize node p with a secret share Sp. Nodes i and j agree upon a
shuffling factor d
ij
. The shuffling factor is combined with the partial secret shares S
p,i
and
S
p,j
. The sum of the shuffling factors is null. Therefore this allows for the secret share S
p
to
be calculated while hiding the secret shares of i and j. Figure 13 illustrates a system with a
threshold of two nodes, to scale this to k nodes. Each pair of contributing nodes must decide
on a shuffling factor resulting in k(k-1)/2 shuffling factors which need to be distributed.
This key transport mechanism is described in the following steps:
1. Node p broadcast an initial request to a coalition of k neighbouring nodes.

Fig. 13. Shuffling scheme of partial secret sharing
2. The coalition of nodes divides into i and j pairs and agree upon appropriate shuffling
factors. An associated public witness
is generated and signed to identify any

misbehaviour. The shuffling factor and the witnesses are sent to node p.
3. Node p routes all the shuffling factors and witnesses to the k coalition nodes.
4. Each coalition node j generates the partial secret share S
j,p
and shuffles it with the
shuffling factors received by p such that
and sends
to p.
5. Node p verifies the shuffled share values
by checking the public witnesses that
. If the verification is successful the shuffled share values are

combines such that
.
After the joining node p has been issued with a part of the CA private key, it can perform the
services of the CA in the network including certificate renewal and certificate revocation.
System maintenance includes the initializing of joining nodes. System maintenance also
encompasses the renewal of certificates, certificate revocation and proactive updating of the
CA private key shares, therefore protecting against the CAs private key becoming
compromised.
d. Share Updating
In a k threshold system, attacks can compromise k nodes over a period of time allow them to
impersonate the CA and perform malicious communication attacks. A solution to this is
secret share updates by the use of a proactive security method, similar to that used in partial
distributed certificate authority methods.
The network will have an operation phase and an update phase where periodic updates will
occur of the secret shares of the CAs private key will be updated. During the update phase
all nodes participate in the updating procedure. Each node will have an equal probability of
initiating the update phase, therefore fairly distributing the load. The secret share update
phase following the following steps:
1. The node which is to initiate the update phase requests a coalition of k nodes and
generates an update polynomial
.
2. Each co-efficient of the polynomial is signed by the coalition CA and flooded through
the network such that each node possesses the
polynomial.
3. Each node i generates its secret update share
and verifies it by a
coalition of k nodes. Each node in the coalition returns a partial update to node i who
combines them to form its update share. This update share is added to the current share
and a new updated share of the CAs private key is formed.
The share update procedure provides robust security against multi-point attacks but
security comes at a high computational cost.
e. Certificate Renewal
Certificate issuing is assumed to be handled by the off-line TTP, which registers, initialises,
and certifies new nodes joining the network. The issue of certificate renewal is performed
by the distributed CA in the network. Each nodes certificate is only valid for a specified
time period, after which they must renew the certificate before it expires. For successful
certificate renewal in a k threshold fully distributive system, node i must request the renewal
of certificate
from a coalition of k nodes. One-hop neighbours are identified as more

trust worthy coalition members. Each coalition node then generates a new partial signature
and will send it to node i. Node i then act as a combiner (all nodes may act as combiners in
the fully distributive certificate authority scheme) and combines the k partial signatures to
produce the new certificate
[Luo &Lu, 2000]. In a similar manner, messages are signed

by the coalition nodes and form a group signature as described in providing authenticity
and security.
f. Certificate Revocation
Certificates can be revoked if nodes are found to be corrupt or compromised. This
revocation service assumes that all nodes monitor their one-hop neighbour nodes and are
capable of retaining their own certificate revocation list (CRL) [Luo & Lu, 2000]. When a
user node identifies a neighbouring node is corrupt, it adds the node in question to its CRL
and announces this to all neighbouring nodes. The neighbouring nodes in turn check if this
announcement is from a reliable source, i.e. the source is not on the receivers CRL. If the
source is reliable, the announced node is marked as suspect. If a threshold of ks reliable
accusation is made against a single node then the nodes certificate is revoked. This
procedure allows for compromised nodes to be identified and explicitly quarantined from
CA involvement, until such a time as they have become secure again. Implicit revocation is
implemented by setting lifetimes for certificates t
cert
. When the time has expired and the
certificate has not been renewed it is implicitly revoked.
g. Analysis
This scheme is a hierarchical model. It is similar to the partially distributed certificate
authority scheme. One can see that fully distributive networks possess similar weaknesses
to partial distributive networks. Both schemes require prior knowledge and an off-line TTP
for the initialization of certificates. The main advantages of the fully distributive scheme are
its availability and implement revocation mechanism.
The fully distributive nature of the CA allows for high availability. It does require that each
requesting node have k one-hop neighbours, which form a CA coalition. The localization of
the coalition to the one-hop neighbours avoids transitive trust and reduces network traffic.
One can choose for the threshold parameter k to be larger, which will provide a higher level
of security. This change requires an attacker to compromise a larger number of nodes in
order to obtain the CAs private key. Increased security comes at the cost of availability.
This scheme is non-scalable, as it lacks a mechanism that increases the threshold parameter
k, dynamically, as the network density increases.
As the CA is distributed through the network its availability is greatly increased. However,
an increase in availability of the CA requires a greater security and more focus upon the
proactive share refreshing scheme. This scheme is a complex and computationally taxing
maintenance protocol. It includes the share initialization and share update protocols. The
trade-off between security and resources is an important issue in wireless ad hoc networks.
The revocation mechanism allows for explicit and implicit revocation, while the assumption
is made that all nodes are computationally capable of monitoring the behaviour of their one-
hop neighbours. However, this assumption may not be true for certain ad hoc networks.
3.6 Cluster based model
This solution investigates the Secure Pebblenets [Basagni, 2001], which is a cluster or group
based scheme. This solution uses symmetric key cryptography. It is a hierarchical
distributive key management system. The focus of this scheme provides group
authentication for user nodes, as well as message integrity and confidentiality. Group
authentication is achieved by grouping nodes into clusters and treating them with blanket
authentication. This solution is suited for planned, long-term distributed ad hoc networks.
It is specifically aimed toward networks with low capacity nodes, which lack the resources
to perform public key encryption.
a. System overview
This solution requires an initial infrastructure for setup. A secret group identity key k
G
is
set. This identity provides every node with authentication and integrity. Its key is kept
constant for the duration of the network - unless an off-line authority re-initializes the
network. k
G
is used to generate further keys to provide message confidentiality [Basagni,
2001].
The life of the network is illustrated in Figure 14. The lifetime is divided into time slices,
with three phases: the cluster generation phase; the operation phase; and the key update
phase. Each time slice consists of these three phases. A network with low processing
capacity nodes, authentication is complex and costly. Therefore authentication,
confidentiality and integrity are provided for nodal groups or clusters. This maximizes
efficiency and minimizes computational cost.

Fig. 14. Phases of the network lifetime
b. Cryptographic keying material
The network uses the following cryptographic keying material to provide message and
group confidentiality and authentication:

t
update

Cluster Generation Phase
Key Update Phase
Operation Phase
1. Group identity key k
GI
is shared prior to network establishment between all network
nodes and is used to derive additional keys for security services.
2. Traffic encryption key k
TEK
is used for symmetric data encryption and is updated during
the network lifetime.
3. Cluster key k
C
is used for cluster specific communication.
4. Backbone key k
B
is used to encrypt communication between cluster heads.
5. Hello key k
H
is used between neighbours in cluster generation phase.
The cluster key is generated by the cluster head. The k
TEK
is randomly generated by the key
manager, who is selected in the key update phase. The group identity key is used to derive
the backbone and hello keys in the following manner:

where k
i
represents the key in the i time slice and h
i
represents a hash function to the order i.
The three phases of operation use the described cryptographic keying material to provide
cluster based security in a hierarchical manner.
c. Cluster Generation Phase
During the cluster generation phase, nodes decide to be either cluster heads or cluster
members. This decision is based on a variable called weight [Basagni et al, 2001]. Node is
weight w
i
is a representation of the nodes current capacity status, which is made up of
factors such as: battery power, and distance from other nodes etc. The cluster head will
manage the group keying services for that cluster. The cluster heads then discover each
other and establish a cluster head backbone, which is used to distribute updated traffic
encryption key k
TEK
.
The cluster generation phase follows the following three steps:
1. Nodes share their weights. Each node i calculates its weight w
i
. It then broadcasts its id
and w
i
to its one-hop neighbours, and encrypts it with the hello key k
H
. This provides
confidentiality and, along with the group identity key, they provide authentication.
The message is as follows.

2. After receiving the weighted messages from all its neighbours, node i will decide if it is
a cluster head or cluster member. Once a role has been selected by node i it broadcasts
its role to its neighbours in the following message.

The role of node i is decided by its weight. The highest weighted node will broadcast a
role of ch, cluster head, while other nodes will broadcast a role of id
j
, where j is the
identity of the cluster head that node i will belong to.
3. The cluster heads are then inter-connected. All cluster members inform their cluster
head of any other cluster heads within a three hop radius. The network is effectively
segmented and clusters are interconnected by a cluster head backbone, as illustrated in
Figure 15.

Fig. 15. Segmented network with cluster backbone
d. Operation Phase
During the operational phase, the nodes use the group identity key k
GI
to authenticate nodes
and provide message integrity. The traffic encryption key k
TEK
is used to encrypt the
application data and provide message confidentiality. These services are provided using the
cryptographic functions of symmetric encryption algorithms and the one-way hash function
[Basagni, 2001].
e. Key Update Phase
The traffic encryption key is updated periodically. This period is measured by an externally
set parameter t
update
(key update period). Updating occurs during the key update phase.
Firstly, a key manager is selected from the pool of all the cluster heads. Selection is done by
each cluster head, which checks if it is a potential key manager, by comparing its weight
with the neighbouring cluster heads. Secondly, an exponential delay period, statistically
averaged to , is set aside, as to minimize the risk of multiple nodes becoming key
managers [Basagni, 2001]. Thirdly, the cluster head with the highest weight value will arise
as the selected key manager. The key managers purpose is to generate a new traffic
encryption key k
TEK
and then distribute this to all the cluster heads, effectively updating the
traffic key (which provides message confidentiality). The new k
TEK
is generated using a
secure key generation algorithm. This new traffic key is distributed to the cluster heads
securely using the backbone key k
B
. The message sent to the cluster heads is:

c
c
c
c
Cluster head
Cluster Member
Inter cluster backbone
c
Once the cluster heads have received the new traffic key this is distributed to the cluster
members using the cluster key k
c
, which is generated by the cluster head. The message sent
to the cluster members is:

These three phases are repeated every network time-slice. The shorter this time-slice, the
greater the security obtained. Similarly, this applies to the t
update
period for the key update
phase. However, in this case, it stands that the shorter the update period or time-slice, the
more resources are required.
f. Analysis
This scheme is designed for large ad hoc networks, which are made up of nodes with
limited processing power and storage capacity. Public key cryptography is unsuited for
such a design, as this solution is realized through symmetric key cryptography. This
solution requires a TTP to initialise the network nodes with the group identity key k
GI
and
set the parameters, such as the t
update
time period.
The group identity key, which is distributed to all participating nodes, is required to remain
secret throughout the lifetime of the network. In [Basagni, 2001] the authors of the Secure
Pebblenets solution propose that nodes have tamper-resistant storage, which securely holds
the group identity key. Standard network devices do not have such features and this limits
its application for mobile ad hoc networks. If an attacker were to compromise the group
identity key, all the nodes in the network would need to be re-initialized with a new group
identity key, given by a TTP.
The clustering approach does benefit large ad hoc networks, as routing algorithms for long
distances or large networks can become complex and expensive. Cluster based
communication allows for packets travelling long distances to travel via the cluster
backbone, until they reach their desired neighbourhood or cluster. From there the cluster
head can transmit the packets more specifically. This approach reduces security
computation and routing complexity in large networks.
A cluster head centralizes the authority in a network. In doing so, it provides a central point
of attack for adversaries. Nodes within mobile ad hoc networks have unreliable
characteristics because of their mobility and wireless sporadic connectivity. Selecting a
reliable cluster head may become a problem in these dynamic networks. Nodes may also
refuse to adopt the computational burden of being the cluster head. This is due to resource
constraints inherent to mobile ad hoc networks.
Authentication is limited to groups to reduce computational requirements of nodes. It was
found that if authentication was to be extended to the individual nodes, it would require the
management of
symmetric keys [William, 1999]. Therefore, this solution is not

feasible for peer-to-peer communication.
3.7 Proximity-based identification
Smetters et al [Smetters et al, 2002] proposed a solution called demonstrative identification.
This solution allows nodes to establish initial trust relationships without prior knowledge or
relationship and without the existence of an off-line TTP, which most key management
systems assume. This solution uses close proximity channels to establish initial
bootstrapping and provides a basis for more complex key establishment. Demonstrative
identification approach is designed for spontaneous, small, localized short term ad hoc
networks. An example of such a network can be seen in the gathering of people in a coffee
shop, where each person wishes to establish temporary communication network, via their
PDAs.
a. System Overview
Two nodes desiring to establish a secure communication link, initially engage across a
location-limited channel. This channel is separate to the main communication channel, as
displayed in Figure 16. Location-limited channels include: infrared; physical contact; and
audio etc. Across the location-limited channel pre-authentication information is exchanged.
For example, a user with a PDA who wants to communicate with a second users PDA can
use an infrared channel. They can direct the PDAs infrared device towards the second
device and an exchange is made. The user can be assured that the pre-authentication
information is from the chosen PDA, due to the nature and characteristics of infrared
communication.

Fig. 16. Proximity based identification with location-limited channel
After the user has exchanged the pre-authentication information, a two-party (for example
Diffie-Hellman) or group key exchange scheme can be implemented over the main
communication channel. This is done in order to establish the keying material required for
secure communication. A limited localized communication channel allows for
communication without the existence of an off-line TTP or prior knowledge.
b. Two-Party Key Exchange
The key exchange between communication pair i and j is explained in the following steps:
1. Nodes i and j make close proximity contact with each other using a common location-
limited channel.
2. Pre-authentication information is exchange across the common location-limited
channel. Node i sends h(K
i
) to node j and j sends h(K
j
) to node i, where h(K
j
) is the
irreversible one-way hash function of a node js public key.
3. Nodes i and j now exchange their public keys over the main channel such that j receives
and i receives
. To avoid the impersonation attack which is common to mobile ad

hoc networks, the public keys are then authenticated in step 4 using the pre-
authentication information from step 2.

PDA
i
PDA
j

Local-limited channel
Main wireless
communication channel
4. Authentication is checked using the one-way hash function h and verifies that h(
) =
k(K
i
) and h(
) = k(K
i
).
5. Upon successful verification, any asymmetric key-exchange protocol can be
implemented to allow for nodes i and j to share a secret key.
The two-party key-exchange described above is the basic formulae for demonstrative
identification. This protocol can also be applied to heterogeneous nodes, where public key
encryption is available to only one of the two communication members. This allows for
nodes with limited complexity and computational capacity to participate in pair wise secret
key exchange. The procedure for a two-party key exchange, where only one of the members
(node i) is the public key competent, is described as follows:
1. Nodes i and j make contact on a location-limited channel, allowing i to send j, h(K
i
) and
j to send i, h(S
j
), where S
j
is a secret from j.
2. Node i sends j,
over the main communication channel to realize authentication.

3. Node j authenticates node is public key, K
i
,

by verifying that h(
) = h(K
i
).
4. Upon successful authentication, node j sends
to i.
5.
is decrypted at node i using K

i
.
is then verified by checking that h(S

j
) = h(
).
Upon successful verification the two heterogeneous parties share a secret S
j
, which can
be used to establish secure communication keying material.
c. Analysis
This solution allows for a fully self-configured ad hoc network, as the initial trust
establishment phase does not require the assistance of an off-line TTP. Users realize the
initial trust relationship by localized communication. For example, a user with a PDA would
point its PDA to another PDA to automatically exchange authentication information and
establish a secure communication line.
This solution requires that nodes are equipped with location-limited communication
devices. Examples of these devices are: infrared, audio or a wired link. This requirement
limits the network participants to those possessing specific peripherals. The assumption is
made that most portable wireless devices are equipped with some type of localized
communication medium, such as infrared.
The location-limited pre-authentication exchange realizes demonstrative identification
[Smetters et al, 2002]. It only allows key-exchange to occur in a localized manner, where
nodes are in close proximity to each other. As a result, this solution is not suited to large
networks, but it is best suited to small spontaneous networks. A solution presented by
Capkun [Capkun et al, 2006] extends the self-issued certificate chaining approach as it
implements a demonstrative identification approach in a PGP based network. Capkuns
proposal uses location-limited communication to establish initial trust and relies upon
mobility to distribute this trust in large networks. Such a proposal allows for demonstrative
identification to be implemented in large to moderate networks.
More recently, the Amigo proximity-based authentication system proposed by Scannell et al
[Scannell et al, 2009], uses shared radio environment evidences as proof of physical
proximity to authenticate localized mobile communication nodes.
3.8 Self issued certificate chaining
A PGP-based security solution for ad hoc networks is proposed by Capkun and Hubaux
[Capkun et al, 2003] [Hubaux et al, 2001]. This solution uses a certificate chaining approach.
It outlines a fully self-organized public key management system that allows users to:
generate their public-private key pairs; issue certificates; and perform authentication,
without the presence of an off-line trusted third party. Capkun and Hubaux focus on the
key management and key distribution system. Without the need of prior relationships or an
organizational TTP member, this solution is best suited to spontaneous ad hoc networks.
However, due to its complex initialization phase it is not suited for small short-term
networks.
a. System Overview
Public keys (K) and certificates are modelled as direct graphs G(V,E) where vertices, V,
represent the public keys and the edges, E, represent a certificate between two vertices. The
self-organized system proposed by Capkun and Hubaux [Capkun et al, 2003] [Hubaux et al,
2001] differs from PGP in that it relies on the users to store and distribute the certificates in a
self-issued manner. Each user node carries a certificate memory, consisting of certificates
limited to local neighbourhood. For a user to authenticate and certify another users public
key, a certificate chain is first found between the two users, by combining the users
certificate memory. Figure 17 illustrates a situation where node u and v request secure
communication [Capkun et al, 2003]. Node u is required to verify the authenticity of the
public key K
v
for corresponding to node v. To do so nodes u and v combine their certificate
memories to find a certificate chain or path between K
u
and K
v
, which is made up of valid
public key certificates shared between the two communicating nodes.
The fully self-organized public key management system can be broken into four procedures
of analysis, as follows:
x Public/private key creation
x Certificate exchange
x Authentication
x Certificate revocation
x Load sharing
During the initialization phase, the public-private keys are created and distributed with a
certificate exchange procedure. Secure communication is realized and impersonation attacks
are thwarted by the authentication of the available certificates. The certificate revocation
protocol is outlined in order to maintain security and exclude malicious users. Optimization
is implemented by a load sharing protocol that ensures fair distribution of the work load
and prevents selfish nodes in a network.
Initialization phase is executed in a four step procedure which establishes trust in the
network:
1. The user creates their own public/private key pair
2. The user issues public key certificates (vertices) based on the knowledge of the other
public keys.
3. The user performs certificate exchange and collecting certificates, and creates a non-
updated certificate repository.
4. The user constructs an updated certificate repository, modelled as a graph G
u
. This is
done by communicating with certificate graph neighbours or by a second method of
applying the repository construction algorithm to the non-updated certificate
repository.
After initialization is complete, authentication between two users can take place, through
certificate chaining. Each step is explained in more detail below.

Fig. 17. A certificate chain or path between public keys K
u
and K
v

b. Public/private Key Creation
Public and private keys for users are created locally. Public key certificates are issued by the
user. If the user u believes that a public key K
v
belongs to v, then the user u can issue a public
key binding K
v
to user v, by the signature of u. This certificate has an expiry time T
v
. A
periodic update may be issued which simply extends expiry time T
v
. The reason for trust is
not identified but assumed, for example through a physical side channel.
c. Certificate exchange
The certificate repositories are created automatically by exchanging certificates. A user u
has two certificate repositories: an update certificate repository G
u
and a non-updated
certificate repository G
u
N
. All certificates are stored twice, as when a certificate is issued, it is
stored in both the certificate issuer u and certificate owner vs repository. Therefore, initially
each certificate repository has only the certificates it has issued and those that have been
issued to it. Certificates are exchange periodically. Each node periodically polls its physical
neighbour for certificates.
A certificate exchange is performed by the following procedure:
1. Node u broadcasts G
u
and G
u
N
to its physical neighbours. The broadcast contains only
identities (hash values).
2. Neighbours reply with identities of their update repository G and non-update
repository G
N
.
3. Node u crosschecks the received sub-graphs and its sub-graphs for any additions.
4. Node u requests those certificates it does not hold.
After the initial convergence phase, all the certificates of the nodes are stored by all users. As
a result, users non-update repositories are created. After this phase the nodes exchange
only new certificates at a rate of T
CE
, which represents the time for a certificate to be
exchanged throughout the network. Note that certificate expiration times are not considered
thus far.

K
u

K
v

us local certificate repository
vs local certificate repository
combined certificate path between
u and v
d. Construction of updated certificate repositories
The exchange of certificates provides an incomplete view of the graph and allows each node
to create its own non-updated certificate repository. The updated repository G
u
will consist
of certificates which user u keeps updated. There are two approaches in this creation:
1. Apply algorithm A to G
u
N
which results in G
u
, and validity of each certificate is checked.
2. Communicate with certificate graph neighbours only.
The maximum degree algorithm is an algorithm A proposed by [Capkun et al, 2003] which
is applied to the non-update repository G
u
N
to create the update repository G
u
in [Capkun et
al, 2003] [Hubaux et al, 2001]. The algorithm selects a sub-graph that consists of two
logically distinct paths: the out-bound path and the in-bound path, which are made up of
outgoing edges and incoming edges, respectively. The selection of G
u
s out-bound path is
done in multiply rounds in the following manner [Capkun et al, 2003] [Hubaux et al, 2001]:
1. Each round runs from vertex K
vert
, starting with vertex K
u
.
2. User u requests the outgoing edge list of vertex K
vert
. This is possible as every vertex
stores this list locally.
3. An outgoing edge (with its terminating vertex z) is selected from the list in 2. Selection
is based on the highest number of shortcuts of the terminating vertex z. Where a
shortcut is defined as an edge, and removed, the shortest indirect path between the
nodes, previously connected by that edge, becomes larger than two. User u can
determine its number of shortcuts by gathering information about the outgoing and
incoming edges of its adjacent users.
4. The selected vertex z is added to a set N
out
of vertices selected, thus far. This is done to
ensure that the selected out-bound paths are disjointed.
5. The round is finished and now the terminating vertex z becomes K
vert
and a new round
begins, starting from step 1.
The in-bound path selection is done in a similar way:
1. Each round runs from vertex K
vert
, starting with vertex K
u
.
2. User u requests the incoming edge list of vertex K
vert
. Every vertex stores this list
locally. Therefore, this step requires that each user be notified whenever another user
issues a certificate to that user.
3. An incoming edge (with its originating vertex y) is selected from the list in 2. Selection
is based on the highest number of shortcuts of the originating vertex y.
4. The selected vertex y is added to a set N
in
of vertices selected so far, to ensure that the
selected in-bound paths are disjointed.
5. The round is finish and now the originating vertex y becomes K
vert
and a new round
begins, starting from step 1.
The update repository is the union of the in-bound sub-graph and out-bound sub-graph.
The pure method will operate on a single round. However, it is extended so the update
repository consists of several vertex disjoint out-bound and vertex disjoint in-bound paths.
The final sub-graph is star-like information.
e. Authentication
When initialization is complete, the user is prepared to perform authentication.
Authentication is preformed between users u and v with public keys K
u
and K
v
respectively,
as follows:
Firstly, user u and user v merge their update certificate repository (G
u
and G
v
) to find a
certificate chain between u and v. User u then looks for a path in G
u
and G
v
. Validity and
correctness checks are done to all certificates in the discovered path. Validity, checks that
the certificates are not revoked. Correctness, checks the certificates contain the correct user-
key bindings.
If no certificate chain is found, user u combines its two repositories of the updated and non-
updated certificates to find a chain. User u searches for a path in G
u
and G
u
N
. If a chain is
found, then u requests the updates of the expired certificates. Subsequently, the validity and
correctness checks are made.
If there is still no certificate chain found between K
u
and K
v
then authentication is aborted.
During authentication nodes that are one-hop physical neighbours (also known as helper
nodes) are given precedence as to maximize performance. When a path is found, the
certificates (edges) along this path are then used by user u to authenticate K
v
.
f. Certificate revocation
Certificates are revoked when it is believed that the user-key binding is no longer valid. If a
user believes his own private key is compromised then he can revoke his public key
certificate binding. This is done in two ways, explicitly and implicitly:
1. Explicitly, a user u would revoke a certificate issued by u, by broadcasting a revoke
statement broadcast to its G
u
nodes. The certificate exchange scheme allows for this
revoke to reach all other nodes at a time delay of T
CE
.
2. Implicit revocation is based on the expiration of certificates. Certificates are valid for a
given time T
v
after which they must be updated.
This allows for comprised certificates and private keys, to be dealt with explicitly, and
provides a higher level of confidence by implicitly maintaining validity.
The fully distributive nature of this scheme means every certificate is stored at each node
allowing for nodes to cross-check conflict and detects inconsistent certificates.
To combat false certificate bindings the following two procedures are taken:
1. If a certificate is received which doesnt exist in G
u
or G
u
N
then it and the issuer are
labelled unspecified until a period T
p
where T
p
> T
CE
where after if no conflicting
certificates are received then it is marked non-conflicting. This does not prevent against
Sybil attacks though.
2. If a certificate conflict is found where a user u has two certificate bindings (v,K
v
) and
(v,K
v
). Both certificates and the certificates that certified them are labelled as conflicting.
To resolve such a conflict, validity of certificates is first checked with their issuers. If
validity status remains true, then u will try to find chains of non-conflicting valid
certificates to public keys K
v
and K
v
. Confidence values are calculated based on the
number and length of chains, and values compared to compute the correctness of the
bindings. If no decision is made these bindings are labelled as conflicting and the node
waits for more information to resolve the conflict.
In this case, a confidence algorithm is not identified but assumed. This conflict resolution
mechanism can be further used: to evaluate trust in users; to issue correct certificates; and to
detect malicious users.
g. Load Sharing
For an update to occur nodes contact the issuer of the certificates that they store. This
approach is not efficient because one certificate issuer could be overloaded and unable to
handle the computational work load. Simple load sharing is implemented which allows for
relief. Each node u provides updates to up to s other nodes, where s is equal to size of us
updated repository. After which node u has provided s updates, it replies to update requests
with a list of nodes that get updates directly from u. The requesting node then randomly
selects a node from us list and requests its update from that node.
h. Analysis
The self organized, self certificate issuing trust model is a web of trust type model inheriting
PGP characteristics and applying them to an ad hoc network environment. In a similar way
that PGP [Zhou & Hass, 1999] realizes trust, the certificate chaining approach is used to
create chains of hierarchical trust between users. The main difference between PGP and the
certificate chaining solution is that PGP stores certificates in a centralized manner, and this
scheme decentralizes this procedure through local certificate repositories.
The main advantage of this scheme is that it is fully self-organized and does not require the
presence of a TTP. Trust is established in a self-organised manner with self-certificate being
issued by the nodes themselves. The initial phase requires nodes to interact and establish
trust. Trust relationship can take time to establish. Therefore, in the early stages of the
network, an initial time delay can be expected limiting the effectiveness of communication.
For this reason, this network is not suited for short term mobile ad hoc network. An
example of this shortcoming is illustrated in Figure 18, where node A wants to communicate
with node B. At the early stage of the network only D and C have issued certificates and as
a result no certificate chain exists between A and B. Only once the intermediate nodes have
issued certificates will a certificate chain between A and B be possible.

Fig. 18. Initial phase delay problem
The use of certificate chains is identified as vulnerable, because a chain of trust is only as
strong as its weakest link. A PGP hierarchical trust model is adopted that assumes
transitive trust. This web-of-trust based approach allows for more flexibility than the other
certificate approaches. However, a no central administration is present to enforce policy
and trust assessment. Therefore, because of this lack of structure, it is more prone to attacks
by malicious nodes. This solution is best suited to open mobile ad hoc networks, but may
not be suited to applications where high degrees of security is required [Davis, 2004], like
closed military mobile ad hoc networks.
This self-organized scheme is fully distributive which would result in a certificate updated
to be computationally taxing. Certificate update repositories and load sharing relieve this

A
C
D
H
F
E
G
B
Relationship
Issued Certificate
expense. However, a better load balancing data management schemes can be introduced to
further relieve the load [Hubaux et al, 2001].
The maximum degree algorithm A (or Shortcut Hunter Algorithm) is implemented to
maximise effectiveness and optimise the update procedure. This proposal has been tested on
PGP trust graphs. Nevertheless, an ad hoc network does not have the privilege of every
node having public knowledge of all the certificates available. Step 3 of the maximum
degree algorithm requires that an edge is selected from vert to z , where z is the vertex with
the highest number of shortcuts. To determine z knowledge of the surrounding trust graph
is required, which may not be available to all ad hoc network members.
One of the main disadvantages of a fully self-organized model is that nodes can adopt as
many identities as they have resources, in order to support further steps which need to be
taken to protect this solution from Sybil and impersonation type attacks [Capkun et al,
2003].
3.9 Discussion and summary
The solutions presented in this section give a summary of the work related to key
management in mobile ad hoc networks. The solutions differ considerably in requirements,
complexity and functionality. Each solution is suited for different types of ad hoc network
environments. Criteria which these key management solutions can be grouped or
differentiated included:
x Pre-configuration: Planned vs Spontaneous
This describes the pre-requisites and assumptions that are made for the nodes participating
or joining the network. If an ad hoc network is planned then nodes can be assumed to have
some pre-configured information, for example: initial shared secret; certificate; or
authenticated identification. If the network is spontaneous then nodes have no prior security
relationships or initial data assumptions. Pure ad hoc networks are more spontaneous
allowing for nodes to join and leave the network without complex pre-configurations and
assumptions made.
x Network Area: Local vs Distributive
This describes the area or space in which the key management scheme is operating. The
physical topology of the network would result in more close proximity interaction or more
multi-hop distributive interaction. A localized area is a network in which nodes come within
a close proximity range of each other, such as in a classroom. A distributive area is a
network where nodes are located some distance apart with little possibility of physical
interaction. Certain key management schemes do not function in a distributive network
area.
x Network Duration: Short Term vs Long Term
The duration of the network can dictate the initialization period of the key management
scheme. For short term ad hoc networks, a group of nodes establish communication for a
short time period and may never come into contact again. Short term ad hoc networks
require speedy initialization and require communication to be available at the start of the
network, without an initial period of weakened or delayed secure communication. Long
term ad hoc networks consist of nodes that plan to be part of a network and in relationship
with other nodes for a longer time period. Furthermore, nodes retain information and
relationships with other nodes even when they leave the network. Long term ad hoc
networks require more complex trust establishment.
x Off-line TTP Involvement
Ad hoc networks are characterized by their lack of infrastructure. Key management scheme
often rely on an off-line trusted third party (TTP) for initialization and operational security.
The extent of the off-line TTP involvement describes the self-organized nature of the
network. Ideally, an ad hoc network has no off-line TTP involvement at the initialization or
operational stages.
A summary of the presented key management solutions given in Table-1 with respects to
the criteria discussed above. The off-line TTP model relies on an external TTP to establish
and maintain security. This model is suited for networks which have available fixed
infrastructure and will therefore have limited mobility. The partially and fully distributive
CA solutions are similar using threshold cryptography, as they distribute the hierarchical
trust of a certificate authority. They are suited to large planned ad hoc networks like military
battlefield networks or disaster area networks. The Secure Pebblenet scheme is a cluster
based model which is ideal for hierarchical group-oriented ad hoc networks where all nodes
are distributed in a large network area and nodes have limited resources. An application of
this cluster based approach is sensor networks.
The Self-Issued Certificate model or certificate chaining model uses a localized PGP web of
trust approach. Its self-organized nature makes this solution most suited to spontaneous
networks, such as peer-to-peer communication in a classroom or coffee shop. The proximity-
based identification solution is suited to localized networks. Its greatest advantage is that it
requires no prior knowledge to establish trust. The proximity-based identification method
is, used in Capkuns mobility based approach, uses mobility of nodes to establish initial
trust relationships across a large network.
This section shows that many of the solutions presented have issues which need to be
resolved. Key management is an integral part of providing security and, as identified in
Section-1, the routing layer is the focus of attack for adversaries. If these MANETS are to be
recognized as secure, then mobile ad hoc networks security mechanism must strive to
provide security on the routing and application layer.

Pre-
Configuration
Network
Duration
Network
Area
Off-line TTP
Involvement
Off-line TTP Model Planned Long-term Distributive Full
Partially
Distributed CA
Planned Long-term Distributive Initialization
Fully
Distributed CA
Self Issued
Certificates
Spontaneous Long-term Distributive None
Cluster based
Model
Proximity-base
Identification
Spontaneous Short-term Localized None
Table 1. Summary of Key Management Solutions
4. References
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0
Grouping-Enabled and Privacy-Enhancing
Communications Schemes for VANETs
T.W. Chim
1
, S.M. Yiu, Lucas C.K. Hui
1
and Victor O.K. Li
2
1
Department of Computer Science, The University of Hong Kong
2
Department of Electrical and Electronic Engineering, The University of Hong Kong
Hong Kong, China
1. Introduction
A vehicular ad hoc network (VANET) is also known as a vehicular sensor network
[Zhang, Lu, Lin, Ho & Shen (2008)] by which driving safety is enhanced through inter-vehicle
communications or communications with roadside infrastructure. It is an important element
of the Intelligent Transportation Systems (ITSs) [Wang et al. (2006)]. In a typical VANET,
each vehicle is assumed to have an on-board unit (OBU) and there are road-side units (RSU)
installed along the roads. A trusted authority (TA) and maybe some other application servers
are installed in the backend. The OBUs and RSUs communicate using the Dedicated Short
Range Communications (DSRC) protocol [Oh et al. (1999)] over the wireless channel while
the RSUs, TA, and the application servers communicate using a secure xed network (e.g.
the Internet). Based on this infrastructure, vehicles can broadcast safety messages (e.g. road
condition, trafc accident information), referred to as ad hoc messages, to other nearby
vehicles and RSU such that other vehicles may adjust their travelling routes and RSU may
inform the trafc control center to adjust trafc lights for avoiding possible trafc congestion.
Like other communication networks, security issues have to be well addressed. For example,
the message from an OBU has to be integrity-checked and authenticated. Otherwise, an
attacker can replace the safety message from a vehicle or even impersonate a vehicle to
transmit a fake safety message. For example, an attacker may impersonate an ambulance
to request other vehicles to give way to it or request nearby RSUs to change trafc lights to
green. Besides, privacy is another important issue. A driver may not want others to know
its driving routes by tracing messages sent by its OBU. Thus an anonymous communications
protocol is needed. While being anonymous, a vehicles real identity should be revealable by
a trusted party when necessary. For example, the driver who sends out fake messages causing
an accident should not be able to evade responsibility by using an anonymous identity.
In terms of integrity-checking and authentication, digital signature in conventional public
key infrastructure (PKI) [Housley et al. (1999)] is a well accepted choice. However, requiring
a vehicle to verify the signatures of other vehicles by itself using such schemes as in
[Tsang & Smith (2008)] induces two problems as mentioned in [Zhang, Lin, Lu & Ho (2008)].
First, the computation power of an OBU is not adequate to handle all verications in
a short time, especially in places where the trafc density is high. Second, to verify a
message from an unknown vehicle involves the transmission of a public key certicate which
causes heavy message overhead. Therefore, the general approach is to let the nearby RSU
help a vehicle verify the message of another. The volume of signatures to be veried can
9
be huge (each vehicle is expected to broadcast a safety message every few hundred ms
[U.S. Department of Transportation (2006)]). An efcient method for verifying a batch of
signatures within a short period of time is desirable.
Another motivation of our work is the observation that VANET can provide a platform
for a group of known vehicles (e.g. police chasing a bank robber) to establish a secure
communication channel (group communications). Since communication is through a wireless
channel and is more vulnerable to attacks and member vehicles would leave the group and
join the group again (e.g. at junctions) rather frequently, it is desirable to have an efcient
frequent group key update procedure to accommodate dynamic membership in such a group
communications scheme.
To conclude, besides security and privacy requirements, an ad hoc communications protocol
for VANETs should have lowmessage overhead and efcient message verication mechanism
while having high success rate and low delay. The group communications protocol should be
efcient for dynamic membership as well as frequent group key update. Existing solutions
cannot satisfy all these requirements. Section 2describes related work and their limitations.
In this chapter, we propose a Grouping-enabled and Privacy-enhancing communications
Scheme (or GPS in short form) for VANETs. Our schemes can handle ad hoc messages
(those sent by arbitrary vehicles) as well as allow vehicles that know one another in advance
to form a group and send group messages securely among themselves. In summary, our
schemes have the following features:
1) Our schemes are software-based and do not rely on any special hardware.
2) By establishing shared secrets with RSU and TA on the handshaking phase, a vehicle is
allowed to use a different pseudo identity for each session (or message) to protect its privacy
while the real identity is traceable only by TA.
3) We make use of the techniques of binary search in RSU message verication phase and
bloom lter in notication messages to reduce the message overhead substantially and
enhance the effectiveness of the verication phase.
4) Any vehicle can form a group with other vehicles after an initial handshaking phase with
a nearby RSU and then authenticate and communicate with others (either to all members or
to a dedicated member) securely without the intervention of RSU even after moving into the
region of another RSU.
5) We support dynamic membership in a group. When a new member
wants to join an existing group or an existing member wants to leave a group, there is no need
to form a new group from scratch.
6) The groupsecure key can be updated periodicallywithout any help froman RSUto increase
the security level of the communication.
We provide a security analysis on our schemes and an analysis on the effectiveness of using
bloom lter in the notication messages. Through analysis and simulation studies, we show
that our schemes can reduce the message overhead and increase the verication success
rate (will be formally dened in Section 8) by at least 45% while the additional overhead is
insignicant when compared to the existing solutions.
2. State of the art
The problem of secure communications has been studied in other mobile ad hoc networks
(e.g. [Kim et al. (2004)] and [Wong et al. (1998)]). However, VANET has its own characteristics
which make the solutions for MANET not applicable. In brief, although mobile ad hoc
network does not have a xed topology, it may still be feasible to assume a rough topological
Grouping-Enabled and Privacy-Enhancing Communications Schemes for VANETs 3
structure such as cluster-based, tree-based or hierarchical, and nodes in a MANET move
relatively slowly. On the other hand, these assumptions are no longer valid in VANETs. In a
VANET, vehicles are moving at high speed and the topology changes rapidly. There are other
issues that make the problemin VANETs unique. Interested readers can refer to [Hubaux et al.
(2004)] and [Raya et al. (2006)] for more details.
Ad hoc communications in VANETs have been addressed in two recent
work [Zhang, Lu, Lin, Ho & Shen (2008); Zhang, Lin, Lu & Ho (2008)]. In
[Zhang, Lu, Lin, Ho & Shen (2008)], the IBV protocol was proposed for vehicle-to-RSU
communications. The RSU can verify a large number of signatures as a batch using just
three pairing operations (see Section 4 for what a pairing operation is). However, their
work has some limitations. First, their protocol relies heavily on a tamper-proof hardware
device, installed in each vehicle, which preloads the system-wide secret key. Once one of
these devices is cracked, the whole system will be compromised. Second, a vehicles real
identity can be traced by anyone, thus the protocol does not satisfy the privacy requirement.
Third, their protocol has a aw such that a vehicle can use a fake identity to avoid being
traced (anti-traceability attack) or even impersonate another vehicle (impersonation attack
1
). Fourth, in their batch verication scheme, if any of the signatures is erroneous, the whole
batch will be dropped. This is inefcient because most signatures in the batch may actually
be valid. Finally, the IBV protocol is not designed for vehicle-to-vehicle communications.
In a more recent work [Zhang, Lin, Lu & Ho (2008)], the RAISE protocol was proposed for
vehicle-to-vehicle communications. The protocol is software-based. It allows a vehicle to
verify the signature of another with the aid of a nearby RSU. However, no batch verication
can be done and the RSU has to verify signatures one after another. On the other hand, to
notify other vehicles whether a message from a certain vehicle is valid, a hash value of 128
bytes needs to be broadcasted. There can be tens or even up to thousands of signatures within
a short period of time, thus the notication messages induce a heavy message overhead.
Group communications in VANETs, on the other hand, have been considered in three
papers [Chim, Yiu, Hui, Jiang & Li (2009); Wasef & Shen (2008); Verma & Huang (2009)]. In
[Chim, Yiu, Hui, Jiang & Li (2009)], a scheme is proposed to allow a set of vehicles to form
a group with the help of an RSU such that subsequently, encrypted group messages can be
broadcasted by any member to all other members without the intervention of RSU. While
group messages can be authenticated to be sent by valid members, the scheme also satises
the privacy-preserving property that the real identity of the sender cannot be linked to the
messages (except by TA) to protect the route of the vehicles being traced by unauthorized
parties. However, the scheme assumes that the vehicles in the group are static in the sense
that no mechanism is provided if a new member wants to join an existing group or an existing
member wants to leave the group. Also, wireless channel is more vulnerable to attacks, and
it is important to have an efcient scheme to update the group key periodically without the
help of a third party. So, to handle dynamic membership of a group and key update based on
[Chim, Yiu, Hui, Jiang & Li (2009)], we need to go through the group formation scheme from
scratch with the help of an RSU.
In [Wasef & Shen (2008)], the PPGCV protocol was proposed. In addition to a scheme for
group formation, they provide a protocol to update the group key. However, the setting of
their scheme is different from a typical VANET and the key update process relies heavily on a
key server which holds the set of all keys distributed to the vehicles.
1
Please refer to the Appendix or [Chim, Yiu, Hui & Li (2009)] for the attacks.
195 Grouping-Enabled and Privacy-Enhancing Communications Schemes for VANETs
In [Verma & Huang (2009)], another group communications protocol, SeGCom, was
proposed. However, its concern is totally different from ours and privacy is not considered.
Also RSUs are assumed to be fully trusted but this is unrealistic in practice. Furthermore, a
vehicle can only form a group with all vehicles that are in the same RSUs range. It cannot
select vehicles to form a group with. In all three papers, the noise of the wireless channels
was not adequately addressed. We found that the success rate for forming a group degrades
substantially as the noise increases in the channel.
3. Problem statement
3.1 System model and assumptions
Recall that a vehicular network consists of on-board units (OBUs) installed on vehicles,
road-side units (RSUs) along the roads, and a trusted authority (TA). We focus on the
inter-vehicle communications over the wireless channel. We assume the following:
1. The TA is always online and trusted. RSUs and TA communicate through a secure xed
network. To avoid being a single point of failure or a bottleneck, redundant TAs which
have identical functionalities and databases are installed.
2. RSUs have higher computation power than OBUs.
3. The RSU to Vehicle Communication (RVC) range is at least twice of the Inter-Vehicle
Communication (IVC) range to ensure that if an RSU receives a message, all vehicles
receiving the same message are in the feasible range to receive the notication from the
RSU. Consider the following counter example. Assume that the RVC range and the IVC
range are both r. Two vehicles V
1
and V
2
are r apart. The distance between V
1
and RSU is
within r but that between V
2
and RSU is larger than r. If V
1
sends a message to V
2
, V
2
has
no way to verify it as it cannot receive the notication message from the RSU. However,
this problem can be resolved if the RVC range is twice that of IVC.
4. There exists a conventional public key infrastructure (PKI) for initial handshaking. The
public key of TA PK
TA
is known by everyone. The public key of vehicle V
i
PK
V
i
is known
by TA. Also any RSU R
k
broadcasts its public key PK
R
k
with hello messages periodically
to vehicles that are travelling within RVC range of it. Thus PK
R
is known by all vehicles
nearby. The TA and RSU R
k
keep their secret keys SK
TA
and SK
R
k
privately. There is no
need for vehicles to know the public keys of other vehicles to avoid message overhead for
exchanging certicates.
5. The real identity of any vehicle is only known by TA and itself but not by others.
3.2 Security requirements
We aim at designing schemes to satisfy the following security requirements:
1 Message integrity and authentication: A vehicle should be able to verify that a message is
indeed sent and signed by another vehicle without being modied by anyone.
2 Identity privacy preserving: The real identity of a vehicle should be kept anonymous from
other vehicles and a third party should not be able to reveal a vehicles real identity by
analysing multiple messages sent by it.
3 Traceability: Although a vehicles real identity should be hidden from other vehicles, if
necessary, TA should have the ability to obtain a vehicles real identity and relate the
message to the sender (for example, in case the real identity of the sender of a fake message
causing an accident needs to be revealed).
4 Condentiality: Group messages broadcasted to all members should not be decryptable by
vehicles not in the group and a group message sent to a dedicated member should only
be decryptable by that dedicated receiver, other vehicles (including other members) should
not be able to decrypt the message.
4. Preliminaries
Our schemes are pairing-based and dened on two cyclic groups with a bilinear mapping
[Menezes (1991)]. We briey introduce what a bilinear map is and will discuss the basics
on bloom lter which we apply in the RSU notication phase.
4.1 Elliptic curve cryptography (ECC)
Let G be a cyclic additive group with generator P and G
T
be a cyclic multiplicative group.
Both groups G and G
T
have the same prime order q. The mapping e : G G G
T
is called a
bilinear map if it satises the following properties:
1. Bilinear: P, Q, R G and a, b Z, e(Q, P + R) = e(P + R, Q) = e(P, Q) e(R, Q). Also
e(aP, bP) = e(P, bP)
a
= e(aP, P)
b
= e(P, P)
ab
.
2. Non-degenerate: There exists P, Q G such that e(P, Q) ,= 1
G
T
.
3. Computable: There exists an efcient algorithm to compute e(P, Q) for any P, Q G.
The bilinear map e can be constructed on elliptic curves. Each operation for computing
e(P, Q) is a pairing operation. Pairing operation is the most expensive operation in this kind
of cryptographic schemes. The fewer the number of pairing operations, the more efcient the
scheme is. The groups G and G
T
are called bilinear groups. The security of our schemes relies
on the fact that the discrete logarithm problem (DLP) on bilinear groups is computationally
hard, i.e., given the point Q = aP, there exists no efcient algorithm to obtain a by given P and
Q. The implication is that we can transfer Q in an open wireless channel without worrying
that a (usually some secret) can be known by the attackers.
4.2 Bloom lter
A bloom lter is a method for representing a set A = a
1
, a
2
, ..., a
n
of n elements to support
membership queries. The idea is to allocate a vector v with m bits, initially all set to 0, and
then choose k independent hash functions, h
1
, h
2
, ..., h
k
, each with range 1, ..., m. For each
element a A, the bits at the positions h
1
(a), h
2
(a), ..., h
k
(a) in v are set to 1 (A particular
bit might be set to 1 multiple times). To answer if a value b is in A, we check the bits at
positions h
1
(b), h
2
(b), ..., h
k
(b). If any of them is 0, then b is denitely not in the set A.
Otherwise we conjecture that b is in the set although there is a certain probability that we
are wrong (called a false positive). After inserting n keys into the vector with m bits with k
hash functions, the probability that a particular bit is still 0 is (1
1
m
)
kn
e
kn
m
assuming that
on any input value, the hash functions pick each position with equal probability. Hence the
probability of a false positive is (1 (1
1
m
)
kn
)
k
(1 e
kn
m
)
k
. Let f (k) = (1 e
kn
m
)
k
and
let g(k) = lnf (k) = kln(1 e
kn
m
). By nding
dg
dk
and making
dg
dk
= 0, it can be shown that to
minimize the probability of having false positives, k should be set to
mln2
n
.
5. Our scheme for ad hoc communications
This section presents our scheme for ad hoc communications in details. There are some initial
parameters to be generated by TA using the following steps. This needs to be done once
for the whole system unless the master key, or the real identity of a vehicle are believed to
be compromised, or TA wants to update the parameters and the master key periodically to
enhance the security level of the system.
(1) TA chooses G and G
T
that satisfy the bilinear map properties.
(2) TA randomly picks s Z
q
as its master key and computes P
pub
= sP as its public key. The
public parameters {G, G
T
, q, P, P
pub
} are publicly accessible by all RSUs and vehicles.
(3) TA assigns each vehicle V
i
a real identity RID
i
G and a password PWD
i
. The drivers are
informed about them during network deployment or during vehicle rst registration.
Our scheme can be divided into the following modules:
(A) Initial handshaking: This module is executed when a vehicle meets a new RSU. The vehicle
authenticates itself with TA via RSU. Note that TA is the only authorized party which knows
the real identity of the vehicle, so TA will pass information to RSU to allow RSU to verify the
vehicles signature even if it uses pseudo identity to sign the message. Also, RSUwill generate
a shared secret with the vehicle. If this is the rst time the vehicle authenticates itself with TA,
TA will also pass its master key s and a shared secret to the vehicle. This only needs to be done
once in the whole session. To increase the security level, s is not preloaded into any hardware
on the vehicle as in [Zhang, Lu, Lin, Ho & Shen (2008)]. For the shared secret with RSU, a new
secret is generated every time the vehicle moves into the region of another RSU.
(B) Message signing: When a vehicle wants to send out a message, it rst creates a pseudo
identity together with the signing key. This can be done per message to increase the difculty
of attackers attempting to trace its real identity. Then, it signs the message using the signing
key of the pseudo identity.
(C) Batch verication: This module is used by the RSU to verify a set of messages using only
two pairing operations in a batch mode. We also describe how to generate a notication
broadcast message using bloom lter and how to handle the case in which there are some
invalid signatures in the batch (recall that in [Zhang, Lu, Lin, Ho & Shen (2008)], once there is
an invalid signature in the batch, the whole batch of signatures are assumed to be invalid and
ignored).
(D) Real identity tracking: This module is used by TA to reveal the real identity of the sender of
a given message.
5.1 Initial handshaking
Fig. 1. Initial handshaking
We use the notations CENC
Z
(M), CDEC
Z
(M) and CSIG
Z
(M) to denote conventional
encrypting, decrypting and signing, respectively, message M using the key Z. To enhance
readability, we summarize the notations that will be used in this chapter in Table 1. The
detailed processes in this module are as follows:
1. When a vehicle V
i
meets the rst RSU R
k
, it encrypts its RID
i
and PWD
i
using TAs public
key PK
TA
and sends ENC
PK
TA
(RID
i
, PWD
i
, r) to the RSU which forwards it to TA. Here
RID
i
, PWD
i
and r are concatenated in a pre-dened way and r is a random nonce. By
including r, two similar blocks sent by the same vehicle cannot be related by an attacker.
Symbol Meaning
CENC
Z
(M) Encrypting message M using the key Z
CDEC
Z
(M) Decrypting message M using the key Z
CSIG
Z
(M) Signing message M using the key Z
H(.) MapToPoint hash function [Boneh et al. (2001)]
h(.) One-way hash function such as SHA-1 [Eastlake & Jones (2001)]
r random number
TA Trusted authority
R
k
RSU number k
V
i
Vehicle number i
PK
TA
Public key of TA
SK
TA
Secret key of TA
PK
R
k
Public key of RSU R
k
SK
R
k
Secret key of RSU R
k
PK
V
i
Public key of vehicle V
i
s TAs master key
{G, G
T
, q, P, P
pub
= sP} Public parameters
RID
i
Real identity of vehicle V
i
PWD
i
Password of vehicle V
i
t
i
Shared secret between TA and vehicle V
i
m
i
Shared secret between RSU R
k
and vehicle V
i
M
i
/M
r
Messages sent by vehicle / RSU
ID
i
Pseudo identity of vehicle V
i
VPK
i
Verication public key of vehicle V
i
SK
i
= (SK
i1
, SK
i2
) Signing key of vehicle V
i
i
ECC signature by vehicle V
i
LID
i
Local pseudo identity of vehicle V
i
(for group communications)
GPK
i
Group public key of vehicle V
i
LSK
i
= (LSK
i1
, LSK
i2
) Local signing key of vehicle V
i
j
Local ECC signature by vehicle V
i
rr Partial group secret key (for group communications)
Group secret key (for group communications)
Table 1. Notations used in this chapter
2. TAdecrypts and veries RID
i
and PWD
i
. If they are valid, it generates a shared secret t
i
for
V
i
and computes V
i
s ID Verication Public Key as VPK
i
= t
i
RID
i
. TA then passes VPK
i
to RSU to enable it to verify signatures from V
i
even if V
i
uses pseudo identity to sign the
message. TA then stores the (RID
i
, t
i
) pair into its repository and forwards PK
V
i
, VPK
i
and
X = ENC
PK
V
i
(s, VPK
i
, SIG
SK
TA
(s, VPK
i
)) to RSU, where PK
R
and PK
V
i
are conventional
public keys of RSU and vehicle V
i
, respectively. Note that to let V
i
know that s and VPK
i
are really sent by TA, TA includes its signature on s and VPK
i
(CSIG
SK
TA
(s, VPK
i
)) into the
encrypted text.
3. RSU chooses a random number m
i
to be the shared secret between itself and vehicle V
i
.
It stores the (VPK
i
, m
i
) pair into its verication table for later usage. It then sends Y =
ENC
PK
V
i
(m
i
, CSIG
SK
R
(m
i
)) and X to vehicle V
i
. Again to let vehicle V
i
know that m
i
is
really sent by RSU, RSU signs it.
4. Vehicle V
i
decrypts Y to obtain m
i
and veries RSUs signature on it. Similarly, it decrypts
X to obtain s and VPK
i
and veries TAs signature on them. It then computes its shared
secret with TA using t = VPK
i
RID
i
.
This basically completes the initial handshaking phase. The following shows the procedure
when vehicle V
i
leaves the range of an RSU and enters the range of another. It includes a
simpler authentication process with TA so that TA can pass the information to the new RSU
for verifying V
i
s signature and a new shared secret will be generated by this RSU.
5) V
i
sends ENC
PK
TA
(RID
i
) to TA via this new RSU. This time TA does not need to verify
V
i
s PWD anymore as it has already done that when V
i
rst starts up. Instead it directly
generates a new t
i
and a new VPK
i
for V
i
and sends VPK
i
to the new RSU. TA then adds
the new t
i
into its repository. Next the new RSU chooses a random number m
i
to be its
shared secret with V
i
. After storing (VPK
i
, m
i
) into its verication table, RSU sends Y =
ENC
PK
V
i
(m
i
, CSIG
SK
R
(m
i
)) to V
i
which then decrypts it using its conventional secret key.
From now on, vehicle V
i
starts to use the new shared secret with the new RSU for message
signing.
5.2 Message signing
Fig. 2. Message signing
To sign a message, a vehicle generates a pseudo identity and the corresponding signing key.
A different pseudo identity can be used for a different message.
To generate a pseudo identity, V
i
rst generates a random nonce r. Its pseudo identity ID
i
contains two parts - ID
i1
and ID
i2
where ID
i1
= rP
pub
and ID
i2
= VPK
i
H(m
i
ID
i1
). The
corresponding signing key is SK
i
= (SK
i1
, SK
i2
) where SK
i1
= sm
i
ID
i1
and SK
i2
= sH(ID
i2
).
H(.) is a MapToPoint hash function [Boneh et al. (2001)]. Then, to sign a message M
i
, V
i
computes the signature
i
= SK
i1
+ h(M
i
)SK
i2
where h(.) is a one-way hash function such as
SHA-1 [Eastlake & Jones (2001)]. Vehicle V
i
then sends < ID
i
, M
i
,
i
> to others.
Fig. 3. Batch verication
5.3 Batch verication
This module allows an RSU to verify a batch of signatures using only two pairing operations
based on the bilinear property of the bilinear map. We require an RSU to perform batch
verication at a frequency higher than that with which a vehicle broadcasts safety messages
so that a vehicle can verify the safety message of another before it broadcasts a more updated
one. We rst show the verication procedure. Then, we show how to make use of bloom
lter to construct a notication message in order to reduce the message overhead. Lastly,
we describe how to handle the case in which there are invalid signatures in the batch
and how to extract valid ones from the batch instead of dropping the whole batch as in
[Zhang, Lu, Lin, Ho & Shen (2008)].
Verication procedure. Assume that RSU wants to verify a batch of signatures
1
,
2
, ...,
n
from vehicles V
1
, V
2
, ..., V
n
on messages M
1
, M
2
, ..., M
n
. With the shared secrets and
the pseudo identities of the vehicles, RSU rst determines their verication public keys
VPK
1
, VPK
2
, . . . , VPK
n
and shared secrets m
1
, m
2
, . . . , m
n
by checking which of the stored
(VPK
i
, m
i
) pairs satisfy ID
i2
= VPK
i
H(m
i
ID
i1
). It then veries the signatures by checking
if e(
n
i=1
i
, P) = e(
n
i=1
m
i
ID
i1
+ h(M
i
)H(ID
i2
), P
pub
) as
e(
n
i=1
i
, P)
= e(
n
i=1
SK
i1
+ h(M
i
)SK
i2
, P)
= e(
n
i=1
SK
i1
, P) e(
n
i=1
h(M
i
)SK
i2
, P)
= e(
n
i=1
sm
i
ID
i1
, P) e(
n
i=1
h(M
i
)sH(ID
i2
), P)
= e(
n
i=1
m
i
ID
i1
, sP) e(
n
i=1
h(M
i
)H(ID
i2
), sP)
= e(
n
i=1
m
i
ID
i1
, P
pub
) e(
n
i=1
h(M
i
)H(ID
i2
), P
pub
)
= e(
n
i=1
m
i
ID
i1
+ h(M
i
)H(ID
i2
), P
pub
).
To avoid replay attack, an RSU stores the pseudo identities used by vehicles. If the pseudo
identity in a vehicles message matches any stored one, RSU rejects the message immediately.
Note that if a vehicle does not know the shared secret with RSU, it cannot produce a valid
signature. There may be a very small chance that the pseudo identities generated by two
vehicles are the same. In that case, RSU will treat the signatures as invalid. The vehicles will
sign again using a different pseudo identity.
Generating notication message. After RSU veries vehicle V
i
s signature
i
, it noties all
vehicles within its RVC range the result. We rst assume that all signatures are valid. For
each valid message, we store a hash value h(ID
i
, M
i
) of the message in the bloom lter (the
hashing function is known to everyone) to minimize message overhead. However, as we have
discussed in Section 4.2, there can be false positives in a bloom lter. To reduce this impact,
we propose to use two bloom lters which contain opposite information: Positive and Negative
Filter. The positive bloom lter stores the hash value of pseudo identities and messages of
vehicles whose signatures are valid and the negative bloom lter stores the hash value of
pseudo identities and messages of vehicles whose signatures are invalid.
If vehicle V
i
wants to verify vehicle V
j
s signature
j
on message M
j
, it rst computes
h(ID
i
, M
i
) and then checks the positive lter and the negative lter as included in the RSU
broadcast. There are four possible cases (see Table 2). For the rst two cases, the resulting
validity of
j
can be conrmed. For the third case, V
j
s hash appears in both lters. Then this
must be a false positive in either lter, thus a re-conrmation procedure is needed. For the
last case, V
j
s hash does not appear in both lters. It means that RSU still has not yet veried
j
and so V
i
has to wait for RSUs next broadcasting message.
To facilitate re-conrmation, we require a vehicle to store the signatures of other vehicles
which they are interested in upon receiving them for the rst time for a short period. Also
we require RSU to store the valid signatures that it has veried together with the sending
vehicles pseudo identities for at least one more batch verication period after that signature
is lastly requested.
If Case 3 occurs, vehicle V
i
re-sends
j
to RSU. RSU searches for
j
from those stored
signatures. If
j
can be found, RSU adds the hash of V
j
into the positive lter. Otherwise,
it adds it into the negative lter. All re-conrmation results can be embedded into a
re-conrmation reply similar to a normal notication message. In practice, we can use one bit
to distinguish whether the reply is a normal notication message or a re-conrmation reply.
Case Positive Filter Negative Filter Validity of
j
1 True False Valid
2 False True Invalid
3 True True (Re-conrmation needed)
4 False False (Wait for next broadcast)
Table 2. Possible cases in bloom lters and their implications
There is still a chance that Case 3 occurs again. Our scheme allows the use of bloom lters
for re-conrmation for K rounds. If after K rounds and Case 3 still occurs, RSU will send
h(ID
j
, M
j
) of V
j
to vehicle V
i
as a direct notication. To facilitate RSU to know what it should
send in the re-conrmation reply, RSU stores the number of requests to each of its signature
stored. See the next section for the performance of our schemes with different values of K.
Note that the size of each bloom lter m (i.e. the number of bits used) can be a variable in our
schemes to save transmission overhead. To help the receiving vehicles to determine the size
of the lters (so that they can adjust the range of hash functions accordingly), together with
the valid and the invalid lters, RSU also transmits a value n to represent the total number
of signatures in the batch (i.e. the number of values being added into any bloom lter cannot
exceed n). To allow vehicles to conrm that a notication message is indeed sent by an RSU,
RSU signs the bloom lters using its private key SK
R
before broadcasting them.
Invalid signatures in the batch. Abatch may contain tens and even up to thousands of signatures
depending on the trafc density around RSU. In the IBV protocol, if any of the signatures
inside the batch is invalid, the whole batch is dropped. This approach is inefcient in the
sense that most of the signatures in the batch are actually valid and can be used. Thus in our
schemes, we propose to adopt binary search in the verication process to extract those valid
ones. Assume that the batch contains n signatures, we arrange them in a xed order (say
according to the senders pseudo identities). If the batch verication fails, we rst determine
the mid-point as mid =
1+n
2
|. Then we perform batch verication on the rst half (the 1
st
to
mid
th
elements) and the second half (the (mid +1)
th
to n
th
elements) separately. If any of the
two batches causes a failure in the verication again, we repeat the same process on the invalid
batch. If the pairing on any batch is valid, the RSU noties all those signatures immediately.
The binary search stops if a batch contains only one signature or when a pre-dened level
of binary search is reached. In Section 8, we evaluate the performance of our schemes using
different number of levels in binary search and it is found that a full exploration may not be
necessary in most cases.
5.4 Real identity tracking
To reveal the real identity of the sender of a message, TA is the only authorized party that
can perform the tracing. Given vehicle V
i
s pseudo identity ID
i
and its shared secret with the
connecting RSU m
i
, TA can search through all the stored (RID
j
, t
j
) pairs from its repository.
Vehicle V
i
s real identity is the RID
j
value from the entry that satises the expression ID
i2

t
j
H(m
i
ID
i1
) = RID
j
as ID
i2
t
j
H(m
i
ID
i1
) = t
i
RID
j
H(m
i
ID
i1
) t
i
H(m
i
ID
i1
) =
RID
j
. No other party can obtain vehicle V
i
s real identity since t
i
is only known by TA and V
i
itself.
6. Our scheme for group communications
This section presents our scheme for group communications in details. This scheme is based
on the framework of our ad hoc communications scheme in Section 5. The scheme can be
divided into the following modules:
(A) Group formation: This module is used when a set of vehicles want to form a group. A
group partial secret key and a set of group public keys for group members will be generated
by TA and forwarded by an RSU.
(B) Secure one-to-many and one-to-one communications: This module describes how a vehicle can
send a message securely to all other members or to a dedicated member in the group.
(C) Newmember joining: This module is invoked when a newmember wants to join an existing
group.
(D) Common group secret update: This module shows how the common group secret can be
updated without the help of RSU.
(E) Member leaving: This module is invoked when a member wants to leave a group.
(F) Real identity tracking: This module is used by TA to reveal the real identity of the sender of
a given message.
6.1 Group formation
Fig. 4. Group Key Generation
When a group of vehicles want to form a group, each of them rst creates a pseduo identity
together with the signing key. This can be done per message to increase the difculty of
attackers to trace its real identity. Then, it signs a control message using the signing key of the
pseudo identity. RSU veries the set of control messages using only two pairing operations
in a batch mode and distributes necessary information to vehicles in a group so that they can
verify each others messages without the aid of any RSU later on. A partial group secret key
will also be generated. Details are as follow.
Assume that vehicles V
1
, V
2
, ..., V
n
have already registered with the closest RSU and their
shared secrets with RSU are m
1
, m
2
, ..., m
n
respectively. Also assume that these vehicles know
pseudo identities of one another already.
Group request. Vehicle V
i
generates the group request message M
i
=
GPREQ, ID
1
, ID
2
, ..., ID
i1
, ID
i+1
, ..., ID
n
and its signature
i
on M
i
using the method
in Section 5.2. Here ID
j
for all j ,= i is the pseudo identity lastly used by V
j
as heard by V
i
. V
i
then broadcasts < ID
i
, M
i
,
i
> to RSU and others. Note that V
i
can be anyone or the leader
of the group.
Group agree. Any vehicle V
j
receiving V
i
s GPREQ message checks whether its lastly used
pseudo identity is included in the GPREQ message. If yes, it composes the message M
j
=
GPAGR, ID
j
and its signature
j
on it and sends < ID
j
, M
j
,
j
> to RSU. Note that vehicle
V
j
generates ID
j
and
j
using the method in Section 5.2 above.
Verication and key generation. At xed intervals, RSU veries the group request and group
agree messages. Note that there is a method to batch verify a set of incoming signatures
as we discussed in Section 5.3. For any vehicle V
x
whose signature is found to be valid,
it generates its group public key as GPK
x
= m
x
P and stores it into the verication table.
Besides, it also generates a random number rr which will be used to form the group
secret key among the group of vehicles. Without loss of generality, assume the signatures
from V
1
, ..., V
x
are valid, RSU broadcasts M
r
= ID
1
, ID
2
, ..., ID
x
, GPK
1
, GPK
2
, ..., GPK
x
,
CENC
m
1
(rr), CENC
m
2
(rr), ..., CENC
m
x
(rr) and its signature CSIG
CSK
R
(M
r
) to the vehicles
concerned.
In case the verication fails due to invalid signatures or vehicles inside the range have the
same pseudo identity (although the chance is very small), RSU will stop the protocol and the
group is required to repeat the protocol again for the sake of security.
Key reception and acknowledgement. Upon receiving RSUs broadcast, each vehicle V
i
in the
group acknowledges RSU by composing M
i
= KEYRECV and sending out the reply <
ID
i
, M
i
,
i
>. Note that ID
i
and
i
are generated in the same way as in the group request
or group agree message. If after a timeout period (which is a system parameter), RSU still
cannot receive the acknowledgement from V
i
, it assumes that the message is corrupted on
its way to V
i
. More than one vehicle may not acknowledge. RSU then resends the previous
broadcast to all these vehicles but this time, ID
j
and CENC
m
j
(rr) of all vehicles V
j
who have
acknowledged do not need to be included in the broadcast anymore. In Section 8, we will
show that acknowledgements are important in increasing the group formation success rate.
Each vehicle in the group then stores all the group public keys and the decrypted rr values.
6.2 Secure one-to-many and one-to-one communications
In this sub-section, we describe how a vehicle can send a message securely to all other
members or to a dedicated member in the group in detail. We also describe how a vehicle
can sign a message so that another member can ensure the message is indeed sent by it. We
consider the communication between two vehicles in a group as a local communication.
One-to-many communications. The vehicles in the group compute a common group secret as
= s rr (note that RSU does not know how to compute since s is only known by vehicles
but not RSU) and they can communicate with each other securely using any symmetric key
cryptographic algorithm such as DES [Brown et al. (1993)] from now on.
One-to-one communications. Based on the stored group public key GPK
j
, when vehicle V
i
wants to send a message M
i
to another member V
j
, it rst generates a random number x.
It then computes the ciphertext C
i
= xP, M
i
+ sxGPK
j
. To decrypt, it multiplies xP by
sm
j
and subtracts the result from the second part to obtain M
i
as M
i
+ sxGPK
j
xsm
j
P =
M
i
+ sxm
j
P xsm
j
P = M
i
. We denote the encryption and decryption processes here as
C
i
= EENC
GPK
j
(M
i
) and M
i
= EDEC
m
j
(C
i
), respectively.
Local message signing and verication. Next we look at the local pseudo identity generation,
message signing and signature verication when group communications (either one-to-many
or one-to-one) take place. To denote the local nature, we add the character L in front of the
notations LID
i
and LSK
i
. When vehicle V
i
wants to send a local message M
i
, it rst generates
its local pseudo identity LID
i
= (LID
i1
, LID
i2
) where LID
i1
= rP and LID
i2
= GPK
i
+ rP. r
is again a random nonce here. Then it composes its local signing key LSK
i
= (LSK
i1
, LSK
i2
)
as LSK
i1
= sm
i
LID
i1
and LSK
i2
= sm
i
H(LID
i2
) where H(.) is a MapToPoint hash function as
before. It signs the message M
i
by computing the local signature
i
= LSK
i1
+ h(M
i
)LSK
i2
where h(.) is a one-way hash function (note that we use a different notation to differentiate
it from a non-local signature). Finally, it sends to others < LID
i
, C
i
,
i
> where C
i
is the
ciphertext corresponding to M
i
.
Assume vehicle V
j
wants to verify the signature of V
i
on M
i
. It rst retrieves V
i
s group
public key GPK
i
by computing LID
i2
LID
i1
because LID
i2
LID
i1
= GPK
i
+ rP
rP = GPK
i
. Then it decrypts C
i
to obtain M
i
and checks whether e(
i
, P) = e(LID
i1
+
h(M
i
)H(LID
i2
), sGPK
i
) as
e(
i
, P)
= e(LSK
i1
+ h(M
i
)LSK
i2
, P)
= e(LSK
i1
, P) e(h(M
i
)LSK
i2
, P)
= e(sm
i
LID
i1
, P) e(h(M
i
)sm
i
H(LID
i2
), P)
= e(LID
i1
, sm
i
P) e(h(M
i
)H(LID
i2
), sm
i
P)
= e(LID
i1
, sGPK
i
) e(h(M
i
)H(LID
i2
), sGPK
i
)
= e(LID
i1
+ h(M
i
)H(LID
i2
), sGPK
i
).
6.3 New member joining
Assume that vehicle V
k
wants to join the group of V
i
, namely, (V
1
, . . . , V
n
) which are in the
range of the same RSU and the shared secret between V
k
and RSU is m
k
.
Group join. V
k
rst composes a group join message M
k
=< GPJOI N, ID
i
> with its signature
k
on it. It sends < ID
k
, M
k
,
k
> to the closest RSU. Note that ID
i
is the pseudo identity lastly
used by V
i
as seen by V
k
. It is not a local pseudo identity since V
k
still has not joined V
i
s group
yet. Also V
k
generates its pseudo identity ID
k
and signature
k
in the same manner as other
vehicles when they send out their group request or group agree messages.
Group join agree. When V
i
nds that its last used pseudo identity is inside V
k
s group join
message, V
i
replies with a group join agree message < ID
i
, M
i
,
i
> where ID
i
is generated as
usual and M
i
= GPJOI NAGR[[ID
k
[[CENC
CPK
R
(rr).
Verication by RSU and key generation. Upon receiving the group join and group join agree
messages from V
k
and V
i
, respectively, RSU veries them. RSU then generates V
k
s group
public key as GPK
k
= m
k
P. It broadcasts M
r
= ID
k
[[ID
i
[[GPK
k
[[GPK
i
, CENC
m
k
(rr) and its
signature CSIG
CSK
R
(M
r
) to V
k
and V
i
.
Key reception and acknowledgement. Upon receiving RSUs broadcast, V
j
where j i, k
veries RSUs signature and acknowledges it by composing M
j
= KEYRECV and sending
out the reply < ID
j
, M
j
,
j
>. Note that ID
j
and
j
are generated in the same way as in the
group join or group join agree message. If after a timeout period, RSU still cannot receive
the acknowledgement from either V
k
or V
i
, it resends the previous broadcast to it. V
k
then
decrypts CENC
m
k
(rr) using its shared secret with RSU m
k
and computes the common group
secret as = s rr.
Sharing of group public keys. Up to this moment, only V
i
knows how to verify signatures
by V
k
. Thus V
i
shares this piece of information with other members by composing the
message M
i
=NEWMEMBER[[GPK
k
and broadcasting <LID
i
, M
i
,
i
>to other members.
Each member V
j
veries the signature of V
i
and acknowledges V
i
with the reply message
< LID
j
, M
j
,
j
>where LID
j
is the local pseudo identity of V
j
and M
j
=GPKRECV. If after
a timeout period, V
i
still cannot receive the acknowledgement from any member, it resends
the previous broadcast to it.
After all, one task is still missing. That is to inform V
k
about how to verify other
members signatures. This task is again assigned to V
i
. V
i
composes the message M
i
=
GPK
1
, GPK
2
, ..., GPK
i1
, GPK
i+1
, ..., GPK
n
and sends < LID
i
, M
i
,
i
>to V
k
. Upon receiving
V
i
s message, V
k
acknowledges it like what other members do.
6.4 Common group secret update
Now we show how to update the common group secret periodically without the help of
RSU. Each member V
i
can periodically request a key update by broadcasting the message
< LID
i
, M
i
,
i
> where LID
i
is the local pseudo identity of V
i
and M
i
=CGSUPDATE. The
requester V
i
then generates a new random number rr
new
and computes
new
= rr
new
s. It
sends to each other member V
j
the message < LID
i
, M
i
,
i
> where LID
i
is the local pseudo
identity of V
i
and M
i
= NEWCGS, EENC
GPK
j
(
new
).
Each V
j
acknowledges V
i
with the reply message < LID
j
, M
j
,
j
> where LID
j
is the local
pseudo identity of V
j
and M
j
= NEWCGSRECV. If after a timeout period, V
i
still cannot
receive the acknowledgement from V
j
, it resends the previous message to it. Note that the
acknowledgements here ensure that all members staying in the group can receive the new
common group secret properly for ongoing one-to-many communications.
6.5 Member leaving
When a member V
k
wants to leave a group, the group common secret should be updated so
that V
k
can no longer decrypt the groups ongoing communications. We can simply conduct a
group key update protocol excluding V
k
.
6.6 Real identity tracking
Again only TA can trace the real identity of the sender of a message. For vehicle V
i
s group
request or group agree message, TA can trace V
i
s real identity using the routine in Section 5.4.
For vehicle V
i
s local message to other members, the connecting RSU rst retrieves V
i
s group
public key GPK
i
by computing LID
i2
LID
i1
similar to what the receiver does. Then it
looks up its verication table to retrieve V
i
s verication public key VPK
i
which was assigned
by TA. By presenting VPK
i
, TA can search through all the stored (RID
j
, t
j
, m
j
) tuples from
its repository. Vehicle V
i
s real identity is the RID
j
value from the entry that satises the
expression RID
j
= t
j
VPK
i
.
7. Analysis
7.1 Security analysis
We analyse our schemes with respect to the security requirements listed in Section 3.
Message integrity and authentication: For ad hoc messages, the signature
i
on message M
i
by
vehicle V
i
is composed of SK
i1
and SK
i2
. SK
i1
is dened as sm
i
ID
i1
where m
i
is the shared
secret between vehicle V
i
and the RSU. Due to the difculty of solving the discrete logarithm
problem, there is no way for attackers to reveal m
i
. Thus the attacker cannot forge a signature.
Similarly, for group message, although all vehicles in the group know the group public key
GPK
i
= m
i
P of V
i
, it is computationally hard to obtain m
i
due to the same reason. Thus no
other vehicle knows how to compose SK
i1
. SK
i2
, on the other hand, is dened as sH(ID
i2
).
Recall ID
i2
=VPK
i
H(m
i
ID
i1
). Again, since no other vehicle knows m
i
, only V
i
can compute
SK
i2
. Therefore, no other vehicle can forge a valid signature by vehicle V
i
. Note also that RSUs
do not know the master secret s, and thus cannot forge a message either.
For local messages, the signature
i
on message M
i
by vehicle V
i
is composed of LSK
i1
and
LSK
i2
. LSK
i1
is dened as sm
i
LID
i1
. Due to the difculty of solving the discrete logarithm
problem, there is no way for attackers to reveal m
i
. LSK
i2
, on the other hand, is dened as
sm
i
H(LID
i2
). Again, since no other vehicle knows m
i
, only V
i
can compute LSK
i2
. Therefore,
no other vehicle can forge a valid signature by vehicle V
i
. Again note that RSUs do not know
the master secret s, and thus cannot forge a message either.
In practice, RSUs can be cracked easily and this is unavoidable. However, we can implement
additional measures in our schemes to reduce the impact. For example, we can classify
messages into different security levels. For critical messages, we can require them to be
veried by TA instead of by RSUs. Or we can have another variation under which a message
can only be trusted if it is veried by multiple consecutive RSUs. We believe with these
measures, even if a few RSUs are cracked, the damage is limited.
Identity privacy preserving: We argue that if Decisional Dife-Hellman (DDH) problem is hard,
then the pseudo identity of a vehicle can preserve its real identity. The proof is as follows:
We consider a game between a challenger and an attacker. The challenger starts by giving a set
of system parameters including P and P
pub
. The attacker then freely chooses two verication
public keys VPK
0
and VPK
1
and sends them to the challenger (these choices do not need
to be random, the attacker can choose them in any way it desires). The challenger sets a bit
x = 0 with probability
1
2
and sets x = 1 with probability
1
2
. The challenger then sends the
attacker the pseudo identity corresponding to VPK
b
together with the group public key. The
attacker tries to guess the value of x, and outputs its guess, x
/
. The attackers advantage in the
game is dened to be Pr[x = x
/
]
1
2
. We say that our pseudo identity generation algorithm
is semantically secure against a chosen plain text attack (CPA) if the attackers advantage is
negligible.
Next we assume that we have an algorithm A which runs in polynomial time and has a
non-negligible advantage e as the attacker in the game described above. We will construct
a DDH attacker B which has access to A and achieves a non-negligible advantage. B is given
(P, aP, bP, T) as input. We let t denote the bit that B is trying to guess (i.e. T = abP when t = 0
and is set randomly otherwise). B gives A (P, P
pub
= aP) as input. (Note that a now plays the
role of s in our scheme.) A then chooses two verication public keys VPK
0
and VPK
1
which it
has queried for the corresponding group public keys m
0
P and m
1
P before and sends them to
B. B is playing the role of challenger here, so it sets a bit x randomly and generates the pseudo
identity ID = (ID
1
, ID
2
) where ID
1
= raP, ID
2
= VPK
b
H(rT) and r is a random nonce to
send to A. B also sends A the group public key bP. (Note that b now plays the role of m
i
in
our scheme.) A sends B a bit x
/
, which is its guess for x. B guesses that t = 0 if x = x
/
.
If t = 0 (so T = abP), then ID
2
= VPK
b
H(rabP) = VPK
b
H(bID
1
) is a valid pseudo
identity. In this case, A will guess b correctly with probability
1
2
+ . Thus, Pr[Bsucceeds[t =
0] =
1
2
+ . If t =1, we claimthat Pr[Bsucceeds[t =1] =
1
2
. To see why, we observe that when T
is randomly chosen, H(rT) cannot be cancelled by ID
1
and so there is no way to obtain VPK
b
.
Thus it reveals no information about x. In this sense, the value of x is hidden to A, so the
probability that A will guess it is simply
1
2
. Hence, Pr[Bsucceeds] =
1
2
(
1
2
+ ) +
1
2
1
2
=
1
2
+ /2.
Since is non-negligible, this shows that B violates the assumption that DDH is hard.
Furthermore, the random nonce r makes the pseudo identity of a vehicle different in different
messages. Also since the verication public key VPK
i
of a certain vehicle is different as seen
by different RSUs, even if all RSUs collude, they have no way to trace a particular vehicles
travelling route.
Traceability: Section 5.4 shows that TA is able to trace a vehicles real identity, thus traceability
is satised.
Condentiality: For one-to-one communications in a group, the message M
j
to V
j
is masked by
the component sxGPK
j
. To remove the mask, one has to present the rst point xP, s and m
j
.
However, m
j
is the shared secret between V
j
and RSU. Also s is the master key of TA known
by vehicles and TA only. Therefore, other than V
j
, any other vehicles as well as RSU do not
know how to obtain M
j
.
For one-to-many communications in a group, any message is encrypted using the common
group secret = s rr. Since the partial secret rr is transmitted securely from RSU to each
vehicle in the group, vehicles outside the group have no knowledge about it. In addition,
since s is known by vehicles and TA only, RSU does not know how to decrypt the message
either.
7.2 Analysis on bloom lter approach
This sub-section analyses our newly-proposed bloom lter approach in the verication
notication phase. We rst show that the probability of having false positives is very small
if we set the parameters for the bloom lters appropriately, then we show that our message
overhead is about 10 times lower than that under the RAISE protocol. Note that the IBV
protocol does not have a notication phase, so we only compare ours with the RAISE protocol.
The probability of having a false positive in our bloom lter approach (i.e., Case 3 in Table 2)
is equal to the probability that all k bits are set in one bloom lter while not all k bits are set in
another bloom lter. Thus the probability of Case 3 is Pr(Case3) =2(1 (1
1
m
)
kn
)
k
(1 (1
(1
1
m
)
kn
)
k
) 2(1 e
kn
m
)
k
(1 (1 e
kn
m
)
k
). Interestingly we nd that the value of k that
minimizes the false positive probability of a single bloom lter (i.e. k =
mln2
n
) also minimizes
Pr(Case 3) approximately (up to 5 decimal places) based on our empirical results. Hence
we set the number of hash functions to
mln2
n
in our schemes and Pr(Case3) 2(0.6185
m
n
(1
0.6185
m
n
)). It can be shown that when
m
n
=5, Pr(Case3) is about 0.16. When
m
n
=10, Pr(Case3)
drops to 0.016 only. That is, if there are 100 signatures in a batch, on average only 1 to 2
signatures are affected by bloom lter false positive and need to be re-conrmed.
Now, we analyze the message overhead. Assume that there are n signatures in a batch. For the
RAISE protocol, the HMAC() value sent by each vehicle is 16 bytes long while the H() value
sent by the RSU in the notication phase is 16 bytes long per message. After that RSU signs
the notication message using an ECDSA signature which is 56 bytes long. Together with a
message header of 2 bytes, the total message overhead for verifying a batch of n signatures is
16n +16n +56 +2 = 32n +58 bytes.
For our schemes, the ECC signature sent by each vehicle is 21 bytes long. In the notication
phase, we use two bloom lters. To lower the false positive rate in any bloom lter, the total
number of bits used in each bloomlter is set to 10 times the number of signatures in the batch
(i.e.
m
n
= 10). We have two bloom lters and so a total of
20n
8
=2.5n bytes are needed. We also
use 2 bytes to represent the number of signatures in a batch. Together with a message header
of 2 bytes, the total message overhead for verifying a batch of n signatures is 21n +2.5n +2 +
56 +2 = 23.5n +60 bytes.
Note that when Case 3 occurs, additional message overhead is requiredfor the re-conrmation
procedures. If Case 3 only occurs in the rst trial and does not occur in the second trial, the
total message overhead for verifying a batch of n signatures becomes 23.5n +60 + P(23.5n +
60) = (1 + P)(23.5n + 60) bytes where P = Pr(Case3). Hence, if Case 3 occurs in all the
rst K trials and we switch to the hash approach after that, the total message overhead
becomes
k
i=1
P
i
(23.5n +60) + P
k
(37n +58) bytes. The component P
k
(37n + 58) represents
the message overhead used for the hash approach after K trials. That is, 21 bytes for each ECC
signature, 16 bytes for each H() value, 56 bytes for ECDSA signature and 2 bytes for message
header. Since P is about 0.016, even if K is only 2, the overhead of our scheme is much lower
than that of RAISE. And we found that as long as K > 1, the overhead is similar in different
values of K since the probability of Case 3 is very low, so re-conrmation is quite unlikely.
In Fig. 5, we set the value of K to 1, 2, 3 and 5, respectively, and with
m
n
set to 5 and 10. We can
see that with all values of K and
m
n
, the message overheadby our schemes is far lower than that
by the RAISE protocol due to the use of ECC signatures and bloom lters in the notication
phase. For our schemes, when
m
n
= 5, the more the number of trials before switching to hash
approach, the lower the message overhead. When
m
n
= 10, the lines with K = 2, K = 3 and
K = 5 overlap. It means that with
m
n
= 10 and as long as K > 1, the probability of Case 3 is
very low and so re-conrmation is quite unlikely.
Fig. 5. Data transmission vs. number of signatures in the batch
8. Simulation results
In this section, we evaluate the network performance of our Grouping-enabled and
Privacy-enhancing communications Scheme (GPS) in details. For ad hoc communications,
we compare our scheme with the IBV protocol in terms of (1) the verication delay and (2)
verication success rate through simulations. Note that IBV also uses a batch verication
scheme, and so is much faster than the RAISE protocol. Thus, we compare the delay of our
scheme with the IBV [Zhang, Lu, Lin, Ho & Shen (2008)] protocol. For success rate, we expect
we will have a similar performance as RAISE as we will both identify all valid signatures
even if there are invalid ones within the same batch. So, we compare our performance with
the IBV protocol. We show that our scheme can verify more signatures while the additional
delay required is insignicant. For group communications, we rst compare our scheme with
the RAISE protocol in terms of group message transmission delay. We expect we will have
lower delay since group messages do not need to be veried by RSUs in our scheme. Next,
we compare our GPS scheme with the SPECS protocol (group communications extension)
[Chim, Yiu, Hui, Jiang & Li (2009)] in terms of (1) the group request delay and (2) group
request success rate. We show that the success rate of forming a group using our scheme
with the acknowledgement message is a lot higher than that of the SPECS scheme (with
group communications extension) if the wireless channel is noisy. Then, we show that the
delay introduced by retransmissions in our scheme is only marginal. Finally, we show the
performance of our scheme in terms of key update average delay and member joining average
delay as the number of vehicles in a group varies.
8.1 Simulation models
Some of the settings of our simulation are adopted from [Zhang, Lu, Lin, Ho & Shen (2008);
Zhang, Lin, Lu & Ho (2008); Chim, Yiu, Hui, Jiang & Li (2009)]. We consider a highway of
length 10 km and a number of RSUs are installed along it. The RVC and the IVC ranges are
set to 600m and 300m, respectively. The bandwidth of the channel is 6 Mb/s and the average
length of inter-vehicle message is 200 bytes. We compute the transmission time based on the
bandwidth and the length of the message. The RSU performs batch verication every 300 ms
and each pairing operation takes 4.5 ms [Scott (2007)]. We implement the simulation using
C++.
For ad hoc communications, we assume that vehicles pass through an RSU at speeds varying
from 50 km/h to 70 km/h. Our simulation runs for 1000 s. Inter-vehicle messages are sent
every 500 ms from each vehicle. IEEE 802.11a is used to simulate the medium access control
layer. (We simulate the IEEE 802.11a protocol by generating the time stamps for broadcasting
messages of each vehicle. In case two stamps are identical, we randomly regenerate one of
them.) We vary the total number of vehicles that have ever entered the RSUs RVC range
during the simulation period from 200 to 1000 in steps of 200 to simulate the impact of
different trafc densities. We also vary the inter-vehicle message signature error rate from
1% to 10% to study its impact on the performance of our scheme. For each conguration, we
compute the average of 5 different random scenarios.
For group communications, the number of RSUs is a variable and these RSUs are evenly
distributed along the given highway. Groups of vehicles are travelling on it at speeds
varying from 50 km/h to 70 km/h. For each group, the number of vehicles is a variable
and the vehicles are travelling on the road one after another. To simulate a noisy wireless
channel (e.g. signal interference and signal blocking by obstacles or other signals), we use
corruption rate. Since channel collision is also a kind of noise, we incorporate it into our
corruption rate as well for simplicity. If the corruption rate is cr%, a transmitted message is
corrupted with probability cr%. We vary the corruption rate from 5% to 50% in steps of 5%
to investigate its impact on the group request success rate and group request average delay.
For each conguration, we compute the average of 20 different random scenarios (since we
nd that the standard deviation of the results is larger than that in experiments for ad hoc
communications). The simulation runs for 1 hour and for every minute, there will be a new
group of vehicles. For each group, one group request is issued.
8.2 Simulation results for ad hoc communications
We x the signature error rate (the percentage of invalid signatures) to 5% and vary the total
number of vehicles that have entered the RSUs range throughout the simulation. We only
consider batches that contain invalid signatures (Invalid batch). In [Zhang, Lin, Lu & Ho
(2008)], the expression for verication success rate is dened. We extend its denition to
handle invalid batch: IBSR =
1
N
N
i=1
M
i
app
M
i
mac
, where M
i
app
is the total number of messages that
are successfully veried by the RSU and are consumed by vehicle V
i
in the application layer
before vehicle V
i
leaves RSUs RVC range, M
i
mac
is the total number of messages received
by both vehicle V
i
and RSU in the medium access control layer from other vehicles. For our
scheme, we can have different levels of binary search as mentioned in Section 5. We use the
notation GPS(BSx) to denote our scheme with x levels of binary search.
The verication success rates for the scheme are shown in Fig. 6. Note that the success rates
for IBV and GPS(BS0) are 0% as both will drop the whole invalid batch. From our simulation,
we found that even if we only have 1 level of binary search, the success rate of GPS(BS1) is
already raised to about 45%. If we increase the number of levels to 4, the success rate can be
raised to more than 90%.
Fig. 6. Invalid batch success rate vs. number of vehicles
While the results are quite obvious, next we will show that the delay incurred by binary
search procedure is minimal. Fig. 7 shows the delay performance. We dene the average
delay suffered by vehicles as MD =
1
N
N
i=1
1
M
M
m=1
(T
m
ver f
T
m
recv
), where M is the number
of messages received by vehicle V
i
, T
m
ver f
is the time that vehicle V
i
receives the verication
notication message of message m from RSU and T
m
recv
is the time that vehicle V
i
receives
message m from its neighboring vehicle. From Fig. 7, we can see that the delay under the
IBV protocol and our scheme are very close to each other. For our scheme, as expected, with
higher levels of binary search, longer delay is induced because more pairing operations are
involved. However, even in the worst case (i.e. using 4 levels of binary search), our scheme
only consumes an additional 10 ms which is roughly equivalent to the delay caused by 2
pairing operations. This is due to two main reasons. Not all cases require 4 levels of binary
search and the time for each pairing operation is comparatively smaller than the transmission
delay, so we can afford to do more pairing operations. One more interesting point to note is
that without binary search, our scheme consumes 5 less ms than the IBV protocol. The reason
is that our scheme requires 2 pairing operations only while the IBV protocol requires 3 as
mentioned in Section 5.
Fig. 7. Delay vs. number of vehicles
In the second set of experiments, we x the number of vehicles that have entered RSUs RVC
range during the simulation period to 300 and vary the signature error rate from 1% to 10%
to investigate its impact on the invalid batch success rate and the message delay. We only
consider batches that contain invalid signatures. Fig. 8 shows the results. The IBV and
GPS(BS0) cases are not interesting as they drop all invalid batches. And it is also quite obvious
that as the level of binary search increases, the success rate increases. The interesting point is
that as the error rate increases from 1% to 10%, our scheme only degrades less than 10%.
The corresponding delay performance is shown in Fig. 9. As discussed earlier, GPS(BS0)
gives a lower delay than the IBV protocol due to the saving of one pairing operation. As the
error rate increases, more batches contain invalid signatures. Additional pairing operations
are required to locate valid signatures. This increases the average delay. But the gap between
our scheme and the IBV protocol is only about 10ms even when the error rate is 10%.
8.3 Simulation results for group communications
In the rst set of experiments, we put aside the impact of interference and obstacles by setting
the corruption rate to 0%. We vary the number of RSUs along the highway from 2 to 10.
These RSUs are then evenly distributed along the highway. We dene the group message
Fig. 8. Invalid batch success rate vs. error rate
Fig. 9. Delay vs. error rate
transmission delay as the period from when a vehicle sends a message to when another
vehicle in the same group veries the message properly. We investigate the average group
transmission delay under the RAISE protocol and our scheme as more RSUs are installed
along the highway. From Fig. 10, we can see that under the RAISE protocol, the average
group message transmission delay increases as RSUs become less dense along the highway.
However, under our scheme, the average group message transmission delay remains constant
(and near zero) no matter how dense the RSUs are. It is because under the RAISE protocol,
all messages need to be veried by RSUs. When a vehicle wants to send a message to another
group member, it rst waits for a nearby RSU ahead of its journey. Then it waits for its batch
verication period to expire. However, in our scheme, an initial RSU has already passed the
necessary verication information (group public keys) to all vehicles in the group and so they
know how to verify the signatures of each other without further support fromRSUs. Thus the
above two waiting periods are no longer needed.
Fig. 10. Average group message transmission delay vs. number of RSUs
In the second set of experiments, we vary the corruption rate from 5% (low interference
environment) to 50% (high interference environment) and study its impact on the group
request success rate and the corresponding average delay. For each corruption rate, we further
try different initial (before any new member joins) group sizes (n = 5, 10, 15 and 20). A
group request is considered to be successful if all members in the group receive necessary
information (i.e. group public keys of all others and the group partial secret) from the initial
RSU for group communications. The group request success rate is dened as the number
of successful requests divided by the total number of group requests made. The group
request delay is dened a bit differently under SPECS and our GPS scheme. For the SPECS
protocol, it is dened as the period from when any vehicle in the group rst sends out a
group request message to when all vehicles in the group receive necessary information for
group communications. For our scheme, it is dened as the period from when any vehicle
in the group rst sends out a group request message to when RSU received and veried the
acknowledgement messages from all vehicles in the group. The group request average delay
is just the average of the group request delay among all successful group requests.
From Fig. 11, we can see that by requiring vehicles to acknowledge RSU, our scheme always
gives 100% group request success rate no matter how many vehicles are in the group. For
SPECS, without any acknowledgement mechanism, the group request success rate drops
gradually as the corruption rate increases from 5% to 50%. In particular, the more vehicles
in the group, the lower the group request success rate. It is because with more vehicles in a
group, the probability that all vehicles receive a message properly becomes lower.
Fig. 11. Group request success rate vs. corruption rate
Fig. 12 shows the corresponding delay performance. We can see that larger groups are
subjected to higher group request delay. This makes sense since with more vehicles in a group,
the probability that all vehicles receive a message properly becomes lower. As a result, to
ensure that all vehicles receive the message, more re-transmissions are needed. Thus higher
delay is caused.
Next we focus on the case with 10 vehicles in a groupto investigate the performance difference
between SPECS and our scheme. From Fig. 13, we can see that our scheme gives a bit higher
delay as the corruption rate increases due to increased number of re-transmissions. However,
the increase is just marginal (less than 2 ms).
In the third set of experiments, we again vary the corruption rate from 5% to 50% and study
its impact on the key update average delay under our scheme. A key update is considered
to be successful if all vehicles in the group obtain the new group common secret. The key
update delay is dened as the period from when any vehicle in the group sends out a key
update request message to when it receives and veries acknowledgement messages from all
other vehicles in the group. The key update average delay is dened as the average of the key
update delay among all successful key updates.
Fig. 14 shows that as more vehicles are involved in the group, higher key update delay is
required. It is because with more vehicles in a group, the probability that all vehicles receive a
message properly becomes lower. As a result, to ensure that all vehicles receive the message,
more re-transmissions are needed. Thus higher delay is caused.
In the last set of experiments, we also vary the corruption rate from 5% to 50% but this time,
we study its impact on the member joining average delay under our scheme. A member
joining event is considered to be successful if all old members in the group obtain the new
Fig. 12. Group request average delay vs. corruption rate
Fig. 13. Group request average delay vs. corruption rate
Fig. 14. Key update average delay vs. corruption rate
members group public key while at the same time, the new member obtains all old members
group public keys and the group common secret for future communications. The member
joining delay is dened as the period from when the new member sends out a group join
request message to when the old member it contacts receives and veries acknowledgement
messages from all members. The member joining average delay is dened as the average of
the member joining delay among all successful member joining events.
In Fig. 15, we study two initial (before any new member joins) group sizes (n = 5 and 10), and
two new member set sizes, (j = 5 and 10) under our scheme. All congurations show slightly
increasing trends as the corruption rate increases because of the same reason above. Also the
delay performance under all congurations are actually close to each other and the difference
is just about 10 ms.
Fig. 15. Member joining average delay vs. corruption rate
9. Conclusions
In this chapter, we discussed the Grouping-enabled and Privacy-enhancing communications
Schemes (GPS) for VANETs to handle ad hoc messages and group messages for inter-vehicle
communications. For ad hoc messages, we follow the approach of letting RSU aid the
signature verication process. We show that our schemes satisfy the security and privacy
requirements. In terms of effectiveness, we show that our solution gives lower message
overhead and at least 45 % higher success rate than previous work. For group messages,
we proposed a set of modules for VANETs which allows dynamic membership and periodic
update of the group key. RSU is needed only for group formation and member joining. In
addition, we provide an add-on function for a group member to send a secure message to all
other members or to a dedicated member. Again we show that our schemes satisfy all the
security requirements. By simulation, we verify that our schemes are effective and the delay
introduced by re-transmitting lost messages is negligible.
Note that in the early stage of VANET deployment, we may not have RSUs installed in all
road sections. However, our protocol can be completed within the coverage of one RSU, and
so can still be applied. Individual vehicles just cannot communicate on those sections of roads
without RSUs, however, vehicles in the same group can still communicate without RSU. For
future work, we will extend our group communications schemes to allow group merging and
group splitting. We will also consider other secure applications in VANETs.
10. References
Boneh, D., Lynn, B. & Shacham, H. (2001). Short Signatures from the Weil Pairing, Proceedings
of Asiacrypt 01, pp. 514 532.
Brown, R. H., Good, M. L. & Prabhakar, A. (1993). Data Encryption Standard (DES), Federal
Information Processing Standards (FIPS) Publication 46-2 .
Chim, T., Yiu, S., Hui, L. C., Jiang, Z. L. & Li, V. O. (2009). SPECS: Secure and Privacy
Enhancing Communications Schemes for VANETs, ADHOCNETS 09.
Chim, T., Yiu, S., Hui, L. C. & Li, V. O. (2009). Security and Privacy Issues for Inter-vehicle
Communications in VANETs, IEEE Proceedings of the SECON 09 (Poster Session).
Eastlake, D. & Jones, P. (2001). US Secure Hash Algorithm 1 (SHA1), IETF RFC3174 .
Housley, R., Ford, W., Polk, W. & Solo, D. (1999). Internet X.509 Public Key Infrastructure
Certicate and CRL Prole, IETF RFC2459 .
Hubaux, J. P., Capkun, S. & Lui, J. (2004). The Security and Privacy of Smart Vehicles, IEEE
Security and Privacy Magazine, 2(3) pp. 49 55.
Kim, Y., Perrig, A. & Tsudik, G. (2004). Tree-based group key agreement, ACM Transactions on
Information Systems Security, 7(1) pp. 60 96.
Menezes, A. (1991). An Introduction to Pairing-Based Cryptography, 1991 Mathematics Subject
Classication, Primary 94A60.
Oh, H., Yae, C., Ahn, D. & Cho, H. (1999). 5.8 GHz DSRC Packet Communication System for
ITS Services, IEEE Proceedings of the VTC 99, pp. 2223 2227.
Raya, M., Papadimitratos, P. &Hubaux, J. P. (2006). Securing Vehicular Communications, IEEE
Wireless Communications Magazine, Special Issue on Inter-Vehicular Communications
pp. 8 15.
Scott, M. (2007). Efcient implementation of cryptographic pairings, Available online:
http://ecrypt-ss07.rhul.ac.uk/Slides/Thursday/mscott-samos07.pdf.
Tsang, P. P. & Smith, S. W. (2008). PPAA: Peer-to-Peer Anonymous Authentication, Proceedings
of ACNS 08, pp. 55 74.
U.S. Department of Transportation, N. H. T. S. A. (2006). Vehicle Safety Communications
Project Report.
Verma, M. & Huang, D. (2009). SeGCom: Secure Group Communication in VANETs, IEEE
Proceedings of the CCNC 09, pp. 1 5.
Wang, F., Zeng, D. & Yang, L. (2006). Smart Cars on Smart Roads: an IEEE Intelligent
Transportation Systems Society Update, IEEE Pervasive Computing, Vol. 5, No. 4 pp. 68
69.
Wasef, A. & Shen, X. (2008). PPGCV: Privacy Preserving Group Communications Protocol for
Vehicular Ad Hoc Networks, IEEE Proceedings of the ICC 08, pp. 1458 1463.
Wong, C. K., Gouda, M. & Lam, S. S. (1998). Secure group communications using key graphs,
IEEE Proceedings of the SIGCOMM 98, pp. 68 79.
Zhang, C., Lin, X., Lu, R. & Ho, P. H. (2008). RAISE: An Efcient RSU-aided Message
Authentication Scheme in Vehicular Communication Networks, IEEE Proceedings of
the ICC 08, pp. 1451 1457.
Zhang, C., Lu, R., Lin, X., Ho, P. H. & Shen, X. (2008). An Efcient Identity-based
Batch Verication Scheme for Vehicular Sensor Networks, IEEE Proceedings of the
INFOCOM 08, pp. 816 824.
11. Appendix - attacks to IBV protocol
In this section, we rst describe the IBV protocol. Then, we describe in details three security
problems of the protocol - privacy violation, anti-traceability attack, and impersonation attack.
11.1 The IBV protocol
Before network deployment, TA sets up the parameters using the following steps:
1. TA chooses G and G
T
that satisfy the bilinear map properties.
2. TA randomly picks s
1
, s
2
Z
q
as its master keys. These two master keys are preloaded
into each vehicles tamper-proof hardware device.
3. TA then computes P
pub
1
= s
1
P and P
pub
2
= s
2
P as its public keys. The parameters {G, G
T
,
q, P, P
pub
1
, P
pub
2
} are then preloaded into all RSUs and OBUs.
4. TA also assigns each vehicle V
i
a real identity RID
i
G and a password PWD
i
. The drivers
are informed about them during network deployment or during vehicle rst registration.
When a vehicle V
i
starts up, its RID
i
and PWD
i
are input by the driver into a tamper-proof
device. If they are valid, the tamper-proof device starts its role in generating pseudo
identities, secret keys and message signing. Vehicle V
i
s pseudo identity is generated as
ID
i
= (ID
i1
, ID
i2
) where ID
i1
= rP and ID
i2
= RID
i
H(rP
pub1
) where r is a per-session
random nonce. Its secret key is then generated as SK
i
= (SK
i1
, SK
i2
) where SK
i1
= s
1
ID
i1
and
SK
i2
= s
2
H(ID
i1
[[ID
i2
). Here H(.) is a MapToPoint hash function as in our schemes. When
vehicle V
i
wants to send the message M
i
, it generates the signature
i
= SK
i1
+ h(M
i
)SK
i2
where h(.) is a one-way hash function such as SHA-1. V
i
then broadcasts ID
i
, M
i
and
i
to the
RSU.
RSU veries the signature
i
by checking whether e(
i
, P) =
e(ID
i1
, P
pub1
) e(h(M
i
)H(ID
i1
[[ID
i2
), P
pub2
) as
e(
i
, P)
= e(SK
i1
+ h(M
i
)SK
i2
, P)
= e(SK
i1
, P) e(h(M
i
)SK
i2
, P)
= e(s
1
ID
i1
, P) e(h(M
i
)s
2
H(ID
i1
[[ID
i2
), P)
= e(ID
i1
, s
1
P) e(h(M
i
)H(ID
i1
[[ID
i2
), s
2
P)
= e(ID
i1
, P
pub1
) e(h(M
i
)H(ID
i1
[[ID
i2
), P
pub2
)
Having the pseudo identity ID
i
of vehicle V
i
, TA can trace its real identity by using the TA
RID Tracing Routine: ID
i2
H(s
1
ID
i1
) = RID
i
H(rP
pub
1
) H(s
1
rP) = RID
i
.
11.2 Privacy violation
Any vehicle can obtain ID
i
= (ID
i1
, ID
i2
) from V
i
s transmissions. Also s
1
is preloaded into
each vehicles tamper-proof device during network deployment. Thus any vehicle can obtain
V
i
s RID
i
by following the TA RID Tracing Routine.
11.3 Anti-traceability attack
We describe how a vehicle can make TA unable to trace its real identity from its message sent
under the IBV protocol. We denote this kind of attack as an anti-traceability attack.
Assume that in a certain session, the attacking vehicle V
a
generates its pseudo identity as
ID
a
= (ID
a1
, ID
a2
) where ID
a1
=rP and ID
a2
= GARBAGEH(aP
pub1
) where GARBAGE
G and r is again a per-session random nonce. V
a
then proceeds to generate its secret keys
SK
a
= (SK
a1
, SK
a2
) where SK
a1
= s
1
ID
a1
and SK
a2
= s
2
H(ID
a1
[[ID
a2
), signs the message M
a
by generating the signature
a
= SK
a1
+h(M
a
)SK
a2
and sends out ID
a
, M
a
and
a
to the RSU.
Note that RSU can verify the message successfully because e(
a
, P) =
e(ID
a1
, P
pub1
) e(h(M
a
)H(ID
a1
[[ID
a2
), P
pub2
). Assume that at a later time, V
a
s message
M
a
causes an accident on the road. RSU forwards V
a
s pseudo identity to TA
so as to reveal V
a
s real identity. However, upon computing ID
a2
H(s
1
ID
a1
) =
GARBAGE H(rP
pub
1
) H(s
1
rP) = GARBAGE, TA nds that GARBAGE does not
match any record at TA. V
a
can thus evade its responsibility of causing the accident.
11.4 Impersonation attack
We describe how a vehicle can send messages on behalf of another under the IBV protocol.
We denote this kind of attack as an impersonation attack.
Assume that at a certain instance, vehicle V
i
with real identity RID
i
generates its pseudo
identity ID
i
= (ID
i1
, ID
i2
), secret keys SK
i
and signs message M
i
i
as usual. While V
i
is transmitting, an attacker V
a
records ID
i
. Later, V
a
generates the
message M
a
. It generates its pseudo identity as ID
a
= (ID
a1
, ID
a2
) = ID
i
= (ID
i1
, ID
i2
)
and its secret keys as SK
a
= (SK
a1
, SK
a2
) where SK
a1
= s
1
ID
a1
= s
1
ID
i1
and SK
a2
=
s
2
H(ID
a1
[[ID
a2
) = s
2
H(ID
i1
[[ID
i2
). It then signs the message M
a
a
= SK
a1
+ h(M
a
)SK
a2
and sends out ID
a
, M
a
and
a
to the RSU.
Similar to the anti-traceability attack, upon receiving V
a
s message, RSU can verify it
successfully because e(
a
, P) = e(ID
i1
, P
pub1
) e(h(M
a
)H(ID
i1
[[ID
i2
), P
pub2
). Assume at a later
time, V
a
s message M
a
causes an accident on the road. RSU forwards V
a
s pseudo identity
ID
a
as shown in its message to TA so as to reveal its real identity. After computing
ID
a2
H(s
1
ID
a1
) = ID
i2
H(s
1
ID
i1
) = RID
i
H(rP
pub
1
) H(s
1
rP) = RID
i
, both RSU and
TA think that M
a
is being sent by V
i
because V
i
s instead of V
a
s identity is traced. Thus V
a
can
evade and pass its responsibility of causing the accident to V
i
.
0
APALLS: A Secure MANET Routing Protocol
Sivakumar Kulasekaran and Mahalingam Ramkumar
Mississippi State University
USA
1. Introduction
In infra-structured networks dedicated routers relay packets between network hosts.
In contrast, in mobile ad hoc networks (MANET) nodes are simultaneously network
hosts and routers. Due to their reduced dependence on communication infrastructure
MANETs have useful applications in scenarios where it may be impractical to set up
expensive communication infrastructure, and in scenarios involving failure of communication
infrastructure.
MANET routing protocols are rules to be followed by every mobile node to cooperatively
discover optimal paths and route packets between end-points (source and destination nodes).
In this chapter we restrict ourselves to the dynamic source routing (DSR) protocol (Johnson
& Maltz, 1996). In DSR paths between end-points are established by ooding route-request
(RREQ) packets originating from the source, in response to which route-response (RREP)
packets are sent along the reverse path. The original DSR protocol (Johnson & Maltz, 1996)
implicitly assumes that all nodes will abide by the rules. The presence of nodes that do not
adhere to the rules, either deliberately, or due to malfunctioning, can have a deleterious effect
on the MANET subnet. Secure MANET routing protocols strive to improve the reliability of
the routing process under the presence of non cooperative nodes.
1.1 Securing DSR
Non conrming nodes can inict a wide variety of passive and active attacks on DSR. Two
basic tools employed to thwart attacks are i) mandating cryptographic authentication; and
ii) monitoring neighbors to estimate their trustworthiness. A mechanism for cryptographic
authentication is also a prerequisite for monitoring. Bootstrapping cryptographic
authentication mechanisms mandates an authority trusted by all nodes.
1.1.1 Role of the trusted authority
The trusted authority (TA) provides secrets to nodes, thereby conferring upon them the
eligibility to take part in ad hoc subnets. The TAmay also revoke the privileges of some nodes,
by disseminating revocation lists. The network size N is the total number of nodes afforded the
privilege of participating in MANET subnets. Any random subset of the N eligible nodes, say
N
s
nodes (which may accidentally be in the same geographical region), can form a connected
ad hoc subnet.
For retaining the most compelling advantage of MANETs (their reduced infrastructural
support) it is desirable that the TA is off-line. In other words, subnets disconnected from the
TA, or any other form of infrastructural support, should still be able to carry out their tasks.
10
In (Sanzgiri et al., 2002) such MANET networks, where the infrastructural support is required
only for predistribution of keys, are referred to as managed open networks.
1.1.2 Resisting attacks
Active attacks involve modifying routing packets in ways that violate the prescribed
protocol. For resisting active attackers secure routing protocols will require features to
detect inconsistencies in routing information resulting fromactive attacks, identify perpetrators
responsible for such inconsistencies, and have mechanisms in place to limit the role of such
nodes. Effective strategies are also required to deter active attacks in the rst place. For
example, the ability to obtain non repudiable proof of active attacks can be an effective
deterrent. Such proofs can be submitted to the TA and lead to revocation of such nodes.
Passive attackers may attempt to eavesdrop on messages exchanged between end-points
or take selective part in routing. Submitting non-repudiable proof may not be possible
1
for passive attacks involving selective participation. Nevertheless, effective strategies are
required to promote self-less participation.
Several secure routing protocols (Abusalah et al., 2008) have been proposed in the literature.
Some focus on cryptographic authentication (Hu et al., 2005)-(Capkun and Hubaux., 2003),
taking into consideration the resource constraints inherent to battery operated mobile devices.
Some have suggested strategies like listening in the promiscuous mode (Marti et al.,
2000)-(Marshall et .al, 2003), unambiguously identifying misbehaving nodes (Burmester et al.,
2003)- (Awebuch et al., 2002), assigning trust metrics to nodes, and employing such metrics to
advantageously inuence the routing process.
1.2 Contributions
The contribution of this chapter is APALLS, a secure routing protocol based on DSR. Some of
the shortcomings of current protocols that are addressed by APALLS are as follows:
1. Non-repudiable authentication, while necessary, is not sufcient for obtaining
non-repudiable proof of misbehavior. While the importance of non repudiable
authentication is well understood (Sanzgiri et al., 2002),(Sun et al., 2007), investigation of
issues in obtaining non repudiable proof of misbehavior (in the context of adhering to a
MANET routing protocol) has not received attention thus far. To our knowledge, APALLS
is the rst protocol which addresses this issue.
2. Protocols that focus on monitoring strategies (Marti et al., 2000)-(Marshall et .al, 2003)
have predominantly ignored the relevance of cryptographic authentication. Likewise,
protocols that focus on cryptographic authentication ignore strategies for monitoring.
Comprehensive routing protocols should productively employ both.
3. While many key distribution strategies have been proposed for ad hoc networks, they have
not considered realistic network models. The choice of schemes in APALLS are driven by
realistic models for large scale MANET deployments.
APALLS
2
borrows some features from Ariadne (Hu et al., 2005), a popular secure extension of
DSR. Ariadne does not prescribe strategies for monitoring, and consequently, does not possess
mechanisms to address passive attacks involving selective participation. The cryptographic
authentication strategies in Ariadne permit the source or destination to detect inconsistencies
1
While a packet signed by a node B can be used by A to demonstrate that B violated the protocol, it is
arguably infeasible for a node A prove to some third party that B did not forward a RREQ/RREP.
2
Ariadne with Pairwise Authentication and Link Layer Signatures.
in path advertisements in (RREQ or RREP packets) resulting from active attacks. However,
Ariadne does not attempt to identify the reason for the observed inconsistency, namely, the
perpetrator responsible for the inconsistency. An implication of the fact that perpetrators
remain unidentied is that an attacker faces no risk in carrying out (several types of) active
attacks. Such attacks, which can reduce the efcacy of the path discovery mechanism, can be
carried out repeatedly due to lack of deterrents.
APALLS provides a severe deterrent for active attacks, the threat of revocation from the
network, as non repudiable proof can be submitted to the off-line TA. APALLS also recognizes
that the process of revocation, involving submission of veriable proof to the TA (when ever
the node submitting the proof has access to the TA), followed by network wide dissemination
of revocation lists by the TA, will not yield immediate relief from the active attacker(s) in ad
hoc subnets. For this purpose, APALLS includes features to route around nodes suspected
of misbehaving. APALLS also includes elements to keep an effective watch on neighbors
to address passive attacks involving selective participation. Nevertheless, due to careful
choice of cryptographic primitives, APALLS incorporates all these features without placing
unreasonable demands on the capabilities of nodes.
The rest of this chapter is organized as follows. In Section 2 we provide an overview of DSR
and Ariadne. In Section 3 we outline a generic managed-open MANET model consisting of
an off-line trusted authority (TA). The threat model and the intended goals of APALLS are
enumerated in Section 3.1. This is followed by a description of mechanisms for bootstrapping
trust relationships between nodes of the network.
Section 4 provides the description of the APALLS protocol. The security analysis of APALLS,
including rationale for the choices made, are described in Section 5. A discussion of related
work can be found in Sections 6.1 and 6.2. Conclusions are offered in Section 6.3.
The following notations are used in this chapter
1. A, B, C (upper case alphabets) represent unique identities of nodes;
2.
A
= M
A
- digital signature of A for a message M.
3. h() - a cryptographic second pre-image resistant hash function (not necessarily colission
resistant);
4. h(M, K) - hashed message authentication code (HMAC) for a message M based on a key K.
5. C = K[P] encryption of a plain-text
3
P using a key K and some block cipher like AES/DES;
6. P = K
1
[C] decryption of cipher-text C using key K.
7. K
0
A
K
L1
A
- hash-chain of length L with commitment K
L
A
, where K
i
A
= h(K
i1
A
), 1 i L.
2. Background
Dynamic source routing (DSR) is an on-demand protocol where a node S desiring to nd a
path to a node T broadcasts a route-request (RREQ) packet indicating the source S, sequence
number q, destination T, and a hop-limit n
h
. RREQ packets are ooded. In general, every
node in the same connected subnet will receive one RREQ(with the same source and sequence
number) from each neighbor, but will rebroadcast only one (usually the rst RREQ received).
Every node rebroadcasting an RREQ inserts its identity.
3
If the plain-text P is larger than the block size it is assumed that some appropriate mode of operation
like cipher-block-chaining (CBC) is used, and the initial value is prepended to the cipher-text C.
223 APALLS: A Secure MANET Routing Protocol
For an RREQ from a source S, intended for a destination T, traversing a path (A, B, C, . . .)
Q
S
(q,S)
= Q
(q,S)
= [S, q, T, n
h
]
Q
A
(q,S)
= [Q
S
(q,S)
, (A)]
Q
B
(q,S)
= [Q
S
(q,S)
, (A, B)] = [Q
A
(q,S)
, (B)]
Q
C
(q,S)
= [Q
S
(q,S)
, (A, B, C)] = [Q
B
(q,S)
, (C)],
.
.
. (1)
where the Q
X
(q,S)
represents all RREQ elds relayed by a node X, and received by the
destination.
When the RREQ packet reaches the destination
4
, it contains the elds Q
(q,S)
specied by the
source, and the list of all nodes in the path traversed by the RREQ. The destination sends
a route-response (RREP) packet along the reverse path. The source and destination may in
general discover multiple paths as the destination can receive one RREQfrom every neighbor.
2.1 Attacks on DSR
Attacks on DSR can be broadly classied into passive, semi-active, and active attacks. Passive
attackers may perform eavesdropping on application data packets exchanged between nodes,
or take selective part in the network. Semi-active attackers may act as invisible relays to create
misrepresentations of the network topology. Such an attacker positioned between two nodes
A and B (who are out of each others range) may simply echo packets broadcast by A such
that B can receive such packets. However by echoing RREQ packets and not echoing RREP
packets, the attacker can cause the route discovery to fail. Interconnected invisible relays that
are physically well separated can create worm-holes (Hu et al., 2001) to misrepresent the subnet
topology. By periodically turning on and off such worm-holes they can create rapid changes
to the perceived topology, thereby inicting signicant bandwidth overhead.
Active attackers intentionally modify routing packets in violation of the protocol - for
example, by inserting nonexistent nodes in the path, or deleting nodes that are actually in
the path, or modifying the values inserted in the RREQ by the source and/or other upstream
nodes. DSR is also susceptible to rushing attacks (Hu et al., 2003) which result from the ability
of an attacker to forward RREQ packets with the intent of either creating sub-optimal routes,
or even causing complete failure of the route establishment process. As each node forwards
only one RREQ packet, a rushed bad packet can preempt other good packets.
Two basic tools employed to thwart attacks attacks are i) mandating cryptographic
authentication; and ii) monitoring neighbors to estimate their trustworthiness. As an
important pre-requisite for monitoring is the need to know who is being monitored
5
,
cryptographic authentication is necessary for the ability to monitor.
2.2 Cryptographic authentication
Facilitating cryptographic authentication schemes requires a trusted authority (TA) who
conveys secrets to every node and/or public values associated with every node to every
4
While in the original DSR even intermediate nodes with the knowledge of a path to the destination
can invoke an RREP, in most secure DSR extensions only the destination is allowed to do so.
5
A node A observing the behavior of a neighbor claiming-to-be-B should be able to ascertain that the
observed node is indeed B before A can make any inferences about the Bs trustworthiness.
node in the network. Such values provided by the TA are necessary for computing veriable
cryptographic authentication tokens. As packets without veriable cryptographic authentication
will be ignored, the TA confers the eligibility for nodes to take part in MANET subnets.
Cryptographic authentication can be classied into mutual (or one-to-one) authentication and
broadcast (one-to-many) authentication. A secret K
AB
known only to A and B can be used
by A and B for computing and verifying pairwise authentication tokens. For a mesage M
the token is typically a hashed message authentication code (HMAC) T
AB
(M) = h(M, K
AB
).
Schemes for pairwise authentication thus rely on key distribution schemes that facilitate
pairwise secrets between all node-pairs.
An one-to-many authentication token T
A
(M) = (R
A
, M) for a message M can be created only
by a node with access to a secret key R
A
. The token can be veried using a public counterpart
U
A
of the secret R
A
. The verication function f
ver
(M, T
AM
, U
A
) provides a binary output
(pass or fail). If the verication test passes, the verier can conclude that only an entity with
the private counterpart of U
A
could have computed the token T
A
(M). In addition, if it is
possible for the verier to establish that the public value U
A
is indeed associated with a node
A, the verier can conclude that the token was created by A. Facilitating such schemes calls
for the TA to distribute authentic public values associated with every node to every node.
2.2.1 MANET layers
In the context of DSR, application layer cryptographic mechanisms are required for
end-points to protect the privacy and integrity of data exchanged between them. Link
layer mechanisms are required for authentication of neighboring nodes. Network layer
mechanisms are required for authentication of intermediate nodes that take part in relaying
packets between end-points.
Howend-points choose to protect application data should be left to the end-points themselves;
ideally, such strategies should not not be under the control of the TA. However, strategies for
link layer and network layer authentication should be promulgated by the TA.
2.3 Ariadne
In Ariadne the end-points share an application layer secret. The authentication strategies
facilitated by the TA include i) a sequence-number hash chain to limit the number of RREQs
that can be sent by any node; ii) TESLA broadcast authentication (Perrig et al., 2001) for
authentication of intermediate nodes by an end-point; and iii) a network-wide secret at the
link layer to deny access to external nodes.
In the sequence-number hash chain of a node A, o
A
=R
0
A
, R
1
A
, . . . , R
n
r
A
, R
i
A
= h(R
i1
A
) for 1
i n
r
, and the commitment R
n
r
A
is made known to every node by the TA. Along with an RREQ
with sequence number q initiated by A the value R
n
r
q
A
is released from its sequence-number
hash chain.
In the TESLA hash chain of A, 1
A
t
0
,
= K
0
A
, K
1
A
, . . . , K
L1
A
, K
A
L
with commitment K
A
L
, is a
time-interval (for example, 1 second), and t
0
is an absolute value of time (for example, Dec 1,
2009, 0200:00, GMT). The parameters associated with As chain (commitment K
A
L
, and t
0
)
are made known to all nodes by the TA. This TESLA chain can be used by A only for a limited
segment of time (between t
0
and t
0
+ (L 1)).
A is expected to keep the key K
Li
A
in its chain private at least till time t
i
= t
0
+ i. This key
can be used for authenticating a value M by appending a HMAC h(M, K
Li
A
), provided the
HMAC reaches potential veriers before time t
i
. Once K
Li
A
is made public (after time t
i
) the
verier can i) verify the TESLA HMAC; and (if consistent) ii) repeatedly hash K
Li
A
(i times)
and verify that the result is indeed K
A
L
. The verier can then conclude that the HMAC was
computed by A (as only A had access to the value K
Li
A
at time t
i
).
2.3.1 RREQ and RREP
The steps involved in RREQ propagation from a source S to a destination T through a path
(A, B, C, . . .) are depicted in Table 1 (left column).

K
ST
is the application layer shared by the
end-points. The RREQ elds Q
S
(q,S)
specied by the source includes a time t
i
before which
the destination should receive the RREQ, and a value R
n
r
q
S
from Ss sequence number chain.
Intermediate nodes and the destination will process the RREQonly if i) (S, q) is fresh (the node
had not previously seen an RREQ from S with a sequence number q or higher); ii) hashing
R
n
r
q
S
q-times yields the commitment R
n
r
S
of S; and iii) the RREQ is received before time t
i
.
Apart from the elds Q
S
(q,S)
which are carried forward all the way to the destination, the
source S broadcasts a value
S
which is intended only for neighbors. The value
S
is chosen
such that the destination T (which shares the secret

K
ST
with the source) can also compute
S
.
A node A downstream of S appends two values before rebroadcasting the RREQ as Q
A
(q,S)
=
[Q
S
(q,S)
, (A, M
A
)], where M
A
is a TESLA HMAC computed using a value from As TESLA
chain which will remain As secret till time t
i
. In addition, a per-hop hash value
A
=
h(
S
, A) is also broadcast by A. Similarly, a node B downstream of A broadcasts Q
B
(q,S)
=
[Q
A
(q,S)
, (B, M
B
)] and
B
= h(
A
, B). Unlike TESLA HMACs, the per-hop hashes are not
carried forward (they are intended only for neighbors).
The destination T computes
S
(as computed by the source) and veries that the per-hop
hash submitted by the last node in the path is consistent with the list of nodes in the path. The
per-hop hash is intended to prevent node deletion attacks. Without this, a node C can simply
remove the values (B, M
B
) in the RREQ, and thus illegally delete B from the path. With the
per-hop hash, to trick the destination into accepting a path (A, C, . . .) as valid, C will need
access to the per-hop hash
A
which is privy only to neighbors of A (and C is not one). The
destination will invoke an RREP only if the per-hop hash is consistent. The RREP includes all
elds of the RREQ packet and is authenticated to the source using a HMAC (based on secret
K
ST
).
After time t
i
, the destination relays the RREP along the reverse path. Every node releases
the value from the TESLA chain used for computing the TESLA HMACs during the forward
path. At the end of the reverse path the source i) veries the TESLA HMACs, and that ii) the
TESLA keys are consistent with the time t
i
and their respective commitments. Mandating
authenication prevents illegal node insertions. In Ariadne node deletion attacks can be
detected by the destination at the end of the forward path; node insertion attacks can be
detected at the end of the reverse path, by the RREQ source.
3. APALLS: application model and goals
As an application of MANETs consider a (ctitious) network operator, Tingular, who desires to
provide subscribers with a wide variety of services with minimal investment in infrastructure.
Tingular subscribers can nd other Tingular subscribers within range and form multi-hop
MANET subnets. Nodes (Tingular subscribers) in a connected subnet can exchange messages
with each other. Apart from communicating with other nodes in the subnet, any node with
wide-area connectivity (for example, access to the Internet) can act as a gateway and extend
Internet access to all other nodes in the subnet.
The total number of Tingular subscribers at any time t, say N(t), can be of the order of several
millions (and varies with time t as newsubscribers may join, and some may leave the Tingular
network). Any small subset of current subscribers who happen to be in a geographical region
like a mall, or an airport, can come-together to form a Tingular subnet (a small subnet may
have just two nodes). Several Tingular subnets may operate simultaneously at different
locations. While some subnets may have one or more nodes with wide-area network access,
some may be completely isolated from the rest of the world. Tingular subnets will thus
be able to function even during periods of natural disasters, when other communication
infrastructure fail.
The main tasks to be performed by Tingular for managing the network are
1. to specify rules (the secure routing protocol) to be followed (a one-time process);
2. induct subscribers into the Tingular network, by providing them with secrets, possibly in
exchange for a small subscription fee (performed once for every node inducted into the
Tingular network); and
3. (periodically) revoke subscribers who violate rules, or do not renew their subscriptions.
Inducting a subscriber can be as simple as providing a SIM card (subscriber identity module)
to the subscriber, preloaded with the secrets necessary for the node to communicate with other
Tingular subscribers, and thus take part in any Tingular subnet. ATingular node can be any
WiFi enabled general-purpose computer (hand-held, laptop or desktop) which can house the
SIM card, and can run Tingular software (which dictates the rules to be followed by Tingular
nodes). Revoking nodes can be through periodic dissemination of revocation lists (posted in
Tingulars website). Due to the modest investment required, Tingular can afford to provide
useful services for a low subscription fee.
3.1 Threat model and goals
Some Tingular nodes in a subnet may engage in active attacks. Some such attacks may result
from mere malfunctioning of nodes. Some may be perpetrated by Tingular nodes under the
control of attackers. One goal of APALLS is to obtain non repudiable proof of active attacks.
Such proofs can be submitted to the TA at a convenient time (as access to the TA may not be
available from some ad hoc subnets), perhaps leading to revocation of such nodes from the
Tingular network.
The revocation process will involve i) submission of proof to the TA, ii) verication of such
proofs by the TA, and iii) dissemination of revocation lists by the TA. While the threat of
revocation can be an effective deterrent, the process of revocation may not provide immediate
relief from attackers in the subnet. For this purpose, APALLS will include explicit features to
improve the chance of nding paths free of suspected active attackers.
Passive attacks include acts like not forwarding RREQ packets, not accepting RREP or data
packets, etc. Selsh subscribers may not desire to take part in the subnet unless they require to
communicate with another node. There may also exist other external attackers (who may not
be Tingular nodes) performing semi-active attacks. While obtaining non repudiable proof of
misbehavior is not possible for passive and semi-active attacks, APALLS aims to have tangible
measures for promoting self-less behavior, and living with semi-active attackers.
3.2 Key distribution for APALLS
The operator of the Tingular network employs a web-server, with a certied trustworthy
computer (for example, a cryptographic co-processor) at the back end. The trustworthy
module is the TA. Tingular also possesses a facility for securely preloading SIM cards with
secrets provided by the TA.
The TA i) generates an asymmetric key pair (R
TA
, U
TA
); and ii) chooses a master secret .
Potential subscribers create a Tingular user account. On payment of the subscription fee
subscribers receive a Tingular SIM card with some secrets.
The identity A assigned to a subscriber is of the form A = [Q
A
| A
/
] where Q
A
is a serial
number, and A
/
may be the user name. The node A is also issued an asymmetric key pair
(R
A
, U
A
), and a certicate C
A
= E(R
TA
, A | U
A
| T
e
), where T
e
is time of expiry of C
A
. The
certicate can be decrypted any any node with access to the public key U
TA
as [A | U
A
| T
e
] =
D(U
TA
, C
A
). The specics of the functions E() and D() depend on the type of asymmetric
primitive employed.
The subscriber sequence number is issued in a chronological order. The sequence number for
the rst subscriber is 1. A node A with (say) Q
A
= 1, 000, 000 is the millionth subscriber. The
values included in the SIM card provided to A are
1. a secret K
A
= h(, A);
2. the private key R
A
;
3. the public key of the TA, U
TA
; and
4. the certicate C
A
.
In addition, A receives Q
A
1 public values of the form
P
AX
= h(K
A
, X) h(K
X
, A), X = [Q
X
| X
/
][Q
X
< Q
A
,
where a specic X = [Q
X
| X
/
] represents the identity assigned to a subscriber inducted before
A (or Q
X
< Q
A
). The public values could be downloaded from Tingular web site or mailed
by Tingular (in a ash card / optical disc) over the postal network. The millionth subscriber
A will receive 999,999 such public values.
The shared secret K
AB
between two subscribers A = Q
A
| A
/
and B = Q
B
| B
/
is computed as
follows. If Q
A
< Q
B
then B has access to the public value P
AB
(and A does not). The secret
K
AB
is computed as
K
AB
=
h(K
A
, B) by A
h(K
B
, A) P
AB
by B
(2)
The scheme described above for facilitating pairwise secrets is based on the modied
Leighton-Micali scheme (MLS) (Ramkumar , 2008). If the public values (and consequently,
the pairwise secrets) are 80 bits long, the ten-millionth subscriber will require about 100 MB
of storage (perhaps in a ash card plugged into the hand-held computer). The maximum
network size is not a hard limit. Newer subscribers (with larger sequence numbers) will just
need more storage for public values.
If unlimited network sizes are desired, scalable KPSs are viable options (see Appendix 8.1).
4. The APALLS protocol
Any subscriber, after receiving the secrets and the required public values, can take part in any
ad hoc subnet created by any subset of Tingular subscribers.
4.1 Joining a subnet
A subscriber A sends a probe [A, c] (where c is a randomly chosen challenge) to determine
other subscribers within range. Anode B in the neighborhood responds with [B, A, K
BA
(c)]. In
general, the node Amay receive one response fromevery neighbor within the reliable delivery
neighborhood
6
(RDN) of A. Let us assume that A receives responses from 3 nodes X, Y
and Z in its RDN. Node A then chooses a random one-hop group secret G
A
and broadcasts
individual encryptions of the secret as [X, Y, Z, K
AX
(G
A
), K
AY
(G
A
), K
AZ
(G
A
)] to its neighbors.
In response, As neighbors X, Y, Z are expected to send their respective one-hop group secrets
(G
X
, G
Y
, G
Z
) to A.
Every packet sent/relayed by a node A is encrypted with the secret G
A
. In other words, every
node enforces a private logical neighborhood (PLN) (Sivakumar and Ramkumar, 2008). The PLN
of a node A is (in general) a subset of nodes in the RDN of A. Node A explicitly invites some
nodes into its PLN by providing a secret G
A
individually to each node. If a node A, with
nodes X, Y and Z in its PLN, suspects X of i) violating the protocol, or ii) acting in a selsh
manner, or iii) suspect a semi-active attacker between A and X, then A can simply cut-off X
from its PLN by providing a new secret to Y and Z (and withholding the secret from X). In a
scenario where A has provided its PLN secret G
A
to node X, but X did not send its PLN secret
G
X
to node A (or X did not accept A into its PLN), node A will eject X from its PLN during
the next broadcast by A - which is encrypted using a new PLN secret G
A
/
, and the secret G
A
/
conveyed only to nodes that A desires to retain in its PLN (and possibly other nodes that A
desires to induct into its PLN). Thus, the PLN secret of A is updated whenever a node leaves
the PLN (or is ejected by A from its PLN).
Every transmission by A is monitored by all nodes in the PLN of A, and checked for
consistency with the protocol. Nodes that are observed to violate rules face the risk of being
ejected from the PLN of the observer. Every node also maintains a revocation list periodically
disseminated by the network operator. The revocation list can be a list of sequence numbers,
signed using the TAs private key. Nodes are expected check their revocation lists before
accepting a node into their PLNs. Nodes also broadcast their public key certicates to their
PLN neighbors. The certicates are decrypted, and the authenticated public key of neighbors
are cached.
4.2 RREQ propagation in APALLS
Table I depicts the sequence of operations involved in RREQ propagation from a source S to a
destination T, through a path (A, B, C, . . .). To facilitate comparison with Ariadne the sequence
of operations performed in Ariadne are also shown in the left column of Table I.
4.2.1 RREQ source S
The RREQ Q
S
(q,S)
from source S species a maximum hop-count n
h
. The RREQ can
(optionally) include a list of nodes (BL) black-listed by the RREQ source. The RREQ Q
S
(q,S)
includes the digital signature
S
of the source. In addition, the broadcast by S includes a
per-hop hash
S
(as in Ariadne) intended only for nodes in the PLN; In Table I values which
are not carried forward (and intended only for nodes in the PLN) are shown enclosed in
owered braces.
6
The RDN of A includes all nodes with which A has conrmed that bi-directional links exist.
The PLN secret is used for encrypting all transmissions to neighbors. Every transmission by
a node X is prepended
7
with the identity X of the node (in the clear) to enable the receiver to
determine that the secret G
X
should be used for decrypting the packet.
4.2.2 Intermediate nodes
Intermediate nodes verify the signature of the RREQ source. The public key certicate C
S
required for verication of the signature
S
of the source can be included in the rst RREQ
sent by S in the subnet. Certicates are cached by other nodes in the subnet. If a node reviving
the RREQ from S does not have access to C
S
, it requests the upstream node to provide the
certicate. Nodes will not rebroadcast the RREQ until they gain access to the public key of the
source. If an intermediate node is included in the list BL, it simply ignores then RREQ. If an
intermediate node receives an RREQ forwarded by a node in the list, the RREQ is ignored.
A neighbor A downstream of S decrypts the broadcast from S (using the PLN secret G
S
provided by S) and veries the signature
S
. Every intermediate node appends three values
that are carried forward all the way to the destination. The elds Q
A
(q,S)
broadcast by Ainclude
the triple (A, M
A
,
S
A
). M
A
is a HMAC for the destination T computed using the secret K
AT
.
The value
S
A
= K
AT
[
S
] (which is not present in Ariadne) is the encrypted upstream per-hop
hash (Sivakumar and Ramkumar, 2008).
Intermediate nodes also append 4 values which are intended only for nodes in the PLN. The
4 values broadcast by a node C are i) the per-hop hash
C
(as in Ariadne); ii) hash of the
signature of the previous hop B - or
B
= h(
B
); iii) a value v
B
, which is a one-way function
of signatures appended by all nodes upstream of B; and iv) the signature
C
, computed over
the values Q
C
(q,S)
, v
c
= h(v
B
,
B
), and
C
. For the rst node in the path (A) the values , and
v are not required. For notational consistency values that are not required are indicated as
NULL. For nodes like B that are in the PLN of the A, the value v
A
is NULL (as there is no
intermediate node upstream of A).
In both Ariadne and APALLS (and more generally, any DSR-based protocol) a node with k
neighbors will receive k RREQs (one from each neighbor) with the same source and sequence
number. In Ariadne an intermediate nodes needs to store only one RREQ (corresponding to
which an RREQ was relayed by the node), for a small duration, within which it is reasonable
to expect an RREP. In APALLS an intermediate node with k neighbors will need to verify k +1
signatures for every RREQ (with the same source and sequence number): i) the signature of
the RREQ source and ii) the signature appended by k neighbors. All k RREQs (along with the
4 one hop values) are cached for a small duration. Each node broadcasts one signed RREQ.
While the signature of the RREQ source is veried by all nodes, signatures of intermediate
nodes are veried only by PLN neighbors.
4.3 Route response
In Ariadne if any inconsistency is detected the destination simply drops the RREQ. In APALLS
the destination takes some proactive steps to isolate the problem.
The destination computes
S
= h(Q
(q,S)
, K
ST
) in the same manner computed by the RREQ
source. The destination then proceeds to check the self-consistency and consistency of every
node in the path. The values appended by an intermediate node C, viz., M
C
and
B
C
are
deemed self-consistent by the destination T if
M
C
= h(Q
B
(q,S)
, (C,
B
C
), h(K
1
CT
[
B
C
], C), K
CT
). (3)
7
This is not shown in Table 1 to reduce notational complexity.
At Node S
Q
(q,S)
= [S, q, T, t
i
] Q
(q,S)
= [S, t, T, n
h
, BL]
S
= h(Q
S
(q,S)
,

K
ST
)
S
= h(Q
(q,S)
, K
ST
), u = h(
S
)
S
= Q
(q,S)
, u
S
Q
S
(q,S)
= [Q
(q,S)
, R
n
r
q
S
] Q
S
(q,S)
= [Q
(q,S)
, u,
S
]
S K
U
[Q
S
(q,S)
,
S
] G
S
[Q
S
(q,S)
,
S
]
At Node A
A
= h(
S
, A)
A
= h(
S
, A)
S
A
= K
AT
(
S
)
M
A
= h(Q
S
(q,S)
,
A
, K
Li
A
) M
A
= h(Q
S
(q,S)
,
S
A
,
A
, K
AT
)
Q
A
(q,S)
= [Q
S
(q,S)
, (A, M
A
)] Q
A
(q,S)
= [Q
S
(q,S)
, (A,
S
A
, M
A
)]
A
= Q
A
(q,S)
,
A
A
A K
U
[Q
A
(q,S)
,
A
] G
A
[Q
A
(q,S)
,
A
,
A
, NULL, NULL]
At Node B
B
= h(
A
, B)
B
= h(
A
, B)
A
B
= K
BT
(
A
)
M
B
= h(Q
A
(q,S)
,
B
, K
Li
B
) M
B
= h(Q
A
(q,S)
,
A
B
,
B
, K
BT
)
Q
B
(q,S)
= [Q
A
(q,S)
, (B, M
B
)] Q
B
(q,S)
= [Q
A
(q,S)
, (B,
A
B
, M
B
)]
A
= h(
A
), v
B
= h(
A
, NULL)
B
= v
B
, Q
B
(q,S)
,
B
B
B K
U
[Q
B
(q,S)
,
B
] G
B
[Q
B
(q,S)
,
B
,
B
,
A
, NULL]
At Node C
C
= h(
B
, C)
C
= h(
B
, C)
B
C
= K
CT
(
B
)
M
C
= h(Q
B
(q,S)
,
C
, K
Li
C
) M
C
= h(Q
B
(q,S)
,
B
C
,
C
, K
CT
)
Q
C
(q,S)
= [Q
B
(q,S)
, (C, M
C
)] Q
C
(q,S)
= [Q
B
(q,S)
, (C,
B
C
, M
C
)]
B
= h(
B
), v
C
= h(
B
, v
B
)
C
= v
C
, Q
C
(q,S)
,
C
C
C K
U
[Q
C
(q,S)
,
C
] G
C
[Q
C
(q,S)
,
C
,
C
,
B
, v
B
]
At Node D
D
= h(
C
, D)
D
= h(
C
, D)
C
D
= K
CT
(
C
)
M
D
= h(Q
C
(q,S)
,
D
, K
Li
D
) M
D
= h(Q
C
(q,S)
,
C
D
,
D
, K
DT
)
Q
D
(q,S)
= [Q
C
(q,S)
, (D, M
D
)] Q
D
(q,S)
= [Q
C
(q,S)
, (D,
C
D
, M
D
)]
c
= h(
C
), v
D
= h(
c
, v
C
)
D
= v
D
, Q
D
(q,S)
,
D
D
D K
U
[Q
D
(q,S)
,
D
] G
C
[Q
D
(q,S)
,
D
,
D
,
C
, v
C
]
.
.
.
Table 1. RREQ (From Source S to Destination T, Sequence Number q) Propagation in Ariadne
(left) and APALLS (right) over a path (A, B, C, D, . . .).
A self-consistent node C, with an upstream node B is deemed consistent only if the per-hop
hash C claims to have received from B, viz, h(K
1
CT
[
B
C
]), matches what B claims to have
broadcast, viz., h(K
1
BT
[
A
B
], B). Verifying the consistency of C is possible only if B is found
to be self-consistent, or
M
B
= h(Q
A
(q,S)
, (B,
A
B
), h(K
1
BT
[
A
B
], B), K
BT
). (4)
Corresponding to every path through which the destination T receives an RREQ with no
inconsistencies, the destination invokes an RREP of type SUCC. For an RREQ received
through a path (A, B, W, G, H, P), the RREP is of the form
T
q
= [(u,
S
), SUCC : (A, B, W, G, H, P)] (5)
The RREP is authenticated to the source using a HMAC based on the secret K
ST
. The value u
is a convenient index to the RREQ. That the RREP includes
S
(the preimage of u) informs the
intermediate nodes that the destination did indeed invoke an RREP.
Some paths may contain one or more inconsistent nodes. As an example, consider a scenario
where an RREQ indicates a path (A, B, C, D, E, F), and the destination determines that while
D, E and F are consistent, Cs consistency cannot be veried because B was not self-consistent.
The RREP sent by T is then
T
q
= [(u,
S
), FAIL : ((BC), (D, E, F))] (6)
The RREP is authenticated individually (using individual HMACs) for verication by the
consistent nodes D, E, F and the last self-consistent node C. The special code indicates that
an inconsistency was detected in the RREQ. Nodes that are identied as consistent (D, E and
F) consider this RREP as an instruction to drop subsequent RREQs from S to T if they include
C or B in the path (for example, if the source S sends a second RREQ after the rst one times
out). This is also considered by nodes D and C as a request to store RREQs they had received
from their respective upstream nodes (C and B) in non volatile storage, for submission to the
TA at the earliest opportunity (for example, when the node has access to the Internet).
5. Rationale and security analysis
Some signicant differences between Ariadne and APALLS are i) use of pairwise secrets
instead of TESLA; ii) mandating the RREQ source to append a digital signature; iii) enforcing
a PLN; iv) use of an additional upstream per-hop hash; and v) a digital signature appended
by every node broadcasting an RREQ, intended only for one-hop neighbors.
5.1 Choice of cryptographic authentication strategies
While Hu et al (Hu et al., 2005) preferred TESLA, Ariadne was also designed to support
pairwise secrets (Ariadne-PS) or digital signatures (Ariadne-DS) instead of TESLA. In
Ariadne-DS every intermediate node appends a digital signature (instead of an HMAC),
which is carried forward all the way till the destination. The obvious disadvantage of
using digital signatures is the overhead. This is exacerbated in Ariadne due to the fact
that signatures and public key certicates appended by every node in the RREQ path have
to be carried over all the way to the destination. Another disadvantage is the increased
susceptibility to trivial denial of service (DoS) attacks due to the high verication complexity.
An attacker can send random signed packets which can be recognized as bogus only after
the expensive verication process.
When pairwise secrets are used the HMACs by intermediate nodes are computed as in
APALLS. End-points can also readily use a secret K
ST
for authenticating RREQ/RREP instead
of relying on an out-of-network mechanism for establishing an application layer secret

K
ST
.
No additional values need to be released during the reverse path; the destination can detect
both deletion and insertion attacks. Furthermore, issues related to the delay sensitivity of
TESLA based authentication (Sivakumar and Ramkumar, 2008) can also be avoided.
Another advantage of the fact that an out-of-network mechanism is not required to establish
pairwise secrets between end-points is that it opens up mechanisms for salvaging broken
routes, or re-routing RREPs. In a scenario where a node D in the path between S and T detects
that the path is broken, if D does not share readily a secret with S or T (in Ariadne-TESLA and
Ariadne-DS), it cannot raise an RREQ to S or T to nd alternate paths. In Ariadne-PS, D can
do so.
The primary differences in rationale for the choice of key distribution strategies in Ariadne
and APALLS stem from the differences in the assumed network model.
5.1.1 Pairwise secrets instead of TESLA
The reason Hu et al (Hu et al., 2005) preferred TESLA over pairwise secrets was that
broadcasting N commitments is easier than distributing (
N
2
) secrets. This is indeed true if a
trusted entity is available in every subnet to broadcast commitments. Broadcasting N
s
= 200
(where N
s
is the number of nodes in a specic subnet) TESLAcommitments within a subnet is
indeed preferable to unicasting (
N
s
2
) =19, 000 values (or unicasting 199 unique values to every
node).
However, keeping in mind that one of the most compelling advantages of MANET is the
ability to operate without infrastructural assistance (like a trusted entity in every subnet), for
large scale dynamic MANET networks (N(t) of the order of several millions) distributing
TESLA commitments can be more expensive. The only practical approach may be for each
node to possess a certied asymmetric key pair which is used for authenticating TESLA
commitments. In Ariadne, where the TESLA HMACs can be veried only by the destination,
an intermediate node X will need to release (during the RREP), a value from its TESLA chain,
and in addition, i) the TESLA commitment; ii) a digital signature of X for the commitment;
and iii) a certicate (issued by the TA) for the public key X.
5.1.2 RREQ signatures
In Ariadne the choice of the strategy for controlling RREQ oods is also based on the implicit
assumption that a trusted entity is available in every subnet. In the absence of such an
entity in each subnet, an attacker can collect sequence-number hash chain values made public
in one subnet to ood RREQs in other subnets. Thus, for the assumed network model,
sequence-number chains are not useful.
Furthermore, while the RREQ hash chain value provides implicit authentication to two elds
(source and sequence number), it does not protect other elds like the destination. Thus, if
an active attacker forwards the RREQ after changing the destination eld, such an RREQ will
be propagated by downstream nodes. To authenticate all RREQ elds specied by the source
Hu et al suggested the use of chained one-time signature (OTS) schemes (Hu et al., 2003). In
chained OTS schemes, in a chain C
0
, C
1
, . . . C
L
the values (C
i
, C
i+1
) are keys pairs of an OTS
scheme which can be used to sign the RREQ. The signer can use C
i
to compute a signature
which can be instantaneously veried by any node with access to C
i+1
. The next RREQ from
the source will make C
i
public and use C
i1
to sign the message. This approach also relies on
S A B C D E T
G H K
L
M W X
Fig. 1. Network Topology Used for Illustrations.
the same assumption (that the network is the subnet) as a value made public in one subnet
can be used in another subnet.
Mandating digital signatures by RREQ source can prevent such attacks. Furthermore, as
RREQs have to be authenticated, if a node S oods too many RREQs other nodes will simply
drop RREQs from S in the future.
5.2 Rationale for PLN
Perhaps the most important implication of the fact that inexpensive schemes for computing
pairwise secrets exist (MLS requires only one hash computation) is that it becomes practical
to enforce PLNs, and derive many tangible benets out of this ability. More specically,
enforcing the PLN is intended to achieve the following goals: i) eliminate trivial risk-free
active attacks; ii) validate the assumption behind the security of the per-hop hashing strategy;
iii) avoid one-way links and links created by semi-active attackers; iv) deter selsh behavior.
5.2.1 Trivial risk-free attacks
Consider a representative topology in Figure 1, for a specic scenario where a malicious node
C receives a RREQoriginating froma node S (intended for the destination T) through the path
(A, B).
In Ariadne the shared network-wide secret K
U
does not prevent nodes from impersonating
other nodes for purposes of fooling their neighbors. For example, C, claiming to be node
C
/
, can relay the RREQ indicating a path (A, B, C
/
). All that D (which receives the packet
from node C
/
) can verify is that the C
/
has access to the network-wide shared secret K
U
.
While paths that include C
/
will be dropped by the source (in Ariadne-PS) or the destination
(in Ariadne-TESLA), such RREQs can preempt good RREQs. Furthermore, C does not face
any risk of being identied.
Note that Ariadne-DS is not susceptible to such attacks as the signature appended by C can be
veried by its neighbors before the RREQ is forwarded. APALLS employs two independent
forms of link-layer authentication: one based on the one-hop PLN secret, and one based on
digital signatures. The PLN authentication also serves as a protection against DoS attacks that
could be launched due to the higher computational overhead required for verifying digital
signatures. RREQ packets relayed by a node C are rst decrypted using PLN secret G
C
. Only
if the resulting packet is a valid
8
RREQ packet will the receiver proceed to verify the signature
C
.
5.2.2 Protecting per hop hash
Many secure routing protocols (including Ariadne) simply assume bidirectional links. Often
the justication provided for this is that the handshake used in colission avoidance protocols
ensures bidirectional links (Kim & Tsudik., 2005). Unfortunately, this is not sufcient to
prevent a node C which can overhear packets sent by a node B from pretending that it cannot
(Sivakumar and Ramkumar, 2006).
When B relays a RREQ from S indicating a path (A, B) and a per-hop hash value
B
, C can
wait for the RREQ to be relayed along another path, say (A, B, G, H). Now, with access to
B
(as C can hear B), C has the ability to remove its immediate upstream neighbor H (or G and
H) from the path. Imposing a PLN is necessary to validate the assumption behind the security
of the per-hop hashing technique - that nodes that are not neighbors cannot gain access to the
per-hop hash. If C pretends to be out of the range of B, B will not include C in its PLN (thus,
C will not gain access to the per-hop hash broadcast by B).
5.2.3 Semi active attacks
If a PLN is enforced a semi active attacker between B and C has to rebroadcast packets from
B and the response from C when they induct each other into their PLNs. B and C may have
reasons to suspect a semi active attacker when they hear an echo of their own transmissions,
or if an abnormally large delay is observed in handshakes between B and C (Hu et al., 2003).
Under such suspicions they will simply not induct the other node into their PLNs.
5.2.4 PLN as a deterrent
Without the ability to impose a PLN all that a node B can do to reduce the participation of a
bad neighbor C is to ignore packets from C. However, B cannot prevent C from forwarding
packets sent by B. The ability to cut-off neighbors in the physical neighborhood from the PLN
facilitates DoS-free countermeasures to reduce the ill-effects of malicious nodes. Nodes cut
off by all neighbors are effectively cut off from the subnet. Mandating a PLN can also deter
selsh selective participation. A node C will have to be inducted into the PLNs of its neighbors
before C can actually monitor trafc. Once inducted, C is pressured to participate self-lessly
due to the fact that it is under constant observation by its neighbors, who may cut C off if they
sense selsh participation.
8
Valid RREQ packets may start with a magic number. In addition, for a packet from C, the last entry
in the path eld should be C.
5.3 Identifying and revoking active attackers
Enforcing a PLN does not address all risk-free attacks. As an illustration, consider a scenario
where C receives a RREQ (from S to T) along a path (A, B), and relays the RREQ indicating a
path (Q, R, C) instead, where Q and R are ctitious nodes inserted by C. Nodes downstream
of C have no reason to suspect that Q and R do not exist, and B does not have access to
S
and
hence
Q
= h(
S
, Q) or
R
= h(
Q
, R) to verify that the value
C
is indeed inconsistent.
Note that if C had instead advertised a path (A, R, C) with a random
C
, B (which has access
to
A
) can determine that
C
,= h(h(
A
, R), C). Similarly, if C had modied any of the elds
specied by the real upstream nodes (A and B), then B can recognize such attempts. Thus,
while there are some blatant active attacks which can be easily be recognized by neighbors,
some subtler attacks can not.
Assume that the destination receives the tainted RREQ indicating a path (Q, R, C, D, E, F, G)
and a per-hop hash
G
. Assume that the actual reason for the inconsistency in the RREQ
was that C had preformed an active attack. In Ariadne all that the destination can detect at
this point is that the per-hop hash
G
is inconsistent. In Ariadne-DS and Ariadne-PS T can
also conclude with certainty that node G exists (as T can verify the HMAC / signature of
G). However, T cannot verify the authentication appended by F as T does not access to the
value
F
(which had gone into the computation of the authentication appended by F). Thus
T cannot even determine if the node F actually exists in the path.
If T desires to determine who is responsible for perpetrating this attack, it can come to several
likely conclusions: like i) G is a malicious node and every other node in the path has been
maliciously inserted by G; or ii) G is a good node, but F may have maliciously inserted nodes
(A, B, C, D, E) in the path; or iii) both G and F are good nodes and the node E may have
inserted nodes (A, B, C, D) in the path; and so on.
In Ariadne-DS the destination can then demand all intermediate nodes (A, B, C, D, E, F, G)
to produce the per-hop hash they had received from their upstream neighbor, which is
simultaneously consistent with the signature of the upstream node (which was already
included in the RREQ sent to the destnation). Now node D can produce a value
C
consistent
with the signature
C
, and
D
= h(
C
, D) consistent with Ds signature
C
. Likewise, all
nodes that had not violated the protocol can also do so.
However, the attacker C cannot produce a value
R
consistent with the signature
R
. The
obvious recourse for C is to not respond to this demand (C could just power off or leave the
subnet). Now, as it is not possible to compute the value
R
(which according to C, was sent
by R) from
C
= h(
R
, C), one cannot deduce that
R
is indeed inconsistent with
R
. If C
has to be convicted based on its inability to provide an afrmative defense (providing
R
consistent with
R
) it is indeed possible that an innocent D, which had suddenly crashed (and
thus loses the value
C
) can also suffer the same fate.
5.3.1 Proof of active attacks in APALLS
The encrypted upstream per-hop hash in APALLS serves two purposes. Firstly, it makes
it possible for the destination to narrow down active attackers. For example, if in the path
(A, B, C, D, E, F, G) the destination is able to determine that nodes (D, E, F, G) were consistent,
and C, while self-consistent, cannot be veried to be consistent (as B is self-inconsistent), the
destination can narrowdown the active attacker to B or C. Secondly, when used in conjunction
with one-hop signatures, it facilitates unambiguous identication of active attackers, and
avoids the need for nodes to provide afrmative defense.
In other words, even without carrying over all signatures (thereby saving bandwidth
overhead for signatures and public-key certicates) APALLS can provide non repudiable
proof of active attacks. Irrespective of the nature of the active attack, a signed packet from
the attacker (stored temporarily by a neighbor, and submitted to the TA at a convenient time)
can be used for this purpose.
Note that the values broadcast by C is effectively a non repudiable statement to the effect the
elds Q
B
q,S
,
B
= K
1
CT
[
B
C
], and v
B
, were broadcast by B, and veried by me (C) to be consistent
with the signature of B (
B
), the preimage of
B
.
When the values stored by D (the contents of the RREQ broadcast by C) are submitted to the
TA, the TA takes the following steps:
1. Verify that
C
is consistent with Q
C
q,S
,
C
,
B
and v
B
;
2. Check if B is a valid node in the network; if not, C is an active attacker (C had inserted a
nonexistent node in the path);
3. If B is a valid node, compute the signature
B
/
for the values Q
B
q,S
and
B
= K
1
CT
[
B
C
] and
v
B
(which according to C, were broadcast by B), and
4. Verify if h(
S
/
) =
B
. If so, B is an active attacker (as B advertised self-inconsistent values
(B, M
B
,
B
)). If not, C is the active attacker (as C had accepted a packet with an invalid
signature).
If the TA has access to the private keys of all nodes the TA can simply compute
B
/
. If private
keys are not escrowed by the TA, the TAwill need to request B to produce a veriable signature
S
/
for the values Q
B
q,S
and
B
= K
CT
[
B
C
] and v
B
. Thus even in scenarios where the private
keys are not escrowed by the TA, unlike Ariadne-DS, nodes will only need access to their
private key to avoid being penalized (revoked
9
) accidentally.
A compelling advantage of escrowing private keys by the TA is that the verication of proof
of attacks can be performed immediately. This is especially useful in scenarios where access
to the TA is available (for example, if at least one node in the subnet has Internet access), as
the revocation message (signed by the TA) can be immediately distributed within the subnet.
5.4 Routing around attackers
In scenarios where access to the TA does not exist, nodes in the subnet will have to live with
active attackers for some (indenite) duration. APALLS includes two strategies for improving
the ability to route around nodes suspected of active attacks. The rst is by using black-lists
specied by the RREQ source. The second is by employing RREPs with a FAIL code.
The list of nodes in Ss black list can include nodes which were possibly Ss neighbor at some
time in the past, and observed by S to violate the protocol, or engage in selsh behavior.
The list can also include nodes which have been recognized as active attackers when S was a
destination node in some RREQ. That a node X is black-listed by a node S is not interpreted
by other nodes to mean that X is malicious. All this means is that the source S desires to
avoid X in paths where S is an end-point. Thus, the black-list of S will only inuence routing
of RREQ packets in which S is the source or the destination.
The second strategy is intended to improve the success of the second RREQ that may be sent
by the source S after the rst RREQ times out. For instance, in a scenario where the FAIL
RREP indicates [(BC), (D, E, F, G), during the second RREQ the nodes (D, E, F, G) will drop
9
Any node which claims to not have access to its private key should be revoked in any case.
Shortest Distance Between Source and Destination
F
r
a
c
t
i
o
n

o
f

S
u
c
c
e
s
s
f
u
l

P
a
i
r
s
S130
S230
S215
S115
0.3
0.4
0.5
0.6
0.7
0.8
0.9
4 5 6 7 8 9 10
Fig. 2. Simulation results depicting the utility of the ability to narrow down the perpetrator.
RREQs that include C or B. Note that without this measure (and if the subnet topology has
not changed) the second RREQ may suffer the same fate as the rst RREQ.
To evaluate the benet of this strategy simulations were performed with random realization
of subnets with N
s
= 200 nodes with uniformly distributed x and y coordinates in a square
region with unit edges. The range of the nodes was chosen as 0.1 units (each node had 5
neighbors on an average). Of the N
s
= 200 nodes, b randomly chosen nodes were labeled
malicious. RREQ propagation was simulated between every pair of nodes.
Three different realizations of the network were simulated with different sets and numbers
of bad nodes. The simulation results are depicted as fraction of node-pairs that succeed
in discovering a path free of bad nodes (y-axis) vs the shortest number of hops between the
pair (between which RREQ propagation was simulated) as the x-axis. RREQ propagation
was simulated for over 400,000 pairs separated by hop lengths between 4 and 10. Path
discovery between a pair is assumed to succeed if at least one of the established paths is
free of b malicious nodes. In Figure 2 plots labelled S1 depict the success rates of rst RREQs.
Simulation results are shown for b = 15 (S1-15) and b = 30 (S1-30).
The plots labelled S2 indicate fraction of successful node pairs after the second RREQ (either
the rst or the second RREQ attempt succeeds). As can be seen from the simulation results the
success rate after the second RREQ for the scenario with 30 bad nodes (S2-30) is comparable
to the success of the rst RREQ with just 15 bad nodes (S1-15). It is important to note that in
the absence of this strategy, the second RREQ has only as much chance of succeeding as the
rst. Thus, in this particular instance, it can be argued that the additional upstream per-hop
hash helps in realizing a two-fold improvement in resistance to malicious nodes in the subnet.
5.5 RREP authentication
In Ariadne the authentication appended by the destination for the RREP (which is veriable
only by the RREQ source) is indistinguishable from a random number for all intermediate
nodes that relay the RREP. This can be exploited by attackers to send spurious RREPs over
long (ctitious) paths to cause unnecessary bandwidth overhead for other nodes in the subnet.
Nodes specied in the path will simply forward the RREP along the path specied. This attack
is particularly dangerous in Ariadne as every intermediate node will need to release a TESLA
key and a certicate for a commitment.
Consider a scenario where an RREQ from a source S to some destination T indicates t
i
(as
the upper limit before which the destination T should receive the RREQ). Assume that such
an RREQ through a path (K, L, M) is heard by an attacker W. Just by overhearing any RREP
packet in response to any RREQ (not necessarily a response for the RREQ from S) after time
t
i
, it is possible for the attacker W to harvest a preimage K
i
X
corresponding to time t
i
of some
node X. The node X may even be many hops away from W. A malicious W can now send
a ctitious RREP indicating a path (K, L, M, X) to M with a random HMAC by destination
T. All that nodes (K, L, M) can verify is that K
i
X
is indeed i
th
pre-image of K
0
X
. Obviously
this serves very little purpose without the ability to recognize the authentication appended by
the RREP destination (which conveys the crucial information that the HMACs were received
before time t
i
). Effectively, any node can send such spurious RREP packets in response to any
RREQ packet, impersonating some other node which may be several hops away.
In APALLS the destination includes a value
S
in the RREP which was until then known only
to the source and destination. Thus, even while supercilious RREPs can be sent by nodes
(which will be detected by the source as inconsistent), such RREPs can be raised only by
nodes which had actually seen an RREP from the destination. Furthermore, such an attack is
not worthwhile for any attacker as the RREP overhead is small in any case in APALLS.
6. Related work and conclusions
Several authors have investigated strategies for securing DSR, and mechanisms for
cryptographic authentication.
6.1 Other secure DSR protocols
Papadimitros (Papadimitratos and Haas., 2002) et al propose a secure routing protocol (SRP)
where only the source and destination share a secret. Marshall et al (Marshall et .al,
2003) argued that SRP cannot avoid malicious behavior by intermediate nodes during the
route establishment phase, as long as the (malicious) behavior is consistent in the forward
and reverse path. They also suggest techniques to mitigate issues in SRP by employing
promiscuous mode of operation (Marti et al., 2000).
Kim et al (Kim & Tsudik., 2005) (SRDP) propose a general protocol for securing route
discovery in DSR, where the primary deviation from Ariadne is that they strive to reduce
the bandwidth overheads by aggregating the authentication appended by intermediate nodes
(for Ariadne-PS and Ariadne-DS where the destination can verify authentication appended by
intermediate nodes). The disadvantage of aggregating authentication is that the destination
cannot verify which node was responsible for the inconsistency. As Ariadne does not strive
to do that in any case, aggregating authentication can reduce RREQ overhead for Ariadne.
However, aggregating HMACs can not be done for APALLS as it would not permit detection
of self-consistency of nodes.
APALLS is an extension of an earlier work (also by the authors of this chapter) (Sivakumar and
Ramkumar, 2008) which sought to improve the resiliency of Ariadne-PS. The improvements
suggested in (Sivakumar and Ramkumar, 2008) include i) use of the upstream per-hop hash
to narrow down active attackers; and ii) enforcing a PLN. The modications in APALLS
compared to (Sivakumar and Ramkumar, 2008) are: i) the use of one-hop digital signatures
for non-repudiation; ii) mandating digital signature by the RREQ source; and iii) a modied
strategy for authenticating RREPs.
6.2 Key distribution
Several key distribution schemes have been proposed in the literature for ad hoc networks.
Zhou et al (Zhou and Haas., 1999) propose a key management service with distributed
CA, using threshold cryptography to distribute shares of the CAs private key to several
nodes. Capkun et al (Capkun and Hubaux., 2003) propose a strategy for building secure
routing from an incomplete set of security associations (BISS), in which a combination of
predistribution of keys (which facilitates only an incomplete set of pairwise secrets) and public
key primitives are used. The motivation for BISS seems to be that schemes for establishing
pairwise secrets between a fraction of nodes is more practical than schemes that permit every
pair nodes to establish a secret.
Zhang et al (Zhang et al., 2005) propose the use of identity based encryption an signature (IBE
/ IBS) schemes for ad hoc networks. IBS schemes can reduce the bandwidth overhead for
signatures as i) public keys and public key certicates are not required; and ii) the signatures
are also generally smaller than (say) RSA signatures. This advantage is not compelling in
APALLS as signatures are not carried forward. Unlike RSA signatures where we can reduce
signature verication complexity by choosing small public exponents, IBS schemes do not
have practical strategies to reduce verication complexity. High verication complexity can
lead to simple DoS attacks. However, in APALLS, this is not a disadvantage as the low
complexity PLN-based authentication (which is veried before signatures are veried) can
prevent such DoS attacks. Thus, both the advantages and disadvantages of IBS schemes are
less relevant in APALLS.
6.3 Conclusions
We have outlined a comprehensive secure routing protocol, APALLS, based on DSR. To the
extent of our knowledge, APALLS is the rst secure routing protocol which is designed to
provide non repudiable proof of active attacks.
Non-repudiable authentication is necessary, but not sufcient to provide non repudiable proof
of active attacks. In general, any active attack involves violation of the prescribed protocol.
The protocol prescribes the steps that a node (say) C should take in response to a packet
sent from a neighbor (say) B. For example, in distance vector based protocols, if a node B
announces a hop-length of 5 to a node S, the neighbor C downstream of B is expected to
announce a hop-length 6.
In a scenario where C advertises a hop-length 7, proving that C did (or did not) violate the
protocol requires several contextual information like (for example) i) if B was indeed a neighbor
of C at that time; ii) the hop count advertised by B at that time ; iii) if C did indeed process the
information advertised by B (the packet broadcast by B did not suffer colission), etc.. Thus,
even while some ad hoc routing protocols like ARAN (Sanzgiri et al., 2002) and Ariadne-DS
employ non repudiable authentication, they do not address the issue of how a packet sent
from a node can be used for proving an active attack. As pointed out in this chapter, even
while Ariadne-DS carries forward all signatures, it still has practical issues in providing non
repudiable proof.
One of the motivations for APALLS stem from the fact that the main advantage of MANET
based networks is their ability to operate without any infrastructural support. Ideally, while
we would desire to eliminate even an off-line TA, this is simply not possible to do so as an
authority is required to i) specify the rules (the protocol) that should be followed by every
node; and ii) to boot-strap cryptographic associations between nodes.
While APALLS borrows some features from Ariadne, the major differences between Ariadne
and APALLS stem from the network model. Several elements in Ariadne like i) the preference
of TESLA over pairwise secrets; ii) the choice of the strategy to suppress RREQ oods; and iii)
ignoring the risk of supercilious RREPs (RREP bandwidth can be high if a TA is not available
in the subnet) assume the presence of a TAin every subnet. While APALLS can take advantage
of access to TA (when at least one node in the subnet has access to the Internet) for quickly
disseminating revocation lists, APALLS can operate effectively even in subnets that may be
completely isolated from the rest of the world.
The choice of cryptographic authentication schemes in APALLS are also driven by the need
to keep the overhead low. Storage is an inexpensive resource for mobile devices; any
mobile device can easily afford several GBs of pluggable storage. However computational
and bandwidth overheads are expensive for battery operated devices. This renders
key predistribution schemes for pairwise secrets (which impose low computational and
bandwidth overhead) well suited even for dynamic large scale networks.
That digital signatures appended by intermediate nodes are veried only by neighbors
renders just about any scheme well suited for this purpose. More specically, it also opens
up the feasibility of non repudiable one-time signature (OTS) schemes
10
which do not require
asymmetric primitives. That only neighbors need to verify the signature renders the scheme
proposed by Merkle et al (Merkle, 1987) for constructing innite OTS trees substantially more
efcient. That OTS schemes require only block-cipher/ hash operations implies that even
very low complexity SIM cards can perform the operations required for this purpose. Such
low complexity SIM cards which need to perform only symmetric cipher operations can be
realized at lower cost.
Some of the ongoing work of the authors include i) investigation of the suitability of OTS
schemes; and ii) use of one-hop signatures for providing non repudiable proof of active attacks
for other MANET routing protocols like AODV(Perkins et al., 2002), TORA(Park and Corson,
1997) and OLSR (Jacquet, 2001).
7. References
Johnson, P., Maltz, D. (1996). Dynamic source routing in ad hoc wireless networks, Mobile
Computing, Kluwer Publishing Company,, ch. 5, pp. 153-181.
Sanzgiri, K., Dahill, B., Levine, N., Shields, C., Belding-Royer, E.M. (2002). A Secure Routing
Protocol for Ad Hoc Networks, Proceedings of the 2002 IEEE International Conference on
Network Protocols (ICNP), November 2002.
Abusalah, L., Khokhar, A., Guizani,M. (2008). A Survey of Secure Mobile Ad Hoc Routing
Protocols, IEEE Communications Surveys and Tutorials, 10(4), 2008.
10
This does not include chained OTS schemes which cannot be used for non repudiation as private keys
are revealed eventually.
Hu, Y.C., Perrig, A., Johnson. D.B. (2005). Ariadne: A Secure On-Demand Routing Protocol
for Ad Hoc Networks, Journal of Wireless Networks,11, pp 1128, 2005.
Kim, J., G. Tsudik. (2005). SRDP: Securing Route Discovery in DSR, IEEE Mobiquitous05, July
2005.
Zhang, Y., Liu, W., Lou, W., Fang, Y., Kwon, Y. (2005). AC-PKI: anonymous and certicate less
public key infrastructure for mobile ad hoc networks, IEEE International Conference on
Communications (ICC05), Seoul, Korea, May 2005.
Zhou, L., Haas, Z. (1999). Securing Ad Hoc Networks, IEEE Network, 13(6), pp 24-30, 1999.
Capkun, S., Hubaux, J-P. (2003). BISS: Building Secure Routing out of an Incomplete Set of
Security Associations, In Proceedings of the Wireless Security Workshop (WISE) 2003,
San Diego, September 2003.
Marti, S., Giuli, T J., Kevin Lai., Mary Baker. (2000). Mitigating routing misbehavior in mobile
ad hoc networks, Proceedings of the 6th Annual International Conference on Mobile
Computing and Networking, Boston,2000.
Marshall, J.,Thakur,V., Yasinsac.A. (2003). Identifying aws in the secure routing protocol,
Proceedings of the 2003 IEEE International Performance, Computing, and Communications
Conference, 2003.
Burmester, M., Van Le, T., Weir. M. (2003). Tracing Byzantine Faults in Ad Hoc Networks,
Proceedings of Communication, Network, and Information Security (CNIS), NY, Dec 2003.
Awerbuch, B., Holmer, D., Nita-Rotaru, C., Rubens, H. (2002). An On-Demand Secure Routing
Protocol Resilient to Byzantine Failures, ACM Workshop onWireless Security (WiSe02),
September 2002.
Sun, J., Zhang, C., Fang, Y. (2007). An id-based framework achieving privacy and
non-repudiation in vehicular ad hoc networks, MILCOM, 2007.
Hu, Y.C., Perrig, A., Johnson. D.B. (2001). Packet Leashes: A Defense against Wormhole
Attacks in Wireless Ad Hoc Networks, Rice University Department of Computer Science
Technical Report TR01-384, Dec 2001.
Hu, Y.C., Perrig, A., Johnson. D.B. (2003). Rushing Attacks in Wireless Ad Hoc Network
Routing Protocols, WiSe 2003, San Diego, CA, September 2003.
Perrig, A., Canetti, R., Song, D., Tygar, D. (2001). Efcient and Secure Source Authentication
for Multicast, In Network and Distributed System Security Symposium, NDSS 01, Feb.
2001.
Ramkumar, M. (2008). On the Scalability of a Nonscalable Key Distribution Scheme, IEEE
SPAWN 2008, Newport Beach, CA, June 2008.
Sivakumar, K. A., Ramkumar, M. (2008). Improving the Resilience of Ariadne, IEEE SPAWN
2008, Newport Beach, CA, June 2008.
Sivakumar, K A., Ramkumar, M. (2009). Private Logical Neighborhoods for Wireless Ad Hoc
Networks, 5-th ACM International Symposium on QoS and Security for Wireless and
Mobile Networks (Q2SWinet), Canary Islands, Spain, October 2009.
Hu, Y.C., Perrig, A., Johnson. D.B. (2005). Efcient Security Mechanisms for Routing Protocols,
Symposium on Networks and Distributed Systems Security (NDSS), 2003.
Sivakumar, K A., Ramkumar, M. (2006). On the Effect of Oneway Links on Route Discovery in
DSR,Proceedings of the IEEE International Conference on Computing, Communication and
Networks, ICCCN-2006, Arlington, VA, October 2006.
Papadimitratos, P., Haas, Z.J. (2002). Secure Routing for Mobile Ad Hoc Networks, Proceedings
of the SCS Communication Networks and Distributed Systems Modeling and Simulation
Conference(CNDS 2002), San Antonio, Texas,2002.
Merkle, R.C. (1987). A digital Signature based on Conventional Encryption Function,
Conference on the Theory and Applications of Cryptographic Techniques on Advances in
Cryptology, Lecture Notes In Computer Science; 293, pp 369 378, 1987.
Perkins, C., Royer,E., Das.S. (2002). Ad hoc On-demand Distance Vector (AODV) Routing,
Internet Draft, draft-ietf-manet-aodv-11.txt, Aug 2002. The 6th World Multi-Conference on
Systemics, Cybernetics and Informatics (SCI 2002), 2002.
Park, V.D., Corson, M.S. (1997). AHighly Adaptive Distributed Routing Algorithmfor Mobile
Wireless Networks, Proceedings of IEEE INFOCOM, Kobe, Japan, 1997.
Jacquet, P., M uhlethaler., Clausen, T., Laouiti, A., Qayyum, A., Viennot,L. (2001). Optimized
link state routing protocol for ad hoc networks,Proceedings of the 5th IEEE Multi Topic
Conference (INMIC 2001), 2001.
Ramkumar, M. (2009). On the Complexity of Probabilistic Key Predistribution Schemes, to be
presented in the Embedded Systems and Communications Security Workshop (ESCS 2009),
Niagara, NY, September 2009.
8. Appendix
8.1 A scalable key predistribution scheme
Unlike MLS, scalable KPSs are susceptible to collusions. For an (n, p)-secure KPS, an attacker
with access to secrets of n nodes can compute a fraction p of all possible pairwise secrets.
As long as p is low enough (say 2
64
) it is computationally infeasible for an attacker to even
identity which pairwise secrets can be compromised by using the pool of secrets accumulated
from n nodes.
8.2 A scalable key predistribution scheme
In the subset keys and identity tickets (SKIT) scheme (Ramkumar, 2009) dened two
parameters m and M, the KDC chooses mM secrets, say, K
i,j
, 1 i m, 1 j M (which
can be derived from a single master secret as K
i,j
= h(, i, j)).
The KDC chooses a public pseudo random function (PRF) f () which generates a mlog
2
M
pseudo-random bits. For a node with identity A the output of the PRF f (A) is interpreted
as m log
2
M-bits values, a
i
, 1 i m, 0 a
i
M1i. Corresponding to the m indices, A is
issued m secrets K
i,a
i
, 1 i m. Node A is also issued mM identity tickets I
i,j
= h(K
i,j
, A), 1
i m, 1 j M. Identity tickets are conceptually similar to HMACs; however, while HMACs
are not intended to be secrets, identity tickets provided to A are intended only for A.
Two nodes A and B can compute 2m common tickets. Computing any pairwise secret (say
when A requires to compute K
AB
) will require generating mlog
2
M pseudo random bits to
determine the indices of the m secrets assigned to B, followed by computation of m hashes.
Every node requires storage for mM certicates.
An attacker with access to secrets of n nodes O
1
O
n
can compute K
AB
if the m secrets of
each of the n nodes include K
i,a
i
, 1 i m and K
i,b
i
, 1 i m. The probability of such an event
is
p(n) (1 e
n/M
)
2m
. (7)
For m =32 and M =2
16
, p(45, 000) <2
64
, and p(84400) 2
30
. For m =32 and M =2
16
5,
p(225, 000) <2
64
, and p(422, 000) 2
30
.
If each node can afford 100 MB storage we can choose m = 32 and M = 2
16
5 to realize a
scheme for which p(225, 000) 2
64
and p(422, 000) 2
30
. Only the storage complexity is
increased. The computational overhead, which is inuenced by the value m = 32 remains the
same. Due to the low computational overheads, the computations can be easily performed
inside the modest SIM cards to further alleviate the issue of exposure of secrets from a large
number of nodes. An attacker desiring the exploit the collusion susceptibility of SKIT will
have to successfully tamper with and expose secrets from several hundred thousand SIM
cards.
11
Meta-heuristic Techniques and Swarm
Intelligence in Mobile Ad Hoc Networks
Floriano De Rango and Annalisa Socievole
DEIS Department, University of Calabria
Rende (Cs),
Italy
1. Introduction
The infrastructure-less and the dynamic nature of mobile ad hoc networks (MANETs)
demands new set of networking strategies to be implemented in order to provide efficient
end-to-end communication. MANETs employ the traditional TCP/IP structure to provide
end-to-end communication between nodes. However, due to their mobility and the limited
resource in wireless networks, each layer in the TCP/IP model requires redefinition or
modifications to work efficiently in MANETs. One interesting research area in MANETs is
routing. Routing is a challenging task and has received huge attention from researches. Due
to the adaptive and dynamic nature of these networks, the Swarm Intelligence approach is
considered a successful design paradigm to solve the routing problem. Swarm intelligence is
a relatively new approach to problem solving that takes inspiration from the social
behaviours of insects and of other animals. In particular, the collective behaviour of ants
have inspired a number of methods and techniques among which the most studied and the
most successful is the general purpose optimization technique known as Ant Colony
Optimization (ACO) meta-heuristic. ACO takes inspiration from the foraging behaviour of
some ant species. These ants deposit a chemical substance called pheromone on the ground in
order to mark some favourable path that should be followed by other members of the
colony. This behaviour has led to development of many different ant based routing
protocols for MANETs. In this chapter, a description of swarm intelligence approach and
ACO meta-heuristic is given, an overview of a wide range of ant based routing protocols in
the literature is proposed and finally other applications related to ACO in MANETs and
new directions are discussed.
2. The swarm intelligence approach
Swarm Intelligence (Bonabeau et. al, 1999) is a property of natural and artificial systems
involving multiple individuals interacting with each other and the environment to solve
complex problems exhibiting a collective intelligent behaviour. Examples of systems studied
by swarm intelligence are colonies of ants and termites, schools of fish, flocks of birds, herds
of land animals. Some human artifacts also fall into the domain of swarm intelligence,
notably some multi-robot systems, and also certain computer programs written to solve
optimization and data analysis problems.

246
Swarm intelligence has a multidisciplinary character. It is usual to divide swarm intelligence
research into two areas according to the nature of the systems under analysis: in natural swarm
intelligence research biological systems are studied while in artificial swarm intelligence
human artifacts are studied. A different classification of swarm intelligence research can be
given based on the goals that are pursued: it is possible to identify a scientific and an
engineering stream. The goal of the scientific stream is to model swarm intelligence systems in
order to understand the mechanisms allowing a system to behave in a coordinated way as a
result of local individual-individual and individual-environment interactions. On the other
hand, the goal of the engineering stream is to employ the biological behaviours in order to
design systems able to solve problems of practical relevance.
The typical swarm intelligence system has the following properties:
it is composed of many individuals;
the individuals are either all identical or belong to a few typologies;
the interactions among the individuals are based on simple behavioural rules that make
use of local information exchanged directly or via the environment;
the overall behaviour of the system results from the interactions of individuals with
each other and with their environment.
The characterizing property of a swarm intelligence system (Tarasewich & MecMullen,
2002) is its capability to act in a coordinated way without the presence of a coordinator. In
nature there are many examples of swarms performing some collective behaviour without
any individual controlling the group. Wasps build nests with a highly complex internal
structure that is well beyond the cognitive capabilities of a single wasp. Termites build nests
whose dimensions can reach many meters of diameter and height. When compared to a
single termite, which can measure as little as a few millimetres, these nests are huge. Schools
of fish and flocks of birds are other examples of highly coordinated groups. Scientists have
shown that these elegant behaviours can be understood as the result of a self-organized
process where there is no leader and each individual bases its movement decisions solely on
locally available information: the distance, the perceived speed, and the direction of
movement of neighbours.
The most interesting swarm-level behaviours belongs to ants. What is fascinating is that ants
are able to discover the shortest path to a food source and to share that information with
another ants through stigmergy (Deneubourg et al., 1990; Dorigo et al., 1999). Stigmergy is a
form of indirect communication used by ants in nature to coordinate their problem-solving
activities. Ants realize stigmergetic communication by depositing on the ground a chemical
substance called pheromone that induces changes in the environment which can be sensed by
other ants. From the observation of real ant colonies, ant algorithms were inspired and
applied to many different optimization problems.
The main advantages of the swarm intelligence approach compared with a classical
approach are the following:
flexibility: the group can quickly adapt to a changing environment;
robustness: even when one ore more individuals fails, the group can still perform its tasks;
self organisation: the group needs relatively little supervision or top down control.
These properties make swarm intelligence a successful design paradigm.
2.1 Ant foraging behaviour
The observation of ants behaviour inspired the implementation of different optimization
algorithms (Bonabeau et al., 2000). An ant colony is able to find the shortest path between
Meta-heuristic Techniques and Swarm Intelligence in Mobile Ad Hoc Networks

247
the nest and a food source using simple local decisions. Ants use a signalling
communication system based on the deposition of pheromone over the path it follows,
marking a trail. Pheromone is a hormone produced by ants that establishes a sort of indirect
communication among them.
An ant foraging for food lay down pheromone over its route. When this ant finds a food
source, it returns to the nest reinforcing its trail. Other ants in the proximities are attracted
by this substance and have greater probability to start following this trail and thereby laying
more pheromone on it. This process works as a positive feedback loop system because the
higher the intensity of the pheromone over a trail, the higher the probability of an ant start
travelling through it. The following example (see Fig. 1) will show how this process leads
the colony to optimize a route:

Fig. 1. Two ants exploring the shortest path
Suppose two ants, called A and B, were randomly searching for food when they found two
different routes between the nest and the source. Since the route chosen by ant B is shorter,
first ant B will reach food. Going back to the nest, ant B will choose the same path laying
more pheromone over it. When ant A will also find the food, it will choose the path with the
higher pheromone concentration to reach the nest. So, ant A will follow the same Bs path to
the nest. As the process continues, the pheromone concentration on this trail will increase
while the longest route will be discarded because of the pheromone evaporation process.
When more paths are available from the nest to a food source, a colony of ants may be able
to exploit the pheromone trails left by the individual ants to discover the shortest path from
the nest to the food source and back.
2.2 ACO meta-heuristic
The ant colony foraging behaviour has attracted a lot of attention in combinatorial
optimization problems, and has been reverse-engineered in the context of Ant Colony
Optimization (ACO) meta-heuristic (Deneubourg et al., 1990). A meta-heuristics is a set of
algorithmic concepts that can be used to define heuristic methods applicable to a wide set of
different problems. In other words, a meta-heuristic is a general purpose algorithmic
framework that can be applied to different optimization problems with relatively few
modifications. Examples of meta-heuristics include simulated annealing (Cern'y, 1985), tabu
search (Glover & Laguna, 1997), iterated local search (Loureno et al., 2002), evolutionary
computation (Dorigo et al. 2006), and ant colony optimization (Dorigo et al. 1996; Dorigo et
al., 1999; Dorigo & Sttzle, 2004).
In ACO, a number of artificial ants build solutions to an optimization problem and exchange
information on the quality of these solutions via a communication scheme that is
reminiscent of the one adopted by real ants.
The computational resources are allocated to a set of relatively simple agents (artificial ants)
that communicate indirectly by stigmergy. Artificial ants have been enriched with some

248
capabilities which do not find a natural correspondence in order to make them more
effective and efficient. In particular, the use of a colony of cooperating individuals, an
(artificial) pheromone trail for local stigmergetic communication, a sequence of local moves
to find shortest paths, and a stochastic decision policy using local information and are
stemmed from real ants. The other features which do not find their counterpart in real ants
are the following:
artificial ants live in a discrete world and their moves consist of transitions between
discrete states;
artificial ants have an internal state containing the memory of the ant past actions;
artificial ants deposit an amount of pheromone which is a function of the quality of the
solution found;
artificial ants timing in pheromone laying is problem dependent and often does not
reflect real ants behaviour;
to improve overall system efficiency, ACO algorithms can be enriched with extra
capabilities like lookahead, local optimization, backtracking, and so on, that cannot be
found in real ants.
In ACO algorithms a finite size colony of artificial ants with the above described
characteristics collectively searches for good quality solutions to the optimization problem
under consideration. The complexity of each ant is such that even a single ant is able to find
a (probably poor quality) solution. High quality solutions are only found as the emergent
result of the global cooperation among all the agents of the colony concurrently building
different solutions.
The model of a combinatorial optimization problem is used to define the pheromone model
of ACO. A pheromone value is associated with each possible solution component and the set
of all possible solution components is denoted by C. In ACO, an artificial ant builds a
solution by traversing a fully connected construction graph G
c
(V,E), where V is a set of
vertices and E is a set of edges. This graph can be obtained from the set of solution
components C in two ways: components may be represented either by vertices or by edges.
Artificial ants move from vertex to vertex along the edges of the graph, incrementally
building a partial solution. Additionally, ants deposit a certain amount of pheromone on the
components; that is, either on the vertices or on the edges that they traverse. The amount

of pheromone deposited may depend on the quality of the solution found. Subsequent ants
use the pheromone information as a guide toward promising regions of the search space.
The ACO meta-heuristic algorithms is the following:

Set parameters, initialize pheromone trails
SCHEDULE_ACTIVITIES
ConstructAntSolutions
ApplyLocalSearch {optional}
UpdatePheromones
END_SCHEDULE_ACTIVITIES
After initialization, the meta-heuristic iterates over three phases: at each iteration, a number
of solutions are constructed by the ants; these solutions are then improved through a local
search (this step is optional), and finally the pheromone is updated.
The interest of the scientific community in ACO meta-heuristic has risen sharply. Different
ACO algorithms have been proposed in the literature (Dorigo et al. 1996; Dorigo et al., 1999;
Dorigo & Sttzle, 2004). Although ACO has been applied in many combinatorial

249
optimization problems this chapter focuses on surveying ACO approaches in networks
routing and load-balancing. In the following sections the most relevant ACO algorithms for
routing and load balancing problems will be analyzed.
2.3 Approaches to mitigate stagnation
A major weakness of ACO algorithms is the stagnation in which all ants are taking the same
position. Stagnation occurs when a network reaches its convergence (or equilibrium state)
(Sim & Sun, 2003); an optimal path p
0
is chosen by all ants and this recursively increases an
ants preference for p
0
. This may lead to the congestion of p
0
and to a dramatic reduction of
the probability of selecting other paths. These two consequences are undesirable for a
dynamic network since p
0
, becoming congested, may become nonoptimal and disconnected
due to network failure. Moreover, other nonoptimal paths may become optimal due to
changes in network topology, and new or better paths may be discovered.

To alleviate the stagnation problem of ACO algorithms, different approaches have been
proposed (Dorigo & Sttzle, 2004) and can be categorized as follows:
pheromone control;
pheromone-heuristic control;
privileged pheromone laying.
Pheromone control adopts several approaches to reduce the influences from past experience
and encourages the exploration of new paths or paths that were previously nonoptimal:
evaporation, aging, limiting and smoothing pheromone.
The approach called evaporation is typically used in conjunction with ACO in order to
reduce the effect of past experience. Evaporation prevents pheromone concentration in
optimal paths from being excessively high and preventing ants from exploring other (new
or better) alternatives. In each iteration, the pheromone values
i,j
in all edges (i,j) are
discounted by an evaporation factor called p.
Additionally, past experience can also be reduced by controlling the amount of pheromone
deposited for each ant according to its age. This approach is known as aging. In aging, an ant
deposits lesser and lesser pheromone as it moves from a node to another one. Aging is
based on the rationale that old ants are less successful in locating optimal paths since they
may have taken longer time to reach their destinations. Both aging and evaporation prefer
recent encouraging discoveries of new paths that were previously nonoptimal.
Limiting pheromone mitigate stagnation by limiting the amount of pheromone in every path.
By placing an upper bound
max
on the amount of pheromone for every edge (i,j), the
preference for optimal paths over nonoptimal paths is reduced. A variant of such an
approach is pheromone smoothing, in which the amount of pheromone along an edge is
reinforced as follows:
( ')
i, j i, j max i, j
t (t) ( (t)) = + (1)
where is a constant between 0 and 1. It can be noticed that as
i,j
max
, a smaller amount of
pheromone is reinforced along an edge (i,j) .While evaporation adopts a uniform discount
rate for every path, pheromone smoothing places a relatively greater reduction in the
reinforcement of pheromone concentration on the optimal path(s). Consequently,
pheromone smoothing seems to be more effective in preventing the generation of dominant
paths.

250
Pheromone-heuristic control configures ants so that they do not solely rely on sensing
pheromone for their routing preferences. This can be accomplished by configuring the
probability function P
i,j
for an ant to choose an edge (i,j) using a combination of both
pheromone concentration
i,j
and heuristic function
i,j
.
i,j
is function of the cost of edge
which may include factors such as queue length, distance, and delay . P
i,j
at time t is given as
follows:

i, j i, j
i, j
i, j i, j
[ (t)] [ ]
P (t)
[ (t)] [ ]

(2)
where and represent the respective adjustable weights of
i,j
and
i,j
. The routing
preferences of ants can be altered by selecting different values of and . If > , ants
choose paths with more optimistic heuristic values.
By adopting the policy of privileged pheromone laying, a selected subset of ants to have the
privilege to deposit extra or more pheromone on the best paths (in terms of trip time and
length). This approach reduces the probability of ants reinforcing stagnant paths that are
nonoptimal or congested.
3. ACO routing algorithms
ACO routing algorithms (Dorigo et al., 1999) are a subset ACO algorithms which model the
behaviour of insect swarms to solve the routing problem.
ACO routing algorithms show a number of interesting properties compared to traditional
routing algorithms. Firs of all, they are adaptive by means of continuous path sampling and
probabilistic ant forwarding which leads an interrupted exploration of the routing
capabilities. Moreover, they are robust because routing information is the result of the
repeated sampling of paths. The use of sampling implies that routing information is based
on direct measurements of the real network situation, which enhances its reliability.
In the following subsections, the main ACO algorithms solving the routing problem will be
discussed. In order to illustrate the differences between them clearly, the example of the
travelling salesman problem will be analyzed.
In the TSP (Dorigo & Gambardella, 1997) a set of locations (e.g. cities) and the distances
between them are given. The problem consists of searching a closed tour of minimal length
that visits each city once and only once. To apply ACO to the TSP, the graph is defined by
associating the set of cities with the set of vertices of the construction graph. Since in the TSP
it is possible to move from any given city to any other city, the construction graph is fully
connected and the number of vertices is equal to the number of cities. The lengths of the
edges between the vertices are proportional to the distances between the cities represented
by these vertices and pheromone values and heuristic values are associated with the edges
of the graph. Pheromone values are modified at runtime and represent the cumulated
experience of the ant colony, while heuristic values are problem dependent values that, in
the case of the TSP, are set to be the inverse of the lengths of the edges. The ants construct
the solutions as follows. Each ant starts from a randomly selected city (vertex of the
construction graph) and at each construction step it moves along the edges of the graph,
keeping a memory of its path. In subsequent steps ant chooses among the edges that do not
lead to vertices that it has already visited. A solution will be constructed once an ant has
visited all the vertices of the graph. At each construction step, an ant probabilistically

251
chooses the edge to follow among those that lead to yet unvisited vertices. The probabilistic
rule is biased by pheromone values and heuristic information: the higher the pheromone
and the heuristic value associated to an edge, the higher the probability an ant will choose
that particular edge. Once all the ants have completed their tour, the pheromone on the
edges is updated. Each of the pheromone values is initially decreased by a certain
percentage. Each edge then receives an amount of additional pheromone proportional to the
quality of the solutions to which it belongs (there is one solution per ant). This procedure is
repeatedly applied until a termination criterion is satisfied.
3.1 AS: Ant System
Ant system (AS) (Fenet & Hassas, 1998) was the first ACO algorithm to be proposed in the
literature. The pheromone values are updated by all the ants that have completed the tour.
Solution components, denoted with c
i,j
, are the edges of the graph, and the pheromone
update for
i,j
, that is, for the pheromone associated to the edge joining cities i and j, is
performed as follows:

m
k
i, j i, j i, j
k 1
(1 )
=
+
(3)
Where (0, 1] is the evaporation rate, m is the number of ants, and
k
i, j
is the quantity of
pheromone laid on edge (i,j) by the k-th ant:

k
k i, j
1
if k th ant travels onedge(i, j)
L
0 otherwise

(4)
where L
k
is the tour length of the k -th ant.
In order to construct the solutions, the ants traverse the construction graph and make a
probabilistic decision at each vertex. The transition probability of the k-th ant moving from
city i to city j is given by:

i, j i, j p
k
p
i, j i, j
p i, j k
c N(s )
i, j k

if j N(s )

P(c |s )
0 otherwise

(5)
where
p
k
N(s ) is the set of components that do not belong yet to the partial solution
p
k
s of ant
k, and parameters and control the relative importance of the pheromone versus the
heuristic information
i,j
=1/d
i,j
, where d
i,j
is the length of component c
i,j
.
3.2 Ant Colony System
The Ant Colony System algorithm (Dorigo & Gambardella, 1997) was proposed as an
improvement over the original AS algorithm. The first relevant difference between ACS and
AS is the decision rule used by the ants during the construction process. Ants in ACS use the
so-called pseudorandom proportional rule: the probability for an ant to move from city i to city
j depends on a random variable q uniformly distributed over [0,1], and a parameter q
0
; if q

252
q
0
, then, among the feasible components, the component
i, j i, j
that maximizes the product is
chosen; otherwise, the same equation as in AS is used. This rather greedy rule, which
favours exploitation of the pheromone information, is counterbalanced by the introduction
of a diversifying component: the local pheromone update (Ducatelle et al., 2005). The local
pheromone update is performed by all ants after each construction step. Each ant applies it
only to the last edge traversed:

0
(1
i, j i, j
) = +
(6)
where (0, 1] is the pheromone decay coefficient, and
0
is the initial value of the
pheromone. The interesting goal of the local update is to diversify the search performed by
subsequent ants during one iteration. In fact, decreasing the pheromone concentration on
the edges as they are traversed during one iteration encourages subsequent ants to choose
other edges and hence to produce different solutions. This also prevents that several ants
produce identical solutions during one iteration. Additionally, because of the local
pheromone update in ACS, the minimum values of the pheromone are limited.
As in AS, also in ACS at the end of the construction process a pheromone an offline
pheromone update is performed. This update is performed only by the best ant and only
edges visited by the best ant are updated, according to the equation:
(1
best
i, j i, j i, j
) +
(7)
where
best
i, j best
1 / L = if the best ant used edge (i,j) in its tour,
best
i, j
0 = otherwise. L
best
can be
set to either the length of the best tour found in the current iteration (L
ib
) or the best solution
found since the start of the algorithm (L
bs
).
3.3 MMAS: MAX-MIN Ant System
MAX-MIN ant system (MMAS) algorithm (Sttzle & Hoos, 1998) is another improvement of
the original AS algorithm. Unlike AS, only the best ant adds pheromone trails, and the
minimum and maximum values of the pheromone are explicitly limited (in AS and ACS
these values are limited implicitly as a result of the algorithm working rather than a value
set explicitly by the algorithm designer).
The pheromone update equation (applied, as in AS, to all the edges) is the following:
(1
best
i, j i, j i, j
) +
(8)
where
best
i, j best
1 / L = if the best ant used edge (i,j) in its tour,
best
i, j
0 = otherwise. As in
ACS, L
best
can be set (subject to the algorithm designer decision) to either the length of the
best tour found in the current iteration (L
ib
) or the best solution found since the start of the
algorithm (L
bs
), or to a combination of both.
The pheromone values are constrained between a max value
max
and a minimum value
min

by verifying, after they have been updated by the ants, that all pheromone values are within
the imposed limits:
i,j
is set to
max
if
i,j
>
max
and to
min
if
i,j
<
max
. The minimum value
i,j
<
min
is most often experimentally chosen (however, a theory about how to define its value
analytically has been developed). The maximum value
max
may be calculated analytically
using the optimum ant tour length value. For the TSP, )
*
max
1 / ( L = , where L
*
is the

253
length of the optimal tour. If L
*
is not known, it can be approximated by L
bs
. It is important
to underline that the value of the trails is set to
max
, and that the algorithm is restarted when
no improvement can be observed for a given number of iterations (Sttzle, 1999).
3. ACO routing algorithms for MANETs
A mobile ad-hoc network (MANET) is a set of mobile nodes which communicate over radio.
These networks have an important advantage, they do not require any existing
infrastructure or central administration. Therefore, mobile ad-hoc networks are suitable for
temporary communication links.
Due to the limited transmission range of wireless interfaces, usually communication has to
be relayed via intermediate nodes. Thus, in mobile multi-hop ad-hoc networks each node
also has to be a router. To find a route between different endpoints is a major problem in
mobile multi-hop ad-hoc networks. Many different approaches to handle this problem were
proposed in literature (Buruhanudeen et al., 2007), but so far no routing algorithm has been
suitable for all situations.
Analyzing some important features of mobile ad-hoc networks, the following considerations
explain why ant algorithms could perform well in these networks:
Dynamic topology: this property is responsible for the unfulfilling performances of
many classical routing algorithms in mobile ad-hoc networks. The ant algorithms are
based on autonomous agent systems imitating individual ants. This allows a high
adaptation to the current topology of the network.
Local information: in contrast to other routing approaches, the ant algorithms make use
of local information; no routing tables or other similar information have to be
transmitted to other nodes of the network.
Link quality: it is possible to integrate the connection/link quality into the computation
of the pheromone concentration, especially into the evaporation process. This will
improve the decision process with respect to the link quality.
Support for multi-path: each node has a routing table with entries for all its neighbours.
Adding the information about the pheromone concentration, the decision rule for
selection of the next node could be based on the pheromone concentration at the current
node.
In this section, an overview of the main ant based routing algorithms proposed explicitly for
MANETs will be presented.
Ad hoc Networking with Swarm Intelligence (ANSI). ANSI is a reactive routing protocol
(Rajagopalan & Shen, 2005) which defines two kinds of mobile agents called forward reactive
ants and backward reactive ants. The routing tables in ANSI contain an entry for each
reachable node and next best hop while the ant decision tables store the pheromone values.
In ANSI, the forward reactive ants are generated only when a node has to transmit data to
another node. The forward reactive ants are broadcast while the backward reactive ants
retrace the path of forward reactive ants and update the pheromone values at the nodes. The
data packets choose the next hop deterministically i.e., the hop which contains the largest
pheromone value is chosen as the next hop.
Ant-colony-based Routing Algorithm (ARA). ARA is another reactive routing protocol
(Gnes & Spaniel, 2003) for MANETs. The routing table entries in ARA contain pheromone
values for the choice of a neighbour as the next hop for each destination. The pheromone

254
values in the routing tables decay with time and the nodes enter in a sleep mode if the
pheromone in the routing table has reached a lower threshold. As in ANSI, route discovery
in ARA is performed by two kind of mobile agents: forward ants and backward ants.
During route discovery, the forward and backward ant packets characterized by unique
sequence numbers to prevent duplicate packets, are flooded through the network by the
source and destination nodes, respectively. The forward and backward ants update the
pheromone tables at the nodes along the path for the source and destination nodes
respectively. At the end of the route discovery process for a particular destination, the
source node does not generate new mobile agents for the destination instead the route
maintenance is performed by the data packets.
Probabilistic Emergent Routing Algorithm (PERA). Also in PERA (Baras & Mehta, 2003)
route discovery is performed by forward and backward ants. These ant agents create and
adjust probability distribution at each node for the node's neighbours. The probability
related to a neighbour reflects the relative likelihood of that neighbour forwarding and
eventually delivering the packet. Each forward node contains the IP address of its source
node, the IP address of the destination node, a sequence number, a hop count field and a
dynamically growing stack The stack contains the information about the nodes traversed by
the forward ant and the times at which the nodes have been traversed. When a node does
not have a record of a route to a destination, it creates a forward ant and the node pushes its
own IP address on to the stack of the forward ant as well as the time at which the ant is
created. Henceforth, the node keeps sending forward ants periodically to the destination for
as long as a route is required. When a forward node reaches the destination, the destination
node creates a new backward ant. It uses the information contained in the forward ant on
the reverse path to modify the probability distribution at each node and update routing
tables to reflect the current status of the network. Since the forward ant is broadcast at the
source and intermediate nodes, each forward ant will cause the broadcast of multiple
forward ants, several of which may find different paths to the destination, generating
multiple backward ants.
POSition based ANT colony routing algorithm (POSANT). POSANT is a reactive routing
algorithm (Kamali & Opatrny, 2008) based on ant colony optimization and location of
nodes. This protocol is able to find optimum or nearly optimum routes when a given
network contains nodes with different transmission ranges. Each node is assumed to be
aware of its position, the position of its neighbours and the position of the destination node.
A route in POSANT is searched only when there is a collection of data packets that are to
sent from a source node to a destination node. Sending the data packets will start after a
route from source to destination is established. Before that, only forward and backward ants
are being exchanged. In order to minimize the time that POSANT spends to find a route
while keeping the number of generated ants as small as possible, information about the
position of nodes is used as a heuristic value. Neighbours in POSANT are partitioned into
three zones in dependence of the position. The use of location information as a heuristic
parameter results in a significant decrease of the time required to establish routes from a
source to a destination. Moreover, having a short route establishment time, POSANT
reduces greatly the number of control messages. POSANT has also a higher delivery rate
with a shorter average packet delay than other position based routing algorithms.
Ant Routing Algorithm for Mobile Ad hoc networks (ARAMA). ARAMA (Hossein &
Saadawi, 2003) is a proactive routing algorithm. As in other ACO algorithms for MANETs,
the forward ant has to collect path information. However, in ARAMA, the forward ant takes

255
into account not only the hop count factor but also the links local heuristic along the route
such as the node's battery power and queue delay. ARAMA defines a value called grade,
calculated by each backward ant, which is a function of the path information stored in the
forward ant. At each node, the backward ant updates the pheromone amount of the node's
routing table, using the grade value. The protocol uses the same grade to update pheromone
value of all links. In ARAMA the route discovery and maintenance overheads are reduced
by controlling the forward ant's generation rate.
HOPNET. This is a hybrid ant colony optimization routing protocol (Wanga et al., 2008)
based on ants hopping from one zone to the next. HOPNET is highly scalable for large
networks compared to other hybrid protocols. The HOPNET algorithm consists of the local
proactive route discovery within a node's neighbourhood and reactive communication
between the neighbourhoods. The network is divided into zones which are the node's local
neighbourhood. A routing zone consists of the nodes and all other nodes within the
specified radius length measured in hops. A node may be within multiple overlapping
zones and zones could vary in size. The nodes can be categorized as interior and boundary
(or peripheral) nodes with respect to the central node. Each node has two routing tables:
Intrazone Routing Table (IntraRT) and Interzone Routing Table (InterRT). The IntraRT is
proactively maintained so that a node can obtain a path to any node within its zone quickly.
This is done by periodically sending out forward ants to sample path within its zone and
determine any topology changes. Once a forward ant reaches a destination, a corresponding
backward ant is sent back along the path discovered. The InterRT stores the path to a node
beyond its zone. This source routing table is setup on demand as routes outside a zone is
required. The peripheral nodes of the zone are used to find routes between zones. For small
number of nodes, due to the constant movement of border nodes, new routes have to be
determined continuously resulting in more delay than other hybrid routing protocols.
Distributed Ant Routing (DAR). In DAR (Rosati et al. 2008) routes are created on-demand,
in order to have a low routing signalling load. Forward ants collect information only about
the identities of the crossed nodes and move towards the destination choosing the next hop
only on a pheromone basis. The amount of pheromone deposited by backward ants on each
crossed link is constant. In DAR, in each node the routing tables are stochastic: next hop is
selected according to weighted probabilities, calculated on the basis of the pheromone trails
left by ants. When a node receives a datagram with destination d, if the routing entry for d is
available, then the datagram is forwarded. Otherwise, the datagram is buffered and forward
ants are sent out at constant rate r
ae
(ant emission rate) in order to search a path to d. The
forward ant goes to each node according to the probabilities for the next hop in the routing
table at the current node. Thus, the forwarding of the forward ant is probabilistic and allows
exploration of paths available in the network. Datagrams are routed deterministically based
on the maximum probability at each intermediate node from the source node to the
destination node. This process creates a complete global route by using local information.
The simplicity of the protocol could be helpful in achieving seamless routing in networks
constituted by heterogeneous elements.
Ant-based Distributed Route Algorithm (ADRA). In ADRA (Zheng et al., 2008) ants move
across the network between randomly chosen pairs of nodes. Along the path, ants deposit
simulated pheromones as a function of their hop distance from their source node, the
quality of the link, the congestion encountered on their journey, the current pheromones the
nodes possess and the velocity at which the nodes move. The node also ages the link by
pheromones evaporating. An ant selects its path at each intermediate node according to the

256
distribution of simulated pheromones at each node. In order to accelerate the convergence
rate of the congestion problem and the shortcut problem, the parameters are given with
different weight values to update the probability routing table. The ADRA system exhibits
many attractive features of distributed control.
Ant-based Energy Aware Disjoint Multipath Routing Algorithm (AEADMRA). Earlier
research has proposed several unipath routing protocols for MANETs. However, due to the
dynamic topology of these networks, the single path is easily broken leading to a new route
discovery process and an increase in both delay and control overhead. AEADMRA (Wu et
al., 2007) was proposed to alleviate these problems. This algorithm is based on swarm
intelligence and especially on the ant colony based meta-heuristic. AEADMRA has been
designed to enable path accumulation in route request/reply packets and discover multiple
energy aware routing paths with a low routing overhead.
ImProved Ant Colony Optimization algorithm for mobile ad hoc NETworks (PACONET).
PACONET is a reactive routing protocol (Osagie et al., 2008) which also uses two kinds of
agents: forward ant (FANT) and backward ant (BANT). The FANT explores the paths of the
network in a restricted broadcast manner in search of routes from a source to a destination.
The BANT establishes the path information acquired by the FANT. These agents create a
bias at each node for its neighbours by leaving a pheromone amount from its source. Data
packets are stochastically transmitted towards nodes with higher pheromone concentration
along the path to the destination. FANTs also travel towards nodes of higher concentration
but only if there is no unvisited neighbour node in the routing table. The rows of the routing
table represent the neighbours of a node and the columns represent all the nodes in the
network. Each pair (row, column) in the routing table has two values: a binary value
indicating if the node has been visited and the pheromone concentration. All possible paths
are explored to find the best path towards the destination. The node with the highest
pheromone is chosen as the next hop after the FANT has determined that it has not visited
the node before.
AntHocNet. This is a hybrid routing protocol (Caro et al. 2004) consisting of both reactive
and proactive components. Nodes do not maintain routes to all possible destinations at all
the times and generate mobile agents only at the beginning of a data session. The mobile
agents search for multiple paths to the destination and these paths are set up in the form of
pheromone tables indicating their respective quality. During the course of the data session,
the paths are continuously monitored and improved in a proactive manner.
4. ACO techniques in load balancing
Routing problem in MANET is very challenging and difficult due to the mobility of nodes.
Ant colony optimization is an efficient optimization technique used to find the optimum
shortest route in the ad-hoc network. However, other problems has to be addressed in order
to obtain full efficiency. Network congestion is one of these problems and is present when
load is not perfectly balanced. In this case the simple implementation of ant behaviour is not
sufficient and some adjustments have to be applied. Load-balancing becomes one of the
important issues since the network performance such as network throughput and end-to-
end delay can be improved if the loads are well balanced. In the following subsections some
ACO algorithms for load balancing, improving efficiency and stability of classical ACO
algorithms, will be described.

257
4.1 ABC: Ant Based Control
Ant based control system (ABC) (Schoonderwoerd et al., 1996) was designed to solve the
load-balancing problem. Each row in the pheromone table represents the routing preference
for each destination, and each column represents the probability of choosing a neighbour as
the next hop. Along the paths, incoming ants update the entries in the pheromone table of a
node. In order to mitigate stagnation, three approaches are adopted:
aging;
delaying;
noise.
Aging is designed to discourage ants from following the trails of an ant that has travelled a
longer path to some destination. In contrast to evaporation, aging may induce an ant to
select a nonoptimal link, if the path from a node to its destination is very long. Used in
conjunction with aging, delaying is designed to reduce the flow rates of ants from a
congested node to its neighbours. By slowing down the ants originating from a congested
node, the amount of pheromone they deposit reduced with time because of the aging
process. Noise approach enables ants to choose a path randomly not taking into account the
influence of the pheromone table. Thus, ants can explore new and better routes, particularly
in dynamic networks.
In one of the ramifications of the ABC system (Gurin, 1997), smart ants are adopted to
enhance performance. While in classic ABC an ant updates only the entry corresponding to
the source node in the pheromone table of each node it passes, smart ants update all the
entries in the pheromone table at each node. By performing more pheromone updates at
every intermediate node, smart ants are more complex but fewer smart ants are needed in
order to achieve the same routing purpose.
In another ramification of the ABC system (Subramanian et al., 1997), two kinds of ants are
proposed: regular ant and uniform ant. Regular ant uses the accumulated cost of a path to
determine the amount of pheromone to deposit. A regular ant that travels a higher cost path
to a destination node deposits lesser pheromone. Unlike regular ants, uniform ants choose
their next nodes in a random way. Moreover, while regular ants use the accumulated cost in
the direction from source to destination, uniform ants use the accumulated cost in the
reverse direction to establish the amount of pheromone to deposit.
4.2 Ant-Net
Ant-Net algorithm (Caro & Dorigo, 1997) was originally designed for routing in packet-
switched networks. Unlike traditional routing algorithms which focused on shortest path
routing, AntNet aims to optimize the performance of the entire network. In AntNet, forward
ants are launched at regular intervals from a source node N
s
to a destination node N
d
to
discover a feasible low-cost path. Backward ants travel from N
d
to N
s
to update pheromone
tables at each intermediate node. From N
s
to N
d
, a forward ant selects the next hop node N
i

using a random scheme that take into consideration of both the probability of choosing N
i
,
called P
id
and a heuristic correction factor I
ni
. While I
ni
depends on the queue length at N
i
, P
id

is a selection probability which can be viewed as a pheromone concentration that can be
reinforced by other ants.
As a forward ant travels from source node to destination node, it collects statistics such as
the local data traffic condition on each intermediate node and the trip time to reach N
i
.
When a forward ant arrives at destination, a backward ant will be activated. This ant

258
updates the probabilistic pheromone table at each intermediate node N
i
and the estimated
trip time for the path N
s
- N
i
. Backward ants update the selection probability by determining
the goodness of the trip times of forward ants, and the amount of reinforcement using a
squash function.
The goodness of the trip time is a relative measure determined comparing the current trip
time to the current statistical estimates and the confidence interval of the best trip time. The
squash function is a nonlinear function that is more sensitive in rewarding solutions with
higher goodness values.
This algorithm (called Ant-Net-CL) alleviates the problem of stagnation. However, using
both forward and backward ants generally doubles the routing overhead.
In another version of Ant-Net, called Ant-Net-CL (Caro & Dorigo, 1998) forward ants travel
from a source to a destination in high priority queues, and backward ants estimate the trip
time (by size of queuing data, links bandwidth and delay), update local traffic statistics, and
determine and deposit the amount of probability to reinforce. Since backward ants
determine the amount of reinforcement using real time statistics, the routing information is
comparatively more accurate and up-to-date.
Another ramification of AntNet (Baran & Sosa, 2000) is characterized by the five following
distinguishing features from AntNet:
1. intelligent initialization of AntNet;
2. intelligent pheromone updates after link or node failures;
3. use of noise to mitigate stagnation;
4. deterministic rather than probabilistic selection of a node;
5. restricting the number of ants inside a network.
The first feature was included to regulate the exploration ants in the initial stage. The
original entries in a routing table consist of a uniform distribution of probabilities which
may not reflect the states of the network. Taking into consideration the a-priori knowledge
of the network, ants in this work are configured to select neighbouring nodes with a higher
initial probability. While AntNet did not consider situations of link failures, this version
suggests that in case of link failures, the corresponding probability of a link that fails will be
set to zero and will be distributed evenly among the remaining neighbouring nodes. The
third feature deals with noise, where some ants select paths uniformly without considering
the effect of pheromone concentration. The fourth feature uses a deterministic approach for
the selection of the next hop. However, this approach may lead to a possible infinite
looping. The fifth feature suggests to fix an upper bound in number of ants inside a
network. Although restricting the number of ants may reduce routing overhead and
possible congestion, it also places a restriction on the frequency of launching ants which
may lead to possible reduction in the adaptiveness of the routing algorithm.
4.3 ASGA (Ant System with Genetic Algorithm) and SynthECA (Synthetic Ecology of
chemical Agents)
Ant system with genetic algorithm (ASGA) was designed to solve problems of point-to-
point, point to multipoint and cycle (multipath) routing in circuit-switched networks (White
et al. 1998). In ASGA explorer ants are used to update pheromone tables. Although similar
to AntNet, explorers travel in a round trip, but unlike backward ants in AntNet, explorers
deposit the same amount of pheromones in their return trips. In addition, evaporation
agents and pheromone heuristic control were used to mitigate stagnation. The genetic

259
algorithm was added to increase the adaptivity of ants. For instance, if the best path is
congested, it increases the likelihood of ants to find an alternative path. However, unlike the
ABC system, ASGA was not designed to solve the load-balancing problem in circuit-
switched networks.
Subsequently, in order to solve this problem, ASGA was generalized to a framework called
Synthetic ecology of chemical agents (SynthECA) (White, 2000). SynthECA was also designed to
solve other problems such as fault location detection in circuit-switched networks. Although
SynthECA was not designed with any specific type of ants, all ants in SynthECA are
characterized with a combination of the following:
emitters;
receptors;
chemistry;
migration decision function;
memory.
Emitters are used to generate different types of chemical pheromone. Pheromones are
represented by strings such as 1100 or 10#1. While each type of pheromone corresponds
to a genotype, each string corresponds to a chromosome in GA. Pheromone is generated by an
emitter decision function (EDF). As in GA, the operations of crossover and mutation are
applied in the EDF to evolve the pheromone types. With various pheromone types and
pheromone reactions, ants can be designed to send and sense more types of signals in their
stigmergic communication.
In order to sense local pheromone changes generated by emitters, a receptor is used. Using
receptor detection function (RDF), a receptor senses different types of pheromone. By
configuring ants with different EDFs and RDFs, more sophisticated pheromone
manipulation techniques such as privileged pheromone laying and pheromone heuristic
control can be realized.
Chemistry is a set of rules (inspired by GA) that specifies pheromone reactions. In SynthECA,
ants use pheromone reactions to send out control information to other ants. In the set of
rules, five types of pheromone reactions are specified as follows:
1. Xnothing: this is similar to evaporation;
2. X+YY: this is applied when two ants are competing for a path and only one ant will
prevail;
3. X+YZ: this rule is used to report the status of network resources (e.g., poor
connection quality);
4. X+YX+Z: this rule, in computational terms, represents a conditional construct. A
pheromone type Y is transformed into another type of pheromone Z in the presence of a
specific type of pheromone X;
5. X+YW+Z: this rule allows two ants X and Y to jointly communicate both inhibitory
(e.g., W) and excitatory (e.g., Z) messages to other ants.
While a migration decision function is a set of rules determining the next hop of an ant,
pheromones (i.e., labels and concentrations) and the state of an ant are stored in the ants
memory.
Using a combination of the above five components, several types of ants such as route finding
agent (RFA), connection monitoring agent (CMA) and fault detection agent (FDA) can be
configured to solve different networking problems. RFAs include explorers, allocators and
deallocators. An explorer is used to find a path from a source to a destination and is
configured with an emitter for a single type of pheromone and three receptors for sensing

260
pheromone, measuring link costs and detecting quality of links. Using a probability
function, an explorer chooses a path taking into account the pheromone and the cost of the
path. Travelling from source to destination, explorer records all the nodes it passed. When it
reaches destination, it returns to via the same path and deposits pheromone along the way,
which may influence the pheromone concentration of other types. Explorers are also
programmed to also take into consideration the quality/reliability of the link. While an
allocator is used to obtain link resources, a deallocator release resources previously acquired
by an allocator.
CMAs are activated if the quality of service changes. A CMA evaluates the quality of a link
using local traffic statistics and it deposits a special type of pheromone (called q-chemical) to
indicate the quality of the associated link. CMAs use q-chemical to indirectly communicate
the quality of links to FDAs while they circulate the network for diagnostics purposes.
4.4 MACO: Multiple Ant Colony Optimization
In MACO (Sim & Sun, 2003), more than one colony of ants are used to search for optimal
paths, and each colony of ants deposits a different type of pheromone represented by a
different colour. Although ants in each colony respond to pheromone from its own colony,
MACO is augmented with a repulsion mechanism preventing ants from different colonies to
choose the same optimal path. In order to establish connections between two gateways, two
groups of mobile agents (e.g., MAG1 and MAG2), acting as routing packets, construct,
manipulate and consult their own routing tables. In MACO, each group of mobile agents
corresponds to a colony of ants, and the routing table of each group corresponds to a
pheromone table of each colony. Even though MAG1 and MAG2 may have their own
routing preferences, they also take into consideration the routing preferences of the other
group. While the routing preferences of ants are recorded in their pheromone tables, the
routing preferences of mobile agents are stored in their routing tables. In constructing its
routing table, MAG1 (respectively, MAG2) consults the routing table of MAG2 (respectively,
MAG1) in order to avoid routing packets to those paths that are highly preferred by the
other group. This increases the chance of distributing data traffic. By adopting the MACO
approach, it may be possible to reduce the likelihood that all mobile agents establish
connections using only the optimal path. The advantage of using MACO is that it is more
likely to establish connections through multiple paths to help balance the load but does not
increase the routing overhead.
5. Applications and new directions
The works surveyed in the previous sections addressed the application of swarm
intelligence and in particular ACO algorithms to solve the routing problem and/or load
balancing in MANETs. However, ACO algorithms have been applied to solve different
kinds of problems in MANETs. Reduction of power consumption is one of these important
issues in ad hoc wireless networks. Mobile nodes are powered by battery and an efficient
utilization of battery energy is very important. When a node exhausts its available energy, it
ceases to work and the lack of mobile nodes can result in network partitioning. In recent
years, some improvement in ACO routing algorithms were proposed in order to reduce the
communication load related to energy spent with communications (De Rango & Tropea,
2009; Zyiadi et al., 2009; Li & Shi, 2009). In (De Rango & Tropea, 2009) has been proposed a
novel routing algorithm able to satisfy multiple metrics for a multi-objective optimization

261
like end-to-end delay, load balancing and energy savings. Innovation factor of this proposal
has been the pheromone updating policy and the joint metric used.
The demand for quality of services (QoS) in MANETs suggested also the development of
QoS routing strategies computing paths that are suitable for different type of traffic
generated by various applications while maximizing the utilizations of network resources.
The main problem to be solved by QoS routing algorithm is the Multi-Constraint Path
problem. Instead of using a shortest path algorithm based on statically configured metrics,
as in traditional routing protocols, the algorithm must select several alternative paths that
are able to satisfy a set of constraints regarding, for instance, end-to-end delay bounds and
bandwidth requirements. Several approaches (Shokrani & Jabbehdari, 2009; Liu et al., 2007;
Liu et al. 2008, Zhang & Li, 2008) have been proposed to address the complexity of multi-
constrained path computation problem using ACO approach.
Another interesting issue in MANETs, in which has been employed the behavioural
principle present in ant colonies, is address management. In ad-hoc networks, address
management is a particularly tough challenge, because of their dynamically changing
topology, and the sort of events that occur in their environment. In (Pachon & Madrid, 2009)
has been proposed a solution to this problem, involving the self-organization and
emergency principles governing the behaviour of ant colonies.
All the works presented in this chapter show how swarm intelligence and in particular the
behaviour of ant colonies have inspired a number of successful methods and techniques to
solve different problems in MANETs. However, the potential of this distributed intelligent
technique is more clear when applied to other dynamic network scenarios. In (De Rango et
al., 2008), for example, has been showed how minimum hop count and load balancing
metrics based on ant behaviour over a HAPs mesh can lead to a better management of the
system resources and an increase in the number of calls admitted by the system. This is only
one example of the wide range of applications covered by swarm intelligence techniques
which underlines the importance of this approach in communication networks.
6. References
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Hoc Networks, Proceedings of the Conference on Modeling and Optimization in Mobile,
Ad Hoc and Wireless Networks (WiOpt '03), Sophia-Antipolis, France, (March 2003)
Bonabeau, E.; Dorigo, M. & Theraulaz, G. (1999). Swarm Intelligence. From Natural to Artificial
Systems, Oxford University Press, 0-19-513159-2, Oxford
Bonabeau, E.; Dorigo, M. & Theraulaz, G. (2000). Inspiration for optimization from social
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Buruhanudeen, S.; Othman, M., Othman, M. & Mohd Ali, B. (2007). Existing MANET
routing protocols and metrics used towards the efficiency and reliability - an
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12
Impact of the Mobility Model on a Cooperative
Caching Scheme for Mobile Ad Hoc Networks
F.J. Gonzalez-Caete and E. Casilari
University of Malaga
Spain
1. Introduction
In the last few years more and more mobile devices have been developed and they are now
part of our lives. Cellular phones, PDAs and laptops are daily used in mobile environments
such as airports or train stations. For many applications these terminals require access to
data networks or the Internet. In order to share information among them the mobile nodes
have to cooperate to forward and route the traffic from one node to another forming the so-
called Mobile Ad Hoc Networks (MANETs). Due to the mobility of the nodes the mobile
nodes can enter or leave the coverage area of other nodes forcing to recalculate the routes in
order to make possible the packet forwarding. In addition, wireless networks have a more
limited bandwidth and a greater error probability than the wired medium, since the radio
medium is shared and prone to interferences and packet collisions. Moreover, the mobile
devices have to be portable and hence the processing and battery capabilities also have
important restrictions.
Due to the limitations of the MANETs and the mobile devices, some caching mechanisms
can be implemented in order to reduce the traffic in the network. Reducing the traffic along
the network, and hence the number of forwarded packets, also reduces the battery
consumption.
Let us suppose a MANET with conectivity to an external network such as the Internet as
depicted in Figure 1. The mobile nodes cooperate to route packets to the Access Routers that
provide access to the external networks. As all the traffic in the MANET is routed to the
Access Routers these devices can turn into a bottleneck. In addition, the Access Routers can
become temporally inaccessible because they can be out of the coverage area of any mobile
node in the network because of the nodes mobility. This situation causes temporal
disconnections to the external networks. The caching mechanisms reduce the impact of the
temporal disconnection to the Access Routers as the mobile nodes can cooperate to serve the
documents they have previously cached to the rest of the nodes. On the other hand, since
the mobile nodes also have the capability of serving information the bottleneck produced in
the Access Routers is reduced as the traffic does not reaches them.
As the mobility model influences the behaviour of the nodes in the MANET and the
cooperative caching mechanisms depend on the connectivity among the mobile nodes this
paper evaluates and compares the performance of a caching scheme under different
mobility models. Consequently, in this paper we propose a cooperative caching mechanism
and evaluate its performance using two different mobility models.

266
The rest of this paper is organized as follows. Section 2 comments the related work about
the mobility models and the caching architectures. Section 3 describes the caching
architecture evaluated in this paper. Section 4 illustrates the simulation model. Section 5
describes the performance evaluation of the proposed caching scheme using two different
mobility patterns. Finally, Section 6 outlines the main conclusions of this work and proposes
future research directions in this topic.

Fig. 1. MANET with Internet conectivity
2. Related work
In order to reproduce the mobility behaviour of mobile nodes in an ad hoc wireless network
some mobility models have been proposed in the last few years. These mobility models can
be categorized into three groups:
Unrestricted random models: the next mobile node destination waypoint is decided
randomly according to some heuristics depending on the mobility model. The most
used models are: the RWP (Random Way Point) (Broch et al., 1998) mobility model
simply selects a random destination in the simulation area; the RD (Random Direction)
(Royer et al., 2001) mobility model selects a direction that is followed by the node until
the simulation boundary area is reached and then another direction is selected; the
Markovian Way Point (MWP) (Hyytia et al., 2006a) and Gauss-Markov (GM) (Liang et
al., 1999) mobility models select the next destination using Markovian probabilities
among waypoints.
Geographic-based models: the next mobile node destination is decided according to
some geographical constraint. In this category we can mention: the Obstacle Model
(OM) (Jardosh et al., 2003) which defines a set of obstacles in the simulation area that
must be avoided; the FreeWay and ManhattanGrid (Bai et al., 2003) mobility models
limit the nodes mobility to predefined ways within the simulation area.
Group mobility models: the nodes mobility tries to imitate typical human collective
movements. The RPGM (Reference Point Group Mobility) (Hong et al., 1999) includes
the possibility of having dynamic groups of mobile nodes with a leader that decides the
next target that the entire group must reach. The DartMouth model (Kim et al., 2006)
Impact of the Mobility Model on a Cooperative Caching Scheme for Mobile Ad Hoc Networks

267
chooses the destination of the node movements according to real data sets of human
behaviour in a simulation area; the Clustered Mobility Model (CMM) (Lim et al., 2006)
divides the simulation area into clusters so that the mobile nodes are assigned to the
clusters. The nodes move or not between clusters depending on the number of the
mobile nodes in the clusters; ORBIT (Ghosh et al., 2007) randomly defines a set of
clusters and the mobile nodes are assigned to some of them moving only between the
assigned clusters; SLAW (Self-similar Least Action Walk) (Lee et al., 2009) mobility
model represents social contexts present among people sharing common interests using
fractal waypoints and heavy-tail flights on top of the waypoints.
As it can be observed, each mobility model tries to reproduce some mobile characteristics
although none of them is able to be general enough to be considered the most reliable
mobility model under any circumstances. Specifically, mobility models such as Freeway and
Manhattan Grid are suitable for vehicular networks since ORBIT or SLAW are adapted for
human mobility.
On the other hand, some cooperative caching architectures have been proposed in order to
reduce the traffic among the mobile nodes in a wireless network and hence the power
consumption. The caching procedures aim to reduce the number of requests sent to the
network as some of them can be resolved by the caches implemented in the mobile nodes.
Moreover, the cooperation among mobile nodes using caching techniques also reduces the
traffic in the data servers or the routers to external networks because the requests are replied
on its way to the servers.
The cooperative caching strategies can be divided into four categories:
Broadcast-based: the mobile nodes broadcast the requests in order to find a mobile node
to reply with the requested document. The data server is a static node and hence it can
also reply to the request.
Information-based: the mobile nodes interchange or store information about where the
documents are located in the network.
Role-based: Each mobile node has a function in the network which can be organised in
clusters. Depending on the architecture some mobile nodes are selected as information
coordinators, clients, etc.
Directed requests: The requests are directly sent to the server and it is expected to be
replied in their way.
MOBEYE (Dodero & Gianuzzi, 2006) is a broadcast based caching scheme that proposes
implementing a cache with the LRU (Least Recently Used) replacement policy into each
mobile node. When a mobile node needs a document (and it does not have a valid copy in
its local cache) it broadcasts a request message. If a mobile node receives the request
message and it has a valid copy in its local cache, the mobile node replies using an ack
(acknowledge) message to the requester. Finally the document is requested to the first
mobile node that acknowledges the request.
SimpleSearch (Lim et al., 2006) is another broadcast based caching scheme very similar to
MOBEYE. If a mobile node needs a document that is not stored in its local cache, a broadcast
request message is sent a limited number of hops away. When a mobile node with a
document copy is found it replies with an ack message that stores the path between the node
with the document and the requester. Finally, a confirm message is sent by the requester to
the node with the document following the inverse path. Three replacement policies were
proposed to use with this scheme:

268
TDS_D (Time and Distance Sensitive Distance) The first criteria to evict documents
from the local cache is the distance in hops to the server node. Thus, nearest copies are
evicted first.
TDS_T (Time and Distance Sensitive Time) The documents with the highest time
from the last access are evicted first.
TDS_N Distance and frequency are pondered in order to choose a document to be
removed.
SimpleSearch also defines an admission control that avoids to store in the local cache those
documents that are served from less than a certain number of hops away from the requester.
In that way very popular documents are avoided to be stored in all the caches.
DGA (Distributed Greedy Algorithm) (Tang et al., 2008) is an information based scheme that
implements for all the network nodes a table informing about the location of the documents
in the network. The nodes store which is the closest and the second closest node where the
documents are stored. In addition the mobile nodes send AddCache and DeleteCache
broadcast messages in order to inform the rest of the nodes about the insertion and deletion
of documents in the local cache so that they can update their information tables. When a
mobile node requests a document it first checks if there is a valid copy in its local cache. If
not, it checks if the corresponding table includes the possible document locations. If so, the
document is requested to the node stored in the table. If this fails, the document is requested
to the data server.
Similarly to DGA the GroupCaching scheme (Ting & Chang, 2007) proposes the mobile
nodes to implement a local cache and a group table that stores information about the
documents stored in the nodes located only one hop away. Every second the nodes send
information to their neighbours informing about its local cache changes in order to maintain
the group table updated. On the other hand Hello messages are used to know if a node
leaves the group.
COACS (Cooperative and Adaptive Caching System) (Artail et al., 2007) is a role-based
scheme that obliges the mobile nodes to adopt one of two roles: QD nodes caches the
requests and the CN nodes caches the documents. The QD nodes maintain a distributed
table about where the documents are located. In that way, if a QD node receives a request
and it does not know where to find the document, the request is forwarded to the closest
QD. The documents are stored in the CN only if they are served by the data server. In that
case, the CN informs the nearest QD about this fact.
Another role based schema was proposed in (Denko, 2007), where the mobile nodes create
clusters with a cluster head node (CH) (responsible of the communication among clusters), a
data source node (DS) (that stores the data about where the documents are located), caching
agents (CA) (that implements a local cache) and mobile hosts (MH). When a node needs a
document it is requested to its neighbours, to the CA, the DS and the CH respectively. If the
document is not found in any of them it is requested to another cluster using the CH.
The above mentioned cooperative caching schemes have been evaluated to measure their
performance using only the Random Waypoint mobility model. As the employed mobility
model influences the behaviour of the nodes in the MANET and hence their connectivity we
consider necessary to evaluate the caching schemes not only using a unique mobility model,
but also using at least one more model in order to compare the obtained performance
results.

269
3. Caching scheme proposed
The caching scheme proposed follows the same request-reply model mentioned in the
related work. There is one or more static data server in the MANET that stores the universe
of documents and the rest of the devices are mobile nodes that periodically request
documents to the data servers. When a node requests a document it waits for the reply a
certain amount of time. If the document is not received during this time the node will
request it again.
3.1 Local caching
Firstly, all the mobile nodes implement a local cache that stores the received documents.
Therefore, if the mobile node have to request a document it first searches in its local cache
for a valid copy of the document. If the document is found the request is avoided and hence
there is no traffic generated in the network and the server load is also diminished.
The local cache has some parameters that have to be taken into account: the replacement
policy, the cache size and the documents expiration.
The replacement policy defines which documents have to be evicted of the local cache in
order to make room for a new one. The replacement policy objective is to select for eviction
those documents that have the least probability to be requested again in the near future.
Unfortunately this is not trivial because it depends on the traffic characteristics. As the
traffic in real MANETs is not as well known and studied as the Internet traffic only a few
replacement policies have been proposed such as the classic LRU; TDS_D, TDS_T and
TDS_N proposed for SimpleSearch; and SXO (Size x Order) proposed in (Yin & Cao, 2006).
We adopt the LRU replacement policy because of its simplicity.
The cache size is another important parameter that has to be considered because the bigger
the cache is, more documents it will store and the probability to find a previously requested
document increases. Due to the fact that the mobile devices may have some restricted
storage capabilities the cache sizes of actual equipment will not be too large.
Finally, all the documents in the network have an associated expiration time or TTL (Time
To Live) that defines when the information contained in the document is considered
obsolete and hence the document has to be requested again if needed. On the other hand,
the obsolete documents stored in the local cache can be deleted because they are not valid.
3.2 Interception caching
The functionalities of the mobile nodes can be expanded if they are enabled to perform as a
proxy for the other nodes. Since the mobile nodes have to forward the requests to the data
servers, they can also check the requested document and search for a valid copy in its local
cache. If found, the mobile node replies with the document to the requester node instead of
forwarding the message to the server. Using this capability the latency perceived by the user
is reduced because the document is served by a closer node in the route to the server.
Similarly, the network traffic and server load are also decreased because the request is
replied before it reaches the data server.
This operation is illustrated in Figure 1. In the ad hoc network snapshot shown in the figure,
DS represents the data server (or a node that accesses to an external network which
provides the documents), nodes 1, 2, 3, 4, 5 and 6 are mobile nodes and the lines between
them symbolise the existing routes. In this situation if node 2 requests the document A to DS
the request will pass through node 1 and will reach DS that will reply to node 2 through

270
node 1. As the document A is received in node 2 it will be cached. If now node 3 requests the
same document A, the request will reach node 2 that will search for the document A in its
local cache. As it has a valid copy of A, node 2 will reply to node 3 with document A and
will not forward the request to the DS. Using the request interception the number of hops
and messages has been reduced from 6 (3-2-1-DS-1-2-3) in the case of no interception to 2 (3-
2-3). As the number of hops is reduced the latency perceived by node 3 is also reduced. In
addition, the server load is also reduced as the request does not reach the DS. This obviously
is achieved at the cost of a higher processing load in the MANET nodes, as they are obliged
to analyse all the document requests passing thorough them.

Fig. 1. Example of ad hoc network
3.3 Redirection caching
As the mobile nodes in the MANET have to forward requests and replies from other nodes
and the data servers, they can use this information to learn where and how far (in number of
hops) the documents are stored in the MANET. Using the information collected from the
traffic the forwarding mobile nodes can redirect the requests to other node that is known to
have the requested document and that is located closer than the original destination of the
request.
Let us suppose that node 3 in Figure 1 requests the document A to DS. The request will pass
through nodes 2 and 1 to DS and they will annotate that node 3 has requested document A
and it will be available there in the near future at one and two hops away respectively.
When DS replies with the document A to node 3 through nodes 1 and 2 they annotate the
documents Time To Live (TTL) in order to know the expiration time. Nodes 1 and 2 do not
store information about the reply because the document was served by the DS. If node 4
then requests the document A to DS the request will reach node 2, which will realize that DS
is located two hops away and node 3 is one hop away and both have a copy of the
document A. As node 3 is nearer than DS, node 2 will redirect the request to node 3 instead
of forwarding it to DS. When node 3 receives the request it replies to node 4 with the copy of
the document A stored in its local cache. Using the redirection feature the number of hops
and messages have been reduced from 6 (4-2-1-DS-1-2-4), in the case of no redirection, to 4
(4-2-3-2-4). As the number of hops is reduced the latency perceived by node 4 is also
reduced. The server load is also reduced as the request is served by node 3.
In the previous example the information stored was relative to the requester because the
first reply was performed by the data server. Let us suppose that node 6 requests the
document B to DS and node 2 has a copy of B in its local cache. The request will pass

271
through nodes 5, 4 and 2, which will annotate that node 6 will probably store the document
B in its local cache in the local cache. As node 2 receives the request it will reply to node 6
intercepting the request. The reply will pass through nodes 4 and 5 to node 6 that will
annotate that the document B is stored in node 2 and they will also update the TTL
information of the request. Under this situation if node 4 requests the document B it will
realize that DS, node 2 and node 6 are located 3, 1 and 2 hops away respectively and hence
node 4 will request the document directly to node 2, which is the closer node that is known
to have a valid copy of the document B.
We have to remark that if the TTL of the information about the document location is not set,
the redirection is not allowed. This constraint prevents from redirecting a request to a node
that has not received a certain requested document as the TTL is obtained from the reply
and not from the request.
Unfortunately, although the TTL assigned to the redirection information prevents from
redirecting requests to nodes that have an obsolete copy of the document, this mechanism
does not avoid the requests redirection to a node that has evicted the document because of
the replacement policy. To cope with this situation we propose that the node that receives a
redirected request and it has not a valid copy of the document in its local cache sends a
special error message to the requester in order to send the request again. This message will
pass through the redirecting node that will update the information about the incorrect
redirection.
Let us suppose that after the situation described previously in the Figure 1, node 6 deletes
the document B from its local cache and then node 5 requests the document B. Node 5 has
stored that nodes 6 and 2 have the document B and they are located at 2 and 1 hops away
respectively. As node 6 is closer the request will be redirected to node 6. When node 6
receives the request it realises that there is not a valid copy of the document B in its local
cache and replies with a redirection error message to node 5 that deletes the information
about the location of the document B in node 6. Then node 5 will proceed to request the
document to the node 2. The redirection errors generate more traffic in the network as well
as the latency perceived by the requester node because the number of hops also increases.
Aiming at reducing the number of redirection errors produced by the eviction of documents
in the local caches we propose to set as validity time for the redirection information the
minimum between the document TTL and the mean time the documents are stored in the
local cache. This value is easily calculated by each node considering the amount of time
since the document has been stored and the instant in which it is evicted from the local
cache.
Figure 2 lists the pseudo-code for the redirection mechanism.
4. Simulation model
We have evaluated by means of simulations the performance of the caching scheme
described in the previous section. In order to evaluate the mobility model influences we
compare the performance results obtained using the Random Waypoint and the Manhattan
Grid mobility models. The simulations are based on the network simulator NS-2.33 which is
a popular simulator for the researchers on ad hoc networking (Kurkowski et al., 2005). The
BonnMotion (Aschenbruck et al., 2010) and the setdest mobility generators were used to
create the mobility scenarios for the Manhattan Grid and Random Waypoint models
respectively.

272

Fig. 2. Pseudo-code for the redirection caching mechanism
Table 1 summarises the main simulation parameters. We will assume a default scenario with
50 mobile nodes distributed in a square area of 1000x1000 meters. The scenarios with 25, 75
and 100 mobile nodes have also been evaluated in order to study the influence of the density
of nodes in the network. There are two fixed servers (DS) located at the coordinates
(x,y)=(0,500) and (x,y)=(1000,500) respectively. There are 1000 documents (identified by a
number) with a size of 1000 bytes equally distributed between the two servers. Thus,
documents with an odd identification number will be stored in one server and the
documents with an even identification number will be stored in the other server. All the
documents have an associated TTL modeled as an exponential distribution with mean of
2000 seconds. Additionally, we have also tested a mean TTL time of 250, 500, 1000 and
infinite (the documents do not expire) in order to study the influence of the document
expiration time.
The mobile nodes request documents to the servers following a Zipf-like traffic pattern
distribution with a default slope of 0.8 although the 0.4, 0.6 and 1.0 slopes have also been
tested aiming at studying the influence of the Zipf slope in the caching scheme proposed.
The Zipf-like distribution has been chosen as a traffic pattern because it has been
demonstrated to properly characterize the popularity of the Web documents in the Internet
(Adamic & Huberman, 2002). The Zipf law asserts that the probability P(i) for the i-th most
popular document to be requested is inversely proportional to its popularity ranking as
shown in the Equation 1.
P(i) = /i
with close to 1 (1)

for each message (msg) to be sent or forwarded

msg.method Request (GET) or response (RESP)
msg.id Document identification
msg.hops Number of hops from the source node
msg.TTL Documents TTL

switch (msg.method)
case GET:
redirectNode = lookRedirectionCache(msg.id)
if (exists(redirectNode) and distanceHops(redirectNode) < distanceHops(server(msg.id))
redirectMessageTo (redirectNode)
else
forwardMessage

savePassingByInformation(GET, msg.id, msg.hops)
break
case RESP:
updateTTL(msg.id, msg.TTL)

if (msg does not come from a server)
savePassingByInformation(RESP, msg.id, msg.hops, msg.TTL)

break
end

273
Parameter Default Tested values
Simulation area (meters) 1000x1000
Nodes 50 25-50-75-100
Servers 2
Documents 1000
Document size (bytes) 1000
Timeout (s) 3
TTL (s) 2000 250-500-1000-2000-
Mean time between requests (s) 25 5-10-25-50
Traffic pattern (Zipf slope) 0.8 0.4-0.6-0.8-1.0
Replacement policy LRU
Cache size (number of
documents)
35 5-10-35-50
Simulation time (s) 20000
Warm-up time (s) 4000
MAC protocol 802.11 b
Radio propagation model Two Ray Ground
Coverage radio (meters) 250
Ad hoc routing protocol AODV
Random
WayPoint
Min. and max. speed:
1m/s
Pause time: 0s
Min. and max. speed: 1-3-5
m/s
Pause time: 0s
Mobility
pattern
ManhattanGrid
Min. and max. speed:
1m/s
Pause time: 0s
8 blocks
Min. and max. speed: 1-3-5
m/s
Pause time: 0s
6, 8 and 10 blocks
Table 1. Simulation parameters
The parameter is the slope of the log/log representation of the number of references to the
documents as a function of its popularity rank (i) while is the displacement of the function.
Each time a mobile node requests a document it will wait for a timeout to receive the reply.
If the document is not received during this time it will be requested again. Once the
requested document has been received the node will wait during a certain amount of time
modelled by an exponential distribution with a mean of 25 seconds before proceeding to a
new request. Waiting times of 5, 10 and 50 seconds have also been tested. Using this wide
range of mean time between requests we can explore the influence request looad.
The LRU replacement policy has been chosen for the caches with a default storage space of
35 documents. Cache sizes with a capacity of 5, 10, and 50 documents have also been
simulated aiming at testing the influence of the cache size.
The simulation time has been set to 20000 seconds. 20% of this time (4000 seconds) has been
used to warm-up the caches and avoid cold start influences. Consequently the statistics
collected from the simulations are those corresponding to the time after the warm-up.
The 802.1b MAC protocol with the Two Ray Ground propagation model and a coverage
radio of 250 meters were used. The popular AODV (Perkins et al., 2003) (Ad hoc On
Demand Vector) protocol was selected as the MANET routing protocol.

274
The default speed of the nodes is 1 m/s. No pause time is considered between consecutive
movements. Speeds of 2 and 5 m/s have also been tested in order to study the speed
influence in the caching mechanism.
For the Manhattan Grid mobility model 8x8 blocks have been chosen as a default scenario.
In addition, scenarios with 4x4, 6x6 and 10x10 blocks have been also simulated since these
scenarios will allow us to evaluate the influence of the connectivity. Figure 3 illustrates the
scenario with the Manhattan Grid mobility model with 8x8 blocks. The mobile nodes
(represented by small circles) move along the grid using the lanes defined by the blocks. The
two servers A and B (represented as big circles in the figure) are located in the middle of the
left and right sides of the scenario.

Fig. 3. Example scenario using the Manhattan Grid with 8x8 blocks
5. Performance evaluation
The goal is to evaluate the performance of a MANET with the proposed caching scheme
taking into consideration the speed and density of nodes, the traffic load (mean time
between requests), the mean document expiration time (TTL), the traffic pattern (Zipf slope)
and the cache size. For all these analysis, the network performance is studied using both the
Random Way Point and the Manhattan Grid mobility models.
For the study of the influence of the density and speed of the nodes every simulation
scenario has been executed five times using the same TTL for each document, mean time
between requests and request distribution but using a different starting point within the
simulation area and a different mobility pattern for each mobile node. The simulation of the
rest of scenarios have been executed five times using the same TTL for each document, time
between requests and mobility pattern for each node but using a different request
distribution. The performance evaluation presented is the mean of the results obtained for
the five simulations. Again, the presented results are the mean of the measurements
obtained for the five simulations.
As performance metrics we use the following measurements:
Traffic The amount of traffic that each mobile node in the network has to process
because the node generates the packets or because the packets have to be forwarded.
This measurement includes not only the traffic corresponding to document requests
and replies but also the overhead introduced by the routing protocol.
Server B
Server A
(0,0)
(1000,1000)

275
Hops Defined as the number of nodes that a document has to traverse to be served. It
includes the request from the requester to the node that serves the document and back
again to the requester node.
Delay - Defined as the time elapsed between a document request and the reception of
the corresponding reply.
Percentage of timeouts - Defined as the proportion of requests that must be
retransmitted again because the reply does not reach the destination before the timeout
is reached.
Local hit ratio It is the ratio between the number of documents served by the local
cache and the total number of documents requested by each node. The higher the local
cache hit ratio, the lower the traffic injected in the network is.
Remote hit ratio It is the ratio between the number of documents served by a node
that is not a server (because of an interception or a redirection) and the total number of
documents requested by each node. As the remote hit ratio increases, the server load
decreases because more requests are served by the mobile nodes instead of the servers.
5.1 Effect of the network load
Figure 4 represents the mean traffic processed by the nodes (a), the mean delay (b), the mean
number of hops (c), the percentage of timeouts (d) and the cache hits (e) as a function of the
mean time between requests.
Figure 4.a shows that the traffic generated in the scenario using RWP is greater than that
using MG. This is caused by the AODV broadcast messages employed to create the routes
between the mobile nodes (Saad & Zukarnain, 2009). As the RWP mobility model tends to
concentrate the mobile nodes in the centre of the simulation area (Hyytia et al. 2006b), more
nodes receive the broadcasted RREQ (Route Request) messages.
In Figure 4.b we can observe that as the periodicity of document requests increases, the
delay is also augmented. As the time between requests increases, the number of documents
expired in the nodes local caches is also increased and the documents in the local caches are
less updated. This can be observed in Figure 4.e where the cache hits decreases as the
network load decreases. Therefore, the reduction of the cache hits increases the delay as less
requests are served by the local or remote caches. On the other hand, the delay perceived by
the RWP (Random Way Point) mobility model is slightly smaller than the Manhattan Grid
using 6x6 (MG6) and 8x8 (MG8) blocks but greater than the 10x10 (MG10) blocks. This
behaviour is due to the fact that the connectivity is improved as the number of blocks
increases because the nodes can communicate with more nodes located at adjacent lanes as
long as the distance between lanes is shorter.
In addition, the route TTL configured in AODV is ten seconds and hence the network with a
mean time between requests less or equal to this time will take advantage of the already
created routes while greater time between requests will have to create the routes again.
However, Figure 4.c shows that under RWP nodes need less hops to obtain the documents
than under MG although the difference declines as the number of blocks increases. This can
be explained as before, the probability to find a shorter route with RWP is higher because
the nodes move freely along the simulation area so that they are not restricted to move
along the lanes defined by the blocks. Finally, Figure 4.d shows that the number of timeouts
is diminished as the network traffic decreases (the mean time between requests increases)
until 25 seconds between requests but for 50 seconds between requests the number of

276

(a) (b)

(c) (d)

(e)
Fig. 4. Mean traffic (a), mean delay (b), mean hops (c), percentage of timeouts (d) and cache
hits (e) as a function of the mean time between requests

277
timeouts is increased. This can be explained similarly as in the case of the delay. Obviously,
when the document TTL expires, the effectiveness of the local and remote caching
mechanisms decreases and hence the probability to have to request the documents to the
data servers increases. As the data servers could remain unavailable due to the nodes
mobility the probability of timeouts is also increased.
5.2 Effects of the TTL
Figure 5 shows the mean traffic (a), the mean delay (b), the mean number of hops (c), the
percentage of timeouts (d) and the percentage of cache hit (e) as a function of the mean
documents TTL.
The TTL defines the time that the documents are stored in the local caches. We have tested
the situations from a low mean TTL (the documents expire after a short interval and they are
deleted from the caches very soon) to an infinite TTL (the documents never expire). As the
TTL increases the percentage of cache hits is also increased from about 10% to 35% as shown
in Figure 5.e and then more requests are served by the local caches. This fact causes the
progressive reduction of the traffic generated in the network (Figure 5.a), the delay
perceived by the nodes (Figure 5.b), the mean number of hops (Figure 5.c) and the
percentage of timeouts (Figure 5.d).
Figure 5.a shows that the traffic generated under RWP mobility model is also greater than
with MG as in the studies presented in section 5.1.
Finally the figures show a similar behaviour as the presented in section 5.1, the mean delay
and the mean number of timeouts is higher using MG6 and MG8 than RWP while MG10
obtains the lowest delay values. However, the RWP obtains a better performance in terms of
the number of hops as it is able to find shorter routes.
5.3 Effects of the traffic pattern
percentage of timeouts (d) and the percentage of cache hit (e) as a function of the Zipf
parameter .
As the Zipf parameter is closer to one the probability to request again a popular document is
higher. This fact drastically enhances the number of local hits as shown in Figure 6.e where
the local hit ratio evolves from about 3% to 30% for equal to 0.4 and 1.0 respectively.
The remote hit ratio is also slightly increased as the parameter is closer to 1.0. The higher
cache hits obtained as is increased causes the reduction of the generated traffic (Figure 6.a),
the delay perceived by the nodes (Figure 6.b), the number of hops needed to obtain the
documents (Figure 6.c) and the number of timeouts (Figure 6.d).
The mobility models follow the same behaviour as the previous studies. Under RWP, the
network performance obtains intermediate results between MG6, MG8 and the best results
obtained by MG10 for the mean delay and mean percentage of timeouts. On the other hand
RWP mobility generates more traffic than MG although it requires a lower number of hops
to obtain the documents.
5.4 Effects of the cache size
Figure 7 depicts the mean traffic (a), the mean delay (b), the mean number of hops (c), the
percentage of timeouts (d) and the percentage of cache hit (e) as a function of cache size.

278

(a) (b)

(c) (d)

(e)
Fig. 5. Mean traffic (a), mean delay (b), mean hops (c), percentage of timeouts (d) and cache
hits (e) as a function of the mean documents TTL

279

(a) (b)

(c) (d)

(e)
Fig. 6. Mean traffic (a), delay (b) and hops (c), percentage of timeouts (d) and cache hits (e)
as a function of the Zipf slope

280
The cache size determines the number of documents that fit in the local cache. As more
documents are stored in the nodes local cache the probability of a local or remote cache is
increased as shown in Figure 7.e. In this figure we can observe that the cache hit ratio
increases from about 18% for the smaller cache (10 documents) to about 36% for the larger
cache (50 documents). As the hit ratio increases the amount of documents that have to be
requested to the servers is decreased and the number of requests served for the mobile
nodes is increased. As a consequence the traffic in the network is reduced (Figure 7.a) as
well as the mean delay (Figure 7.b), the mean number of hops (Figure 7.c) and the mean
number of timeouts (Figure 7.d).
The RWP mobility generates more traffic than MG for all the cache sizes although it obtains
the better performance if we consider the mean number of hops. For the rest of the metrics
(delay and percentage of timeouts) the RWP mobility model achieves a better performance
than MG6 and MG8 but worse than MG10.
5.5 Effects of the density of nodes
Figure 8 illustrates the mean traffic (a), the mean delay (b), the mean number of hops (c), the
percentage of timeouts (d) and the percentage of cache hit (e) as a function of the number of
mobile nodes in the network.
As the node density increases the probability to find a route between the requester node and
the server is also increased. So, the mean percentage of timeouts is reduced drastically (from
80~90% to 25%) as shown in Figure 8.d. For the lowest tested density of nodes (25 nodes) the
RWP performs better than the MG because it obtains a better cache hit ratio (Figure 8.e). For
node density greater than 25 nodes the difference in percentage of timeouts between the
mobility models is reduced and all the scenarios obtain similar results for a network with
100 nodes.
Similarly, RWP obtains a lower mean delay than MG for low density networks as depicted
in Figure 8.b. while for higher densities the mean delays are very similar. This fact is
produced by the higher cache hit obtained by RWP. On the other hand, the RWP mobility
model, as in the previous studies, obtains a lower mean number of hops (Figure 8.c) at the
cost of injecting more traffic in the network (Figure 8.a).
5.6 Effects of the nodes speed
percentage of timeouts (d) and the percentage of cache hit (e) as a function of the nodes
speed.
Figure 9.e shows that the cache performance does not depend on the nodes speed as the
performance results are the same for the considered values of the speed.
As the nodes velocity increases the routes created between them are broken more
frequently. Thus, the routes to the servers have to be created again. Consequently, the
perceived delay augments as the nodes speed increases as shown in Figure 9.b. Due to the
same reason, the percentage of timeouts is also increased as the nodes speed increases
(Figure 9.d). On the other hand, RWP needs less hops to obtain the documents than MG
as showed in the previous sections (Figure 9.c) while the required traffic is higher (Figure
9.a).

281

(a) (b)

(c) (d)

(e)
Fig. 7. Mean traffic, delay and hops, percentage of timeouts and cache hits as a function of
the cache size

282

(a) (b)

(c) (d)

(e)
as a function of the number of nodes

283

(a) (b)

(c) (d)

(e)
as a function of the nodes speed

284
6. Conclusions
In this paper we have presented a caching scheme for Mobile Ad Hoc Networks that
implements a local cache in each mobile node of the network. The mobile nodes have the
capability of intercepting and responding the requests that they have to forward to the data
server if they find a copy of the requested document in its local cache. On the other hand,
the mobile nodes also implement a cache of document location in order to redirect the
received requests to another mobile node that is known to be closer than the original
destination of the request. This redirection cache is filled using the information obtained
from the requests and replies that the nodes have to forward.
We have evaluated the performance of the proposed caching scheme through simulations
using the mean generated traffic, the delay, the number of hops, the percentage of timeouts
and the percentage of cache hits as performance metrics. We have compared the proposed
caching scheme using the popular Random Way Point and the Manhattan Grid mobility
models. The Manhattan Grid model has been evaluated using different topographical
configurations (6x6, 8x8 and 10x10 blocks). In addition, we have evaluated the effect of
several factors such as the mean time between requests, the documents TTL, the request
pattern (Zipf slope), the cache size, the nodes density and the nodes speed.
As main conclusions we can assert that the traffic generated using the RWP mobility model
is greater than the traffic generated by the MG for all the parameters evaluated. Similarly the
mean number of hops used by RWP is lower than that used by MG for all the performed
simulations. If we consider the mean delay, the RWP mobility model performs better than
MG when the distance between parallel lanes reduce the node connectivity (6x6 and 8x8
blocks) but worse than MG with a higher proximity of the lanes (10x10 blocks). The same
results are obtained if the mean percentage of timeouts is taken into consideration. The
cache performance is similar for all the studied parameters except for a low nodes density
where the network using the RWP mobility model obtains a better performance.
As the mobility model defines how the mobile nodes behaves in the network and the
cooperating caching schemes depends on the behaviour of the mobile nodes, we can
conclude that the mobility model used to evaluate a caching scheme clearly influences the
obtained performance results of the network.
As a future research direction we suggest to evaluate the proposed caching scheme using
more mobility models as those presented in section 2. On the other hand, the presented
caching scheme has to be compared with other caching schemes in order to evaluate its
effectiveness.
7. Acknowledgement
We would like to thank Adela Isabel Fernndez Anta for revising the syntax and grammar of
this paper. This work was partially supported by the public Project TEC2009-13763-C02-01.
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Part 3
Applications of Ad Hoc Networks
13
Ad Hoc Networks for
Cooperative Mobile Positioning
Francescantonio Della Rosa
1
, Helena Leppkoski
1
, Ata-ul Ghalib
1
,
Leyla Ghazanfari
1
, Oscar Garcia
1
, Simone Frattasi
2
and Jari Nurmi
1

1
Tampere University of Technology (TUT), Finland.

2
Aalborg University (AAU),
Denmark
1. Introduction
Wireless ad-hoc networks have received huge attention during recent years due to the
potential applications in different fields such as emergency, disaster relief, battle-fields,
automotive, social networks and entertainment. They are rapidly deployable, self-
organizing, and require no fixed infrastructure for communications. (Huang et al., 2008)
At the same time, localization in wireless networks is becoming a hot topic for society,
industry and research. The needs of location information has driven companies to build
mobile handsets with embedded GPS receivers (which is nowadays the most popular mass
market solution for positioning), causing huge increase in costs, size, battery consumption,
and a long time for a full market penetration (Sayed et al., 2005). However, it is also known
that the GPS is not always the most suitable solution for localization. In adverse
environments, such as outdoor urban canyons and indoor, it is not an easy task to obtain
location information, due to the signal blocking, multipath conditions and the infeasibility to
have a continuous tracking of at least four satellites (Mayorga et al., 2007).
The Fourth generation (4G) communication systems also stimulate the need of providing
alternative ubiquitous localization solutions, regardless the environment (i.e., outdoors and
indoors), which should overcome, or at least complement, the drawbacks of GPS-based and
GPS-free systems (Della Rosa, 2007). Traditional alternative technologies make use of time
difference of arrival (TDOA) measurements from the serving cellular system where the Base
Stations (BSs) are considered as fixed reference points (Sayed et al., 2005).
Different type of measurements, such as received signal strength (RSS), are widely used in
local area scenarios, where Wi-Fi Hot Spots deployed in big cities allow user terminals to
predict their locations by means of known fixed positions (Sayed et al., 2005).
Unfortunately, when localization is performed in indoor environments the accuracy is
highly dependent on the wireless channel conditions since several error sources cause huge
signal fluctuations detected at terminal level, severely decreasing the final location
estimation accuracy (Della Rosa et al., 2010).
Recently, in alternative to traditional methods, a new branch of positioning techniques has
been developed: the Cooperative Mobile Positioning (Figueiras & Frattasi, 2010), which makes
use of hybrid schemes and exploits the benefits in terms of accuracy of short-range
measurements provided by the ad-hoc networks (Della Rosa, 2007).

290
In this chapter we will explain the basics of Cooperative Mobile Positioning and
demonstrate the applicability of the technique in real cases, demonstrating that the
exploitation of the most reliable RSS measurements detected in the ad-hoc links represent a
valid and complementary approach to traditional non-cooperative methods, and that the
hybrid network model adopted is the most natural environment in which cooperation among
terminals is established and best exploited without additional hardware components
(Figueiras & Frattasi, 2010) (Della Rosa et al., 2010).
2. Mobile positioning

(a) Outdoor Scenario (b) Indoor Scenario
Fig. 1. Conventional Positioning
Several different radio navigation methods, based on different measurements and operation
principles, have been used in practical positioning applications (Sayed et al., 2005;
Syrjarinne, 2001). The positioning techniques can be categorized as mobile based and
network based methods. In mobile based methods, the mobile station (MS) measures
parameters from signals it receives from BS and uses the measurements to determine its
position. In network based methods the base stations measure parameters from signals
coming from the mobile, and the position calculation is performed in a positioning server
connected to the network. The following measurements and positioning techniques can be
used for positioning a MS in communication systems:
2.1 Angle Of Arrival (AOA)
AOA utilizes multi-array antennas which are used to estimate the angle of the line of arrival
of the signal. The position of the MS can be located at the intersection of the lines if more
than one AOA measurement is performed, as shown in Fig.2.a. This positioning method is
called triangulation. Antenna arrays capable for AOA measurements are large in size, and
thus more suitable to be measured by BS rather than MS. Therefore AOA lends itself easily
to network-based positioning. The AOA is considered mainly as outdoor positioning
method using BSs of cellular networks (Sayed et al., 2005), but results on AOA positioning
in WLAN infrastructure have also been reported (Wong et al., 2008). Reflections and non-
line-of-sight (NLOS) conditions distort the direction of arrival of the signals, deteriorating
the accuracy of AOA positioning.
2.2 Time Of Arrival (TOA)
TOA information from the MS to a station with known coordinates (navigation satellites,
BSs of wireless communication networks, etc.) or vice versa can be estimated if both entities
Ad Hoc Networks for Cooperative Mobile Positioning

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(a) Angle of Arrival (AOA) (b) Time of Arrival (TOA)
Fig. 2. Angle of arrival and Time of Arrival based positioning
are precisely synchronized in time. The distance between MS and BS can be obtained from
TOA, since electromagnetic waves propagate at constant speed of light. To estimate the
position of the MS, TOAs to at least three stations in different locations are required for
trilateration; all the BSs have also be perfectly synchronized to each other (Rappaport et al.,
1996). In trilateration the position estimate is the intersection of circles with radii determined
from TOA measurements and centers at the known BS coordinates, as shown in Fig.2.b.
Reflections and non-line-of-sight (NLOS) conditions distort the TOA of the signals.
2.3 Time Difference Of Arrival (TDOA)
TDOA is based on estimating the difference in the arrival times of the signals coming from
two different transmitters to the receiver. Geometrically a particular TDOA value defines a
hyperbola between the two receivers on which the MS may be located. As seen in the
(Fig.3.), the position of the MS can be estimated at the intersection of the hyperbolas if more
than one TDOA measurement is performed (Misra et al., 2006). One of the benefits of this
technique is that it does not require knowledge of the absolute time of the transmission, i.e.,
the receiver time does not need to be synchronized with the transmitter, but the transmitters
need to be synchronized with each other.

Fig. 3. Time Difference of Arrival (TDOA)

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2.4 Received Signal Strength (RSS)
In RSS based positioning, the MS location is estimated using models that relate the strength
of the received radio signal either to the distance between the MS and the signal emitter or
to the MS location directly. Typically at least some parameters in the applied models are
determined experimentally to adapt the model to the application environment. RSS based
positioning methods can be divided into three main categories: cell identifier based,
pathloss-based, and fingerprinting. For consumer market positioning applications, the RSS
observables are considered to be more easily available than AOA or TOA, as the RSS can be
passively listened from the access points (APs) of the infrastructure WLAN, without adding
any extra load to the network. According to IEEE 802.11 standard, the infrastructure APs
periodically transmit beacon frames, which contain information for network identification,
broadcasting network capabilities, and for other control and management purposes
(Wallbaum et al., 2005). The MS can sweep from channel to channel and record information
from any beacon it receives. This process is performed regularly to determine the AP with
the best link quality. This allows the MS to determine the cell identifiers and signal strengths
of all APs visible for the MS. In many mobile devices, such as mobile phones, PDAs and
laptop computers, this information is easily available through Application Programming
Interfaces (API) of standard WLAN services.
2.4.1 Cell ID based positioning
In cell identifier method, the MS scans the available WLAN channels. As the position
estimate it reports the position of the AP from which it received the strongest signal (Fig.4).
In cell identifier method, a MS needs prior information about the locations of APs and their
unique Media Access Control (MAC) addresses. Therefore, the system set-up for positioning
is relatively easy. Granularity of the position estimate is determined by the distances
between MS and AP. Because of the coarse granularity of the estimate and noise introduced
by the environment, this method is applicable in scenarios where rather coarse accuracy is
sufficient.

Fig. 4. Cell ID positioning based on RSS measurements
2.4.2 Fingerprinting
Fingerprinting approaches are based on experimental models that relate the measured RSS
values directly to the measurement position. These models are generated from off-line
collected data from several locations that sufficiently cover the area where positioning is

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needed. The principle of fingerprinting based positioning is illustrated in Fig.5. For each
location, from the off-line collected data a typical signal pattern is extracted and saved to the
fingerprint database with the coordinates of the location (Fig.5.a). In positioning phase, the
current set of RSS measurements from the APs in the coverage area are compared to the
patterns stored in database. The coordinate estimate is obtained from the database entry
whose stored signal pattern has the closest match with the measured signal vector (Fig.5.b).
Compared to other RSS based methods, fingerprinting algorithms are considered to be more
robust against signal propagation errors such as multipath or attenuations generated by
walls and other structures; fingerprinting actually make use of these location dependent
error characteristics of radio signals. In estimation phase, new measurement vectors are
related with the information stored in fingerprint database. A known disadvantage in
fingerprinting approaches is the fact that the collection of the data for fingerprint database is
laborious and time consuming (Wallbaum et al., 2005; Bahl et al., 2000).

(a) Generating fingerprint database (b) Positioning using fingerprints
Fig. 5. Fingerprinting
2.4.3 Pathloss-Based positioning
Pathloss models of radio signals are used to translate RSS measurements to distances
between the MS and APs. After the distances are estimated from RSS measurements,
trilateration methods are used to estimate the position of the MS (Fig.6). To obtain a unique
solution, the MS needs from measure RSS to at least three distinct APs. As in cell ID based
methods, the MS needs prior information about the MAC addresses and locations of APs,
which is easily acquired, at least when compared with fingerprint databases. In indoor
environments, multipath and attenuation caused by walls, other structures, and even people
complicate the modeling of signal propagation. Because of this, the positioning errors in
pathloss-based positioning are typically larger than in fingerprinting (Bahl et al., 2000). On
the other hand, methods that utilize path-loss models to estimate distances are needed for
example if signal properties of ad-hoc WLAN connections between two MSs need to be used
for positioning, because dynamic information about moving AP locations is difficult if not
impossible, to be incorporated in fingerprint databases. Because of the low system set up
cost of pathloss-based positioning, and its better suitability for incorporating measurements
from ad-hoc connections, we concentrate on pathloss-based positioning in this research.

294

Fig. 6. Pathloss based positioning
3. Cooperative mobile positioning
Cooperative Mobile Positioning is a recent research topic for wireless communication
systems (Figueiras & Frattasi, 2010) (Sand et al., 2008) concerning the development of
innovative techniques and positioning schemes to enhance location accuracy in adverse
scenarios, where conventional methods are not able to offer desired levels of accuracy. In
such context, heterogeneous technologies and mobile terminals coexist and cooperate with
the objective of helping each others for enhancing accuracy of their estimated positions. This
can be accomplished by sharing link information with peer nodes connected in ad-hoc mode
and exploiting their spatial diversity with advanced positioning algorithms (Sand et al.,
2008).
Raising up as a new branch of positioning techniques, the fundamental idea is simple:
making use of the short-range mobile-to-mobile measurements connected in ad-hoc mode,
where usually unreliable long-range measurements coming from the deployed fixed
reference points are provided (Frattasi & Monti, 2007) (Della Rosa, 2007). In this scenario ad-
hoc connections play the dual important role of serving as medium for collecting the RSS
information and exchanging data among neighboring nodes.
The exploitation of spatial proximity estimated within a group of neighboring mobiles has
the strong potential to enhance the location estimation accuracy (Mayorga et al., 2007) and it
can be easily applied in case of (i) outdoor environments, by merging the measurements
from the cellular links and ad-hoc networks; (ii) indoor environments, by replacing the
cellular and ad-hoc segments with wireless local area network (WLAN) communications in
infrastructure and ad-hoc mode, respectively; and (iii) GPS-equipped mobiles, where the
location estimation can be enhanced in areas where the stand-alone GPS might not be
sufficient (Mayorga et al., 2007). Sharing radio signals that are just enough to ensure
network connectivity among mobiles, the ad-hoc network model achieves better
performances over the stand-alone cellular one (Della Rosa et al., June 2007) (Mayorga
et al., 2007).

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(a) Outdoor Scenario (b) Indoor Scenario
Fig. 7. Cooperative Positioning
3.1 Data-fusion and cooperative filtering
The use of data-fusion and positioning algorithms is fundamental to combine heterogeneous
long- and short-range measurements and estimate the final location of MSs. Efficient
methods and mathematical models able to deal with error sources are needed in wireless
positioning. The most promising approaches proposed in (Figueiras & Frattasi, 2010)
(Frattasi, 2007) (Della Rosa et al., June 2007) make use of Least Squares (LS) methods and
Bayesian filters. LS methods allow the estimation of the position by minimizing the error
between detected and expected measurements, by making use of Non-Linear-least-Squares

(a) Conventional (b) Cooperative
Fig. 8. Block Scheme for conventional and cooperative positioning (Della Rosa et al., June
2007) (Della Rosa et al., 2010).

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(NLLS) and Weighted- Non-Linear-least-Squares (W-NLLS) (Frattasi, 2007), where the
objective function to be minimized represents the main engine for processing the hybrid
measurements (Della Rosa, 2007). Bayesian filters are a valid alternative to the previous
ones. However, the non-linear characteristics between measurements and positions make
the common Kalman Filter (KF) not applicable for solving this problem. Better results come
from Extended Kalman Filters (EKF), widely used for both positioning and tracking by
linearizing the models and applying then the classical KF to the linearized system (Figueiras
& Frattasi, 2010) (Sand et al., 2008). In the examples proposed in this chapter, we will show
results achieved by using an EKF (Della Rosa, 2007) in simulations and a NLLS algorithm
(Della Rosa et al., 2010) in the experimental activity.
3.2 Ad-hoc networks and Measurements-Sharing protocol
Exploiting the ad-hoc connectivity in wireless communications has the advantage of not
depending on fixed infrastructures. A central BS (or AP) is not needed at all and the overall
serving area is self-defined by the area where the nodes (MSs) are deployed (Hekmat, 2006).
Ad-hoc networks can be formed fast, just when they are needed and for the specific needs of
each user. When used in a mesh fashion all the nodes are aware of the others within the
coverage range.
An interesting ability of the ad-hoc networks is also that it is self-configuring. If one of the
nodes linking the others accidentally fails, the overall network adapts the other nodes to the
new configuration and rebuilds by itself.
With the benefits offered by the ad-hoc networks, the cooperative mobile positioning can be
handled in terms of scalability, self-configuration, re-configuration and flexibility (Breed,
2007). In every-day life, peer-to-peer connections and data exchange are more and more
common among users, becoming one of the most efficient methods for exchanging inter-
systems data. During the years, several applications have been proposed for ad-hoc
networks but only recently it has also been recognized as a complementary technology for
enhancing location accuracy of mobile terminals (Figueiras & Frattasi, 2010) (Della Rosa,
2007). However, using ad-hoc networks in localization is still not fully independent on fixed
infrastructures. On the other hand, the localization information obtained and shared by ad-
hoc networks can complement and improve the infrastructure based localization, especially
in cases when relation between the localization result and fixed reference systems
(coordinates, geographic location) is desired.
Localization of mobile nodes is always a difficult task, due to the radio signal that is both
environment and hardware dependent. A common situation is that the receiving mobiles
are in NLOS (Fig. 9(a))with respect to the transmitting BS or AP, meanwhile measurements
coming from ad-hoc neighbors are much more reliable. Fig. 9(b) show the RSS measured in
a typical indoor environment as depicted in Fig. 17 where more fluctuating measurements
(in black) are detected at AP-MS link if compared with the short-range ones (in red and
blue) detected between MS-MS connected in ad-hoc mode.
Recognizing the beneficial impact of the ad-hoc links, the cooperative technique proposed
(Frattasi, 2007) (Figueiras & Frattasi, 2010) (Della Rosa, 2007) can be applied as follows.
Assuming a cluster of MSs connected in ad-hoc mode in a mesh configuration, a MS can be
nominated as the cluster-head and its neighbors as cluster-members; (i) all the mobiles
perform long-range measurements (TOA/TDOA or RSS)from the available BSs/APs links
broadcasting the signals; (ii) the cluster-head looks for potential cooperative peers in the ad-
hoc coverage area; (iii) it sends its cooperation-requests with an ack/nack procedure;

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(a) Long-range and short-range links. (b) Long-range and short-range RSS measurements.
Fig. 9. Long- and short-range RSS measurements in indoor environments.
(iv) if cluster-members accept the request, the connected mobiles measure the RSS of their
ad-hoc links; (v) cluster-members measure the RSS from the available APs and send the
recorded data sets to the cluster-head; (vi) after receiving all the needed information, the
position of each member is obtained by a cooperative data-fusion method implemented in
each mobile by appropriately combining and weighting the long- and short-range raw
measurements using the chosen algorithm (EKF/NLLS/W-NLLS)(Della Rosa, 2007)
(Frattasi, 2007) (Mayorga et al., 2007)[10]. A potential protocol for outdoor and indoor
environments (using TDOA and RSS for long-range measurements respectively) is shown in
Fig. 10(a) and Fig. 10(b).

(a) Outdoor (b) Indoor
Fig. 10. Protocol for measurements and data exchange.

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4. Results
This section analyzes the results, where computer simulations and experiments have been
performed by developing proof of concepts for different scenarios: (i) a hybrid cellular/ad-
hoc framework implemented in Matlab (Della Rosa, 2007) (Mayorga et al., 2007) and (ii)a
small-scale experiment using real devices in a WLAN/ad-hoc network (Della Rosa et al.,
June 2007) (Della Rosa et al., 2010).
While the cellular/ad-hoc scenario is a simulated hybrid MobileWiMAX/WLAN system,
the WLAN/Ad-hoc framework proves the feasibility of the cooperative techniques for
heterogeneous MSs with different embedded wireless cards. In the latter it is also shown
that the cooperation can be used to avoid long time-consuming calibration phases of
different mobiles when performing RSS-to-distance conversions for AP-MS and MS-MS
links(Della Rosa et al., 2010).
4.1 Outdoor: Cellular/Ad-hoc:
The system architecture of the simulator is shown in Fig. 11. While the cellular system is
simulated according to the IEEE 802.16e standard (Mayorga et al., 2007), the ad-hoc links
between MSs are modeled according to the IEEE 802.11a PHY (Mayorga et al., 2007). The
scenario reproduces four synchronized BSs, with maximum synchronization error of 1ms
among them. The cell radius is r = 3 km, and two MSs placed at distance of 20m from each
others. MSs are assumed to be connected to the serving BS, (e.g. BS1). A mobility model
simulates users moving with constant velocity of 3 km/h along parallel straight lines.
Typically (Della Rosa, 2007) 20 meters are enough for establishing ad-hoc connections;
specially when the devices are in LOS, as in our simulated environment.
The full chain of blocks (cellular environment, mobility models, positioning estimators) is
depicted in Fig. 11 where the physical layer (PHY) of the IEEE 802.16e standard is
Orthogonal Frequency Division Multiplexing (OFDM) modulation. While in free-space the
traveling time of the radio signal is only dependent upon the distance BS-MS, in real
situations it is strongly delayed by channel impairments, having a direct impact on the
TDOA values estimated at the receiver. For this reasons a channel model has been simulated
according to (Della Rosa, 2007) (Mayorga et al., 2007).

Fig. 11. Simulator Blocks (Della Rosa, 2007).
TDOA measurements are calculated at terminal level for each MS by performing cross-
correlations of the signals arriving from the deployed BSs with respect to the reference one.

299
Also the IEEE 802.11a PHY is based on OFDM modulation (for more details the reader can
refer to (Della Rosa, 2007) and (Mayorga et al., 2007)). But, differently from the AP-MS links,
the MS-MS links measure RSS values, meaning that the implementation of a path loss model
with small scale fading effects for a LOS scenario is also required.
Finally an EKF is used as data-fusion algorithm and positioning filter according to
(Figueiras & Frattasi, 2010) (Della Rosa, 2007).
TDOA measurements are generated according to the 802.16e standard and combined with
the RSS measurements within the ad-hoc network in the cooperative case. In non-
cooperative case only TDOA measurements are considered.
Fig. 12 describes the simulated and estimated path of the users moving in parallel where the
estimated positions for MS1 and MS2, respectively, with and without cooperation are
shown. The average Root-Mean-Squared-Error (RMSE) is evaluated through the estimated
path and the resulting Cumulative Distribution Function (CDF) of the RMSE describes the
improvements by using only two cooperative MSs in the simulated environment (Fig. 13). It
is worth mentioning that the proposed example requires the handsets to be equipped both
with WiMAX and Wi-Fi modules. The resulting performances achieved show that
cooperation reduces the average RMSE with respect to conventional stand-alone positioning
methods (Figueiras & Frattasi, 2010) (Della Rosa, 2007).

(a) Estimated Path (b) Example of RMSE improvements for one MS.
Fig. 12. Estimated Path and RMSE with and without cooperation.

Fig. 13. CDF of RMSE With and Without Cooperation for two MSs.

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4.2 Indoor: WLAN /Ad-hoc:
In this section a proof of the applicability of the cooperative techniques is shown with a real-
life small scale experiment, performed in an indoor scenario as in (Della Rosa et al., 2010)
(Della Rosa et al., June 2007), where the long-range measurements are represented by RSS
from APs-MSs and the short-range measurements are the RSS measured at MS-MS ad-hoc
links. Having precise enough measurements is an important first step for wireless
positioning. However the behavior of data collected in real environments differ from the
simulated ones since unpredictable errors appear quite often, causing huge fluctuations in
RSS and consequently degradation of the final position estimation accuracy. Hence it is not
straightforward to understand the distance-dependent behavior of the wireless signals
propagating in the air. Converting power measurements for estimating the distance among
APs-MSs and MSs-MSs is a crucial and time consuming activity since several parameters
affect the accuracy of the measurements. Multipath, shadowing, presence of humans and
objects, signal blocking, overlapping channels, walls, noise and sensitivity of the wireless
cards embedded in the MSs (Della Rosa et al., 2010) introduce several complications when
developing positioning applications aiming to locate heterogeneous mobiles, especially
because different vendors use different chipsets with different Radio Frequency (RF)
characteristics.
Experiments (Della Rosa et al., 2010) show that different laptops placed at the same distance
from APs record RSS values which differ several dBm from each others due to the different
embedded wireless cards (Fig. 14).

Fig. 14. RSS of laptops placed at same distance from AP, with different embedded wireless
cards.
Theoretical path-loss models provided in literature are not accurate enough to reach high
localization accuracy performances and exhaustive device calibrations are needed to find
precise models for each mobile in use. Even after calibration, the obtained model is usually
useful only for the calibrated one (Della Rosa et al., 2010).
What if we would like to develop robust and more scalable positioning applications? Every
mobile (every wireless card) should be accurately re-calibrated. The cooperative technique
helps in the aforementioned problem by exploiting ad-hoc connections and spatial
constrains allowing the on-the-fly calibration of peer heterogeneous mobiles with different
embedded wireless cards. We can imagine the situation described in Fig. 15.
One MS, (MS1) is calibrated according to the accurate procedure depicted in Fig. 15(a) ( and
discussed in (Della Rosa et al., June 2007) (Della Rosa et al., 2010)) and another MS, the non-

301
calibrated (MS2) enters the coverage area of the ad-hoc network. MS1 and MS2 are placed at
distances d1 and d2, respectively, from AP1 as shown in Fig. 15(b), and recording the RSS
from AP1. MS2 sends the recorded RSSs to MS1 via ad-hoc connection. MS1, after having
measured also the RSS of the ad-hoc connection with MS2, estimates the distance between
the MSs; it is assumed that the MS2 transmits also info about its transmission power. MS1
estimates the distance d1 from AP1 and the distance d3 from MS2. The distance d2 should
not exceed the radius of d3 estimated by MS1. At this point MS1 calculates a correction
parameter for MS2, to allow MS2 to apply the path-loss model of MS1. After receiving the
correction parameter, MS2 can finally estimate the distance from AP1.

(a) Conventional (b) Cooperative
Fig. 15. Conventional and Cooperative calibration for multiple devices.

(a) Experimental pathloss for one MS (b) Pathloss models with correction factor.
Fig. 16. Pathloss model for different mobiles.
It is worth mentioning that the closer the MSs are in the cooperative calibration phase, the
better accuracy in calibration can be achieved. This process is performed iteratively; it is
more precise if the two mobiles are static during the calibration procedure. Once the MSs are
calibrated, the cooperative mobile positioning technique can be applied using the protocol
proposed in Fig. 10(b).
The experiment took place at the 3rd floor of Tietotalo building, Tampere University of
Technology, Department of Computer Systems, Finland. A typical office area with
dimensions of 50x50 square meters was used as testing environment, where several objects,
rooms, walls and furniture are deployed inside the area, causing severe signal obstructions
between APs and MSs as expected.
Four APs Cisco 802.11 a/b/g and three laptops with their own embedded wireless cards
were used. A C++ application has been developed for measuring and recording real-time
RSS from each AP and also the RSS from ad-hoc links among MSs. All the measurements

302
were logged into text files and processed with Matlab scripts in both calibration and
positioning phase. A Cooperative-NLLS algorithm was performed according to (Figueiras &
Frattasi, 2010) (Della Rosa et al., 2010) (Frattasi, 2007) and results were compared with the
non cooperative approach (Mayorga et al., 2007).
Fig. 17 shows the averages of the estimated positions for the three MSs with cooperation
(circles with border) and without cooperation (circles without border). Laptops icons
represent the real positions of the mobiles. It is demonstrated as in such adverse
environments, the ad-hoc network has a beneficial impact in positioning accuracy for all the
devices. Moreover, as the number of cooperative users increases, also the positioning
accuracy gets improved (Figueiras & Frattasi, 2010).

Fig. 17. Estimated Positions.
The achieved performances are highlighted in Fig. 18 by showing the CDF of the RMSE of
the three mobiles.
5. Conclusion
In this chapter we have described the basics of Cooperative Mobile Positioning and the
exploitation of ad-hoc networks in adverse positioning environments. Our test results from
simulations and real life experiments show that, thanks to the short-range measurements
available from ad-hoc links, the positioning accuracy is improved when compared to the
accuracy of the non-cooperative approach. The ad-hoc link measurements present lower
absolute errors than measurements in long-range cellular links; they are more stable and
contain less signal fluctuations.
Although we have provided examples on Mobile WiMAX and WiFi technology, the
cooperative technique can be adapted and exploited by replacing one or both technologies
with different and newer ones.

303

Fig. 18. Cumulative Distribution Function of the RMSE.
6. References
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14
Ad-hoc Networks As an Enabler of
Brain Spectroscopy
Salah Sharieh
Mcmaster University
Canada
1. Introduction
The purpose of this chapter is to show the feasibility of using ad-hoc networks as an enabler
of brain spectroscopy. Ad-hoc networks have many applications. The application which this
chapter explains provides full mobility in everyday environment using a near-infrared light
sensor designed to monitor brain function in humans. Multiple wireless networks
employing several different protocols are used for data carriage and provide new freedom
to conduct tests in real environment outside a lab. An Ad-hoc network (Bluetooth) is one of
the wireless networks used to support the application. The value of this application is to
measure the changes in the concentration of oxyhemoglobin (HbO2) and deoxyhemoglobin
(Hb) in tissues in the real-life environment. This might lead to better understanding of tissue
pathologies. This type of application was not available before.
A fully mobile functional brain spectroscopy system has been developed to allow the
possibility of testing subjects to be monitored in their real environment. To test this
hypothesis, communication software was developed to allow for the collection of
physiological data from a mobile near-infrared sensor via a mobile telephone that has a
Bluetooth support. The developed application is used to track the changes in the
concentrations of HbO2 and Hb during various activities and send the data to a computer at
a remote monitoring site.
The specific aims of this application have been to build a fully mobile system to monitor the
concentrations of HbO2 and Hb in near real time, to monitor the concentrations of HbO2
and Hb during smoking, as well as to analyze the gathered data, and to try to understand
the correlation between HbO2 and Hb during smoking. Performance and data accuracy
were the key for this application to provide the sought value.
Java portability allows the developed application to run on a wide range of operating
systems and devices. Java Standard Edition (J2SE) was used for server code; Java Micro
Edition (J2ME) was used to run code in the phone; C language was used to build the
Bluetooth code and the protocol in the sensor; and Eclipse was used as the integrated
development environments (IDE) to build and debug the application.
Java has native network support. It is possible to create applications to support different
kinds of networks and protocols. Java has native libraries that support wired and wireless
communications. It supports Bluetooth, WiFi, and more. Several popular network protocols
and standards are also supported. By default, Java libraries support Transmission Control
Protocol (TCP), User Datagram Protocol (UDP), and binary stream communications.

306
In this application a reliable network is required. To meet part of reliability requirements,
TCP protocol was fond to be the best supported protocol in the mobile device used in this
system. TCP protocol is a reliable protocol used in communication when a reliable
connection is required (Comer, 1997). It allows two hosts to communicate and exchange
data streams and guarantees the data delivery (Stevens, 1994). Data packets are delivered in
the same order they were sent. In contrast, UDP does not provide guaranteed delivery and
does not guarantee packet ordering (Comer, 2007). Selecting which protocol to choose for a
particular application mainly depends on the application requirements. These protocols
have proven their value and made their way into Bluetooth and GSM networks. Bluetooth
networks support both TCP and UDP communications (Bray & Sturman, 2002). Applications
running on the Bluetooth networks can use any of these protocols to send and receive data.
The most common way to send TCP and UDP packets over Bluetooth is using Bluetooth
Radio Frequency Communications (RFCOMM) (Ganguli, 2002). RFCOMM is a transport
protocol that provides RS-232 serial port emulation. Bluetooth Serial Port Profile (SPP) is
based on this protocol (Huang, 2007; Bluetooth Core Specifications Version 2.1. 2007).
GSM networks are similar to Bluetooth networks and wired local area networks. They
support TCP and UDP communication protocols (Delord et al., 1998; Eberspcher et al.,
2001; Chakravorty et al., 2003). Since wireless networks support the same communication
protocol as wired local area networks, applications running on wireless networks can
communicate and exchange data with the applications running on wired local area
networks.
Application level protocols are created to support specific applications. These protocols can
run on top of either TCP or UDP protocols. KREIOS protocol and LayerPro protocol in this
application are examples of such protocols. It contributes to the overall reliability of the
application. KREIOS is a packet-oriented protocol created to support data exchange between
the sensor used in this application and any other application running in another device
(Arquatis GmbH, 2007). LayerPro is a protocol created in this research based on KERIOS
protocol to allow global communication between the sensor, the PDA, and the server over
Bluetooth and GSM networks.
The wireless sensor used in this application implemented KREIOS protocol, which was
created by (Muhlemann, 2006) and implemented by Arquatis GmbH, Rieden Switzerland
(Arquatis GmbH, 2007) in the wireless sensor. The KREIOS is a packet-oriented protocol
between two devices: one acts as a master and the second one acts as a slave; both
communicate through a request and response transaction. In this application, the master is
the PDA and the slave is the sensor.
Several methods have been devised for imaging the human brain, in particular
Electroencephalography (EEG), Computed Tomography (CT), Magnetic Resonance Imaging
(MRI), Functional Magnetic Resonance Imaging (fMRI), Positron Emission Tomography
(PET), Single Photon Emission Computed Tomography (SPECT), Near-infrared
Spectroscopy (NIRS), and Diffuse Optical Tomography (DOT). These methods vary in their
strengths (Strangman et al., 2002). In recent years, researchers have started using NIRS and
DOT, either alone or in combination with other methods, to image brain functions. The non-
invasive nature of the NIRS is appealing to researchers to measure changes in HbO2 and Hb
during brain function activities (Izzetoglu et al., 2003).
Functional Optical Brain Spectroscopy using Near-infrared Light (fNIRS) has been
introduced as a new method to conduct functional brain analysis. fNIRS is a method that
uses the reflection of infrared light to observe changes in the concentration of HbO2 and Hb
Ad-hoc Networks As an Enabler of Brain Spectroscopy

307
in the blood, and can provide a similar result to fMRI (Villringer & Chance, 1997). fNIRS
takes advantage of the absorption and scattering of near-infrared light to provide
information about brain activities (Gratton et al., 1997). For a long time, it was thought that
it was only possible to collect information from the superficial layers of tissue (e.g.,
microscopy) due to light scattering. However, about 25 years ago, it was discovered that
functional information could be obtained from brain tissue using light shone at the scalp
and detected from the scalp (Jobsis, 1977). This discovery motivated the development of
diffuse optics as a method for brain monitoring. This method has different names: Near-
infrared Spectroscopy (NIRS), Diffuse Optical Tomography, and/or Near-infrared Imaging
(NIRI). Today, several types of NIRS devices have been built to image brain functions. These
devices differ in their capabilities, designs, and costs (Strangman et al., 2002; Bozkurt et al.,
2005).
The NIRS devices can be classified into three main types: Continuous Wave Spectroscopy
(CWS), Time-resolved Spectroscopy (TRS), and Frequency Domain Spectroscopy (FDS). The
CWS device consists of a continuous light source, which transmits light waves with constant
amplitude, and a detector that locates the attenuated incident light after it passes through
the tissues. The TRS device transmits short incidents of light pulses into tissues and
measures the light after it passes through the tissues. On the other hand, the FDS device
transmits a sinusoidally modulated light wave into the tissue (Strangman et al., 2002).
Each of these types of NIRS devices has limitations and strengths (Hong et al., 1998). CWS
has the advantage of low cost; however, with CWS it is difficult to distinguish contributions
of absorption and scattering to light attenuation. FDS, on the other hand, is known for its
good spatial resolution, penetration depth, and accurate separation of absorption and
scattering effects. Nevertheless, FDS is significantly more expensive than CWS. As for TRS,
although theoretically, it can provide a better spatial resolution than FDS, it has a lower
signal-to-noise ratio. Since TRS requires short pulsed lasers and photon counting detection,
it is the most expensive type of the NIRS instrumentation. Despite the advancements in
NIRS technology, NIRS still has limitations, such as the short path length and the artifacts
movements during measurements.
Absorption and scattering are the main physical processes affecting the transmission of light
photons in tissues. Light photon absorption and scattering causes the light intensity to
decrease. Both absorption and scattering are wavelength dependent. The amount of
absorbed light photons is also impacted by the concentration of blood HbO2 and Hb in
tissues which vary in time, reflecting physiological changes in tissues optical properties
(Villringer & Chance, 1997).
When light photons travel through tissues, they are scattered several times before finally
reaching the receiver. Scattering increases light optical path length, causing photons to
spend more time in tissues which in turn affects the tissues absorption characteristics.
Despite the fact that both absorption and scattering play a major role in light transmission,
scattering is more dominant than absorption. When light travels through tissues and blood,
photon absorption leads to a loss of energy to tissues and blood chromophores, or induces
either fluorescence (or delayed fluorescence), or phosphorescence. The main substances of
biological tissues that contribute to light photon absorption in the near-infrared light are water,
fat, and hemoglobin. While water and fat remain fairly constant over a short period of time,
the concentrations of oxygenated and deoxygenated hemoglobin change according to the
function and metabolism of the tissues. Thus, the corresponding changes in absorption can
provide clinically useful physiological information (Villringer & Chance, 1997).

308
Near-infrared light, in the range of 700-900 nm, can travel relatively deep into body tissues.
It is also worth mentioning that such light can easily travel through soft tissues and bones,
such as those of neonates and infants. Therefore, it is suitable to use near-infrared devices to
monitor brain activities or other oxygen-dependent organs in this category of humans
(Germon et al., 1998).
NIRS relies on a simple principle: light in the range of near-infrared light emitted on the
organ of interest passes through the different layers above the organ. When it passes
through the tissues, light photons go through physical interactions, such as scattering and
absorption that leads to a loss of energy in the emitted light. When the remaining light exits
the organ, it is measured by a detector.
In neuroimaging applications, the light is injected through the scalp, so the photons pass
through several layers of tissue surrounding the brain, such as the scalp, skull,
Cerebrospinal Fluid (CSF) and meninges. Then, the NIR light reaches the brain and the
blood vessels, and backscattered light gets detected by a set of detectors. The light in this
case follows the so-called banana-shaped path due to scattering effects caused by the tissues.
Due to the fact that water and lipids are relatively transparent to near-infrared light and the
optical properties of the layers surrounding the brain and blood are fixed within a given
period of time, it was found that light is mainly absorbed by oxygenated and deoxygenated
hemoglobin. Here, it must be noted that the scattering of the near-infrared light in the
human tissues is much larger than its absorption, while absorption of this kind of light is
much larger in the blood. This leads to the belief that the optical properties of the blood,
which in fact change based on the amount of oxygen in the blood, can play a vital role in
determining the amount of backscattered light from the brain. The amount of blood volume
and blood oxygen concentration can be an indicator of hemodynamic activities that are
related to brain functions. Analyzing the amount of backscattered light during the
oxygenation and deoxygenation process of the blood flow in the brain can lead to a better
understanding of the brain function (Benni et al., 1995).
NIRS measures the optical properties of HbO2 and Hb in near-infrared light. The effects of
the changes in concentration levels of HbO2 and Hb in the blood stream on light absorption
can be described by the Beer-Lamberts Law. A Modified Beer-Lambert Law can be used to
predict the amount of blood chromophoers (HbO2 and Hb) in tissues (Bozkurt et al., 2005).
2. Brain spectroscopy
Functional brain imaging using fMRI and Positron Imaging Tomography (PET) have
increased our understanding of the neural circuits that support cognitive and emotional
processes (Cabeza & Nyberg, 2000; Davidson & Sutton, 1995). However, these methods are
expensive, uncomfortable, and might have side effects such as exposure to radioactive
materials (with PET) or loud noises (with fMRI) (Hong et al., 1998; Chance et al.,1993). Such
disadvantages make these imaging methods inappropriate for many uses that require the
monitoring of brain activities under daily, real-life conditions.
Functional Optical Brain Spectroscopy Using Near-infrared Light (fNIRS) is another method
to conduct functional brain analysis. fNIRS is a non-invasive method that uses infrared light
reflection to gather changes in the concentration of HbO2 and Hb in the blood(Jobsis, 1977).
The main advantages of fNIRS are: ability to measure concentration of chemical substance;
devices low cost; devices low power requirements; non-invasiveness nature, and devices
portability. Low cost and portability have made it possible to use fNIRS to monitor patients

309
in their homes for an extended period of time, allowing health care providers to monitor
slowly developing diseases in patients. The non-invasive nature of fNIRS has also made it
possible to perform as many tests as needed without worrying about side effects (Boas et al.,
2002).
Blood carries oxygen and nutrients to tissues. Also, it carries carbon dioxide and other
products of metabolism away from tissues, so the body can eliminate them. Red blood cells
contain hemoglobin, which is the main oxygen transporter. When the red blood cells pass
through the lungs, they collect oxygen where it becomes bound with the hemoglobin.
Furthermore, red blood cells release carbon dioxide to the lungs. Blood vessels form a
comprehensive network inside the body where they deliver blood to different tissues and
organs. Arteries, arterioles, and capillaries deliver oxygenated blood to tissues whereas
veins and venules collect deoxygenated blood from them (Boas et al., 2002).
The human brain is protected by several layers. These layers provide a safe and secure
environment for the brain. Near-infrared light, used to measure changes in the blood
oxygenation, has to pass through all the protective layers: scalp, periosteum, skull, and the
meninges (Fig. 1). The meninges contain three layers: dura mater, arachnoid mater, and pia
mater (Porth, 2005).

Fig. 1. The Brains Protective Layers [18]
3. System design
The system developed for this application consists of three main hardware components. The
first component is a Bluetooth wireless sensor (built by Arquatis GmbH, Rieden,
Switzerland), which is the data acquisition device (Muhlemann, 2006; Muhlemann et al.,
2006). The second component is a PDA and is the main controller for the measurement
process and the data communication bridge between the sensor and the central computer.
The third component is a central computer (Server, or Host Computer, or PC) that stores the
data for later analysis. See Fig. 2 for a full display of the systems architecture.
Two different ranges of communication are used in the developed system. First, the
communication between the sensor and the PDA is carried over a Bluetooth network. The

310
signal range between the PDA and the sensor is approximately 10 m (short range). This
short range is enough to perform bedside monitoring without the need to carry the PDA.
The other range of communication occurs between the PDA and the central computer and is
carried over the GSM network (wide range). The range of the GSM is very wide indeed
since the system employs the mobile phone network with a roaming feature. Technically, it
is possible to monitor a test subject wearing the sensor in any part of the world as long as
they are within the range of a GSM network with roaming capabilities.
The PDA and the sensor are light weight devices that make it possible to carry them easily.
The sensor has a set of programs developed in the C language required to enable the data
acquisition and data transmission. The PDA runs the Java ME program that performs the
data transmission between the sensor and the host PC. The host PC works as a server and a
database server as well. Additionally, the PC is configured with a public IP address to make
it accessible through the Internet and to the GSM network. The communication between the
PDA and the sensor is bidirectional and the communication between the PDA and the PC is
unidirectional from the PDA to the server.
The combination of these communication technologies allowed the creation of a fully mobile
system for Functional Optical Brain Spectroscopy using Near-infrared Light (fNIRS)
technology extending the range and the mobility of an existing solution (78; 79; Muhlemann
et al., 2006; Trajkovic, 2006).

Fig. 2. System Architecture
4. Protocols and algorithms
Initially the system used HTTP protocol as a data encapsulation protocol. HTTP protocol is
designed to be a request-response protocol to transmit text based data. This makes it not
suitable for binary transmission without adding performance overhead.
This application required continuous fast binary data upload. After reviewing existing
upload protocols and approaches, we came to conclusion that a new protocol is needed to
be created. Performance and native binary upload were key requirements for the protocol.
Based on the requirements the protocol was designed and extended KERIOS protocol. The
protocol achieved the requirement through minimizing the control data and the number of
the overall transactions. Moreover the protocol packet was designed to hold binary data
which reduced the data representation overhead.

311
The protocol (see Fig. 3) for this application was created to encapsulate only the acquired
data and send it to the server; it is based on KERIOS protocol. The extension was necessary
to ensure data integrity and improve KERIOS protocol parsing. LayerPro carries only the
KERIOS data packet and adds 3 extra bytes as a sequence number. The sequence number
ensures that the packets are continuous and no packet loss will occur during transmission.
Moreover LayerPro has a fixed length; it has 35 bytes, while KERIOS has a variable length.
These modifications made LayerPro packet parsing easier and faster on the server. This
protocol is stateless and supports limited transactions, of which it allows three: open, close,
and send.

Fig. 3. Protocol Stack
LayerPro protocol has two parts: head and tail (see Fig. 4). The head contains 3 bytes
representing the transmission sequence number and 1 byte describing the packet type (Data
or Control). There are four possible values for the packet type field: 0-data; 1-open; 2; send;
3-close. The tail contains the actual binary data. In this protocol, the fixed length is used to
determine the end of the packet.

Fig. 4. LayerPro Packet Format
To start the data streaming, the source system sends an open transaction packet. This
transaction packet indicates to the destination system (server) the beginning of a
transmission. The sequence number value in the packet head is 00 00 00; the packet type
field contains the open command, and no data in the packet tail. The open transaction
packet is followed by a send transaction packet that contains the acquired data from the
source (sensor) in the tail, the send command in the packet type and a sequence number in
the sequence number field. The close transaction packet indicates to the destination (server)
the end of transmission. The packet type field has a close command; the sequence number
value in the packet head in this transaction is the last data sequence number with no data in
the packet tail. Fig 5 demonstrates these transactions and flow between the source system
(PDA) and the destination system (server).

312

Fig. 5. Layer Pro Transactions
5. Network integration
To validate the protocols basic functionality more than 100 tests were performed. They
were designed to monitor brain functions during smoking outside the lab environment to
collect changes in oxygenation concentration levels in the brain during breath holding and
finally to measure the changes in oxygenation concentration levels in dogs brains when
presented with their favorite toys.
The tests were focused on performance, data integrity, availability and the effectiveness of
the developed protocol. The system worked in all cases, but different amounts of delay were
experienced in the data transmission. The delays vary between 1 to 5 seconds. The delay is
impacted by the networks speed during the time when the experiments were performed.
The protocol design allowed the sending of one packet at a time. This approach reduced the
overall packet size which made it possible to send the data with a very short delay (1
second) most of the time. Whereas the packet size was very small (36 bytes) due to the
protocol design, the network bandwidth requirements became very small. Therefore, the
system required only a few resources to transmit the data to the server which made it
possible to transmit the data without data lost despite unpredictable changes in the
networks load.
To compare LayerPro performance versus HTTP protocol performance, two version of the
system were implemented. The first version implemented LayerPro protocol and the second
version implemented HTTP protocol. The results demonstrate that LayerPro protocol
provides better near-real-time binary data transmission than the HTTP protocol. Table 1
shows a sample result compares LayerPro protocol and the HTTP protocol.

313
Layer Pro Average Delay HTTP Average Delay
1 Second 8 Second
1 Second 5 Second
1 Second 5 Second
1 Second 7 Second
1 Second 5 Second
1 Second 5 Second
1 Second 5 Second
Table 1. LayerPro Protocol versus HTTP Protocol
The system was tested in two different locations to ensure that the protocol can support true
mobility. The test subject was wearing the sensor and carrying the PDA while he was
moving around between two cities (Toronto: big city has 5 million people and Markham:
small city has 0.5 million people). The tests were performed over several days and different
times. The combination of location, date and time were necessary to investigate the effect of
the mobile network and the internet load on the quality of the transmitted data during low
usage and peak usage of the heterogonous networks. Moreover the location, time and date
combination were used to validate how well the protocol can handle the communication
during different networks load.
Fig. 6 shows a direct comparison between LayerPro and HTTP protocol. From the figure we
can see that LayerPro protocol provides better near-real-time binary data transmission than
the HTTP protocol. The figure also shows that the network load effect is minimal on
LayerPro protocol.
In biomedical applications data integrity is very important. Even one packet dropping
sometimes means losing valuable information. Tests also showed that all data packet were
streaming correctly and in a timely manner.

Fig. 6. Averafe delay LayerPro vs. HTTP
6. Ad-hoc networks embedding in medical sensors
The application software architecture (Fig. 7) has three major layers: a data acquisition layer
(DAL), a control layer (CL), and a data storage layer (DSL). The DAL software component in
the sensor controls data acquisition and packet transmission. It is composed of a set of

314
programs that implements the data communication protocol, the RFCOMM Bluetooth
protocol, and the sensors low-level controls. The second layer (CL) resides on the PDA and
acts as the central control unit for the application. The majority of the system components
reside in this layer. The third layer (DSL) is mainly used to accept connections from the PDA
and stores the received data packets in the server for later analysis. The PDA creates a
persistent connection with the sensor and with the PC during the duration of the
measurements. The system is designed to support a wide range of measurements and
acquisition activities. Several types of tests can be performed using the system without the
need to modify the programs. Most of the components are designed to be configuration-
driven. The system architecture provides high interoperability between heterogeneous
hardware and software.

Fig. 7. The Application Software Architecture
All user interactions (Fig. 8) in the system are initiated by the User Interface Component
(PDAUI) that is controlled by the program control component (PDAProgCtrl). Program
control calls the LayerPro component to create command and data packets. All commands
are encapsulated by a LayerPro packet before they are sent to and received from the sensor;
this is performed by the LayerPro component. A LayerPro packet is sent and received over
the air using the Bluetooth communication component. When data is collected from the
sensor it is sent to the server using the communication manager component (ComManager);
then a local copy of the packet will be saved to the mobile local file system using the Mobile
Database Access Component (PDADA).

315

Fig. 8. The application overall interactions
7. Case studies summary
The system was designed to support a wide range of measurement activities. We wished to
ensure that a variety of data be available for testing. In order to achieve this goal we
performed tests on both humans and trained dogs with tests being conducted both inside
and outside a lab environment. HbO2 and Hb changes in brain and tissue were collected for
both species in different circumstances. In total, three major types of biomedical experiments
were conducted using our system.
The first experiment was a breath holding experiment. The test was used as a validation
experiment in order to ensure that our system worked correctly and could collect biological
data.
The second experiment was related to smoking and was conducted entirely outside the lab.
This experiment was performed to understand the effect of smoking on the brain in a real

316
environment away from the distractions and unrealities of a rigid laboratory environment
an environment where smoking actually takes place.
The third experiment was conducted to monitor a trained canines brain activities. The
experiment was conducted in order to determine if it was possible to monitor the brain
activity of animals. We found the second and third tests to be particularly compelling.
Smoking is an addictive behavior that occurs in the real world. In order to understand the
factors that cause this behavior more accurately, we believed that any measurement must
occur in the true circumstances of the activity. The third experiment involving trained
canines was motivated by both the need for data outside the human realm and because we
believed it could be possible to determine elements of mental activity within working
animalsspecifically canines--that directly relate to the activity that the animal is about to
engage in. This is significant because it implies a certain level of predictability. Whether this
is actually feasible is beyond the scope of this application; however, Helton et. al. have run a
similar test in a lab environment without the benefit of our system (Helton et al., 2007)
However, if testing is ever to be done in a real world setting, there must be a mechanism for
allowing it.
8. Case studies 1
To validate that the system was functioning as expected, a breath holding experiment was
performed on humans. The result was compared with a lab method (Zhang et al., 2005). Test
subjects were asked to rest for 20 seconds, then to hold their breath for 20 seconds, and
thereafter exhale and breathe normally for 20 seconds. The trial for each test subject lasted
for 120 seconds. The rest duration between trials for each test subject was approximately 2
days.
We performed 15 breath holding trials. We asked three different test subjects (two males
and one female) to hold their breath. The first test subject was a 23-year-old healthy female,
non-smoker; the second test subject was a 46-year-old healthy male, non-smoker; and the
third test subject was a 36-year-old healthy male smoker. During the lab trials, the test
subjects were asked to wear the sensor on their forehead near the hair line and lay down on
their backs on the test bed; they were asked not to move and not to speak. Instructions to
inhale and exhale were communicated to them by the person running the trials. In the
outside trials, the test subjects were asked to wear the sensor on their foreheads and sit on a
chair in the open and they were asked not to move or speak while performing the breath
holding trial.
After analyzing the collected data using our system, we can see that each breath holding
trial had a measured impact on the HbO2 and Hb concentration. The result was compared
to a result obtained from a similar experiment using fMRI (Zhang et al., 2005). This
experiment proved that the system can provide results similar to the ones previously
obtained by other test methods (Zhang et al., 2005). Clearly the system worked as expected.
Fig. 9 shows an example of data obtained during a breath holding trial. The graph shows
that HbO2 increases during the breath holding. The arrow indicates when the increase
happens due to breath holding. The brain compensates for the lack of oxygen by increasing
the blood flow (Zhang et al., 2005). Then the HbO2 level goes down after breathing was
resumed.

317

Fig. 9. Sample breath holding trails result
9. Case studies 2
There is an agreement among scientists that cigarette smoking causes lung cancer, heart
diseases, and other serious illnesses (Carmines, 2002; Giessing et al., 2006). Almost five
million Canadians smoke 15 times or more per day (Flight, 2007; Health Canada, 2007). The
chemical substances, including nicotine, found in cigarettes Hoffmann et al., 2001; Baker et
al., 2004; Rodgman et al., 2000; Frederick et al., 2007)entering the human body during
smoking can cause several physiological changes. Few studies have applied fMRI to detect
the oxygen level changes in the human brain under the effect of direct nicotine
administration. The results have proven that nicotine can impact the level of oxygen in the
hemoglobin in the brain Giessing et al., 2006; Siafaka et al., 2007). It is important to
emphasize, however, that all these studies have tested the impact of the nicotine on the
oxygen level in the brain using direct nicotine administration rather than actual smoking.
To understand the real effect that cigarettes (nicotine and other chemicals) have on the
brain, as opposed to direct administration of nicotine, smoke testing must be performed in a
natural way rather than in a controlled environment. One contribution of the developed
system is to address this need. In fact, there are pragmatic health and safety reasons why
this method is superior to in-lab testing. Because test subjects can be tested independently of
the environment, no collateral damage from smoking need be accidentally inflicted on
auxiliary participants in the test. Thus this method is safer, does not require special lab
modifications and is as effective as other methods.

318
In total, six smoking trials were conducted. The experiments purpose was to examine the
relationship between smoking and HbO2 and Hb changes in the brain. Five healthy human
males and one healthy human female participated in the experiment. The test subjects ages
ranged from 30 to 40 years old. All the test subjects were active smokers for a period of more
than 2 years. During the trials, the test subjects were asked to wear the sensor on their
foreheads and sit on a chair in the open where they were asked not to move more than they
had to in order to smoke and not to speak. The sensor was fixed with a bandage on the test
subjects head to improve the sensors stability on the head and minimize the effect of the
test subjects movement during the smoking process. Instructions as to when to smoke were
communicated to the subjects by the person running the trials. Each trial lasted for 15
minutes, which included a five-minute baseline, five minutes of smoking, and a five-minute
recovery after smoking.
Baseline data was recorded for 5 minutes before the test subject started smoking. The test
subject was asked to smoke for 5 minutes. The test subject inhaled every 20 seconds for the
duration of the test. After the 5-minute smoking period, the test subject was asked to keep
wearing the sensor for another 5 minutes. The data collection continued during the 5-minute
waiting period after the smoking was complete. The recovery period allowed us to capture
any delayed after-effect changes that occurred due to smoking.
When we analyzed the data, we observed HbO2 and Hb changes during the baseline, the
smoking, and the recovery periods. Fig. 10 illustrates the results from a smoking experiment.
The graph shows that during the baseline duration, changes in HbO2 and HHb reflected
normal physiological states. Sharper changes in HbO2 and Hb were appeared during
smoking. These changes were similar to changes that occur during functional brain activities.
Usually, such changes occurred due to the increase in the blood flow (Toronov et al., 2001).

Fig. 10. Sample smoking trial result

319
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0
MANET Mining: Mining Association Rules
Ahmad Jabas
Department of Computer Science and Engineering, Osmania University
India
1. Introduction
The growing advances in mobile devices, processing power, display and storage capabilities,
together with competitive market has enabled information technology to be more affordable
and available to almost everybody around the world. Moreover, with the advent of wireless
communications and mobile computing, another type of wireless communications, called
Mobile Ad hoc NETworks (MANETs), came into existence.
The operation of MANET does not depend on pre-existence infrastructure or base stations,
since there is no central node in the network and nodes collaboratively share all the network
activities. The simplicity of MANET deployment comes with a cost of complexity of the
algorithms in different layers. In addition, the absence of the infrastructure induces new
challenges to wireless networks in the elds of routing, security, power conservation, quality
of service, and so on.
For better perception of the new concepts in this chapter, a summary of the necessary
background in Data Mining (DM) is given, and particularly more emphasis and in depth
explanation is given on association rule mining technique, an area upon which the new concepts
of this chapter revolves.
DM or Knowledge Discovery in Databases (KDD) is dened as The nontrivial extraction of
implicit, previously unknown, and potentially useful information from data (Frawley et al.,
1992). DM is the process of nding hidden relationships in data sets and summarizing these
patterns in models. These patterns can be utilized to understand the whole data sets. In
simplied terms, DM is a technology that allows an applicant to discover knowledge, which
is hidden in large data sets, by applying various algorithms (Hofmann, 2003).
This chapter shows how DM approaches are applied to MANET, in that the trafc
of MANET is mined in a simple way called MANET Mining using Association Rule
Techniques. MANET Mining enables the establishment of the fact that there are still some
hidden relationships (patterns) amongst routing nodes, even though nodes are independent
of each other. These relationships may be used to provide useful information to different
MANET protocols in different layers. Precisely, MANET Mining, discovers hidden patterns
(meta-data) in the third layer to be used as common tokens (keys) in the application layer in
a bid to address one challenging security problem in MANET, namely, key distribution. This
is the rst time this approach has been used to solve key distribution problem in MANET.
Interestingly, security in MANET has been paid a lot of attention over the past few years.
One of the most challenging security issue in MANET is key management where there
is no on-line access to trusted authorities. Key management is the central part of any
secure communication, and is the weak point of system security and protocol design. Most
15
cryptographic systems rely on the underlining secure, robust, and efcient key management
system.
Key management scheme is the prerequisite for all security primitives and thus, it is the
basis for secure MANETs. However, the performance of existing key distribution schemes
developed so far is undesirable in the terms of efciency and scalability. Besides, these
schemes revolve around Third Trusted Party (TTP) and therefore, compromising this TTP
means disclosing all the issued keys. Surprisingly, the fully distributed and self-organized
key distribution schemes without TTP are still not robust to changing topology or intermittent
links commonly encountered in MANETs (Chan, 2004).
Section 2gives an overview of association rule and its application to social networks. Section 3
explains how data mining approaches are applied in MANET and introduces a new
distributed algorithm, MANET Mining. Section 4provides a detailed explanation of applying
Association Rule Techniques to MANET trafc. Section 5shows howAssociation Rule Mining
Techniques are used on MANET trafc with a Step Threshold. Section 6shows an important
application of MANET Mining to key distribution. Section 7concludes the chapter and draws
some future research directions.
2. Data Mining: An overview of association rule mining technique
2.1 Association rule
This section presents a methodology known as association rule mining, useful for discovering
interesting relationships hidden in huge data sets. Association rules have received lots of
attention in DM due to their many applications in marketing, advertising, inventory control,
and many other areas (Simovici & Djeraba, 2008). Association Rules can be derived using
supervised and unsupervised processes (Joe, 2009).
Let A = {l
1
, l
2
, l
3
, l
4
, ..., l
m
} be a set of items. Let T be a set of transactions on a database. A
transaction t is said to support an item l
i
, if l
i
is present in t. Moreover, t is said to support a
subset of items X A, if t supports each item l in X (Pujari, 2001).
X A is said to have a Support s in T, denoted by s(X), if s percent of transactions in T
support X.
A subset X is said to be a Frequent Set (FS) in T with respect to (where is a user-specied
minimum Support), if
s(X)
FS is called Maximal Frequent Set (MFS) if no supper set of this set is FS. The following are
important properties of MFS:
Downward Closure: Any subset of FS is FS.
Upward Closure: Any supper set of an infrequent set is an infrequent set.
Moreover, the set of all Maximal Frequent Sets (MFSs) is called maximum frequent set.
For a given database, an association rule is an expression of the form:
X =Y
where X and Y are subsets of A. The intuitive meaning of such a rule is that a transaction of
the database which contains X tends to contain Y.
Some used measures of rule interestingness are:
1. Condence (): The association rule X =Y holds with condence if % of transactions
in T that supports X also supports Y.
2. Support (): The association rule X =Y has Support in the transaction set T if % of
transactions in T support X Y.
Association rules have another synonym, market basket. Market basket analysis (Association
Rule Mining) is a research technique for retailers that is used to discover customer purchasing
patterns (Post, 2005). In direct marketing, DM has been used extensively to identify potential
customers for a new product (target selection) (Javaheri, 2007). Accordingly, accumulated
data is analyzed to know the behavior of the customers.
The supermarket may be interested in identifying associations between itemsets; for example,
it may be interested to know how many of the customers who bought bread and cheese also
bought butter (Simovici & Djeraba, 2008). Furthermore, nowadays a market basket is
applied to e-commerce rather than supermarkets. For example, whenever customers shop an
item online, they might read a recommendation after that Customers who bought this item
also bought ... or Buy these two items together and save ....
Binary format can be used to represent market basket, each row is a transaction and each
column is an attribute (item). An item is represented as a binary variable, if the item is present
the value of the variable is one, otherwise its value is zero.
The problem of mining association rules can be decomposed into two
subproblems (Agrawal & Shafer, 1996):
1. Find all set of items (itemsets) whose support is greater than the user-specied minimum
Support (). Itemsets with minimum Support are called frequent sets (itemsets).
2. Use the frequent itemsets to generate the desired rules. The general idea is that if, say for
example, ABCDand AB are frequent itemsets, then we can determine if the rule AB CD
holds by computing the ratio:
conf idence =
Support({ABCD})
Support({AB})

Note that this rule has minimum support because ABCD is frequent.
Because of the multiplicity and variety of Association Rules Mining (ARM) techniques,
Apriori algorithm is chosen and applied in this section as a de facto algorithm for mining
association rules.
2.2 Apriori algorithm
The problem of deriving association rules from data was rst formulated by Agrawal,
Imielinski and Swami in 1993 and is called the market-basket problem (Agrawal et al., 1993).
They introduced in their work the Apriori algorithm, which is the most commonly used
association rule discovery algorithm that utilizes the frequent sets. This algorithm make use
of the downward closure property. Algorithm 1 shows the pseudo-code of Apriori algorithm
(Agrawal & Shafer, 1996; Yao et al., 2003).
One of the advantages of the method is that before reading the database at every level, it
graciously prunes many of the sets which are unlikely to be frequent sets. Apriori algorithm
has become a reference algorithm, and has been improved in several ways in terms of time
complexity, the number of scans of the database, size of transaction, threshold and so forth.
Since association rules are derived from MFSs, the terms MFS and association rules are used
interchangeably.
325 MANET Mining: Mining Association Rules
Algorithm 1 Apriori
1: Initialize: k :=1, C
1
= all the 1-itemsets;
2: read the trafc bit-matrix to count the Support of C
1
to determine L
1
3: while L
k1
= do
4: C
k
= gen-candidate-itemsets with the given L
k1
5: prune(C
k
)
6: end while
7: L
1
:= {frequent 1-itmesets};
8: k := 2; //k represents the pass number
9: for all rows bit-matrix do
10: increment the count of all candidates in C
k
that are contained in r;
11: L
k
:= All candidates in C
k
with minimum Support;
12: k := k +1
13: end for
14: Answer L :=
k
L
k
;
Association Rule Condence
{ budget resolution = no, MX-missile = no, aid to El Salvador = yes}
91.0%
{Republican}
{ budget resolution = yes, MX-missile = yes, aid to El Salvador = no}
97.5%
{Democrat}
{ crime = yes, right-to-sue = yes, physician fee freeze = yes}
93.5%
{Republican}
{ crime = no, right-to-sue = no, physician fee freeze = no}
100%
{Democrat}
Table 1. Association rules extracted from the 1984 US Congressional Voting Records.
2.3 Application of association rule mining technique to social networks
Market basket is used not only in supermarkets but also in social networks. For example, one
of the hidden knowledge in social networks is mining criminal relationship (Fard & Ester,
2009).
Tan (Tan et al., 2006), gave a simple and clear example of a social network in small community
and applied association analysis to United States congressional voting records. The data-set
is maintained in University of California Irvine (UCI) machine learning repository and
includes votes for each of the U.S. house of representatives congressmen on the 16 key
votes, 1984 (Asuncion & Newman, 2007). Figures 1(a) and 1(b) show random and voting
data respectively. Even though both gures look random, there are still underlying
relationships/patterns in the data and these relationships can be revealed through DM
techniques, for example, Apriori algorithm. As a result, table 1 shows some of the
relationships/outcome obtained by applying Apriori algorithm on the voting data set.
Notably, at condence of 91%, the rst association rule is derived, which says that most of
the members who voted yes for aid to El Salvador and no for budget resolution and
MX missile are Republicans; while at 97.5% another association rule is derived which says
that those who voted no for aid to El Salvador and yes for budget resolution and MX
missile are Democrats. Of course, by changing the condence level new rules can be found.
(a) Random data. (b) Voting data.
Fig. 1. Congress voting records
3. MANET mining
3.1 Introduction
The powerful methods for discovering knowledge from data go beyond the boundaries of
traditional statistics, machine learning and database querying, to be applied in the eld of
MANET.
Section 3.2 compares DM and MANET Mining, while the rest of the subsections study how
to mine trafc in a network called MANET, present a general distributed algorithm named
MANET Mining with major concentration on ARMs, and explain the mathematical analysis
of MANET itemsets.
3.2 Comparison of MANET and data mining: Visions of convergence
Data mining, in reference to transactions is similar, to a large extent, to mining packets in
MANET in the following aspects (Jabas et al., 2008c):
1. Each transaction in data mining is a set of items (attributes). In case of MANET, the nodes
are the attributes and the transaction is the transmission of one packet.
2. Data mining is applicable to a database with a large number of transactions. MANET
mining is applicable to a trafc with a large number of packets.
3. The purpose of mining association rules in a database is to discover all rules that
have Support and Condence (predictability) greater than or equal to the user-specied
minimum Support and minimum Condence. In case of MANET, the rules represent the
most likely patterns among the cooperating/routing nodes.
4. Each Frequent Set FS in data mining is equivalent to the common nodes of different paths
in MANET.
3.3 MANET mining algorithm
MANET consists of a nite collection of computational entities (nodes) communicating
by means of messages (packets). Accordingly, MANET communication algorithms are
distributed by nature.
A distributed algorithm or protocol for given entities is a set of rules that specify the
functionality of each entity. The collective but autonomous execution of those rules, possibly
without any supervision or synchronization, must enable the entities to perform the desired
task to solve the problem (Santoro, 2007). Algorithm 2 and its subprograms (algorithms 3
and 4) represent the pseudo codes of the new general distributed MANET Mining protocol
(algorithm).
The algorithm shows that mining techniques are applied with a Threshold to the mining
procedure. Depending on the address information in a given packet, a node can be a source
node, rely node or destination node. The bit-matrix is constructed from the bit-vectors of
routed packets, which can be carrying data or acknowledgement.
For a MANET with n nodes, the header of each packet should have a bit-vector of length n
bit. Each bit represents inrormation about the participation of a node in the routing process
of a packet. The default values of these vectors bits are zeros. Only the traversed node
assigns a value of one to its entry in the packets bit-vector, that means, the vectors values
corresponding to untraversed nodes remain unchanged/unaltered at the default value of
zero.
The algorithm does not overload the network by introducing new packets. Nodes do not add
new trafc to MANET, but just capture the passing packets and assign a value of one to their
corresponding entry in the packets bit-vector (header). Since one bit is enough to represent
one node, fewbytes in the packets header are requiredto represent the network. Each node is
capable of extracting a sample of the trafc in MANET to construct its own bit-matrix without
any request from any other node.
The nal status in the algorithm indicates that the algorithm works continuously to build
the bit-matrix preparing it for mining at anytime later, i.e., the algorithm is proactive and the
nodes do not reach a nal status.
Spontaneously, whenever the threshold value is attained, the mining procedure (algorithm)
is invoked. Despite the many types of thresholds, namely, time stamp, size of bit-matrix,
number of differences between successive entries, columns, and so forth, two thresholds are
studied in this chapter. The rst is timestamp threshold, which is utilized in section 4 while
the second, called the Step Threshold, and dened as the number of differences between two
successive entries in the bit-matrix, is utilized in section 5.
3.4 Mathematical modelling and analysis of MANET itemsets
Hegland introduced a formal mathematical model to describe itemsets and associations in
DM domain (Hegland, 2005). This section explains how Heglands mathematical model can
be applied in MANET.
Algorithm 2 MANET Mining
1: Status Values: S = {SOURCE, RELAY, DESTI NATION};
2: S
I NIT
= {SOURCE, RELAY, DESTI NATION};
3: S
TERM
= .
4: Restrictions:
5: R = {Connectivity}.
6: SOURCE
7: Spontaneously
8: BEGIN
9: contribute to the bit-matrix;
10: ROUTE
11: END
12: Spontaneously
13: BEGIN
14: MINE
15: END
16: receiving (Acknowledgement)
17: BEGIN
18: contribute to the bit-mtrix;
19: END
20: RELAY
21: Spontaneously
22: BEGIN
23: MINE
24: END
25: Receiving (Data-Packet)
26: BEGIN
28: ROUTE;
29: END
30: Receiving (Acknowledgement)
31: BEGIN
33: ROUTE;
34: END
35: DESTINATION
36: Spontaneously
37: BEGIN
38: MINE
39: END
40: Receiving (Data-Packet)
41: BEGIN
43: ROUTE
44: END
Algorithm 3 Procedure MINE
1: BEGIN
2: if the user-specied threshold is met then
3: apply mining algorithms (Apriori) to the bit-matrix;
4: end if
5: END
N
0
N
1
N
2
... N
j
... N
n1
itemset
0
a
0 0
a
0 1
a
0 2
... a
0 j
... a
0 n1
itemset
1
a
1 0
a
1 1
a
1 2
... a
1 j
... a
1 n1
itemset
2
a
2 0
a
2 1
a
2 2
... a
2 j
... a
2 n1
... ... ... ... ... ... ... ...
itemset
i
a
i 0
a
i 1
a
i 2
... a
i j
... a
i n1
... ... ... ... ... ... ... ...
itemset
m1
a
m1 0
a
m1 1
a
m1 2
... a
m1 j
... a
m1 n1
Table 2. The bit-matrix.
Consider a MANET with n nodes, whose source node is N
s
and destination node is N
d
.
Nodes are enumerated from N
0
to N
n1
. MANET is applying some routing protocol, where
each delivered packet carries an itemset. Itemsets (bit-vectors) are sets of strings of n binary
numbers, where a A := {0, 1}
n
. In table 2, the value of the item j is set to one in the
corresponding itemset iff the j
th
node contributed to the process of routing the corresponding
packet, otherwise, the items value remains at the default value of zero. The set of itemsets
(bit vectors) forms a bit-matrix, where the j
th
column represents the node N
j
and the i
th
row
represents the i
th
itemset.
The nodes involved in routing are chosen randomly. Thus, the corresponding itemsets and
bit-matrix A {0, 1}
m,n
are random, where m is the number of itemsets. The elements a
i j
are
binary random variables.
Assume the probability distribution function p :[0, 1], where:
aA
p(a) = 1
and A = {0, 1}
n
. The probability with distribution p is denoted by P and has:
P(A) =

aA
p(a)
Algorithm 4 Procedure ROUTE
1: BEGIN
2: set the nodes bit-vector value to one
3: use the given routing algorithm
4: END
The data can be represented as an empirical distribution (Cumulative Distribution
Function (CDF)) with:
P
emp
(a) =
1
n
n
i=1
(a a
(i)
)
where (a) is the indicator function; (0) = 1 and (a) = 0 if a = 0. For simplicity, the empty
market basket is denoted by 0 instead of (0, ..., 0).
Mining of frequent itemsets means to nd itemsets (bit-vectors) that occur frequently in the
trafc. Accordingly, the itemsets are partially ordered with respect to the inclusion. In other
words, a b if the set with representation a is a subset of the set with representation b or a = b.
Now, the Support of an itemset a can be dened with the partial order as follows:
s(a) = P(c | a c)
s(a) is also called anticummulative distribution function of the probability P. The Support is
function s : A[0, 1] and s(0) =1. The Support is antimonotone, i.e., if a c then p(a) p(b).
Previous equation can be reformulated in terms of p(a) as:
s(a) =
ca
p(c)
This is a linear system of equations which can be solved recursively using s(e) = p(e), where
e = (1, ..., 1) is the maximum item set and:
p(a) = s(a)
ca
p(c)
That means the Support function s(a) provides an alternative description of the probability
measure P, which is equivalent to p.
3.5 The random itemsets of MANET nodes
Assume that the nodes that contribute to routing are chosen randomly, i.e., the items (bits)
in a are chosen independently with probability p
0
. This corresponds to routing protocol that
randomly chooses nodes as packets move along the way from the source to the destination.
Then, the distribution is:
p(a) = p
|a|
0
(1 p
0
)
n|a|
where |a| is the number of bits (contributing nodes) in the itemset a and n is the total number
of nodes in MANET. As any c a has at least all the bit sets which are sets in a extracted for
the Support
s(a) = p
|a|
0
and the frequent itemsets are those with at most the following number of items:
|a| log(
0
)/log(p
0
)
This relation nds itemsets that have a specic Support and and the probability of choosing a
node.
Assume that the items are chosen independently with different probabilities p
j
, then the
probability of choosing an itemset is:
p(a) =
n
j=1
p
a
j
j
(1 p
j
)
1a
j
and
s(a) =
n
j=1
p
a
j
j
Using Zifs law:
p
j
=

j
where is a constant. This means that itemsets with few popular itemsets are most likely.
4. MANET mining: Mining temporal association rules (TARs)
4.1 Introduction
MANET is an autonomous system of mobile routers (and associated hosts) connected by
wireless links, the union of which forms an arbitrary graph. The ability to specify the topology
of a MANET could also prove to be crucial if limitations in the scalability and total capacity
of MANETs are found to exist (Rashmi, 2009; Robinson, 2007).
This section proves that even though the topology is changing rapidly, i.e., the graph is
not constant, there are still hidden relationships among the nodes. The association rule
techniques are responsible for revealing these relationships, and seek to identify what items
go together (Olson & Delen, 2008). The Correlation Ratio (CR), dened in the next subsection,
measures the strength of the relationships.
Section 4.2 demonstrates how to apply the association rule technique periodically, every
second as a Threshold, to the bit-matrix constructed from MANET trafc. Accordingly,
these rules are denoted in this chapter by Temporal Association Rules (TARs). Section 4.3
is concerned with simulation with different parameters and the results show that there are
still some relationships among the nodes even though the topology is changing.
4.2 Demonstration on a simple MANET
This section shows the application of association rule techniques to MANET and explains
the use of Apriori algorithm to mine MANET trafc (Jabas et al., 2008b). Consider MANET
scenarios in Fig. 2 each representing a 15 node MANET, in which node N
1
is the source
and node N
2
is the destination. For simplicity, a small number of packets is considered, i.e.,
not more than ve packets in each of the scenarios. The initial path at time t
0
, depicted in
Fig. 2(a), is <N
1
, N
3
, N
5
, N
6
, N
9
, N
14
, N
13
, N
2
> and the source sends 3 packets, after which the
topology changes, in the sense that node N
14
leaves and node N
8
enters the route leading
to the second scenario in Fig. 2(b), in which the source sends 5 packets through the path
<N
1
, N
3
, N
5
, N
6
, N
9
, N
8
, N
13
, N
2
> at time t
1
. The third scenario, in Fig 2(c), is derived from the
second scenario as a result of change in topology, i.e., node N
9
leaves while node N
14
and node
N
15
enter. 4 packets are sent through the new path <N
1
, N
3
, N
5
, N
6
, N
15
, N
8
, N
14
, N
13
, N
2
>.
Finally, the fourth scenario is derived from the third scenario by some change in topology as
shown in Fig. 2(d) such that node N
5
leaves and node N
4
joins. 4 packets are sent through the
path <N
1
, N
3
, N
4
, N
6
, N
15
, N
8
, N
14
, N
13
, N
2
>.
The bit-matrix in both the source and destination corresponding to this transmission of
packets is shown in table 3. Apriori algorithm is applied to the bit-matrix with support
= 70 %. Shown below are the stepwise application of Apriori algorithm on the bit-matrix:
i:=1
C
1
= {{N
1
}, {N
2
}, {N
3
}, {N
4
}, {N
5
}, {N
6
}, {N
7
}, {N
8
}, {N
9
}, {N
10
}, {N
11
}, {N
12
}, {N
13
},
{N
14
}, {N
15
}}
(a) MANET at time t
0
. (b) MANET at time t
1
.
(c) MANET at time t
2
. (d) MANET at time t
3
.
Fig. 2. Simple MANET demonstration of TARs.
After pruning C
1
the set of frequent sets with one element is:
L
1
= {{N
1
}, {N
2
}, {N
3
}, {N
5
}, {N
6
}, {N
8
}, {N
13
}}
i:=2
C
2
= {{N
1
, N
2
}, {N
1
, N
3
}, {N
1
, N
5
}, {N
1
, N
6
}, {N
1
, N
8
}, {N
1
, N
13
}, {N
2
, N
3
} , {N
2
, N
5
},
{N
2
, N
6
}, {N
2
, N
8
} , {N
2
, N
13
}, {N
3
, N
5
}, {N
3
, N
6
}, {N
3
, N
8
}, {N
3
, N
13
}, {N
5
, N
6
}, {N
5
, N
8
},
{N
5
, N
13
}, {N
6
, N
8
}, {N
6
, N
13
}, {N
8
, N
13
}}
After pruning C
2
, the set of frequent sets with two elements is:
L
2
= {{N
1
, N
2
}, {N
1
, N
3
}, {N
1
, N
5
}, {N
1
, N
6
}, {N
1
, N
8
}, {N
1
, N
13
}, {N
2
, N
3
} , {N
2
, N
5
},
{N
2
, N
6
}, {N
2
, N
8
} , {N
2
, N
13
}, {N
3
, N
5
}, {N
3
, N
6
}, {N
3
, N
8
}, {N
3
, N
13
}, {N
5
, N
6
}, {N
5
, N
13
},
{N
6
, N
8
}, {N
6
, N
13
}, {N
8
, N
13
}}
i:=3
C
3
= {{N
1
, N
2
, N
3
}, {N
1
, N
2
, N
5
}, {...}, ...}
After pruning C
3
, the set of frequent sets with three elements is:
L
3
= {{N
1
, N
2
, N
3
}, {N
1
, N
2
, N
5
}, {...}, ...}
i:=4
C
4
= {{N
1
, N
2
, N
3
, N
5
}, {...}...}
After pruning C
4
, the set of frequent sets with four elements is:
L
4
= {{N
1
, N
2
, N
3
, N
5
}, {...}, ...}
i:=5
C
5
= {...}
After pruning C
5
, the set of frequent sets with ve elements is:
L
5
= {...}
i:=6
C
6
= { ...}
After pruning C
6
, the set of frequent sets with six elements is:
No. N
1
N
2
N
3
N
4
N
5
N
6
N
7
N
8
N
9
N
10
N
11
N
12
N
13
N
14
N
15
01 1 1 1 0 1 1 0 0 1 0 0 0 1 1 0
02 1 1 1 0 1 1 0 0 1 0 0 0 1 1 0
03 1 1 1 0 1 1 0 0 1 0 0 0 1 1 0
04 1 1 1 0 1 1 0 1 1 0 0 0 1 0 0
05 1 1 1 0 1 1 0 1 1 0 0 0 1 0 0
06 1 1 1 0 1 1 0 1 1 0 0 0 1 0 0
07 1 1 1 0 1 1 0 1 1 0 0 0 1 0 0
08 1 1 1 0 1 1 0 1 1 0 0 0 1 0 0
09 1 1 1 0 1 1 0 1 0 0 0 0 1 1 1
10 1 1 1 0 1 1 0 1 0 0 0 0 1 1 1
11 1 1 1 0 1 1 0 1 0 0 0 0 1 1 1
12 1 1 1 0 1 1 0 1 0 0 0 0 1 1 1
13 1 1 1 1 0 1 0 1 0 0 0 0 1 1 1
14 1 1 1 1 0 1 0 1 0 0 0 0 1 1 1
15 1 1 1 1 0 1 0 1 0 0 0 0 1 1 1
16 1 1 1 1 0 1 0 1 0 0 0 0 1 1 1
Table 3. The bit-matrix both in the source and the destination nodes
L
6
= {{N
1
, N
2
, N
3
, N
5
, N
6
, N
13
}, {N
1
, N
2
, N
3
, N
6
, N
8
, N
13
}}
i:=7
The maximum frequent set is:
MFSs = L
6
= {{N
1
, N
2
, N
3
, N
5
, N
6
, N
13
}, {N
1
, N
2
, N
3
, N
6
, N
8
, N
13
}}
The set of all frequent sets is:
L = L
1
L
2
L
3
L
4
L
5
L
6
The maximumfrequent set (MFS) gives the relationships (patterns) among the nodes for a set
of entries regardless of the total number of nodes in these entries.
A new metric which denes the strength of relationship among nodes in the pattern is shown
below:
Correlation Ratio (CR) =
Average Size(MFSs)
Length(route)
Where:
Average Size (MFSs): refers to the average number of the nodes in the pattern extracted from
the bit-matrix for a specic period of time as a Threshold.
Length (route): refers to the total number of nodes in the bit-matrix that are routing for the
same period of time.
Higher CR indicates better correlation among nodes. CR may approach 1 for wireless static
topology, which means that the entries in the bit-matrix are participating in the routing
process.
By mining the whole bit-matrix shown in Table 3 with Support = 70 %, MFS =
{{N
1
, N
2
, N
3
, N
5
, N
6
, N
13
}, {N
1
, N
2
, N
3
, N
6
, N
8
, N
13
}} is obtained. Notably, the average
number of nodes in MFSs is 6 and the number of nodes involved in routing (active nodes)
in this bit-matrix is 11, i.e., columns that contain at least a one value (unshaded columns in
Table 3), therefore,
CR (with = 70 %) =
6
11
Parameter Value
Number of the nodes 100
Routing protocol AODV, DSDV, DSR
Mobility model Random way point
Pause time 1 s
Radio transmission range 250 m
Channel capacity 1 mbps
Data ow CBR, FTP
Data packet size 512 bytes
Node placement random
Terrain area 1500 1500 m
2
120 s for CBR with AODV, DSDV and DSR,
Simulation time 200 s for TCP with AODV and DSR
400 s for TCP with DSDV
Propagation model Two Ray Ground
Node Mobility Speed (NMS)
5, 10, ..., 50 m/s with AODV and DSR
1, 2, ..., 10 m/s with DSDV
Table 4. Simulation parameters.
In this example, for simplicitys sake, few nodes and less network trafc is considered.
Practically, more nodes may communicate for longer time resulting into a huge number of
heterogeneous packets (trafc). The mining of such trafc for a long period of time results into
a low CR. This is because, after some time, the topology completely changes with reference
to the initial topology. In other words, the number of common nodes decreases with time
and consequently, the CR decreases. As a prerequisite, the rate of mining should be in
consonance with the rate of changing of topology.
4.3 Simulation and results
This section shows how Apriori algorithm is applied to extract MFSs from different types
of MANET trafc. The simulation is performed by NS2 (ns2, 2009; Greis, 2007; Fall, 2007).
Parameters used in the simulator are summarized in Table 4. Hundred nodes are distributed
randomly in the simulation area of 1500 1500 m
2
and with a 250 m transmission range for
each node. The Propagation model of the signal is Two Ray Ground. The channel capacity is
1 mbps. The random mobility mode of the nodes is generated by the CMU
s node-movement
utility setdest with different Node Mobility Speeds (NMS) within the range of 5-50 m/s.
The nodes do not move through out the simulation time, i.e., they stop according to a constant
pause time parameter which lasts for one second. The packet size is 512 bytes.
10 20 30 40 50
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol:AODV,: 70 %, : 03 s
Protocol:DSR , : 70 %, : 03 s
(a) Data trafc.
10 20 30 40 50
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol: DSDV, : 70 %, : 03 s
(b) Data trafc.
Fig. 3. The variation of CR with NMS for connection-less trafc.
5 10 15 20 25 30 35 40 45 50
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol:DSR , : 70 %, : 03 s
(a) Data trafc.
5 10 15 20 25 30 35 40 45 50
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol: DSR , : 70 %, : 03 s
(b) Acknowledgement trafc.
5 10 15 20 25 30 35 40 45 50
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol: AODV, : 70 %, : 03 s
Protocol: DSR , : 70 %, : 03 s
(c) Both acknowledgement and data
trafc.
1 2 3 4 5 6 7 8 9 10
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol:DSDV,: 70 %, : 03 s, traffic: data
Protocol: DSDV, : 70 %, : 03 s, traffic: ack
Protocol: DSDV, : 70 %, : 03 s, traffic: ackdata
(d) All types of trafc.
Fig. 4. The effect of increasing NMS on CR for connection oriented trafc.
Three standard routing protocols are used in the simulation to deliver the packets from the
source to the destination. Two of them are reactive: Ad hoc On-demand Distance Vector
(AODV) and Dynamic Source Routing (DSR); and one is proactive, Destination Sequenced
Distance Vector (DSDV).
With reactive routing protocol the simulation time of the second application lasts for 200 s,
while with proactive protocol, namely DSDV, the simulation lasts for 400 s. The NMS
varies discretely by one unit between 1 m/s and 10 m/s with DSDV, while for the other
two protocols the NMS varies discretely in ve unit step between 5 m/s and 50 m/s.
The CR metric dened in previous subsection is applied to different scenarios generated in
this subsection to evaluate the strength of the hidden relationships (MFS patterns) among the
nodes.
Two applications are chosen. The rst, the Constant Bit Rate (CBR) application is simulated
along with the connection-less transmission protocol/User Datagram Protocol (UDP) for
120 s. Figures 3(a) and 3(b) show how CR varies with NMS for AODV, DSR and DSDV
protocols with connection-less trafc. The second, the File Transfer Protocol (FTP) is
simulated along with connection-oriented Transport Control Protocol (TCP).
Figures 4(a), 4(b) and 4(c) show the behavior of CR as NMS varies for AODV and DSR for
data, acknowledgment and both types of packets. Similarly, Fig. 4(d) analyzes the CR for the
connection-oriented trafc of DSDV routing protocol for the three types of trafc packets.
It is evident from the above CR/NMS graphs that there are relatively good relationships
(TARs) among the nodes, and therefore, MANET trafc is a raw material for mining and
for revealing these relationships. Despite the high NMS of nodes, up to 50 m/s for AODV
and DSR and 10 m/s for DSDV, there are still good relationships among the routing nodes.
10 20 30 40 50
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol:AODV,: 70 %, : 03 node
Protocol:DSR , : 70 %, : 03 node
(a) Data trafc.
10 20 30 40 50
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol: DSDV, : 70 %, : 03 node
(b) Data trafc.
Fig. 5. The variation of CR with NMS for connection-less trafc.
These relationships can be interpreted as topologies representing the routing nodes for a small
period of time.
5. MANET mining: Mining step association rules (SARs)
5.1 Introduction
Section 4 explains how Temporal Association Rules (TARs) are mined from the MANET
trafc, extracted and mined at a rate of . In this section, a new threshold is imposed on the
mining process to monitor the difference (change) between successive entries in the bit-matrix.
This difference is denoted by Step and the mined rules are denoted, in this chapter, by Step
Association Rules (SARs). The length of the Maximal Frequent Set (MFS) depends on the
5 10 15 20 25 30 35 40 45 50
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol: AODV, : 70 %, : 03 node
Protocol: DSR , : 70 %, : 03 node
(a) Data trafc.
5 10 15 20 25 30 35 40 45 50
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
NMS (m/s)
C
R
(b) Acknowledgement trafc.
5 10 15 20 25 30 35 40 45 50
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
NMS (m/s)
C
R
(c) Both acknowledgement and data
trafc.
2 4 6 8 10
0
0.2
0.4
0.6
0.8
1
NMS (m/s)
C
R
Protocol:DSDV,: 70 %, : 03 node, traffic: data
Protocol: DSDV, : 70 %, : 03 node, traffic: ack
Protocol: DSDV, : 70 %, : 03 node, traffic: ackdata
(d) All types of trafc.
Fig. 6. The variation of CR with NMS for connection oriented trafc.
similarity among the entries (bit-vectors) in the bit-matrix. Similar bit-vectors leads to longer
MFSs and higher CR. In fact, longer MFSs mean more packets are carried in the same routes.
TARs do not support sudden changes in the MANET topology (routes), while SARs support
and detect the modication in the topology.
An explanation of how to mine SARs is shown in section 5.2, while the application of SAR
techniques to MANET trafc and illustration of the results of imposing the Step Threshold
on the mining procedures is demonstrated in section 5.3.
5.2 Demonstration using a simple MANET
This section explains how SAR mining is executed in MANET (Jabas et al., 2008a). Whenever
there is a change in route followed by the packets a corresponding change is reected in the
bit-matrix; for example, in reference to table 3, there are two bit changes between the third
entry and the fourth because of change in route/topology .
This demonstration involves three steps. First, the bit-matrix is mined without imposing a
Step Threshold. Second, it is splitted into two bit-matrices according to the Step Threshold
> 2 nodes. Finally, the new bit-matrices are mined separately.
Following these steps, the bit-matrix in table 3 is used to obtain the results. First, the bit-matrix
is mined with Support = 70 %, and the resultant MFS (SARs) obtained are:
L
6
= MFSs = {{N
1
, N
2
, N
3
, N
5
, N
6
, N
13
}, {N
1
, N
2
, N
3
, N
6
, N
8
, N
13
}}.
The average number of nodes in MFSs is 6 and the number of nodes involved in routing in this
bit-matrix is 11 (i.e. columns that contain at least one 1value). CorrelationRatio (with =
70 %) =
6
11
.
Second, Step Threshold > 2 is applied. Accordingly, the rst 8 entries saved in the rst
sub-bit-matrix and the next remaining 8 entries are saved in the second sub-bit-matrix. By
mining these sub-bit-matrices with the same Support as in the rst step, the following MFSs
and their corresponding CRs are obtained as shown below:
MFSs
1
= L
7
= {{N
1
, N
2
, N
3
, N
5
, N
6
, N
9
, N
13
}}
MFSs
2
= L
8
= {{N
1
, N
2
, N
3
, N
6
, N
8
, N
13
, N
14
, N
15
}}
CR
1
( = 70 %) =
7
9
CR
2
( = 70 %) =
8
10
Note that CR
1
and CR
2
are higher than CR obtained in the rst step. This means that
application of Step Threshold leads to stronger CR.
5.3 Simulation and results
This section applies the same simulation scenarios and parameters used in section 4 to show
Step Threshold effects. Simulation parameters are summarized in Table 4.
Again, the two transport protocols, connection-less and connection-oriented, along with
proactive and reactive routing protocols are studied. The same metric, CR, dened in 4.2 is
utilized to evaluate the strength of the relationship. The two parameters, the Step Threshold
and the Support s, with their effect on MANET with different routing protocol are studied
in this section.
Figures 5(a) and 5(b) show the effect of increasing NMS on CR with Step Threshold. We
conclude that there are relatively strong relationship among the nodes in AODV and DSR
protocols as depicted in gure 5(a). However, in 5(b), CR is uctuating indicating that
relationship is not reliable for DSDV. Figures 6(a), 6(b), 6(c) and 6(d) show the effect of
increasing NMS on CR with Step Threshold, and therefore, it is possible to mine the MANET
trafc.
Generally, step threshold improves CR or the strength of the relationships among the nodes.
6. Case Study: Key management in MANET
6.1 Introduction
Like in many distributed systems, security in MANET widely depends on the use of a secure
key management mechanisms. Most of the cryptographic mechanism in MANET depends
on a key management infrastructure (Ghoreishi & Analoui, 2009).
A key is a piece of input information for cryptographic algorithm. Key disclosure is
tantamount to revealing the encrypted information itself, therefore, there is need for Key
Encryption Key (KEK) algorithm applied at local host level (Fumy & Landrock, 1993). In
view of this, specic key management systems have been developed to t the characteristics
of MANET.
Two principles for ad hoc key management are identied (Yi & Kravets, 2004):
1. The rst principle is the node participation principle which states that A key management
framework for ad hoc network should rely on a large number of nodes for availability
purposes, but on small group of nodes for security purposes .
2. The second principle, requires the services of TTP principle and states that A key
management framework should use a TTP to improve the quality of authentication of the
framework .
Luo presented Ubiquitous and Robust access control Solution (URSA) for MANETs
(Luo et al., 2003). URSA implements ticket certication services through multiple-node
consensus and fully localized instantiation, and uses tickets to identify and grant network
access to cooperative nodes. The merits of this protocol are high efciency, secure local
communication and system availability. The demerits include extremely large threshold
compare to the network degree and requirement for off-line conguration before accessing
the network.
Seung, (Yi & Kravets, 2003), proposed a new key management framework, MObile Certicate
Authority (MOCA) for MANETs, where the certicate service is distributed to n MOCA
nodes that are most secure. MOCA scheme uses threshold cryptography, which is an
application of secret sharing. The concept of secret sharing is that it is mathematically possible
to divide up a secret to n pieces in such way that anybody who requires the full secret can
collect any k pieces out of those n MOCAto reconstruct the full secret. k becomes the threshold
needed to reconstruct the secret.
Later, Seung presented a composite key management scheme that uses virtual CA and
certicate chaining simultaneously in a single ad hoc network (Yi & Kravets, 2004), thereby,
combining the central trust with the fully distributed trust models.
Sections 4 and 5 explain how ARM techniques can be applied to MANET trafc to extract
hidden patterns. This section shows an important application of these patterns in the security
eld. A new method for key distribution in MANET has been developed to mine the
trafc moving in MANET in a distributed manner to obtain MFSs that are used as tokens
(keys) (Jabas et al., 2010).
Section 6.2 explains new security framework that relies on MFSs. Section 6.3 explains the
key revocation and renewal issues for the new framework. Section 6.4 gives the mathematical
model of the new framework and analyzes its effectiveness in MANET. Section 6.5 discusses
the experimental analysis of the the new framework. Section 6.6 lists the features that make
the new scheme outstanding.
6.2 Key distribution through trafc mining (KDTM)
A group of nodes, the routing nodes, contribute to the bit-vector of the routed packet, which
in turn is used to build the bit-matrices in both the source and the destination nodes. Both
end nodes apply Apriori algorithm to these bit-matrices, and interestingly, the same MFSs
(patterns) are obtained at only these two nodes.
For a MANET with n nodes, a bit-vector of size n is required for each packet routed. Before
the source sends a packet to the destination, the entries of the bit-vector are initialized to zero
and the bit-vector is attached to the header of the packet. As the packet passes through the
routing nodes, the corresponding entries in the bit-vector are set to one. When the packet
reaches the destination node the bit-vector is extracted from the packet and attached to the
acknowledgement packet that is sent back to the source node, and also this extracted bit-vector
is stored in the nodes bit-matrix. The size of the bit-matrix, i.e., the number of entries, is a
function of packets received and extracted.
Now, the source and destination nodes mine the bit-matrices to extract their MFSs, and both
nodes must obtain the same result, i.e., the same MFSs, used as common tokens between the
source and the destination.
The advantage of MFS mining algorithms is that they are tolerant, in the sense that if the
bit-matrix is changed slightly, intentionally or by accident, either in the source or in the
destination or in both, the same MFSs are obtained in the source and destination nodes. At
the same time, if any node other than the source or destination tries to build and mine its own
bit-matrix, different MFSs are obtained. This difference in MFSs is brought about by the fact
that mining is applied to different bit-matrices.
In addition to the end-nodes, any routing node may also extract the bit-vectors of passing
packets for an interval of time and may cache them in its bit-matrix. This means that the
routing node does not need any request or permission from any other node to perform these
activities. KDTM does not increase the network trafc by inducing control packets as is the
case with other key distribution schemes.
A summary of KDTM steps are shown below:
Nodes synchronization: Nodes should be at least loosely synchronized. There are several
distributed algorithms for synchronization (Lamport, 1987; Simons et al., 2006)
The sender node attaches a bit-vector to each sent packet.
The receiver deattaches the bit-vector of each received packet and rstly, caches it to its
bit-matrix; secondly, attaches it to the corresponding acknowledgement to be sent to the
source/sender.
The sender deattaches the bit-vector of each received acknowledgement and add it to the
corresponding bit-matrix of the sending node.
Later, the two parties, the sender/the receiver, trigger the mining algorithm to mine
bit-matrices using either Mining Rate or Step as a threshold. The resultant MFS obtained,
is used as the secret key. Full details of the steps can be obtained from algorithm 2.
Blackhole attacks do not affect the new KDTM. Blackholes either dump the data packets on
their way to the destination or dumps the acknowledgement on their way to their source. In
the rst scenario, the bit-matrices at the end nodes are not affected and so is the MFS (key)
obtained from them. In the second scenario, because the source does not receive the ACK the
source retransmit the packet. At the destination, since the retransmitted packet has the same
id as the previous packet a swap is performed in the corresponding entries in the bit-matrix.
This swap is equivalent to dropping one of the two similar bit-vectors in the bit-matrix. Since
there is utterly no difference between the source and the destination matrices the same MFSs
(key) are obtained.
Wormhole attacks do not affect KDTM. Wormhole leaks routed packets at a node to the
outside world. Still the MFSs built from the leaked packets is not the same as that of the end
nodes because not all trafc from the source to the destination pass through the same route.
KDTM is immune to Man-in-Middle (MI M) attacks. In passive MI M attack, the malicious
node just builds and mines its bit-matrix, however, the resultant MFS obtained is different
from that of the end nodes. Still in this situation, the MFS obtained at the end nodes is
not affected because MI M does not alter the bit-vector of both passing data packets and
passing ACK. Two scenarios are observed in active MI M attacks. The rst scenario, the
malicious node forges/modies the bit-vector of the passing data packets. This means the
same alteration is reected in both the bit-matrices of the end nodes. In the second scenario,
the MI M alters the bit-vector of the passing ACK. This means the same change is induced in
the source bit-matrix but not in the destination bit-matrix. The difference induced between
source and destination bit-matrices is insufcient, because a small number of ACK pass
through the same route; and therefore, the same MFS obtained at the end nodes.
Notably, active MI M can be identied through checking of bit-vector by routing nodes before
sending it to the next node; and if any node discover that its bit (or the bits of her neighbors
who have not received the packet) is changed, then this node should send a warning message
to the other nodes in the MANET that there is an active MI M in the network.
Simulation results show that KDTM is tolerant, in that adding/deleting bit-vectors randomly
to/from bit matrix up to 30 % does not change the resultant MFS. Further more, KDTM
allows concatenating several MFSs or keys in a bid to develop a stronger key.
KDTM may applies Nitins watch dog and Pathrater concepts to eliminate malicious
nodes in the transmission range of the end nodes so that the extracted key is not
compromised (Kyasanur & Vaidya, 2003).
KDTM is a new cross layer key distribution scheme, which extracts MFS from network layer
to be used in other layers, for instance, the application layer.
6.3 Key revocation
Key disclosure is very frequent in MANET. There is no guarantee that the route between the
communicating nodes is free of malicious nodes.
In contrast to using static long-term keys, dynamic short-term cryptographic keys can be
used to minimize the availability of ciphertext, encrypted with the same key, and therefore,
making it difcult to compromise the key (Menezes et al., 1996). Accordingly, key renewal is
compulsory to reduce the amount of disclosed packets in case the key is compromised. In the
new method, key renewal, not affected by any other factor and is very simple because the key
is mined as long as there is trafc, may be done at any time.
Key can be changed periodically between the two communicating nodes. The parameters
such as Support , Mining Rate and step threshold may be changed to mislead the MI M.
This is somehow similar to frequency hopping in wireless communication used for security
purpose.
The next two sections analyze mathematically and experimentally the new framework.
n = 0 C(0, 0)
n = 1 C(1, 0) C(1, 1)
n = 2 C(2, 0) C(2, 1) C(2, 2)
n = 3 C(3, 0) C(3, 1) C(3, 2) C(3, 2)
... ... ... ... ... ...
n = n C(n, 0) C(n, 1) ... ... C(n, i 1) C(n, i)
Fig. 7. Pascal triangle
6.4 Mathematical analysis of the new framework
One of the main features of Apriori algorithm is tolerance, in the sense that arbitrarily adding
some rows (bit-vectors) with random values to the data set (bit-matrix) does not affect the
end result (outcome), and therefore, the same MFS is obtained. Further more, deleting some
rows (bit-vectors) randomly from a data set (bit-matrix), does not change the output of the
algorithm. At the same time, it is very difcult to guess the output of the algorithm without
acquiring the whole bit-matrix.
The algorithm can be applied on three different types of trafc. The rst type is the data
trafc. The algorithm extracts the MFSs from the bit-matrix of bit-vectors of data packets.
The second type is the acknowledgement trafc and the third type is a mixture of data and
acknowledgement packets.
Consider a MANET with a set of n nodes. The output of Apriori algorithm is MFSs in an
increasing order and without repetition. The number of ways to form MFS of length i is:
C(n, i) (1)
in 100 150 200 250 300 350 400 450 500 550 600 ...
03 2
18
2
20
2
21
2
22
2
23
2
23
2
24
2
24
2
25
2
25
2
25
...
04 2
23
2
25
2
27
2
28
2
29
2
30
2
31
2
31
2
32
2
32
2
32
...
05 2
27
2
30
2
32
2
33
2
35
2
36
2
37
2
38
2
38
2
39
2
39
...
06 2
31
2
35
2
37
2
39
2
40
2
42
2
43
2
44
2
45
2
46
2
46
...
07 2
35
2
39
2
42
2
44
2
46
2
47
2
49
2
50
2
51
2
52
2
52
...
08 2
39
2
43
2
47
2
49
2
51
2
53
2
54
2
56
2
57
2
58
2
58
...
09 2
42
2
47
2
51
2
54
2
56
2
58
2
60
2
61
2
63
2
64
2
64
...
10 2
46
2
51
2
55
2
59
2
61
2
63
2
65
2
67
2
68
2
70
2
70
...
11 2
49
2
55
2
60
2
63
2
66
2
68
2
71
2
72
2
74
2
76
2
76
...
12 2
52
2
59
2
64
2
68
2
71
2
73
2
76
2
78
2
79
2
81
2
82
...
13 2
55
2
63
2
68
2
72
2
75
2
78
2
81
2
83
2
85
2
87
2
87
...
14 2
58
2
73
2
72
2
76
2
80
2
83
2
85
2
88
2
90
2
92
2
93
...
15 2
61
2
76
2
76
2
80
2
84
2
87
2
90
2
93
2
95
2
97
2
98
...
16 ... ... ... ... ... ... ... ... ... ... ... ...
Higher Security

H
i
g
h
e
r
S
e
c
u
r
i
t
y
Table 5. A combinatoric relationship (C(n, i)) between n and i, where n number of nodes
and i length of MFS.
Accordingly, all the possible ways to form an MFS of variable length i is:
C(n, 2) + C(n, 3) +... + C(n, i) +... + C(n, n 1) + C(n, n)
(where 2 i n)
(2)
See gure 7, the sum of the nth row of Pascal triangle is given by (Mott et al., 1992):
C(n, 0) + C(n, 1) + C(n, 2) +. . . + C(n, i)+... + C(n, n 1) + C(n, n) = 2
n
(3)
From 2 and 3, the total number of ways is:
C(n, 2) +. . . + C(n, i) +... + C(n, n 1) + C(n, n) = 2
n
(n +1) (4)
If i = 2, then the source and the destination are neighbors, that means no intermediate nodes.
If i = n then the topology is chained.
Equation 4 assumes that the MFS may contain any number of nodes not exceeding n. In fact,
this may be correct in one case only, a chain network topology. For example, queue of soldiers
following their commander.
The number of routing nodes related to several factors, namely the routing protocol,
sending/receiving range, and so on.
6.5 Experimental analysis of the new framework
In this section, the length of MFSs that are used as tokens (keys), is measured experimentally.
The NS2 simulator is utilized to generate different scenarios. Same parameters that are used
in sections 4and 5, and listed in table 4, are used in this section except for the density of nodes.
In reference to the density of nodes in MANET, Royer (Royer et al., 2001) shows that the
optimum number of neighbors, for 0 m/s mobility or stationary nodes, is around seven or
eight per node. This number differs only slightly from what Kleinrock proved for a stationary
network (Kleinrock & Silvester, 1978). The density of nodes in wireless network is given by:
Density (8 f or optimal) = n ( R
2
)/(X Y)
where R is the radio transmission range of the node; X and Y are the dimensions of the terrain
area, whose area is dened by product X Y.
Tables 5 and 6 show that the bigger the size of MFS, the safer or more secure is the key
obtained. In reference to table 6, the evaluation of average size of MFS eliminates short
distances, i.e., distances less than ve nodes for AODV and DSR protocols.
For example, the average length of the key (MFS) is i =15, which corresponds to the strength
of the key of C(300, 15) =2
84
, using the following parameters for simulation: NMS = 10 m/s;
mining rate =5 s; number of nodes = 300; terrain area = 27002700 m
2
; Support =40 %;
routing protocol is DSR; and data trafc.
Table 6. The average length of MFS.
6.6 Outstanding features of the new Scheme
Several features make the new scheme more effective, more exible, more tolerant and more
secure than the present key distribution schemes in MANET. These features include:
Robustness: The protocol is exible and works in all circumstances, In other words,
the absence of any number of nodes in the network topology at any time does not
affect the the new protocol. All nodes in other schemes, such as schemes proposed
by (Becker et al., 1998; Burmester & Desmedt, 1994; Kim et al., 2001), should be online
before the key establishment process is completed (Chan, 2004).
Transparency: The new scheme is transparent and works in all scalable routing protocols.
Packet Size Independence: The new security protocol is independent of the packet size and
type. In other words, it operates on all types of trafcs, such as data, acknowledgement and
control.
Key Revocation and Renewal: The key can be renewed or removed any time even before its
expiry time. These activities reinforce the security of the key.
Overhead at Intermediate Nodes: The new scheme has low overhead on intermediate
nodes, achieved through eliminating cryptographical checking of packets at intermediate
nodes. The present schemes which use public key cryptography have high overhead on
intermediate nodes.
Scalability: The new scheme allows the number of nodes to be adjusted. Notably, the bigger
the number of nodes in the network the bigger the number of ways to choose MFSs and the
higher the security.
Time and Space Complexities: Experimental results of the new protocol show that the
time-complexity of the protocol for MANETs is of second order. These complexities depend
directly on the number of node (MANET size), the distance (in terms of number of nodes)
between the communicating nodes, and the speed of ARM algorithms used. The space
complexity is Sizeof(bit-vector) * Numberof (bit-vectors), where bit-vectors is equivalent to
the number of contributing packets.
Message Complexity: The new scheme has a message complexity of zero for all routing
protocols. For source routing protocols such as DRS , which need not attach the bit-vector
at all because each data packet has its route; still the message complexity is zero. Even
for other protocols the complexity is zero because the bit-vector is attached to packets, and
therefore, no security-dedicated packets are sent.
Fault Tolerance: The failure of a number of nodes does not affect the new protocol because
the same bit-entries are dropped from all bit-vectors.
Adjustability: The new scheme is adjustable. For instance, Apriori is tunable through
the Support parameter of MFS, size of bit-matrix and bit-vector extraction time. It is not
necessary to attache bit-vector to each packet.
7. Conclusion and future research directions
KDTM, a cross layer scheme, shows that MANET trafc in the third layer is raw material
that can be mined and utilized in other layers. In addition, the scheme shows how to collect
dynamic data from complex and chaotic MANET with large population of mobile nodes and
convert it into knowledge. The algorithm mines the MFS patterns through ARM technique
employing two methods TAR and SAR mining.
The new concepts generated by KDTM and this chapter as a whole can be extended in several
ways. Described below are some of the possible enhancements and extensions:
Security Enhancement: MANET mining techniques can be used in identifying
malfunctioning or blackholes or compromised nodes in MANETs through analyzing
the MFSs. Such nodes, if identied by a number of other nodes in MANET, are
discarded/excluded from the list of trusted nodes.
Maximizing the Network Life Span: Energy conservation is of paramount importance
in MANET, therefore, uniform energy consumption of nodes increases considerably the
lifetime of the network. MFS can be used to identify active and dormant nodes. Dormant
nodes in MANET increase the workload on active nodes and thereby decreasing their
lifespan. It is therefore evident that decreasing the number of dormant nodes translates
into increasing the life span of the MANET. Accordingly, MFSs may be considered as a life
span metric.
Load Balancing: Heavily-loaded nodes may become a bottleneck that lowers the network
performances through congestion and longer time delays. MFSs can be used as an indicator
to avoid over utilized nodes and select energy rich nodes for routing.
Activity Based Clustering: Similar to other clustering metrics, like power, distance and
mobility, among others, node activity levels can be considered as a metric for cluster
formation. Nodes belonging to one MFS (pattern) are most likely connected and can be
used as a cluster. Another metric for clustering is the Support parameter, i.e., the higher the
Support level the higher the relationship among the routing nodes.
Routing and Multicasting: Nodes belonging to one MFS are most likely connected.
Accordingly, delivery or sending of packets is guaranteed amongst nodes in the same MFS.
Applying Different Association Rules Mining Types: This chapter applies positive
association rules mining techniques that mine binary attributes and considers that the
utilities of the itemsets are equal. The frequency of an itemset may not be a sufcient
indicator of interest. Non-boolean fuzzy association rule mining such as weighted/utility
association rules, may nd and measure all the itemsets whose utility values are beyond
a user specied threshold that suggest different decisions. For example, in battleeld a
commander can give higher weight/utility to his higher rank commanders and less weight
to soldiers in order to nd the hidden relationships (rules) amongst them. These rules may
give an idea about soldiers who are in touch with each other, with commanders, and so on.
Wireless Sensor Networks (WSN) has the inherent characteristics of MANETs, and
therefore, the aforementioned benets of using MFS in MANETs may also be applicable
in WSN.
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0
Wired/Wireless Compound Networking
Juan Antonio Cordero
1
, Emmanuel Baccelli
1
,
Philippe Jacquet
1
and Thomas Clausen
2
1
INRIA Saclay
2

Ecole Polytechnique
France
1. Introduction
Routing, and more precisely routing within an Autonomous System (AS), is the most basic
and still outstanding wireless ad hoc networking challenge. As the properties of ad hoc
networks are a priori unpredictable and may change dynamically during the lifetime of the
network, no assumptions can be made in general concerning topology, link reliability, routers
positions, capabilities, and other such aspects. Routing protocols operating within an AS
i.e. interior gateway protocols (IGP) must enable each router to acquire and maintain
the information necessary to forward packets towards an arbitrary destination in the routing
domain. Currently, the dominant IGP technology is link state routing, as acknowledged by
reports of Cisco Systems, Inc. such as Halabi (2000).
Routing protocols that were designed for wired, static environments do not perform well
in ad hoc networks: even for small networks, as Henderson et al. (2003) points out, control
trafc explodes in a wireless, dynamic context. Many efforts have been deployed over the last
decade, aiming at providing routing protocols suitable for ad hoc networks. In such context,
information acquisition and maintenance has to be provided by distributed mechanisms,
since neither hierarchy nor centralized authority can be assumed to exist. Moreover, the
typical bandwidth scarcity experienced in wireless ad hoc networks calls for mechanisms
that are extremely efcient in terms of communication channel utilization. In the realm of
link-state routing two main strategies have been explored: (i) the design of ad hoc specic
routing protocols; and (ii) the reuse and adaptation of existing generic routing protocols so
that they can handle ad hoc conditions. The rst strategy has mainly led to the emergence
of the Optimized Link State Routing protocol, OLSR, standardized as RFC 3626 (2003). The
second approach has led to protocol extensions such as RFC 5449 (2009), which enable the
operation of Open Shortest Path First (OSPF) on ad hoc networks.
This chapter focuses on scenarios where the AS consists in compound networks: networks
gathering both potentially mobile ad hoc routers, and xed wired routers. Such scenarios
may become frequent in a near future where wireless ad hoc and sensor networks play an
increasing role in pervasive computing. Obviously, it is possible to employ multiple routing
protocols within a compound network (e.g. one for wireless ad hoc parts of the network,
and another for the wired parts of the network). However, a single routing protocol makes
more economical sense for the industry, and furthermore avoids the potential sub-optimality
of having to route through mandatory gateways between different routing domains. Thus a
single protocol is desired to route in compound networks, and (ii) is deemed the best strategy
16
to do so. The main reason for this is, that (ii) takes advantage of wide-spread, generic protocols
which on one hand already provide very elaborate modules for various categories of wired
networks, and on the other hand can easily accommodate a newmodule for efcient operation
on ad hoc networks.
This chapter thus explores techniques that enable efcient link state routing on compound
networks. These techniques rely on the selection and maintenance of a subset of links in
the network (i.e. an overlay) along which the different operations of link-state routing can
be performed more efciently. The following provides a formal analysis of such techniques, a
qualitative evaluation of their specic properties and example applications of such techniques
with a standard routing protocol.
1.1 Terminology
In this chapter, the following notation is used:
The 1-hop and 2-hop (bidirectional) neighborhoods of a router x are denoted by N(x) and
N
2
(x), respectively.
The usual notation of graph theory is assumed: G = (V, E) stands for a (connected) network
graph, in which the set of vertices is V = V(G) and the set of edges is E = E(G). Overlay
subgraphs are denoted accordingly, as subsets of G.
Given two vertices (routers) x, y V, dist(x, y) is the cost of the optimal path between x and
y. Similarly, given two vertices x, y V reachable in 2 hops, it will be denoted by dist
2
(x, y)
the cost of the optimal path between x and y in 2 hops or less (local shortest path). For two
neighbors x and y, m(x, y) = m(xy) denotes the cost of the direct link from x to y.
1.2 Chapter outline
The chapter is organized as follows. Section 2describes the key operations providing link-state
routing. Section 3 elaborates on the constraints that ad hoc networking imposes on link-state
routing, with a specic focus on compound networks. Section 4 introduces to the notion of
overlay for performing these key operations, analyzes the properties of several overlay-based
techniques and discusses their advantages and drawbacks of their use in the context of a
concrete routing protocol. Section 5applies and evaluates the performance of such techniques
as ad hoc OSPF extensions. Finally, section 6concludes this chapter.
2. Communication aspects in link-state routing
This section provides a structural high-level description of the operations of link-state routing.
Section 2.1 presents a short summary of link-state routing. Sections 2.2, 2.3 and 2.4 describe
in more detail the main tasks associated to such operation: neighbor discovery, network
topology dissemination and route selection for data trafc, respectively.
2.1 Link-state routing overview
Link-state routing requires that every router learns and maintains a view of the network
topology that is sufciently accurate to compute valid routes to every possible destination.
This, typically (as for OSPF or IS-IS
1
), in form of shortest paths w.r.t. the metrics used.
Such shortest paths are computed among the available (advertised) set of links by means
1
Intermediate-System-to-Intermediate-System, specied in ISO 8473 (2002).
of well-known algorithms such as Dijkstra (1959), and will provide effectively optimal routes
when the view of the topology is up to date.
These objectives require that every router in the network performs two operations, other than
the shortest path computation: rst, take efcient ooding decisions for the forwarding of
topology information messages; and second, describe accurately its links in order to advertise
them to the rest of the network. Three tasks emerge thus as necessary for the performance of
link-state routing operation:
1. participation in the ooding of topology information (both of self-originated messages and
of messages from other routers),
2. selection of links to advertise to enable shortest route construction and,
3. discovery and maintenance of the neighborhood, as a pre-requisite for the two previous
tasks.
2.2 Neighbor discovery and maintenance
The discovery and maintenance of neighbors is a prerequisite for performing efcient
link-state routing. Without neighborhood knowledge, link-state routing can only be deployed
by means of pure ooding, which has been proven by Ni et al. (1999) to be dramatically
inefcient when dealing with ad hoc networks (the broadcast storm problem); or with
counter-based or similar approaches, which have severe performance limitations, as shown
in Tseng et al. (2003). The most widespread and basic mechanism for neighbor sensing
consists of the periodic transmission of Hello packets by every router in the network (Hello
protocol). Exchange of such Hello packets enable routers to learn their neighborhoods and
establish bidirectional communication, if possible, with neighbors within its coverage range.
Aside from this use, Hello exchange may be useful for acquiring additional information
about the neighbors (geographic position, remaining battery power, willingness to accept
responsibilities in communication), the links to them (link quality measures) or the neighbors
of such neighbors (2-hop neighborhood acquisition).
2.3 Topology information dissemination
Consistency of the distributed LSDB and correctness of routing decisions require that every
router maintains an updated view of the network topology. When a router detects a relevant
change in its neighborhood, it needs to advertise it by ooding a topology update message,
so that any other router can modify accordingly its link-state database and, if necessary,
recalculate optimal routes.
In ideal conditions
2
, such mechanism would be sufcient for keeping identical LSDBs in
every router in the network. Since these conditions are not found in wireless ad hoc scenarios,
additional mechanisms might be considered:
Reliable ooding of topology messages. Reception of such messages is acknowledged
by the receiver, or retransmitted by the sender/forwarder in the absence of such
acknowledgment, in a hop by hop fashion. Reliable ooding is provided by the main wired
routing protocols (OSPF, IS-IS), but its cost in mobile ad hoc networks discourages its use
in MANET-specic solutions such as OLSR.
Periodic re-ooding of messages. After a certain interval, even if no changes have
been registered in the neighborhood, the routers reood to the network an advertisement
2
That is, static, always-connected networks in stationary state with error-free links.
351 Wired/Wireless Compound Networking
containing the current state of the links between themselves and their neighbors. The length
of the interval is typically related to the mobility pattern of the network: the faster nodes
in the network move, the shorter the interval between consecutive topology messages from
the same source needs to be.
Point-to-point link-state database synchronization. A link between two routers is said
to be synchronized when the routers have completed a synchronization process of their
respective LSDB. This involves the exchange of the database contents and the installation of
the most updated topology information in each of them. This mechanism is implemented
in the major wired routing protocols (OSPF, IS-IS), but the conditions in which such
synchronization is performed are not completely adapted to mobile ad hoc operation.
Therefore, the mechanism as-is is not considered in specic protocols such as OLSR, and
its use is widely restricted, for instance, in the different OSPF MANET extensions.
These mechanisms handle different issues concerning topology dissemination. Reliable
transmission permits overcoming phenomena such as wireless channel failures or collisions.
Periodic re-ooding and point-to-point synchronization provide up-to-date topology
information to routers appearing in the network after some of the disseminated messages
were ooded across the network. Periodic reooding by itself enables every router to
acquire the latest topology information (maybe with a non-negligible delay, depending on
the re-ooding interval). In contrast, full synchronization is not capable on its own to assure
database convergence fromall routers in link-state routing
3
. Point-to-point synchronization is,
at best, a complementary mechanism to periodic re-ooding that allows a router that has not
received all the topology updates to get within a shorter delay the last topology information
from an updated neighbor.
Synchronization techniques implicitly introduce the concept of a synchronized overlay. Arouter
is included into the synchronized overlay if it is aware of the last topology update messages
that were ooded across the network, and, correspondingly, it is removed from the overlay
when it does not receive one of more topology information messages. In that context, the
periodic re-ooding of topology messages permits including every reachable router into the
network within a maximum delay equal to the interval between two consecutive reoods.
Point-to-point LSDB synchronization between a router and a synchronized neighbor permits,
in turn, including routers immediately into the overlay (by means of the database exchange
process), i.e., to restore or establish for the rst time the routers synchronism with the rest of
the network.
In wired networks, the synchronized overlay is expected to grow monotonically until it
contains all routers then the network is said to converge. Router removals from the
synchronized overlay are rare events mostly caused by physical link disconnections or router
shut-downs. In ad hoc networks, the nature of the synchronized overlay is far more unstable.
Alternative inclusion and removal events may thus occur due to router mobility or wireless
link quality variations, preventing the network to converge in the usual sense.
2.4 Route selection for directed communication
The nal goal of any routing protocol is that every router is able to route trafc to any other
router (and any destination provided by such router) in the network. For a link-state routing
3
This is different, for instance, in proactive distance-vector routing, in which the network is expected
to converge through repeated database synchronization processes. In the considered link-state context,
synchronization occurs once in a link lifetime, which is not sufcient for assuring convergence.
protocol, such ability is provided by disseminating the topology updates of all routers across
the network. Such dissemination permits every router to construct and maintain updated
routing tables, as Figure 1 describes schematically.
Flooded topology
acquisition
Point-to-point
synchronization
Link-state Database
(LSDB)
Shortest Path Tree
(SPT)
Routing table
Fig. 1. Construction of the routing table for a link-state routing protocol.
The tree of the optimal routes to every destination (Shortest Path Tree) is then computed
by means of well-known minimum paths algorithms. Typically, link-state routing protocols
(OSPF, IS-IS, OLSR) use Dijkstra (1959), while distance-vector protocols (RIP
4
, EIGRP
5
) rely
on Bellman-Ford [Bellman (1958); Ford & Fulkerson (1962)]. These algorithms operate over a
graph in which vertices correspond to routers in the network and edges mostly correspond
to links advertised by the received topology update messages
6
. The routing table is thus
extracted from the next hop, according to the Shortest Path Tree, to every possible destination.
In general, the reconstructed link-state database should bring every router exactly the same
perspective of the network topology, which would require that all links are advertised. In
practice, the set of links that a router advertises to the rest of the network can be restricted as
far as it does not prevent the shortest path algorithm to select network-wise optimal routes.
3. Link-state routing with ad hoc constraints
This section exposes the main challenges for link-state routing in ad hoc networks. These are
mainly related to (i) the efcient dissemination of topology information across the network,
in presence of lossy channels and dynamic topologies as is typical in these networks, and (ii)
the ability of the network to acknowledge and react quickly to topology changes. Section 3.1
presents the most relevant implications of the ad hoc nature in the performance of link-state
routing, while section 3.2 focuses on the specic case of compound networks integrated by
wired and wireless groups of routers.
3.1 General issues of ad hoc link-state routing
Wireless ad hoc networking presents a certain number of unique communication conditions
that link-state routing needs to accommodate:
Unreliability of wireless links. Wireless links are inherently unreliable: channel failures
and collisions are more frequent than in wired links. Wireless link quality can be also
highly dynamic. Both circumstances make necessary continuous monitoring of the state
and characteristics of links.
4
Routing Information Protocol, specied in RFC 1058 (RIPv1), RFC 1723 and RFC 2453 (RIPv2) and
RFC 2080 (RIPng, designed for IPv6).
5
Enhanced Interior Gateway Protocol, Cisco proprietary routing protocol that improves Ciscos
previous IGRP.
6
Not necessarily all edges have been acquired by means of topology update messages. Section 4
explores some techniques in which some additional edges, not advertised in such messages, might be
included as well.
Semibroadcast nature of wireless multi-hop communication. Wireless communication
entails shared bandwidth among not only the routers participating in the communication,
but also those within the radio range of the transmitting routers. This reduces drastically
the available bandwidth for a router, since it is affected by the channel utilization of its
neighbors. Applications may take advantage of such bandwidth sharing phenomenon by
privileging, when possible, multicast transmissions in place of a unicast (point-to-point)
approach that no longer corresponds to the physical conditions of communication.
Asymmetry and non-transitivity of links. Semibroadcast communication also implies that
the set of nodes receiving a transmission if not (necessarily) the whole network. Moreover,
the set of nodes receiving a transmission may be different for two routers, even when such
routers are neighbors. This means that wireless links in a multi-hop ad hoc network cannot
be expected to be transitive: the fact that a router x can directly communicate with routers
y and z does not imply that routers y and z can also communicate directly (x y, y z
x z). Asymmetric links (i.e., links in which a router can hear the others transmissions, but
not the other way around) are also possible due to specic channel conditions or different
router capabilities.
Topology acquisition and maintenance. Neither hierarchy nor specic routers
relationships can be a priori assumed in an ad hoc network. Dynamic conguration of
hierarchical schemes becomes unfeasible due to difculties on electing top-level routers
(related to non-transitivity of links) and cost of performing hierarchy recompositions
(caused by node failures, node mobility or channel quality variations). Distributed
approaches are thus encouraged in place of hierarchical ones. Moreover, unreliability of
wireless links makes necessary to complement topology dissemination with a periodic and
frequent reooding of topology messages that ensures that nodes acquires the last updates
with a relatively short delay.
3.2 Dissemination in compound networks
In addition to wireless ad hoc routers, compound networks also contain wired static
components, for which the typical link lifetime is much higher than for standard ad hoc
communications. The coexistence of wired and wireless ad hoc components poses some
additional constraints to those presented in the previous section 3.1. Frequent ooding
updates from the wired components lead to inefcient use of the available bandwidth, as
the information about wired links carried by consecutive messages would be unchanged.
Low update frequencies (with intervals in the order of wired networks) may however
be insufcient to accommodate communication failures in the wireless and/or mobile
components of the network.
Link synchronization between selected pairs of neighboring routers (in addition to topology
changes ooding and periodic topology reooding) helps to alleviate this issue. Point-to-point
link synchronization enables highly dynamic routers to acquire updated topology information
from wired links even long time after its origination, without requiring frequent reoods of
the same link-state description by the corresponding wired (stable) source.
Consider Figure 2, where xed routers (1 and 2) can handle changes in their wired (stable)
links by transmitting topology updates at relatively low rate (with the time interval between
updates in the order of minutes). Mobile routers (such as 5, 6 and 7) and, more in general,
routers maintaining wireless links (also the hybrid routers 3 and 4) should use signicantly
lower time intervals (in the order of seconds, depending on their mobility pattern). If, for any
reason, a mobile router (such as 5, 6 or 7) did not receive a topology update from a wired one
as router 1, it will be unable to update its LSDB until the next ooding from the wired router,
failing at computing valid routes that involve that router in the meanwhile.
1
5
2
3
4
7
6
Legend
Fixed node
Mobile node
Wired interfaces
Wless. interfaces
Wired/wless. ifaces
Wired link
Wireless link
Fig. 2. Example of compound (wired/wireless) network.
The inclusion of a LSDB synchronization mechanism addresses the coexistence of wired and
wireless components without having to reood unnecessary topology updates from wired
routers nor compromising the accuracy of network topology view of ad hoc (mobile) routers.
This, at the expense of an additional dissemination mechanism(in addition to regular ooding
of topology changes and periodic topology reooding) and the corresponding additional
complexity in the ooding operation.
4. Overlay techniques for compound networks
This section proposes and analyzes various techniques for performing link-state routing in ad
hoc compound networks. Section 4.1 introduces the notion of overlay and reformulates the
main operations of link-state routing in terms of overlays. Subsequent sections 4.2, 4.3 and 4.4
describe three overlay-based techniques (Multi-Point Relays, Synchronized Link Overlay and
Smart Peering, respectively) and analyze their most relevant properties, both from theoretical
and experimental (simulation-based) perspectives.
4.1 The notion of overlay
The three main operations of link-state routing in ad hoc networks can be reduced to overlay
denition problems. Intuitively, an overlay of an ad hoc network is a restricted subset of routers
and links of the network in which a certain operation is performed. More formally, the overlay
of a network graph G = (V, E) corresponds to a subgraph S G containing a subset of vertices
V(S) V(G) = V and a subset of links E(S) E(G) = E of the underlying network graph G.
In an ad hoc network, link-state routing operations are performed locally (independently by
every router in the network) and thus, the corresponding overlays are built in a distributed
fashion and may change dynamically during the network lifetime. Three different types of
overlays can be identied, one for each of the following operations:
Topology update ooding. The ooding overlay has to be dense (in the mathematical
sense) in every of its connected components meaning that, in case the overlay is not
connected, each of its pieces is at distance 1 (number of hops) of every router in the
network. This condition guarantees that a topology update generated in any of such
components reaches all routers. Due to the impact of any additional router in the ooding
overlay (an additional transmission, and the corresponding utilization of the channel of all
its neighbors for every topology update generated in the network), the size of such overlay
should be minimized.
Point-to-point synchronization. The synchronized overlay contains links between those
routers having exchanged their LSDBs. Formally, such overlay needs to form a spanning
connected subgraph of the general network graph
7
, in order to facilitate the distribution
of the LSDB over the whole network. The number of LSDB synchronization processes
induced by a synchronized overlay is related to the overlay density (the number of
links in the overlay), and also depends on the lifetime of the synchronized links (given
that synchronization is performed once during the existence of the link). Therefore,
minimization of overhead caused by LSDB synchronization requires a low density overlay
with stable links.
Topology selection. In wired deployments, all links are typically advertised to ensure that
all routers in the network have an identical view of the network topology. In wireless ad
hoc networks, this condition is often relaxed, and every router is only expected to acquire
a consistent topological view of the network accurate enough to perform correct route
computation. Hence, selection of advertised links trades-off the size of the topology update
messages and the accuracy of the topological view of the network in all routers. A topology
selection rule must, however, produce a connected and spanning subgraph (otherwise there
would be non-reachable destinations) and whose set of edges contains all network-wide
shortest paths otherwise the computation would be asymptotically suboptimal
8
.
Table 1 summarizes the requirements of each operation to the corresponding overlay.
Graph / Overlay Topology requirements Minimization targets
Full Network G = (V, E) Connected -
Flooding G
F
= (V
F
V, E
F
E) Dense for every conn. cp. Number of links
Link-State DB G
S
= (V, E
S
E) Connected and spanning Number of links &
Synchronization link change rate
Advertised Links G
R
= (V, E
R
E) Connected and spanning Link change rate
(topology selection) Includes sh.-paths of G
Table 1. Summary of overlay requirements.
4.2 Multi-point relays MPR
Multi-Point Relaying (MPR) is primarily a technique for efcient ooding. It reduces the
number of required transmissions for ooding a message to every 2-hop neighbor of the
source by allowing a restricted subset of 1-hop neighbors (multi-point relays of the source) to
forward it. Figure 3 illustrates that a clever election of 1-hop neighbors as relays can achieve
the same coverage as allowing every 1-hop neighbor to transmit (pure ooding, see Fig. 3.a)
while reducing signicantly the number of redundant transmissions.
The subset of selected relays must satisfy the condition of full 2-hop coverage:
MPR coverage criterion Every 2-hop neighbor of the computing router must be reachable by
(at least) one of the selected multi-point relays.
Therefore, an MPR set of a router x can be formally dened as follows:
R(x) N(x) is an MPR set of x z N
2
(x), y R(x) : z N(y) (1)
7
I.e., has to include every vertex (router) in the network.
8
In real conditions, the computation may be suboptimal due to stale topology information,
transmission failures and such. Asymptotic suboptimality implies that even in ideal conditions (message
transmission delay 0, collision probability 0, channel failure probability 0) the computation
would be suboptimal.
Fig. 3. (a) Pure ooding vs. (b) ooding based on the Multi-Point Relays (MPR) principle.
Solid dots in (b) represent multi-point relays.
Different heuristics can be used for selecting multi-point relays, all valid as long as they
satisfy the MPR coverage criterion. This chapter uses the heuristic in Figure 4, presented
and analyzed in Qayyum et al. (2002).
MPR(x) = {}
MPR(x) {y
excl
N(x) : y
excl
provides exclusive coverage to one or more 2-hop neighbor(s) of x}
while( uncovered 2-hop neighbors of x),
MPR(x) y N(x) : y covers the maximum # of uncovered 2-hop neighbors of x
Fig. 4. Summary of the MPR heuristic.
This heuristic assumes that the source is aware of its 2-hop neighbors. Acquisition of the 2-hop
neighborhood is thus required. Dependence on 2-hop neighbors has yet another side effect on
the MPR properties: given that an MPR selection may become obsolete due to a change in the
2-hop neighborhood of the computing source, stability of the MPR set is not only affected by
conditions in MPR links
9
, but also by the MPR recalculations due to changes within the 2-hop
neighbors or they way in which they are connected to the 1-hop neighbors of the source (see
Figure 5). Such sensitiveness of the MPR set of a router to variations in its 2-hop neighborhood
has further implications for the MPR overlay that will be further detailed in section 5.
S
1
2
3
4
5
6
7
S
1
2
3
4
5
6
7
6
t=t
0
t=t
1
Fig. 5. MPR recalculation due to changes in the 2-hop neighborhood. Solid dots represent relays
of router S.
4.2.1 MPR as a ooding overlay principle
MPR ooding introduces a directed overlay for every ooded message, by allowing a router
to forward such message if and only if the following two conditions are satised:
9
An MPR link is a link connecting a router to one of its multi-point relays.
1. the message comes from a MPR selector (that is, a neighbor that has selected that router as
multi-point relay), and
2. it is the rst time the message is received in that router.
Note that condition (2) ensures that the ooding process terminates in a nite number of
steps. The (re)transmission of a message by a router triggers a number of retransmissions for
which an upper bound is the number of multi-point relays (MPRs) of such router (see Fig.
12), and the process iterates recursively. The number of retransmissions triggered by a single
transmission is close to the size of the MPR set in the rst steps of MPR ooding. As the
ooding advances over the network, an increasing part of the MPR links of the transmitting
routers have already received the message and thus do not forward it again (condition (2)),
until the message reaches routers for which every neighbor has received a copy, and the
ooding terminates.
The ooding overlay formed by the MPR links of every router in an ad hoc network does not
need to be connected. Lemma 1 shows that each of its connected components (in case there are
several) are dense in the network. For proofs of the results presented in this section, as well as
for examples of disconnected MPR overlays, see Cordero (2010).
Lemma 1 Let G = (V, E) be a network connected graph, and H G the subgraph of G containing the links from
every vertex in the graph to all its MPRs. Then, every connected component of H is dense over G.
Note that this lemma addresses an asymptotic topological property of the overlay generated
by condition (1), depending only on the ad hoc network topology. Condition (2) is not
contradictory with this property by its own nature, since it removes from the overlay those
links which produce no additional coverage. Thus, the conclusion is valid also for the overlay
resulting from conditions (1) and (2).
4.2.2 MPR as a synchronized overlay
Multi-Point Relays can also be used for synchronization purposes. A link between two
neighbors becomes synchronized if any of its endpoints has selected the other as multi-point
relay. The overlay derived from this contains the same links as those described by condition
(1) of section 4.2.1. Unlike the ooding overlay, the MPR synchronized overlay is undirected.
This is due to the symmetric nature of the LSDB synchronization operation (see section 2.3),
and leads to a denser overlay (that is, with more links per router) than the MPR ooding one,
as it can be observed in Figure 12.
A synchronized overlay needs to be asymptotically connected
10
. This is not necessarily the
case for an overlay containing MPR links of all routers in the network, as it was pointed out
in section 4.2.1. Lemma 2 provides a sufcient condition for connecting the MPR overlay.
Lemma 2 Let G = (V, E) be a network connected graph, and H G the subgraph of G consisting of:
1. H
1
G: For every vertex x V, the edges from x to the neighbor vertices selected by x as MPRs.
2. H
2
G: For a certain s V, the edges from s to every neighbor of s.
Then, H is connected.
10
An overlay dened over a network is asymptotically connected if its denition ensures connection in
conditions of instantaneous transmission (delay 0), error-free and collision-free links (probability
of error/collision 0). Note that an overlay may be asymptotically connected, but not connected in
practice due to stale information stored in routers, loss of messages and such.
Under these conditions, the MPR-based overlay G
S
dened in (2) is asymptotically connected.
Despite fullling which topological condition, Multi-Point Relaying does not ll well in
the requirements for a synchronized overlay, as they were dened in section 4.1. The link
density (average number of links per node) of the MPR synchronized overlay, even without
considering any additional router s, is signicantly higher than the MPR ooding overlay
(see Figure 12, below). The reduction with respect to the full network overlay (bidirectional
links) is less than a 60%, even for dense networks. In following sections there are presented
techniques able to minimize in a higher degree the synchronized overlay.
V(G
S
) = V(G)
E(G
S
) = {xy E(G) : x MPR(y) y MPR(x) (x s) (y s)}
(2)
In addition to the high overlay density, the MPR synchronized overlay also presents a high
overlay link change rate. Changes in the 1-hop of 2-hop neighborhood of a router may
cause changes in the MPR set of such router (see Figure 5). This turns useless part of the
synchronized links (those connecting with neighbors that are no longer MPRs) and increases
the amount of synchronizations to perform (to newly elected MPRs), thus increasing the
overhead dedicated to maintain the synchronized overlay.
The persistent MPR synchronized overlay overcomes partially these issues. This overlay
includes, for each router, existing links to all neighbors that were elected as MPR by this
router, even if they were later removed fromthe MPR set. The persistent mechanismproduces
signicantly larger synchronized overlays (see Figure 13), but these persistent overlays are
more stable than the non-persistent ones. Section 5 empirically evaluates the impact of the
persistent mechanism in the size and stability of the MPR synchronized overlay (see Figs. 13
and 14).
4.2.3 MPR as a topology selection rule Path MPR
Section 4.1 points out that the main requirement for an overlay of advertised links (topology
selection overlay) is that it is a spanning subgraphs that contains the network-wide shortest
paths to all destinations.
Computation of shortest paths involves a metric, that is, a link cost function which gives sense
to the notion of shortest. But the MPRmechanismis dened in terms of coverage requirements,
rather than cost minimization objectives. It becomes thus necessary to translate the cost-based
optimality considerations in terms of optimal coverage, in order to reuse and extend MPR as
efcient topology selection mechanism.
This section elaborates on the Path MPR mechanism, based on the previously stated
conditions. Figure 6 displays the input/output block diagram of such approach.
Path MPR Selection
MPR Selection
Cost-Coverage
Translation
PathMPR(x)
N(x)
N
2
(x)
E
2
x
N(x)
N
2
(x)
E
2
x
Fig. 6. Block diagram for an MPR-based topology selection algorithm. E

2
x
E(G) stands for
the set of edges connecting vertices within x N(x) N
2
(x).
The cost-coverage translation block (see Fig. 6) extracts the subgraph of (local) shortest paths
from the 2-hop and 1-hop neighbors of x to x. Vertices of this subgraph include x, N
(x) and
N
2
(x), while the edges are represented by (E
2
x
)
. N
(x) extracts from N(x) those neighbors

for which the direct link from x is also the optimal (shortest) one; and correspondingly, N
2
(x)
extracts from N
2
(x) those neighbors for which the optimal path from x has 2 hops. Finally,
(E
2
x
)
contains those edges (links) of E

2
x
that participate in at least one shortest path from a
1-hop or 2-hop neighbor of x to x. The formal denition of the translation blocks output is as
follows:
(x) = {n N(x)|m(x, n) = dist

2
(x, n)} N(x)
N
2
(x) = {n N(x) N
2
(x)|n / N
(x), m N
(x) : m(n, m) + m(m, x) = dist

2
(n, x)} N(x) N
2
(x)
(E
2
x
)
= {nm E(G) : n N
(x), m N
2
(x), m(x, n) + m(n, m) = dist
2
(x, m)}
{xn E(G) : n N
(x)} E
2
x
From these denitions, it is immediate that the Path MPR mechanism, as dened in Figure 6,
returns a set of relays that provide (local) shortest paths from every 2-hop neighbor of x to x:
if a path p
zy
= {zy, yx} is not optimal, with y N
(x) and z N
2
(x), then yz will not belong
to E(S
x
). That ensures that this extension of MPR is able to select the local (2 hops) shortest
paths to the computing router x, given that every 2-hop neighbor of x is included in N
2
(x).
A topology selection mechanism based on the advertisement by each router of the Path MPR
set, as it has been dened, induces a network-wide overlay that contains, for every router x,
the 1-hop neighbors of x that provide shortest paths (in a 2 hop scope) from 2-hop neighbors
of x to x. The requirements for topology selection overlays identied in section 4.1 included
however:
Overlay connection.
Preservation of network-wide (and not only local) shortest paths.
Connection of an MPR overlay can be achieved (Lemma 2) by adding to the overlay all the links
maintained by a single arbitrary router. Lemma 3 shows that the overlay that results of adding
such additional router (the computing router itself, for Path MPR) contains network-wide
shortest paths from every destination of the network to the computing router:
Lemma 3 Let G = (V, E) be a connected network graph, an edge metrics function cost(e E(G)), a router s
V(G) and a subgraph G
s
= (V, E
s
) including:
1. the edges connecting s to its 1-hop neighbors, and
2. for every router x of the network, the edges from x to those 1-hop neighbors of x providing local shortest paths
from every 2-hop neighbor of x to x.
Then, the Dijkstra algorithm computed on a source router s over G
s
selects the shortest paths in G from the source
to every possible destination.
Note that, as other improvements are possible (such as including not only N(x) but also
N
2
(x)), the previous lemma states a sufcient condition for the asymptotic correctness of an
MPR-based topology selection overlay.
4.3 The Synchronized Link Overlay-Triangular SLO-T
The Synchronized Link Overlay (SLO) is an overlay-based technique inspired by the Relative
Neighborhood Graph (RNG), rst presented in Toussaint (1980). Given a set of points S in a
plane, the relative neighbor graph of S is the graph that results fromconsidering links between
points in S, except those connecting points for which there are points closer
11
to them than the
11
Even though RNG was originally dened for Euclidean distances (so the notion of close has to be
understood under such distance), it can be easily generalized to other metrics.
routers themselves to each other. Included links thus connect pairs of points {u, v} for which
the intersection of circles centered on u and v, with radius the distance from u to v, contains
no other points of S (see Figure 8, the intersection corresponds to the dotted region). More
formally, the relative neighbor graph of S is dened as follows:
RNG(S) = {xy, x, y S : z S : dist(x, z), dist(z, y) < dist(x, y)}
u v
Fig. 7. Link uv belongs to RNG(S) if the dotted region does not contain any other point of S.
where dist represents the standard, Euclidean distance in the plane. A similar principle is
used in SLO. A link of a network graph G = (V, E) is not synchronized under this rule if there
is a chain of common neighbors to both endpoints of the link such that the links in the chain
are cheaper (w.r.t. the metrics) than the considered link.
ab) / SLO(G) c
1
, c
2
, c
3
, ..., c
n
:
i n, c
i
N(a) N(b)
m(a, b) > max{m(a, c
1
), m(c
1
, c
2
), ..., m(c
n
, b)}
This section elaborates on a simplied version of the SLO, the Synchronized Link Overlay
Triangular (SLO-T). This version restricts the chain of intermediate common neighbors
{c
1
, c
2
, ..., c
n
} to a single neighbor. It consists of synchronizing a link between two neighbor
routers u and v if and only if it does not exist any router w that is common neighbor of u
and v and is closer or at the same distance to u and v than they are to each other. Note that
this simplication generalizes RNG for arbitrary metrics m. In case of link cost equality (i.e.,
m(uw) = m(wv) = m(uv), m being the metric function), the tie is broken by excluding from
synchronization the link connecting the routers with lowest ids.
Different metrics lead to different SLO-T rules. Two variations are considered in this section:
the unit link cost (associated to the SLOT-U rule), and the distance-based cost (associated to
the SLOT-D rule). Note that the tie breaking applies for the former (as all the link costs are
equal to 1), while the main rule is implemented for the latter. Both variations are formally
dened as follows:
SLOT
U
(G) = {xy E(G) : (z V(G), z N(x) N(y) : id
z
> max{id
x
, id
y
})}
SLOT
D
(G) = {xy E(G) : (z V(G), z N(x) N(y) : m(x, y) max{m(x, z), m(z, y)})}
SLOT-U can be implemented more easily since it does not require any particular mechanism
to monitor and measure the link cost: all the available links are treated equally, with the same
uniform metric. For SLOT-D, in contrast, it is needed a mechanism to estimate the distance
between two neighbor routers, something that can be achieved by location-based means (such
as GPS).
Fig. 8. The SLOT triangular elimination under unit link cost. The link connecting routers with
the highest ids, 42, 37 in the picture, is excluded.
SLOT inherits the properties required for a synchronized overlay (connection and spanning
subgraph) from the Relative Neighbor (RNG). For any set of points S of the plane, Toussaint
(1980) shows that RNG(S) contains the Minimum Spanning Tree (MST) of G. Hence, SLOT
contains it also and, in particular, is connected and a spanning subgraph of G.
Link synchronization and ooding operations require low density overlays that contain the
most stable links, as mentioned in section 4.1. The two following sections elaborate on the
overlay density and link stability for SLOT-U and SLOT-D from two different perspectives:
theoretical analysis on mobile conditions and simulations of static scenarios. Proofs for
the results presented in the remaining of the section are detailed in Baccelli et al. (2010).
Theoretical analysis assumes a unit disk graph model, in which routers are distributed
uniformly (approximated by Poisson distribution) over a large enough scenario (area A,
not considering border effects) and move following isotropic random walks with an average
speed s.
4.3.1 Overlay density
An overlay containing the full network has M
f ull
= links per router in average under the
unit disk graph model, where is the network density. Theorems 1 and 2 showhowthe overlay
density is reduced when using SLOT with unit cost and distance-based cost, respectively.
Theorem 1 The average number of SLOT-U links per router satises, as a function of the network density ,
M
u
() =

2
3
d
8
(A())
2
sin(2)(A() + e
A()
1)
and tends when network density , to
M
u
=

2
3
d
8sin(2
2 sin(2)
+O
3.604
Theorem 2 The average number of SLOT-D links per router satises, as a function of the network density ,
M
d
() =
1
0
dr2re
r
2
A(

3
)
and tends when network density , to
M
d
=

2
3
2
+O(e
(
2
3

3
2
) 2.558
where A() =2 sin(2). Figure 9.a indicates the evolution of SLOT-U and SLOT-D overlay
densities depending on the network density . It can be observed that the density reduction,
while being relevant for both SLO-T variations, is more signicant for the distance-based cost:
in this case, routers have more information about the network topology and can thus perform
a more accurate synchronized links selection.
Theorems 1 and 2 shows that SLOT overlay (both the unit cost and distance-based cost
variations) densities are upper-bounded by nite limits (V
u
and V
d
) which do not depend
on the network density. This is a outstanding advantage of SLOT-like solutions with respect
to other overlays for which the size (number of links) grows with the full network density,
mainly for very dense networks.
Figure 12 (see below) conrms the previous theoretical analysis with an experiment that
measures the average number of synchronized links in static uniformly distributed networks
over a nite square scenario, for different network densities. Distance-based costs are
implemented by means of a discrete function m
d
(xy) =
K
r
d(x, y) N(d(x, y) measuring the
Euclidean distance between x and y), that quantizes the link length into a number between 1
and K.
It can be observed that SLOT overlays are in general less dense than the MPR overlays studied
in section 4.2, in particular with very dense networks. For low densities, however, SLOT-U
produces overlays with a very similar asymptotic density to the directed MPR ooding
(directed) overlay.
4.3.2 Link stability
Let (s) be the average relative speed between two routers. Then, the link rate change
under the unit disk graph, for an isotropic random walk router mobility, corresponds to
V
f ull
= 2(s). Theorems 3 and 4 show that links belonging to SLOT variations have a
signicantly lower change rate. Figure 9.b illustrates such stability for a moderate mobility
scenario (constant router speed s = 5m/s).
Theorem 3 The average number of SLOT-U links per router satises, as a function of the network density ,
V
u
(s, ) = (s)

2
3
d
32sin(2)
(A()
3
)
(A() 2 + e
A()
(2 + A())) (3)
where (s) is the average relative speed between routers. For constant speed ((s) =
4
s), equation (3) becomes

V
u
(s, ) =
128s
3
d
sin(2)
(2 sin(2))
2
4.146s +O(
4s
)
Theorem 4 The average number of SLOT-D links per router satises, as a function of the network density ,
V
d
(s, ) =
4
3
(s)
1
0
2
2
r
2
e
r
2
A(

3
)
(4)
where (s) is the average relative speed between routers. For constant speed ((s) =
4
s), equation (4) becomes

V
d
(s, ) 3.471s
Note that SLOT-U presents a higher stability than SLOT-D, which is caused by the sensitivity
of the latter variation to router position (and thus distance to the other link endpoint) changes.
Changes in the link cost may lead to new SLOT-D elections, while the unit cost (SLOT-U)
ensures that there will be no changes in the synchronization decisions as long as there are no
new routers forcing new triangular eliminations (see Fig. 8).
4.3.3 Link characterization depending on distance
The two considered variations of SLOT (SLOT-U and SLOT-D) assume different behaviors
with respect to the distance of the links selected for synchronization. Intuitively, the longer
SLOT Distance-based Cost
SLOT Unit Cost
Full Network Overlay
Average links per node in SLOT Overlays
0
2
4
6
8
10
12
14
16
1 2 3 4 5
Density (nodes/u2)
SLOT Distance-based Cost
SLOT Unit Cost
Full Network Overlay
Average link change rate in SLOT Overlays
(Constant node speed=5 m/s)
0
10
20
30
40
50
60
1 2 3 4 5
Density (nodes/u2)
Fig. 9. (a) Average SLOT overlay density (links per router), and (b) average SLOT links
change, for constant speed s = 5m/s.
the link is, the less likely is that there is a common neighbor to both endpoints whose identity
is higher than those of the involved routers (and thus excludes the link from the synchronized
overlay, according to the tie breaking rule of SLOT-D). On the contrary, the more far two
neighbor routers are, the easier is that a common neighbor is closer to both endpoints thus,
the more likely is that SLOT-D discards such link.
This intuition can be formalized as follows. Let us denote the synchronization relationship by
the symbol . Then, the probability that a link x y is synchronized under the SLOT-U
rule is:
P(x y)
U
=
2
3
n
x,y
(5)
where n
x,y
is the number of common neighbors of x and y.
In consequence, the probability that a link between two routers x and y at distance d < r is
selected as part of the synchronized link can be dened as:
P(x y|m(xy) = d)
U
=
k=0
P(n
x,y
= k)P(x y|m(xy) = d, n
x,y
= k) =
k=0
2
3
k
e
A
r
(d)
(A
r
(d))
k+2
(k +2)!
=
= e
A
r
(d)
k=0
2
3
k
(A
r
(d))
k+2
(k +2)!
=
3
2
e
A
r
(d)
3
2
e
2
3
A
r
(d)
3
2
A
r
(d)
(6)
where is the router density in the network and A
r
(d) is the intersection area between two
circles of radius r at a distance d:
A
r
(d) = 4
r
d
2
r
2
x
2
dx (7)
Figure 10 indicates the probability that a link is selected for synchronization, depending on its
length.
The same argument applies for the distance-based cost of SLOT-D: a link between routers at
distance d is selected for synchronization if there are no routers which are closer to any of the
link endpoints that both endpoints to each other. If the link cost corresponds exactly to its
length, this condition leads to:
P(x y|m(xy) = d)
D
= 1 e
d
2
(2
3
sin(2
3
))
(8)
Density=50/(600x600)
Density=100/(600x600)
SLOT Unit Cost
Probability for a link of being selected, depending on distance
r=150m
0
0.1
0.2
0.3
0.4
20 40 60 80 100 120 140
Distance (m)
Fig. 10. Probability for a link of being selected, under SLOT (unit cost), for different network
densities .
With a the more realistic model of link cost (e.g., cost = K
d
r
), (8) becomes
P(x y|m(xy) = d)
D
= 1 e
K
r
d
2
(2
3
sin(2
3
))
(9)
where K stands for the number of discrete values for the distance-based quantized cost.
Density=100/(600x600)
Distance-based SLOT
r=150m
0
0.2
0.4
0.6
0.8
1
20 40 60 80 100 120 140
Distance (m)
Density=100/(600x600)
Distance-based SLOT
r=150m, K=15
0
0.2
0.4
0.6
0.8
1
20 40 60 80 100 120 140
Distance (m)
Fig. 11. Probability for a link of being selected, under SLOT based on distance, for different
network densities .
The upper quantization of the link cost reduces the probability of selecting a router for
synchronization. This is consistent with the effect observed in Figures 9.a and 12, in which
the theoretical number of links per router achieved by SLOT-D (with an ideal link cost equal
to the length) was signicantly higher than the average number of links per router obtained
in the static simulations (performed with a quantized link cost, K = 10).
4.4 The Smart Peering rule SP
The Smart Peering rule was presented in Roy (2005) as a mechanism for link-state database
synchronization and ooding in ad hoc networks ruled by OSPF. Under this rule, a router x
synchronizes its link-state database with a bidirectional neighbor y if and only if:
There are not enough available paths from x to y within the synchronized overlay (consisting
on links selected through the Smart Peering rule).
0
2
4
6
8
10
12
14
16
10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
# Nodes
Average number of overlay links per node in static networks
Fixed size grid (length=600m)
2-hop neighbors / node
Multi-point relays / node
MPR/MPR selectors / node
SLOT-U relays / node
SLOT-D relays / node
Fig. 12. Density of MPR and SLOT overlays in static networks. The SLOT-D simulations are
computed with the quantized cost: cost(xy) = K
d(xy)
r
, with K = 10 and d(xy) being the Euclidean
distance between x and y.
The link between x and y provides a signicantly cheaper path from x to y than those already
present in the synchronized overlay.
The precise meaning of enough and signicantly denes the different possible variations of
Smart Peering. This section considers the most basic version: a neighbor is synchronized if
and only if there are no paths within the synchronized overlay to it. In all variations a link
synchronization is triggered when any of the involved routers (not necessarily both) decides
to allow such operation.
Performing SP-based decisions requires that every router determines whether a synchronized
path between itself and the router candidate to synchronization exists. When using a link-state
routing protocol such as OSPF, such verication can be done by means of the Shortest Path
Tree (SPT), if synchronized links are included and can be identied within the SPT. In this
sense, Smart Peering needs to rely on a topology selection mechanism that advertises the
synchronized links of the routers in the network.
From an asymptotic perspective, the overlay induced by the Smart Peering rule fullls the
topological requirements for a synchronized and a ooding overlay: Lemma 4 shows that
Smart Peering decisions lead to an asymptotically connected overlay. By construction, this
overlay includes every router belonging to a connected ad hoc network, which trivially
implies the density of the Smart Peering overlay.
Lemma 4 Using the Smart Peering rule, every pair of routers (x, y) of a connected network are connected through
at least one SP-synchronized path.
Proof: Let d be the minimum distance in bidirectional hops from x to y (d < ).
d = 1: if x and y are not already connected via an SP-path, the two routers will synchronize their
link-state databases, by denition of Smart Peering.
d d + 1. Let us consider the set of bidirectional neighbors of x, N(x). There exists at least one
z N(A) for which d(z, y) = (d + 1) 1 = d, and is thus SP-connected to y (induction hypothesis).
Calling xz the SP-route between x and z (which exists as proved for the case d = 1), zy the SP-route
between z and y, it is clear that the route xz zy is an SP-route between x and y, and that concludes the
proof.
Unlike the techniques presented in previous sections, Smart Peering decisions are not taken
under local (neighborhood) considerations. The overlay produced by the Smart Peering rule
for a given ad hoc network cannot thus be deduced fromthe relations between routers. Rather,
it may be signicantly affected by aspects such as the order of appearance of the routers in
the network, the trajectory of routers or the mobility patterns of the network. This latter is
probably one of the most interesting features of the Smart Peering rule for mobile ad hoc
networks.
For a static and stable network with error-free links, in which synchronization decisions are
taken independently and concurrently, the overlay induced by Smart Peering is roughly
equivalent to the full network overlay. When a router rst appears in a network, and is
discovered by its neighbors, none of them has any trace of it in the link-state database
maintained locally. In consequence, all of them initiate synchronization processes with the
new router (the argument is also valid from the point of view of such new router).
In wireless ad hoc networks, the characteristics of the Smart Peering relay are more
unpredictable. For mobile scenarios, the SP rule lters the less stable links, those between
routers with high relative speed. Once the rst LSDB synchronization of a router has
been completed and advertised to the whole network, no other router will accept a new
synchronization with it as long as the trace of the rst one remains. Highly mobile routers
will therefore have difculties to establish synchronized links after the completion of the rst
one, while routers presenting a lower relative speed to their neighbors will have more chances
to keep up their synchronized links by means of their initial performed synchronization. This
behavior is conrmed empirically (via simulations) in section 5.4.
5. Application: OSPF extensions for ad hoc operation
This section addresses an experimental evaluation of the overlay techniques presented in
section 4, implemented as extensions to the modules of ooding, LSDB synchronization and
topology selection of OSPF. These extensions are tested in ad hoc networks, both static and
mobile, but would coexist with classic OSPF in compound wired/wireless networks. Section
5.1 indicates the parameter set and the implementations used for the simulations. Section 5.2
describes briey the main elements of OSPF, and section 5.3 presents each of its analyzed ad
hoc extensions. Sections 5.4, 5.5, 5.6 and 5.7 discuss the performance of such extensions and
their corresponding techniques in the different link-state routing modules.
5.1 Simulation parameters
Implementations of the extensions are publicly available
12
, and were simulated with the
Georgia Tech Network Simulator (GTNetS, see Riley (2003) for reference). Unless otherwise
specied, the set of simulation parameters corresponds to the set described in Baccelli et al.
(2009), except for the following aspects:
Node mobility: constant node speeds, 0
m
s
(static scenario) and 5
m
s
(mobile scenario).
Pause time: 0sec.
Time interval between periodic topology reoods (LSRefreshInterval): 20sec.
5.2 Overview of OSPF
The Open Shortest Path First protocol (OSPF) is, together with IS-IS, one of the most
widespread protocols for link-state routing within an Autonomous System [Halabi (2000)].
12
INRIA OSPF Extensions for MANET Code: www.emmanuelbaccelli.org/ospf
Although it supports a hierachical 2-level structure based on areas, this section focuses on a
single area scheme
13
.
Routers in OSPF maintain an identical Link-State Database (LSDB) and thus share the
exact same view of the network topology. The routes are extracted from the Shortest
Path Tree (SPT), which is computed over the LSDB by means of the Dijkstra algorithm.
Network topology information is disseminated through topology update messages called Link
State Advertisements (LSA). These LSAs are ooded in a reliable manner (that is, implying
hop-by-hop acknowledgements in case of successful transmission and retransmission in case
of failure), both periodically and following a topology change event.
In OSPF, the ooding operation depends on the type of interface performing the transmission.
For Non-Broadcast Multiple Access (NBMA) interfaces, the ooding is centralized by
a Designated Router (DR), which is elected by all routers in the link. Such DR
synchronizes its LSDB with those of all its neighbors (in OSPF terminology, synchronized
links are denominated adjacencies), and it is responsible of diffusing topology updates
(LSAs) originated in the link to all its synchronized (adjacent) neighbors. Point-to-point
synchronization is performed by exchanging Database Description (DBD) packets and
requesting the most updated LSAs that are missing in a reliable fashion. LSAs originated
by the routers (Router-LSAs) advertise the adjacent links of the originator.
Routers annouce their presence in the network and learn the presence of its neighbor through
the periodical exchange of Hello messages. Typically, such messages advertise the source
identity and the list of neighbhors. That allows every router in the network to keep track of
its 2-hop neighborhood, as well as to establish symmetric (bidirectional) communication with
its 1-hop neighbors. Flooding, synchronization and routing decisions are performed over the
available bidirectional links in the network.
These properties dene implicitly an OSPF link model: adjacencies are selected among the
set of bidirectional links; and the Shortest Path Tree is computed over the adjacent overlay.
The fact that ooding is performed over adjacent links implies that control trafc (LSAs and
database exchange packets) only ows through synchronized links, while data trafc is sent
via shortest paths. These two principles constitute the core of the OSPF routing philosophy.
5.3 OSPF-based congurations
This section examines different congurations of OSPF that explore other principles for
data and control trafc forwarding than those from classic OSPF. They combine the overlay
techniques presented in section 4 to optimize the performance in ad hoc networks of
the link-state routing modules (operations). Table 2 summarizes the architecture of such
congurations.
MPR-OSPF MPR+SP OR/SP SLOT-OSPF
Flooding MPR MPR MPR(SP) MPR
Synchronization MPR+synch SP SP SLOT-U
Routing Path MPR Path MPR SP Path MPR
Table 2. OSPF MANET Congurations.
MPR-OSPF and OR/SP are standard extensions for OSPF MANET (RFC 5449 (2009) and RFC
5820 (2010)). The considered conguration of Overlapping Relays (OR) performs ooding,
synchronization and topology selection based exclusively in Smart Peering (SP), without
considering additional links (denominated unsynchronized adjacencies in RFC 5820) in any of
13
For a more detailed description of OSPF and its area-based architecture, see Moy (1998b).
these operations. SLOT-OSPF is a variation of MPR-OSPF which uses SLOT-U for LSDB
synchronization, while keeping MPRas a ooding and topology selection overlay (Path MPR).
Finally, MPR+SP incorporates Smart Peering as synchronization criterion in the framework of
MPR-OSPF, also keeping MPR for ooding and topology selection.
5.4 Overlay properties validation
The simulations validate the main properties of the overlays described in section 4. Figure 13.a
displays the average density of the considered overlay techniques, for a static and moderately
mobile scenario (constant router speed, 5 m/s). In the static deployment, it can be observed
that the Smart Peering rule produces the most dense overlay, showing a linear increase with
respect to the full network density. Its size is only comparable to the one achieved by the MPR
synchronized overlay for low density networks, but it has to be pointed out that a signicant
part of such overlay consists of persistent sychronized links which are not costly in terms of
database exchange. Therefore, the network overlay reduction performed by SP is very low
when routers do not move and thus the corresponding router traces cannot be used to reject (a
part of the) newsynchronizations this effect disappears in mobile scenarios (see Figure 13.b).
The MPR ooding overlay achieves a signicantly lower density than the sychronized MPR
overlay, and the Synchronized Link Overlay Triangular (SLOT) for unit link costs remains
below the theoretical upper bound shown in Theorem 1.
1
2
3
4
5
6
7
8
9
10
10 20 30 40 50
# Nodes
Overlay Links per node
(Fixed size grid, 0 m/s)
MPR Overlay for Flooding
MPR Synchr. Overlay (pers.)
MPR Synchr. Overlay (not pers.)
SLOT Unit Cost Overlay
Smart Peering Overlay
0
2
4
6
8
10
12
14
10 20 30 40 50
# Nodes
Overlay Links per node
MPR Overlay for Flooding
MPR Synchr. Overlay (pers.)
MPR Synchr. Overlay (not pers.)
SLOT Unit Cost Overlay
Smart Peering Overlay
Fig. 13. Overlay link density for (a) static scenarios and (b) mobile scenarios (5 m/s).
5.5 Link synchronization adjacencies
The average lifetime of the synchronized links (adjacencies) for each conguration is
displayed in Figure 14.a. It conrms that adjacencies selected through the Smart Peering rule
(both in congurations MPR+SP and Overlapping Relays) are more stable than those selected
by MPR-OSPF. The Smart Peering ability to choose the most stable links for synchronization
is also visible in Figure 14.b, where the adjacent set of SP congurations remains stable for a
signicant range of link quality
14
values. On the contrary, MPR-OSPF keeps increasing the
number of adjacencies as grows (the channel becomes more reliable).
Adjacency stability of MPR+SP and Overlapping Relays present a signicant difference,
although both congurations rely on the same technique (Smart Peering) for selecting
synchronized links. This gap is caused by the neighbor keep-alive mechanism. In OSPF,
14
For more details on the link quality model and the parameter [0, 1], see Henderson et al. (2005).
0
5
10
15
20
25
30
35
40
45
50
10 20 30 40 50
(
s
e
c
)
# Nodes
Adjacency average lifetime
Smart Peering
Multi-Point Relays (RFC 5449)
Multi-Point Relays (non-pers.)
MPR + SP
SLOT Unit Cost
0
2
4
6
8
10
12
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Link quality ()
Adjacencies per node
(30 nodes, fixed size grid, 5 m/s)
Smart Peering
MPR + SP
SLOT Unit Cost
Fig. 14. (a) Average adjacency lifetime, depending on the network density, and (b) Average
number of adjacencies depending of link quality (30 routers, 5 m/s).
a router declares a neighbor dead if it has not received a Hello packet from it during a
DeadInterval period. In the simulated moderately lossy channel ( = 0.5), the probability of
losing a packet is related to the length of such packet. Since Hello packets of MPR+SP are
signicantly longer than those of Overlapping Relays (see Figure 15.a), the loss of packets
in the former conguration is more relevant, causing the breakup of more links (and, in
particular, adjacencies) than for the latter. The impact of such keep-alive mechanism has been
measured in Figure 15.b, which shows the variation of the adjacency lifetime achieved for the
same MPR+SP conguration when Hellos are the only packets assuming a keep-alive role,
and when other packets (Link State Updates) are used as well for the same purpose.
50
100
150
200
250
300
350
10 20 30 40 50
(
b
y
t
e
s
)
# Nodes
Hello packet size
MPR-OSPF (RFC 5449)
MPR+SP
Overlapping Relays (RFC 5820)
Impact of keep-alive mechanism in
MPR+SP adjacency lifetime
(avg., 30 nodes, 5 m/s, alpha=0.5, 600x600m)
0
20
40
60
80
100
120
MPR+SP(keep-alive with
Hello)
MPR+SP(keep-alive with
Hello and LSU)
(
s
e
c
)
Fig. 15. (a) Average size of Hello packets, (b) Impact of keep-alive conguration in adjacency
lifetime (xed grid of length 600m, with speed 5m/s).
5.6 Route selection and routing quality
From the considered overlay techniques, only Multi-Point Relaying can be used as a basis for
an efcient (optimal) topology selection mechanism. In section 4 it was shown that the Path
MPR algorithm, which adapts the MPR to the requirements of a topology selection overlay,
generates an overlay that contains the network-wide shortest paths. The impact of such
property is shown in Figure 16.a, which compares the average path length for data trafc
of congurations using Path MPR, with the path length achieved by a conguration that uses
Smart Peering, which does not advertise in general optimal routes the Overlapping Relays
conguration, without unsynchronized adjacencies. Suboptimal routing of data trafc may lead
to a signicant waste of bandwidth dedicated to forward data packets through non-optimal
routes see Figure 16.b for data delivery ratio: the conguration not providing shortest paths
performs signicantly worse than the others.
1.4
1.6
1.8
2
2.2
2.4
2.6
2.8
10 20 30 40 50
(
#

h
o
p
s
)
# Nodes
Path length
MPR Topology Selection (RFC 5449)
Smart Peering (RFC 5820 w/o. u.a.)
0.5
0.55
0.6
0.65
0.7
0.75
0.8
10 20 30 40 50
(
o
v
e
r

1
)
# Nodes
Delivery ratio
MPR-OSPF (RFC 5449)
MPR+SP
SLOT-OSPF
OR/SP (RFC 5820 w/o. u.a.)
Fig. 16. (a) Path length, (b) Data delivery ratio, for 5m/s.
5.7 Flooding and control trafc overhead
MPR and SP are used for reliable ooding in the congurations analyzed in this section.
MPR-OSPF relies on (directed) MPR links to ood control trafc, expecting acknowledgement
from MPR synchronized (persistent) links. In the Overlapping Relays conguration,
the ooding operation is performed in two rounds. The rst one involves the MPRs
computed among the Smart Peering links, called active Overlapping Relays. Absent this
acknowledgement, other SP-synchronized neighbors may retransmit the pending packet until
it is acknowledged.
Let us rst discuss the implications of the MPR election over the SP-synchronized overlay.
When compared with the selection of Multi-Point Relays among the bidirectional neighbors of
a source, Overlapping Relays presents a lower amount of MPRs per router and a signicantly
higher stability of such relays, as shown in Figure 17.a and 17.b.
The drawbacks of this approach are however signicant. In rst term, computing MPRs over
a restricted overlay weakens the main advantage of using Multi-Point Relays for ooding,
which is the ability of reaching all the 2-hop neighbors of the source while avoiding redundant
transmissions. Since the neighborhood topology in which MPR operates is distorted by the
Smart Peering selection rule, the set of reachable 2-hop neighbors becomes also affected and
the quality of the ooding operation becomes damaged, as Figure 17.c shows.
In second term, MPR selection over the Smart Peering overlay makes the MPR computation
nearly irrelevant. If the probability of relaying an MPR ood is close to
M
r
M
(with M
r
being the
average number of relays per router and M the average number of bidirectional neighbors),
the situation in sparse networks (such as the Smart Peering overlay) is close to M
r
= M,
meaning that almost every SP-synchronized neighbor will become a multi-point relay, thus
making wasteful the relay selection process.
The control trafc mobilized by every conguration is displayed in Figure 18, together with
the overall trafc. Such overall control trafc has two main components: the trafc dedicated
to adjacency-forming processes, which depends on the synchronized overlay, and the reliable
0
2
4
6
8
10
12
14
16
18
20
22
10 20 30 40 50
# Nodes
Average relay selector set size
Bidirectional neighbors
MPRs over Smart Peering overlay (RFC 5820)
MPRs over bidirectional links
5
10
15
20
25
30
35
40
10 20 30 40 50
(
s
e
c
)
# Nodes
Relay selector lifetime
Bidirectional neighbors
MPRs over Smart Peering overlay (RFC 5820)
MPRs over bidirectional links
0
0.5
1
1.5
2
2.5
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Link quality ()
LSA retransmission ratio
(30 nodes, fixed size grid, 5 m/s)
Smart Peering
MPR + SP
SLOT Unit Cost
Fig. 17. (a) Average size of the MPR set and (b) average relay lifetime (5m/s). (c) LSA
retransmission, depending on the link quality (30 routers, 5m/s. The LSA retransmission ratio
is the number of backup LSA retransmissions over the number of primary LSA transmissions.
ooding trafc. The gure shows that the analyzed congurations can be grouped in three
categories: the one not using MPR at all (Overlapping Relays, with relies on Smart Peering),
those using MPR only as a ooding rule (SLOT-OSPF and MPR+SP), and the conguration
using MPR both for ooding and synchronization purposes. The results indicate that, while
MPR ooding has in general a better performance (in terms of overhead) than other ooding
overlays, the use of MPR as a synchronization rule has signicant shortcomings in terms of
overhead a conclusion that is consistent with section 4.2. Therefore, congurations exploring
less dense overlays for synchronization, while keeping MPR as the reliable ooding overlay,
present more balanced trade-offs between ooding quality and control trafc overhead.
0
20000
40000
60000
80000
100000
120000
140000
10 20 30 40 50
(
#

p
a
c
k
e
t
s
)
# Nodes
Control overhead
MPR-OSPF (RFC 5449)
MPR + SP
SLOT-OSPF
0
200
400
600
800
1000
1200
10 20 30 40 50
(
k
b
p
s
)
# Nodes
Control overhead
MPR-OSPF (RFC 5449)
MPR + SP
SLOT-OSPF
1400
1600
1800
2000
2200
2400
2600
2800
3000
10 20 30 40 50
(
k
b
p
s
)
# Nodes
Total traffic
MPR-OSPF (RFC 5449)
MPR+SP
SLOT-OSPF
OR/SP (RFC 5820 w/o. u.a.)
Fig. 18. (a) Control trafc overhead, in number of packets, (b) in kbps, and (b) Total
(data+control) trafc, in kbps (5m/s).
6. Conclusion
This chapter has investigated the subject of compound networks, i.e. networks comprising of
xed wired routers as well as wireless mobile ad hoc routers. A single protocol is desired to
provide routing over such networks in order to avoid sub-optimality due to paths through
gateways between incompatible protocols, and lack of efcient trafc engineering. This
chapter has thus reviewed various mechanisms that enable OSPF to fulll this task. OSPF
is indeed a designated candidate for this job, as it is both a popular routing solution for wired
IP networks, and quite similar to OLSR, the most deployed MANET routing protocol, also
based on a link state algorithm.
This chapter analyzed the specic mechanisms that enable efcient link state routing in
compound networks, focusing in particular on different overlay techniques. These techniques
were compared via simulations their performance when applied to OSPF. The resulting
analysis may be useful in order to design appropriate routing protocols for compound
networks.
7. References
Adijh, C.; Baccelli, E.; Clausen, T.; Jacquet, P. & Rodolakis G. (2004). Fish Eye OLSR Scaling
Properties. IEEE Journal on Communications and Networks (JCN), Special Issue on
Mobile Ad Hoc Wireless Networks, December 2004, pp. 343-351.
Baccelli, E. (2006). Routing and Mobility in Large Heterogeneous Packet Networks. PhD Thesis,
Ecole Polytechnique, Paris (France).

Baccelli, E.; Jacquet, P.; Nguyen, D. & Clausen, T. (2009). OSPF Multipoint Relays (MPR)
Extension for Ad Hoc Networks, RFC 5449, IETF, February 2009.
Baccelli, E.; Cordero, J. A. & Jacquet, P. (2009). Multi-Hop Relaying Techniques with OSPF
on Ad Hoc Networks, Proceedings of the 4th IEEE International Conference on Sensor
Networks and Communications, pp. 53-62, IEEE ComSoc, Porto (Portugal), Sept. 2009.
Baccelli, E.; Cordero, J. A. & Jacquet, P. (2010). Using RNG for Reliable Database
Synchronization in MANETs, Proceedings of the 5th IEEE SECON Workshop on Wireless
Mesh Networks (WiMESH), pp. 13-18, IEEE ComSoc, Boston, MA(United States), June
2010.
Bellman, R. (1958). On a Routing Problem, In: Quarterly of Applied Mathematics, No. 16, pp.
87-90.
Clausen, T.; Jacquet, P. (2003). Optimized Link State Routing Protocol (OLSR), RFC 3626, IETF,
October 2003.
Coltun, R.; Ferguson, D.; Moy, J. (2008). OSPF for IPv6, RFC 5340, IETF, July 2008.
Cordero, J. A. (2010). MPR-based Pruning Techniques for Shortest Path Tree Computation,
Proceedings of the 18th International Conference on Software Telecommunications and
Computer Networks, IEEE ComSoc, Split (Croatia), September 2010. (to appear)
Dijkstra, E. W. (1959). A Note on Two Problems in Connection with Graphs, In: Numerische
Mathematik, No. 1, pp. 269-271.
Ford, L. R. Jr. & Fulkerson, D. R. (1962). Flows in Networks, Princeton University Press.
Halabi, S. (2000). Internet Routing Architectures, Cisco Press.
Henderson, T.; Spagnolo, P. &Kim, J. H. (2003). AWireless Interface Type for OSPF, Proceedings
of the IEEE Military Communications Conference (MILCOM), pp. 137-145, IEEE ComSoc,
Boston, MA (United States), October 2003.
Henderson, T.; Spagnolo, P.; Pei, G. (2005). Evaluation of OSPF MANET Extensions, Technical
Report, D950-10897-1, Boeing, July 2005.
International Organization for Standardization (2002). Intermediate System to Intermediate
System intra-domain routeing information exchange protocol, International Standard, Ref.
Number ISO/IEC 10589:2002(E), ISO Secretariat, Geneva (Switzerland), 2002.
Jacquet, P. (2006). Control of Mobile Ad hoc Networks, Proceedings of the IEEE Information
Theory Workshop, pp. 97-101, IEEE, Punta del Este (Uruguay), March 2006.
Moy, J. (1998a). OSPF Version 2, Request For Comments 2328, IETF, April 1998.
Moy, J. (1998b). OSPF: Anatomy of an Internet Routing Protocol, Addison-Wesley.
Ni, S.Y.; Tseng, Y.-Ch.; Chen, Y.-S.; Sheu, J.-P. (1999). The Broadcast Storm Problem in a
Mobile Ad Hoc Network, Proceedings of the Annual International Conference on Mobile
Computing and Networking, pp. 151-161, ACM Press, Seattle (United States), August
1999.
Qayyum, A.; Viennot, L. & Laouiti, A. (2002). Multipoint Relaying for Flooding Broadcast
Messages in Mobile Wireless Networks, Proceedings of the 35th Hawaii International
Conference on SystemSciences, IEEE ComSoc, Hawaii, HI (United States), January 2002.
Riley, G. F. (2003). The Georgia Tech Network Simulator, Proceedings of the ACM SIGCOMM
Workshop on Models, Methods and Tools for Reproducible Network Research, pp. 5-12,
ACM Press, Karlsruhe (Germany), August 2003.
Roy, A. (2005). Adjacency Reduction in OSPF using SPT Reachability, Internet-Draft
draft-roy-ospf-smart-peering-01.txt, IETF, November 2005. (obsolete)
Roy, A. & Chandra, M. (2010). Extensions to OSPF to Support Mobile Ad Hoc Networking, RFC
5820, IETF, March 2010.
Toussaint, G. T. (1980). The Relative Neighborhood Graph on a Finite Planar Set, In: Pattern
Recognition, No. 12, pp. 261-280.
Tseng, Y.-Ch.; Ni, S.-Y. & Shih, E.Y. (2003). Adaptive Approaches to Relieving Broadcast
Storms in a Wireless Multihop Mobile Ad Hoc Network. IEEE Transactions on
Computers, Vol. 52, No. 5, May 2003, pp. 545-557.
0
Multiple Multicast Tree Construction and Multiple
Description Video Assignment Algorithms
Osamah Badarneh
1
and Michel Kadoch
2
1
Yarmouk University
2
Ecole de Technologie Superieure
1
JORDAN
2
CANADA
1. Introduction
In this chapter, we introduce novel algorithms for constructing multiple multicast tree
and assigning multiple description (MD) video to a group of heterogeneous multicast
destinations. Our main objective is to increase the number of assigned MD video to
each destination node. In order to achieve our objective, we propose to employ the
independent-description property of MDC (multiple description coding) along with multiple
multicast tree. We mean by independent-description property of MDC the following. If there
are three video descriptions, for example, then receiving any subset of video descriptions,
i.e., ({VD
1
, VD
2
, VD
3
}, {VD
1
, VD
2
}, {VD
1
, VD
3
}, {VD
2
, VD
3
}, {VD
1
}, {VD
2
}, {VD
3
}) of
the video descriptions will reproduce the original video in different qualities depending on
the number of video descriptions received.
A main issue of video multicasting for heterogeneous destinations is the assignment of video
descriptions and the construction of multicast trees. However, the assignment of MD video
and the construction of multicast tree can greatly affect the user satisfaction (i.e., affect the
number of assigned video description to each destination and hence affect the quality of the
received video. However, many questions are raised: How multiple multicast tree should
be constructed? And how MD video should be assigned? Is it better to construct multiple
multicast tree rst and then assign the video descriptions? Or is it better to assign the video
descriptions rst and we then construct multiple multicast tree? Should we perform that
in a distributed manner or in a centralized one? Does the independent-description of MDC
increase the user satisfaction?
To answer these questions, we propose different algorithms to construct multiple multicast
tree and to assign MD video. The proposed algorithms are: Serial MDC, Distributed MDC,
Centralized MDC, and sequential MDC. Serial MDC algorithm constructs multiple paths,
to each destination, and assigns a different video description to each of them. After that,
it constructs multiple multicast tree based on the assignment of MD video. Distributed
MDC algorithm assigns MD video and constructs multiple multicast tree in parallel and in
distributed fashion. In Centralized MDC, the assignment of MD video and the construction
of multiple multicast tree are performed in a centralized manner. However, Centralized
MDC rst constructs multiple multicast tree and then assigns different video description
to each multicast tree. Finally, Sequential MDC sequntially assigns MD video to each
multicast tree.This means that all destinations should be assigned the rst description. Then,
17
destinations that need another description should be assigned the second video description,
and so on. The main difference between Sequential MDC and Centralized MDC algorithms is
that the former does not employ the independent-property of MDC.
We evaluate and compare our proposed algorithms under different network conditions. For
example, network size, and multicast group size. Simulation results demonstrate that, indeed,
the way of multicast trees construction and the assignment of MD video can greatly affect
the user satisfaction. In addition, simulation results show that MDC can achieve higher
user satisfaction compared to Layered Coding (LC) with a small cost in terms of number
of pure forwarders nodes, bandwidth utilization, and aggregate tree delay. Furthermore,
simulation results show that the independent-description property of MDC can increase the
user satisfaction.
The rest of this chapter is organized as follows. In the next section, we present the related
work. In section 3, we present our network model and problem formulation of video
multicasting. In Section 4, we describe our proposed algorithms for constructing multiple
node-disjoint multicast trees and assigning MDvideo. In Section 5, we evaluate our proposed
algorithms. The complexity analysis of the protocols is presented in Section 6. Finally, our
conclusions are presented in Section 7.
2. Related work
An ad hoc network is a multihop wireless network without a preinstalled infrastructure
or centralized administration. It can be deployed in situations where infrastructure is
unavailable or where temporary network is needed. In this network, nodes are free to move
randomly anytime, anywhere, and arrange themselves as required. Since nodes are often
not within the radio transmission range of each other, each node operates not only as a
host but also as a router, forwarding packets for other mobile nodes. In a typical ad hoc
environment, mobile nodes work as a group to accomplish a certain task. Hence, multicast
is very useful and efcient means of supporting group-oriented applications. Multicast is
an essential technology for many applications such as video distribution and group video
conferencing, and results in bandwidth and power savings as compared to multiple unicast
sessions.
Many researches over the last several years have focused on unicast and
multicast video transmission over wireless ad hoc networks (Wei & Zakhor,
2007; Mao, Cheng, Hou & Sherali, 2006; Agrawal et al., 2006; Chow & Ishii, 2008;
Mao, Hou, Cheng, Sherali, Midkiff & Zhang, 2006; Mao et al., 2003). The main objective
of these researches is to improve the quality of the received video by exploiting the error
resilience properties of MDC along with multiple paths. In other words, MD video are
encoded and transmitted over different paths to each destination node. If only any path is
broken, packets corresponding to the other descriptions on the other paths can still arrive at
the destination node on time.
MDC has been proposed as an alternative of the LC (Layered Coding) technique. In contrast
to LC, MDC is a coding technique which fragments a single media stream into independent
bit-streams, where the multiple bit-streams are referred to as multiple descriptions. In
order to decode the media stream, any description can be used (we referred to as
independent-description property (Badarneh et al., 2008)); however, the quality improves
with the number of descriptions received in parallel. The idea of MDC is to provide error
resilience to media streams. Since an arbitrary subset of descriptions can be used to decode the
original stream, network congestion or packet loss, which is common in best-effort networks
Multiple Multicast Tree Construction and Multiple Description Video Assignment Algorithms 3
such as the Internet, will not interrupt the stream but only cause a temporary loss of quality.
The quality of a stream can be expected to be roughly proportional to data rate sustained by
the receiver (Goyal, 2001; Puri & Ramchandran, 1999).
Video multicast over wireless ad hoc networks with path diversity has been studied in
Wei & Zakhor (2007); Mao, Cheng, Hou & Sherali (2006); Agrawal et al. (2006); Chow & Ishii
(2008). Chow and Ishii have proposed a multicast protocol for video transmission called
MT-MAODV (Multiple Trees Multicast Ad Hoc On-demand Distance Vector) (Chow & Ishii,
2008). An extension to the well-knownMAODV to construct two optimally disjoint multicast
trees in a single routine for video multicast was proposed. MDC scheme is used to
split the video into several independent and equally important video descriptions. Each
description is transmitted over different tree. In (Mao, Cheng, Hou & Sherali, 2006), the
authors introduced a multicast approach for multiple description video over ad hoc networks.
An application-centric, cross-layer routing approach with the objective of minimizing the
over all video distortion was proposed. In this approach multiple source trees for MD video
multicast are used. Furthermore, each description is coded into a base layer and number
of enhancement layers. Packets belonging to the same description from both the base layer
and enhancement layers are transmitted on the same tree. The authors showed that this
approach can effectively deal with frequent link failures and diverse link qualities in wireless
ad hoc networks. Agrawal et al. have presented a multiple tree protocol called Robust
Demand-driven Video Multicast Routing (RDVMR) (Agrawal et al., 2006). RDVMR explores
the path diversity and error resilience properties of MDC. RDVMRdeploys a novel path based
Steiner tree heuristic to reduce the number of forwarding nodes in each tree, and constructs
multiple trees in parallel with a reduced number of common nodes among them to provide
robustness against path breaks and to reduces the total data overhead. Two multiple tree
multicast routing protocols were presented in (Wei & Zakhor, 2007). Serial MDTMR protocol
(Multiple Disjoint Trees Multicast Routing) constructs two disjoint multicast trees in a serial
fashion. However, in order to reduce routing overhead and construction delay of serial
MDTMR, parallel MNTMR (Multiple Nearly-disjoint Trees Multicast Routing) was suggested.
This protocol constructs two nearly-disjoint multicast trees in a single routine by dividing
the network virtually into two parts and tree construction is carried out simultaneously at
both virtual topologies. Both serial MDTMR and parallel MNTMR protocols explore MDC
to provide robustness for video multicast applications. In order to improve the quality of the
received video, the video was split into two descriptions and each description was transmitted
over a different tree.
3. Network model and problem formulation
3.1 Network model for multicasting
We consider a multi-hop wireless ad hoc network with V nodes. The nodes communicate
with each other via wireless links. Each node in the network can communicate directly with
a subset of the other nodes in a network. A node v can transmit directly to node u if the both
nodes are within the transmission range of each other. We modeled a wireless ad hoc network
as weighted G = (V, E), where V is a set of wireless nodes each with random location and E
is a set of wireless communication links between the nodes. A link between node pair {v, u}
indicates that both nodes v and u are within each others transmission range. The nodes in set
V can be of the following three types:
Multicast source node: The node that sends out the multicast video packets. We denote it
by S.
377 Multiple Multicast Tree Construction and Multiple Description Video Assignment Algorithms
Destination node: A node that receives the multicast video packets. The set of destination
nodes in a multicast tree is denoted by Y V S
Forwarder node: A node that is an intermediate hop in the path from the source S to a
destination node in Y. It is denoted by F.
Two positive real-valued functions are dened on a link e = {v, u} E, namely:
Link Delay: d(e)
+
.
Link Bandwidth: Bw(e)
+
.
In this work, we focus on the network layer, i.e., the construction of multiple multicast trees
and the assignment of MD video. We assume that the physical and MAC layers dynamics,
such as the link delay and bandwidth, are translated into the network layer parameters.
These parameters can be measured at every node and distributed through the network using
LSAs (Link State Advertisements) (Clausen & Jacquet, year 2003).
DEFINITION 1: A path p from the multicast source S to a destination node in G is dened as a list
of nodes (v
1
, v
2
, , v
k
) such that j, 1 j k, e
j
= (v
j
, v
j+1
) E and no node appears more than
once.
The delay of the path p is the sum of all link delays, that is,
d(p) =
k1
j=1
d
_
e
j
_
(1)
The bandwidth of the path p is the minimumavailable bandwidth of all links, which is dened
as
Bw(p) = min
e
i
p
{Bw(e
i
)} (2)
In case of K node-disjoint paths, P = {p
1
, p
2
, , p
K
}, then the delay of the K paths for a
destination node is:
d(P) = max
p
j
P
_
d
_
p
j
__
(3)
Let L be the number of the multicast trees constrcuted to meet the destinations requirments,
then the delay of the tree-aggregate T = t
1
t
2
t
L
is dened as:
d(T) = max
l|1...L|
d(t
l
) (4)
where d(t
l
) is the delay of a multicast tree t
l
, which is dened as the longest delay from the
source S to the destinations on t
l
, that is:
d(t
l
) = max
p
i
t
l
{d(p
i
)}, i = |1...m| (5)
where m is the number of destinations on t
l
.
3.2 Problem formulation
Our problem of MD video assignment can be formulated as follows: Given a wireless ad hoc
network G = (V, E), with N number of MD video, a link delay, a link bandwidth, a source
S, and a set of destinations Y = {R
1
, R
2
, , R
m
} such that each destination node R
i
Y
requires a preference number of MD video, then construct multiple node-disjoint multicast
tree spanning Y S such that the total number of the assigned video descriptions to each
destination is maximized. That is:
maximize
_
N
asg
(R
i
)
_
(6)
where N
asg
(R
i
) is the number of the assigned video descriptions to the destination R
i
.
To minimize the delay of every path fromthe source S to each destination R
i
Y, the shortest
path tree algorithm is deployed.
4. Multiple multicast tree construction and multiple description video assignment
algorithms
4.1 Serial MDC algorithm
The MD video assignment and multiple multicast trees construction algorithms are shown
in algorithms 1 4. At the beginning, let the multicast source has a partial topology that
contains multiple paths to each destination, as shown in Fig. 1(a). Following, it arranges the
destinations that require one and two video descriptions in a descending order according to
their number of node-disjoint paths in the sets x and y, respectively. After that, it checks the
destinations in the set y if any of them has only one path, if yes, it adds it to the set x. At the
end of these steps, the sets x and y contain the destinations arranged in a descending order
according to their number of paths. After that, the source node runs the algorithms 1 4. We
use the two colors: red and green to refer to the rst and second descriptions, respectively.
The multicast source starts with the set y and constructs its red (R) and green (G) paths for
each destination if possible. To nd the R-path, the green nodes (G-nodes) should be removed
because they already have been assigned a description and they cannot be on another tree.
However, to nd the G-path, the red nodes (R-nodes) should be removed. The R and G paths
are constructed using shortest path algorithm (in terms of delay).
When the set y is empty, the source node starts with the set x. Since any description can
reproduce the original video signal, this, what we referred to as independent-description
property of MDC, therefore the multicast source will assign any color (R or G) to each
destination in the set x.
Based on the sets of multiple paths K
R
i
(the R and G paths) for every destination R
i
, then the
multicast source S constructs multiple multicast trees for the video transmission according
to algorithm 4. That is, all nodes that have been assigned the same color are attached to the
same tree. For example, the nodes that have been assigned the R-color are attached to the rst
tree (R-tree) and the nodes that have been assigned the G-color are attached to the second tree
(G-tree). Fig. 1 is an illustrative example.
4.2 Distributed MDC algorithm
In this algorithm the assignment of MD video and the construction of multiple multicast
trees are performed in a distributed manner. Each node in the network will only select one
video description to transmit it to its neighbor nodes. This condition is to ensure disjointness
between multicast trees. Destination nodes are responsible to construct multiple node-disjoint
paths to the multicast source, node S . Each destination node will select a number of disjoint
R
1
S
W
B
Z
C
R
2
R
3
W
B
R
2
R
1
S
W
B
Z
C
R
2
R
3
Z
C
R
2
S S
R
1
S
W
B
Z
C
R
2
R
3
R-path R-nodes removal G-path
(b) (a)
W
B
G-nodes removal
R
1
R-path
S S
W
B
Z
C
R
2
R
3
R
1
Z
C
R
3
S
R-nodes removal G-path
(c) (d)
W
B
R
2
Z
C
R
2
R
3 R
1
S
S
(e)
R-tree G-tree
Red Green
Fig. 1. Serial MDC: An illustrative example: (a) Partial topology. (b) Multiple paths
construction and nodes removal for destination R
2
. (c) Multiple paths construction and
nodes removal for destination R
1
. (d) Multiple paths construction and nodes removal for
destination R
3
. (e) Multiple multicast trees construction.
paths equal to its preference number of MD video. If there are two paths have the same video
description, the one with shortest delay will be chosen.
The source node S will broadcasts the information of the available MD video and the
bandwidth requirements for each description to its neighbor nodes. Neighbor nodes that
have enough bandwidth will randomly choose one description and rebroadcasts it along
with its bandwidth requirement to its neighbor nodes. As we mentioned previously, each
node will only choose one description to transmit it to its neighbor nodes to maintain
disjointness between multicast trees. This process will continue to reach a destination node.
Algorithm 1 Serial MDC
1: Given: G = (V, E), set x, and set y
2: for i set y do
3: Z = set y
4: Construct a R
path
using algorithm 2
5: Construct a G
path
using algorithm 3
6: end for
7: for k set x do
8: Z = set x set y
9: Construct a R
path
using algorithm 2
10: if the R
path
= then
11: Construct a G
path
using algorithm 3
12: end if
13: end for
When a destination node receives information about a video description, it will rebroadcast
this information to its neighbor nodes. This means also that a destination node could be
a forwarder node. If this destination node has enough bandwidth it will select another
description to receive. After a destination node selects its proper paths it will send this
information to the source node.
After the multicast source S receives the paths for each destination node, it constructs multiple
node-disjoint multicast trees. To do so, nodes that have the same video description should be
added to the same tree. Algorithm 5 describes the construction of multiple multicast trees.
Fig. 2 shows an example of MD video assignment and construction of multiple multicast
trees. The multicast source S broadcasts information about two video descriptions (VD
1
, and
VD
2
) to its neighbor nodes, nodes W , and Z. Each node will randomly select one video
description to rebroadcast. Therefore, node W selects VD
1
and node Z selects VD
1
. After
that, nodes W and Z will rebroadcast this information to their neighbors nodes, nodes B, and
C. This process will continue until this information reached the destination nodes, nodes
R
1
, R
2
, and R
3
. Destination nodes R
1
, and R
3
will select the paths S W B R
1
, and
S Z C R
3
, respectively, to receive VD
1
. The destination node R
2
has two paths with
the same description, description VD
1
. Therefore, it will select the path with minimum delay.
Assume the path S W B R
2
is selected. Note that destination node R
2
receives the
same video description through different paths. This can be related to the randomness of
choosing a video description. Finally, the multicast source S will construct only one multicast
tree using algorithm 5. Fig. 2(c) shows multicast tree t
1
.
Algorithm 2 R
path
Construction
1: for j G
path
Z do
2: P = Parents of G
nodes
3: V V - P
4: end for
5: Construct a R
path
using the shortest path (in terms of delay) algorithm
Algorithm 3 G
path
Construction
1: for j R
path
Z do
2: P = Parents of R
nodes
3: V V - P
4: end for
5: Construct a G
path
using the shortest path (in terms of delay) algorithm
R
1
S
W
B
Z
R
2
R
3
(a)
C
VD
1
, VD
2
}
VD
1
, VD
2
}
VD
1
}
VD
1
}
VD
1
}
VD
1
}
VD
1
}
VD
1
}
R
1
S
W
B
Z
R
2
R
3
(b)
C
VD
1
}
VD
1
}
VD
1
}
VD
1
}
VD
1
}
VD
1
}
VD
1
}
R
1
S
W
B
Z
R
2
R
3
(c)
C
Route Request Route Reply Multicast tree link
Fig. 2. Distributed MDC algorithm: (a) Route Request broadcasts. (b) Route Reply unicast.
(c) Multicast tree construction.
Algorithm 4 Serial MDC: Multiple Multicast Tree Construction
1: Given: Z = set x set y
2: for i Z do
3: if i has R
color
then
4: Add i to R
tree
5: else if i has G
color
then
6: Add i to G
tree
7: end if
8: end for
Algorithm 5 Distributed MDC: Multiple Multicast Tree Construction
1: for i = 1 to V do
2: if node i has the 1
st
video description then
3: Add node i to tree t
1
4: else
5: Add node i to tree t
2
6: end if
7: end for
4.3 Centralized MDC algorithm
Before the construction of multiple node-disjoint multicast trees and the assignment of MD
video, the multicast source S starts with constructing individual Multiple Node-Disjoint
Paths (MNDP), with minimum delay, to each destination in the multicast group to meet the
number of video descriptions required.
DEFINITION 1: MNDP problem: consider a network represented by a graph G = (V, E) and a
bandwidth constraint W, nd a MNDP, set P
i
, from the multicast source node S to the destination
node R
i
such that:
1. d
_
p
ij
_
is minimized, p
ij
P
i
2. Bw
_
p
ij
_
W, p
ij
P
i
Algorithm 6 describes how MNDP are constructed. Before constructing multiple nodedisjoint
paths to each destination, we rst remove all links with capacity less than the bandwidth
requirement, and then we construct multiple shortest paths (in terms of delay) on the
residual network. Based on the sets of MNDP constructed, then multicast heuristic algorithm
constructs Multiple Node-Disjoint Multicast Trees (MNDMT) for the video transmission, as
shown in Algorithm 7.
Algorithm 6 Multiple Node-Disjoint Paths
1: P
i
= /* MNDP set */
2: For each destination R
i
do
3: Let G
be equal to G
4: repeat
5: Find a shortest path p
ij
to R
i
(in terms of delay) in G
such that Bw
_
p
ij
_
W
6: Add p
ij
to P
i
7: Remove all forwarding nodes of p
ij
in G
8: until
The number of paths in P
i
equal to the number of video descriptions required
As a simple example, we consider the partial network topology in Fig. 3(a), with a
requirement of two descriptions for destination R
2
and one description for both destinations
R
1
and R
3
, to demonstrate the construction of multiple multicast trees. According to
Algorithm 6, there are three path sets (Fig. 3(b)) P
1
, P
2
, and P
3
from the source S to the
destinations R
1
, R
2
, and R
3
, where P
1
= {p
11
} = {S W B R
1
}, P
2
= {p
21
, p
22
} =
{S W B R
2
, S Z C R
2
}, and P
3
= {p
31
} = {S Z C R
3
}.
In Fig. 3(c)-(e), we show an example of multiple multicast trees construction using MNDMT.
According to Algorithm 7, Step 4, the destination R
2
has the maximum number of paths,
which is set P
2
, (two paths); therefore we have two multicast trees according to step 5, namely,
t
1
= p
21
and t
2
= p
22
as seen in Fig. 3(c). The path p
11
of the destination R
1
will be added to
t
1
(Fig. 3(d)), according to Step 8, since it intersects t
1
with the most links. Because P
1
= ,
then the algorithm picks up the next destination, R
3
, and adds its path p
31
to tree t
2
(Fig.
3(e)) according to Step 8. Since all the paths of each destination have been added, then the
algorithm ends.
After constructing multiple multicast trees, Algorithm 8 assigns different video description
to each tree. Therefore, trees t
1
and t
2
are assigned the rst and second descriptions,
respectively. Since any description can reproduce the original video signal, this we referred
to as independent-description property of MDC, therefore the destination R
3
will be able to
reproduce the original video signal. It is worth noting that if LC technique is used instead of
MDC and according to Chen-LC algorithm, only one multicast tree will be constructed. Thus,
they will be only assigned the basic layer.
4.4 Sequential MDC algorithm
Sequential algorithm constructs multiple disjoint multicast trees and assigns MD video to the
destination nodes in a centralized fashion. However, the main difference between sequential
MDC and centralized MDC algorithms is that the assignment of MD video is executed in a
sequential way. This means that all the destination nodes should be rst assigned the rst
video description (VD
1
), then the destination nodes that require a second description they
will be assigned the second video description (VD
2
) and the destination nodes that require
a third description they be assigned the third video description (VD
2
) and so on. Therefore,
to perform the assignment of MD video in a sequential way, the destination nodes on each
multicast tree should be superset of the later, i.e., t
L
t
L1
t
2
t
1
. Algorithm 7 is
deployed to construct multiple disjoint multicast trees, and then algorithm 9 is executed to
form the nal version of the multiple multicast trees. After that, the trees t
1
, t
2
, , t
L
will be
assigned the rst, the second and the L
th
description, respectively. It is worth pointing out
that Sequential MDC algorithm does not employ the independent-property of MDC.
Algorithm 7 Multiple Node-Disjoint Multicast Trees
1: for i = 1 to m do
2: Find the set of MNDP P
i
by algorithm 6
3: end for
4: Find a set P
i
that has the maximum number of paths
5: initially, Let T = P
i
, i.e., t
1
= p
i1
, t
2
= p
i2
, . . . , t
L
= p
iL
6: for i = 2 to m do
7: Add each path in P
i
to T as follows:
8: Find a path p
ij
P
i
such that it intersects a tree t
k
T not covering R
i
with the most
links, and add p
ij
to t
k
t
k
t
k
+ p
ij
9: Remove p
ij
from P
i
P
i
P
i
p
ij
10: Repeat Steps (8) and (9) until P
i
=
11: end for
t1
t2
t1 t2
R1
S
W
B
Add path p11 to t1 Add path p31 to t2
(b)
(c)
(e) (d)
R3
P1
R2
Z
C
R2
P2
P3
S
W
B
S
Z
C
S
R1
S
W
B
R2
R3
Z
C
R2
Z
C
R2
S
W
B
S
R1
S
W
B
R2
S
R2
Z
C
t1 t2
R1
S
W
B
R2
S
R2
Z
C
(a)
R3
Fig. 3. Centralized MDC algorithm
We use Fig. 3(a), to explain how sequential MDC algorithm constructs multiple disjoint
multicast trees. At the end of algorithm7, two disjoint multicast trees are constructed, namely,
t
1
and t
2
as seen in Fig. 3(e). However, in order to perform sequential assignment of MD
video, R
3
should be connected to t
1
. And because Sequential MDCalgorithmmaintains totally
Algorithm 8 MD video assignment
1: For i = 1 to L /*L is the number of the multicast trees constructed*/
2: For j = 1 to n /*n is the number of MD video, (L n)*/
3: If Bw(t
i
) Bw(VD
i
) then
VD
i
t
i
disjoint multicast trees, therefore, only one multicast tree, t
1
, is constructed as shown in Fig.
4.
5
6
%
5
:
5
&
=
W
Fig. 4. Demonstration of sequential MDC algorithm
5. Performance evaluation
This section deals with the performance evaluation of our developedalgorithms. In particular,
we evaluate the performance of our proposed algorithms, namely, Serial MDC, Distributed
MDC, Centralized MDC, and Sequential MDC algorithms and compare them with the
algorithm proposed by Chen et al. in (Chen et al., 2004). Chen et al. proposed this algorithm
for assigning a number of video layers that are encoded using LC technique; we referred to
as Chen-LC. To make a fair comparison, we modied Chen-LC algorithm to construct node
disjoint multicast trees. Moreover, in order to take the bandwidth requirements for MDC
and LC into consideration, we consider the video sequences reported in (Gogate et al., 2002).
Since all the video sequences have roughly the same bit rate, we consider the video sequence
of Football. The average video source rate is 1.5 Mbps for each description, whereas the
average video source rate for the layered coder is 1.57 Mbps for the base layer and 1.45 Mbps
for the enhancement layer.
We generate a wireless ad hoc network by placing a number of nodes at random locations
in a square area of 1000 1000 m
2
. The radio transmission range is 250 m and the number
of video descriptions required by each destination is uniformly distributed to be {1, 2}.
The residual bandwidth of each link is randomly chosen from [2, 10] Mbps. The delay in
each link is randomly chosen from [1, 20] ms. Moreover, the multicast source S and a set of
destinations Y are randomly chosen fromthe network graph to form a multicast session. Any
Algorithm 9 Sequential algorithm
1: for i = 1 to L do
2: t
L
t
L1
t
2
t
1
3: end for
destination node is at least 2-hop away fromthe multicast source. For each simulation, several
experiments have been run to ensure 95% condence interval. The 95% condence intervals
are always plotted, when they are not visible it means that they are smaller than the curve
markers.
To show the signicance of our developed algorithms, we evaluate and compare its
performance with the well-known multicast algorithm, Chen-LC, using the following metrics:
User satisfaction: This metric is dened as the total number of the assigned video
descriptions to all destinations divided by the total number of requested video descriptions
by all destinations. This metric presents the effectiveness of a protocol.
User satis f action =
n
i=1
N
asg
(R
i
)
n
i=1
N
req
(R
i
)
(7)
where N
asg
(R
i
), and N
req
(R
i
), are the number of the assigned and requested video
descriptions of the destination R
i
respectively, and n is the number of destinations.
Number of pure forwarders (PF): It is dened as the number of pure forwarders nodes
on the aggregate multicast tree T that are not destinations. This measures the efciency in
terms of minimizing the number of pure forwarding nodes.
PF =
V
i=1
I(v
i
) (8)
where V is the network size and I(v
i
) is dened as:
I(v
i
) =
_
1 for v
i
T {S, Y}
0 otherwise
Bandwidth utilization: This metrics dened as the total used bandwidth for the video
distribution tree(s).
Bandwidth utilization =
eu
Bw(e) (9)
where e denotes a link, u is the set of used links, and Bw(e) denotes the bandwidth devoted
to video distribution in link e.
Aggregate tree delay: It represents the longest delay from the multicast source s to a
destination node R
i
on the aggregate tree T, as seen in Equ.(4).
5.1 Varying number of multicast destinations
Fig. 5 to Fig. 8 illustrate Serial MDC, Distributed MDC, Centralized MDC, Sequential MDC
and Chen-LC algorithms performance with varying number of multicast destination nodes
while the network size is set to 50 nodes. Fig. 5 shows that Serial MDC, Distributed MDC,
and Centralized MDC algorithms achieve higher user satisfaction compared to Chen-LC
algorithm. This can be related to the independent-description property of MDC. Sequential
MDC and Chen-LC algorithms have the same user satisfaction. This is because Sequential
MDC algorithm does not employ the independent-property of MDC. In this case it is similar
to Chen-LC. In other words, VD
1
is equivalent to the basic layer and VD
2
is equivalent to
the enhancement layer. Serial MDC, Distributed MDC, and Centralized MDC algorithms are
well scalable in termof number of destinations. Centralized MDCalgorithmachieves a higher
user satisfaction compared to Serial MDCand Distributed MDCalgorithms. As the number of
destinations increases, user satisfaction decreases gradually in Serial MDC, Distributed MDC,
and Centralized MDC algorithms. However, the user satisfaction of Chen-LC and Sequential
algorithms decreases sharply as the number of destinations increases. That is, as a result of
the dependent-layer property of LC (for Chen-LC algorithm) and because Sequential MDC
algorithm does not employ the independent-description property of MDC.
Fig. 6 depicts the number of pure forwarders nodes as a function of number of destination
nodes. It can be seen that Centralized MDC has slightly higher number of pure forwarders
nodes compared to the other algorithms. However, Distributed MDC has a lowest number
of pure forwarders nodes. In Fig. 7, we plot the average bandwidth utilization. Clearly, the
bandwidth utilization of Centralized MDC is slightly higher than the bandwidth utilization
of the other algorithms. This is because Centralized MDC requires more number of pure
forwarders, compared to the other algorithms; to constructs multiple node-disjoint trees (see
Fig. 6). However, Distributed MDC requires a minimum bandwidth for video distribution
trees. This is because Distributed MDChas a minimumnumber of pure forwarders nodes. We
show in Fig. 8 the aggregate tree delay as a function of number of destinations. All algorithms
achieve a comparable delay as compared to each other. As the number of destinations
increases the aggregate tree delay increases. This is because more paths are constructed to
build multiple multicast tree.
5 10 15 20 25
70
72
74
76
78
80
82
Number of Destinations
U
s
e
r

S
a
t
i
s
f
a
c
t
i
o
n

(
%
)
Network size = 50 nodes
Serial MDC
ChenLC
Centralized MDC
Distributed MDC
Sequential MDC
Fig. 5. User satisfaction versus number of destinations. Network size = 50 nodes
Fig. 9 to Fig.12 illustrate Serial MDC, Distributed MDC, Centralized MDC, Sequential MDC,
and Chen-LC performance with varying number of multicast destination nodes while the
network size is set to 100 nodes. As the network size increase from 50 nodes (Fig. 5) to 100
nodes (Fig. 9), the users satisfaction for all algorithms increases. This is because the number
of nodes in the network increases. As a result, the number of paths to each destination is
5 10 15 20 25
8
8.5
9
9.5
10
10.5
11
11.5
12
12.5
13
N
u
m
b
e
r

o
f

p
u
r
e

F
o
r
w
a
r
d
e
r
s
Serial MDC
ChenLC
Centralized MDC
Distributed MDC
Sequential MDC
Fig. 6. Number of pure forwarders versus number of destinations. Network size = 50 nodes
increased. Again, Serial MDC, Distributed MDC, and Centralized MDCshowgood scalability
as the number of destinations increases. As the number of nodes in the network increases
from 50 to 100 nodes, the number of pure forwarders nodes, the bandwidth utilization, and
the aggregate tree delay (in Fig. 10, Fig. 11, and Fig. 12) are increased compared to Fig. 6, Fig.
7, and Fig. 8, respectively.
5.2 Varying network size
Fig. 13 to Fig. 20 compare Serial MDC, Distributed MDC, Centralized MDC, Sequential MDC,
and Chen-LC performance, with varying number of nodes in the network (network size)
from 50 to 100 nodes, in terms of user satisfaction, number of pure forwarders, bandwidth
utilization, and aggregate tree delay. The number of destinations is set to 10 and 30 nodes.
Centralized MDC achieve a higher user satisfaction (see Fig. 13 and Fig. 17) compared to the
other algorithms. The cost of that is the increase in the number of pure forwarders nodes (see
Fig. 14 and Fig. 18), the bandwidth utilization (see Fig. 15 and Fig. 19), and the aggregate
tree delay (Fig. 16 and Fig. 20). However this cost is still comparable. As the network size
increases, the user satisfaction for all algorithms increases. We related that to the increase in
the number of resources in the network, i.e., number of nodes, and bandwidth. Fig. 16 and
Fig. 20 show that as the network size increases the aggregate tree delay decreases. This is
because more alternate paths (with minimum delay) may exist.
Comparing Fig. 13 with Fig. 17, we can note that the user satisfaction, for all algorithms,
decreases as the number of destinations increases from 10 to 30 nodes. This because the
number of node-disjoint paths to the destination nodes decreases. Thus, the number of
assigned MD video to each destination decreases.
5 10 15 20 25
20
25
30
35
40
45
50
55
60
65
B
a
n
d
w
i
d
t
h

U
t
i
l
i
z
a
t
i
o
n

(
M
b
p
s
)
Serial MDC
ChenLC
Centralized MDC
Distributed MDC
Sequential MDC
Fig. 7. Bandwidth utilization versus number of destinations. Network size = 50 nodes
5 10 15 20 25
46
48
50
52
54
56
58
60
62
A
g
g
r
e
g
a
t
e

T
r
e
e

D
e
l
a
y

(
m
s
)
Serial MDC
ChenLC
Centralized MDC
Distributed MDC
Sequential MDC
Fig. 8. Aggregate tree delay versus number of destinations. Network size = 50 nodes
5 10 15 20 25
78
80
82
84
86
88
90
92
94
U
s
e
r

S
a
t
i
s
f
a
c
t
i
o
n

(
%
)
Serial MDC
ChenLC
Centralized MDC
Distributed MDC
Sequential MDC
Fig. 9. User satisfaction versus number of destinations. Network size = 100 nodes
5 10 15 20 25
8
10
12
14
16
18
20
22
24
26
N
u
m
b
e
r

o
f

p
u
r
e

F
o
r
w
a
r
d
e
r
s
Serial MDC
ChenLC
Centralized MDC
Distributed MDC
Sequential MDC
Fig. 10. Number of pure forwarders versus number of destinations. Network size = 100
nodes
5 10 15 20 25
20
30
40
50
60
70
80
90
100
B
a
n
d
w
i
d
t
h

U
t
i
l
i
z
a
t
i
o
n

(
M
b
p
s
)
Serial MDC
ChenLC
Centralized MDC
Distributed MDC
Sequential MDC
Fig. 11. Bandwidth utilization versus number of destinations. Network size = 100 nodes
5 10 15 20 25
36
38
40
42
44
46
48
50
52
A
g
g
r
e
g
a
t
e

T
r
e
e

D
e
l
a
y

(
m
s
)
Serial MDC
ChenLC
Centralized MDC
Distributed MDC
Sequential MDC
Fig. 12. Aggregate tree delay versus number of destinations. Network size = 100 nodes
50 55 60 65 70 75 80 85 90 95 100
74
76
78
80
82
84
86
88
90
92
94
Network Size
U
s
e
r

S
a
t
i
s
f
a
c
t
i
o
n

(
%
)
Number of destinations = 10 nodes
Centralized MDC
ChenLC
Serial MDC
Distributed MDC
Sequential MDC
Fig. 13. User satisfaction versus network size. Number of destinations = 10 nodes
50 55 60 65 70 75 80 85 90 95 100
10
11
12
13
14
15
16
17
18
Network Size
N
u
m
b
e
r

o
f

P
u
r
e

F
o
r
w
a
r
d
e
r
s
Centralized MDC
ChenLC
Serial MDC
Distributed MDC
Sequential MDC
Fig. 14. Number of pure forwarders versus network size. Number of destinations = 10 nodes
50 55 60 65 70 75 80 85 90 95 100
32
34
36
38
40
42
44
46
48
Network Size
B
a
n
d
w
i
d
t
h

U
t
i
l
i
z
a
t
i
o
n

(
M
b
p
s
)
Centralized MDC
ChenLC
Serial MDC
Distributed MDC
Sequential MDC
Fig. 15. Bandwidth utilization versus network size. Number of destinations = 10 nodes
50 55 60 65 70 75 80 85 90 95 100
38
40
42
44
46
48
50
52
54
56
Network Size
A
g
g
r
e
g
a
t
e

T
r
e
e

D
e
l
a
y

(
m
s
)
Centralized MDC
ChenLC
Serial MDC
Distributed MDC
Sequential MDC
Fig. 16. Aggregate tree delay versus network size. Number of destinations = 10 nodes
50 55 60 65 70 75 80 85 90 95 100
70
75
80
85
90
95
Network Size
U
s
e
r

S
a
t
i
s
f
a
c
t
i
o
n

(
%
)
Centralized MDC
ChenLC
Serial MDC
Distributed MDC
Sequential MDC
Fig. 17. User satisfaction versus network size. Number of destinations = 10 nodes
50 55 60 65 70 75 80 85 90 95 100
8
10
12
14
16
18
20
22
24
26
28
Network Size
N
u
m
b
e
r

o
f

P
u
r
e

F
o
r
w
a
r
d
e
r
s
Centralized MDC
ChenLC
Serial MDC
Distributed MDC
Sequential MDC
Fig. 18. Number of pure forwarders versus network size. Number of destinations = 10 nodes
50 55 60 65 70 75 80 85 90 95 100
60
65
70
75
80
85
90
95
100
105
Network Size
B
a
n
d
w
i
d
t
h

U
t
i
l
i
z
a
t
i
o
n

(
M
b
p
s
)
Centralized MDC
ChenLC
Serial MDC
Distributed MDC
Sequential MDC
Fig. 19. Bandwidth utilization versus network size. Number of destinations = 10 nodes
50 55 60 65 70 75 80 85 90 95 100
44
46
48
50
52
54
56
58
60
62
64
Network Size
A
g
g
r
e
g
a
t
e

T
r
e
e

D
e
l
a
y

(
m
s
)
Centralized MDC
ChenLC
Serial MDC
Distributed MDC
Sequential MDC
Fig. 20. Aggregate tree delay versus network size. Number of destinations = 10 nodes
6. Complexity analysis of the algorithms
We analyze the complexity of our proposed algorithms as follows. For Serial MDC, the
shortest path algorithm(Dijkstras algorithm) is of complexity O(|V| log(|V|) +|E|) O
_
V
2
_
where |V| and |E| are the number of nodes and number of wireless communication links
in the partial topology, respectively. Since it iterates Y times, where Y is the number of
destination nodes. Therefore the complexity is O
_
V
2
Y
_
and nally the algorithm iterates
N
req
(VD)
times, where
N
req
(VD)
is the total number of requiredvideo descriptions for all

destinations. As a result, the complexity of Serial MDC is given by O
_
V
2
Y N
req
(VD)
_
.
For Distributed MDC the complexity is given by O(V). Finally, Centralized MDC, Sequential
MDC, and Chen-LC algorithms have the same complexity of Serial MDC algorithm.
7. Conclusion
In this chapter we study the problem of multiple multicast trees construction and
the assignment of MD video. Different algorithms are proposed for that purpose.
These algorithms are: Serial MDC, Distributed MDC, Centralized MDC, and Sequential
algorithms. Serial MDC, Distributed MDC, and Centralized MDC algorithms deploy
the independent-description property of MDC, whereas Sequential MDC algorithm does
not take this property into consideration. Simulation results demonstrate that deploying
this property of MDC along with multiple multicast tree can greatly improve the user
satisfaction. Furthermore, simulation results demonstrate that the way of multiple multicast
tree construction and the assignment of MD video can affect the user satisfaction. In addition,
simulation results show that MDC can achieve higher user satisfaction compared to Layered
Coding (LC) with a small cost in terms of number of pure forwarders nodes, bandwidth
utilization, and aggregate tree delay.
8. References
Agrawal, D., Reddy, T. B. & Murthy, C. S. R. (2006). Robust demand-driven video
multicast over ad hoc wireless networks, 3rd International Conference on Broadband
Communications, Networks and Systems pp. 110.
Badarneh, O., Kadoch, M. & Elhakeem, A. (2008). A new approach for the construction
of multiple multicast trees using multiple description video for wireless ad hoc
networks, IEEE Conference on Local Computer Networks pp. 152159.
Chen, J., Chan, S.-H. G. & Li, V. O. (2004). Multipath routing for video delivery over
bandwidth-limited networks, IEEE Journal on Selected Areas in Communications
22(10): 19201932.
Chow, C.-O. & Ishii, H. (2008). Multiple tree multicast ad hoc on-demand distance vector
(mt-maodv) routing protocol for video multicast over mobile ad hoc networks,
IEICE-Transactions on Communications E91-B: 428436.
Clausen, T. & Jacquet, P. (year 2003). Optimized link state routing protocol (olsr).
www.ietf.org/rfc/rfc3626.txt.
Gogate, N., Chung, D.-M., Panwar, S. & Wang, Y. (2002). Supporting image and video
applications in a multihop radio environment using path diversity and multiple
description coding, IEEE transactions on circuits and systems for video technology
12(9): 777792.
Goyal, V. K. (2001). Multiple description coding: Compression meets the network, IEEE Signal
Processing Magazine 18: 7494.
Mao, S., Cheng, X., Hou, Y. T. & Sherali, H. D. (2006). Multiple description video multicast in
wireless ad hoc networks, Mobile Networks and Applications 11: 6373.
Mao, S., Hou, Y., Cheng, X., Sherali, H., Midkiff, S. & Zhang, Y.-Q. (2006). On routing
for multiple description video over wireless ad hoc networks, IEEE Transactions on
Multimedia 8(5): 10631074.
Mao, S., Lin, S., Panwar, S., Wang, Y. & Celebi, E. (2003). Video transport over ad hoc
networks: multistream coding with multipath transport, IEEE Journal on Selected
Areas in Communications 21(10): 17211737.
Puri, R. & Ramchandran, K. (1999). Multiple description source coding through forward
error correction codes, IEEE Proceedings Asilomar Conference on Signals, Systems, and
Computers pp. 342346.
Wei, W. & Zakhor, A. (2007). Multiple tree video multicast over wireless ad hoc networks,
IEEE Transactions on Circuits and Systems for Video Technology 17: 215.
Part 4
TCP in Ad Hoc Networks
18
TCP-MAC Interaction in
Multi-hop Ad-hoc Networks
Farzaneh R. Armaghani
1
and Sudhanshu S. Jamuar
2
1
Monash University, GSIT,
2
Department of Electrical Engineering, University of Malaya,
1
Australia
2
Malaysia
1. Introduction
Recent demands on affordable, portable wireless communication and computation devices
have resulted in exponential growth of wireless networks ranging from Wireless Local Area
Networks (WLAN) and Wireless Wide Area Networks (WWAN) to Ad-Hoc and Sensor
networks. The major goal of wireless communication is to allow users to communicate
together and to have access to global network anytime anywhere. This has led to wide
acceptance of infrastructure based cellular networks (WWANs) where mobile stations
communicate with a centralized controller, often referred as Access Point (AP) that is
connected to the wired networks. On the other hand, WLANs have appeared as dominant
popular technologies in many venues including a local area such as an academic campus or
an airport terminal. These wireless networks mostly rely on IEEE 802.11 Wi-Fi (Wireless
Fidelity) technology and its various derived versions (i.e. 802.11a,b,g).
IEEE 802.11 standard supports two operational modes: The infrastructure-based Wireless
Local Area Networks (WLANs) and an infrastructure-less Ad-Hoc Networks. A WLAN
(Conti, 2003) typically imposes the existence of an AP and normally is connected to the
wired networks to provide internet access for mobile devices. Obviously, only one hop link
is needed to communicate between mobile devices and AP. In contrast, there is no AP or
infrastructure in Ad-Hoc networks. Any two stations can communicate directly when they
are in the range of reception of each other. To this end, the stations may use multi-hop
routing to deliver their packets to destinations. The ad-hoc protocols (Conti, 2003;
Mohapatra & Krishnamurthy, 2005) are self-configured for address and routing in the face
of mobility and the network topology may change in each configuration. The multi-hop
wireless ad-hoc networks, or multi-hop wireless networks enable wireless networking in the
environments where the wired or cellular connections are impossible, inadequate, or cost
effective (e.g. battle field, disaster recovery, etc.).
The popularity of internet over the last decades has resulted in rapid advancement of
demanding applications. The Transmission Control Protocol/Internet Protocol (TCP/IP)
(Stevens, 1994) is a well-known de facto protocol in developing todays internet. Basically,
TCP provides a connection-oriented and reliable end-to-end data delivery between two
hosts in traditional wired networks. Since TCP is well tuned and due to its wide acceptance
in internet, it is desirable to extend and adopt its functionality to wireless networks. On the

402
other hand, unique characteristics and usage of multi-hop wireless networks require robust,
reliable and adaptive designs. This may be achieved by considering the interaction of
different layers to meet the increasing demands of these networks.
The reliability in TCP is achieved by retransmitting lost packets and acknowledgment
(ACK) confirmation. If the sender does not receive any acknowledgment within a timeout
interval or receives duplicate ACKs in the case of out-of-order packets, the packet will be
retransmitted. Any packet loss is assumed as congestion in wired networks. When a packet
loss is detected, TCP invokes its congestion control mechanism to slow down the sending
rate to reduce the congestion. However, packet losses are not mainly due to congestion in
wireless networks. It might be due to some wireless specific properties such as high medium
access contention, route breakage and high bit error rate in radio channels (Hanbali, Altman,
& Nain, 2005; Xiang, Hongqiang, & Jiangfeng, 2005).
The key challenge of TCP protocol is its poor bandwidth utilization and performance when
it runs over 802.11 multi-hop wireless networks. The reason can be explained due to the
extensive number of medium access carried out by TCP. Basically, TCP sender will be
informed of successful transmission by receiving the acknowledgment from the other end
host. The MAC overhead can be caused by generating redundant ACK packets that compete
in the same route with data packets for the media. Although the TCP-ACK packets are
small, they may cause the same overhead as data packets in MAC layer resulting in wastage
of wireless resources (Altman & Jimenez, 2003; de Oliveira & Braun, 2007). In fact, the short
RTS/CTS control frames to provide the data delivery implemented by 802.11 MAC protocol,
cannot eliminate the interference in large topologies (Xu, Gerla, & Bae, 2002). As load
increases, the well-known hidden terminal effects caused by interference between ACK and
data packets can impact TCP performance dramatically in long paths if TCP acknowledges
every incoming data packets. One way to improve the TCP performance over 802.11 in
multi-hop ad-hoc networks is to alleviate the medium access contention by reducing the
number of generated ACKs, simply called as delayed ACKs. This can be done by merging
several ACKs in one ACK which is possible due to cumulative ACK scheme used in TCP.
Referring to already proposed approaches to reduce the number of induced ACKs, the TCP
performance is still affected by a limitation of a method which dynamically selects the
number of delayed ACKs based on the channel condition (Altman & Jimenez, 2003; de
Oliveira & Braun, 2007). This motivates us to study the performance of TCP-ACKs in
interaction with 802.11 over the multi-hop ad-hoc networks and develop a dynamic delayed
ACK strategy to adjust TCP to these kinds of networks.
2. IEEE 802.11 challenges
The unique characteristics of ad-hoc designs impose several challenges in comparison with
single hop networks such as cellular networks or WLANs, when they run over 802.11 MAC
protocol.
The most serious challenge is the RTS/CTS handshaking implemented in 802.11, which is
not efficient enough to prevent collisions due to large distribution of mobile nodes and
multi-hop function in ad-hoc networks. It has been proved through analytical model and
simulation experiments (Fu, et al., 2005; Xu, et al., 2002) that RTS/CTS cannot function well
in topologies more than three hops (3 hop scenario) between sender and receiver. For larger
number of hops, the RTS/CTS exchange cannot prevent the existence of famous hidden
node problem which is discussed later.
TCP-MAC Interaction in Multi-hop Ad-hoc Networks

403
Mobile nature of ad-hoc networks, where each node may experience different degree of
channel contention and collision, is another problem, (Zhai et al., 2006). The interaction
between the MAC and higher layers has a significant effect on the network performance.
The interaction between MAC and TCP layer is investigated throughout this chapter.
2.1 Medium contention and spatial reuse
The Hidden and Exposed terminals are defined based on transmission range and sensing
range of the nodes (Xu, et al., 2002). Transmission range represents the range within which a
packet is successfully received if there is no interference from other radios. Sensing range is
the range within which a transmitter triggers carrier sense detection to sense an ongoing
signal. Spatial reuse facilitates maximum possible non-conflicting simultaneous
transmissions in MAC layer. A hidden terminal is the one that can neither sense the
transmission of a transmitter nor correctly receive the reservation packet (i.e. CTS control
frame) from its corresponding receiver (Zhai, et al., 2006). In other words, a hidden terminal
is a node that is within the transmission range of a receiver but out of the sensing range of
an intended transmitter. Therefore, it can interfere with an ongoing transmission at the
receiver by transmitting at the same time. Consider the scenario illustrated in Fig. 1a to see
the cause of hidden nodes. Here node D is a hidden terminal while B is transmitting to C
because it is out of Bs sensing range. Therefore, Ds transmission collides with RTS
reception in C. After seven attempts, both B and D assume that C is unreachable and the
packets will be dropped. This leads to bandwidth wastage as both data transmissions are
destroyed.

(a) Hidden terminals

(b) Exposed terminals
Fig. 1. Contention and spatial reuse
To achieve high channel utilization, MAC needs to maximize the spatial reuse (Zhai, et al.,
2006). Exposed terminal problem is a factor in 802.11 influencing the spatial reuse and is a
problem which is caused by a terminal that is within the sensing range of a transmitter and
can not interfere with the reception of the receiver; but it would not be able to start a
transmission because it senses a busy media. As depicted in Fig. 1b, node C is considered as
an exposed terminal when D is transmitting to E. C senses the medium as busy and it has to
keep silence, even though it can transmit to B which is out of Ds sensing range. In short, the
hidden terminals reduce the network capacity due to increase in number of collisions, while
E D B A C
Stop
E D B A C
Collision

404
exposed terminals affect the spatial reuse due to unnecessary deferring nodes from
transmitting.
3. TCP-MAC interaction in multi-hop ad-hoc networks
TCP interaction with lower layers includes the proposals that address the inability of TCP to
distinguish between losses due to route failures and network congestion. These proposals
involving the network layer suggest notifying the TCP sender about routing failure, when
the routing layer detects a route failure (Dongkyun, Toh, & Yanghee, 2000; Holland &
Vaidya, 2002; Liu & Singh, 2001; Wang & Zhang, 2002; Yu, 2004). On the other hand,
considerable research (Fu, et al., 2005; Gerla, Bagrodia, Lixia, Tang, & Lan, 1999; Gerla, Tang,
& Bagrodia, 1999; Khalife & Malouch, 2006; S. Xu & T. Saadawi, 2001) has been carried out
to show how TCP performance is significantly affected by MAC protocols in multi-hop ad-
hoc networks. We discuss these proposals that address the interaction between TCP and
MAC in this chapter.
The fundamental problem in interaction between 802.11 MAC and TCP arises from the impact
of hidden and exposed terminals on TCP congestion control mechanism and the impact of
TCP transmission rate and ACKs overhead on existence of hidden and exposed terminals.
3.1 Impact of hidden terminal and exposed terminal problem
The RTS/CTS control frames implemented in 802.11 MAC protocol can not prevent the
hidden and exposed terminal problems in the scenarios with more than three numbers of
hops.
Normally, when there is an unsuccessful RTS transmission either due to collision or due to
an unnecessary deferred transmission; the sender in MAC layer enters a backoff period and
it reschedules its RTS transmission when its backoff timer expires. After seven successive
unsuccessful attempts, it is assumed that the route has failed and the packet is dropped. The
effect of this wrong route failure report on TCP operation is not negligible. In this case, the
sender tries to find a new route to destination. If the route takes some time to restore, TCP
enters its backoff state and probes for a restored route at increasingly longer time intervals.
Hence, the route might be restored for quite some time but TCP remains idle until it
retransmits the packet after its time out expiration. Same condition happens when a route
failure is reported after four unsuccessful attempts to transmit a data packet in MAC layer.
Therefore, hidden and exposed terminals may cause a lack of ACKs at TCP sender, leading
it to retransmit by timeout (de Oliveira & Braun, 2007). As a consequence, TCP invokes its
slow start mechanism to slow down its transmission rate to the lowest level instead of fast
retransmit. In other words, TCP may not receive three duplicate ACKs due to its small
Congestion Window size (cwnd) at most of the times. Cwnd is defined as maximum number
of data packets a TCP sender may inject into the network at anytime without waiting for an
ACK from the receiver. Considering this problem, TCP end-to-end throughput may
decreases significantly as the number of the hops grow due to considerable delay of waiting
for the transmit timer to expire.
3.2 Impact of TCP transmission rate
Another major problem in interaction between TCP and MAC is based on the probability of
packet dropping due to increase in link contention as the TCP offered load increases (Fu, et

405
al., 2005). In fact, TCP keeps sending more packets during congestion avoidance phase while
a node is trying to access the medium within the MAC retry limits. The increment of
sending rate continues until TCP perceives any packet loss indication. As a result, the
channel condition may be aggravated because there are more outstanding packets intended
to obtain the channel simultaneously. Consequently, TCP experiences an incredible
throughput decrease due to the limited spatial reuse imposed by 802.11 MAC protocol.
3.3 TCP redundant ACKs
The issue of spatial contention in multi-hop wireless networks, which is aggravated by
hidden and exposed terminals, can be caused by generating redundant TCP
acknowledgments. It is noted that although TCP-ACKs are much smaller than TCP data
packets, their transmission requires the same signalling overhead of the 802.11 MAC
protocol (Altman & Jimenez, 2003). In fact, the receiver must content for the medium using
RTS/CTS frames for ACK transmissions exactly as the sender does for data transmissions.
The problem can be explained through Fig. 2 in which node D is a hidden terminal when B
is transmitting data packets to C.

Fig. 2. Collision between DATA and TCP-ACK
After a successful RTS and CTS handshaking, B starts to send the data. Meanwhile, a TCP
acknowledgment is flowing back from D to C. As it is shown in the Fig. 2, D's ACK
transmission will interfere with C's data reception and TCP acknowledgment will be
dropped. When TCP does not receive any ACK in a time interval, it assumes a data packet is
lost and invokes its congestion control mechanism. When it comes down to TCP
throughput, serious degradation will be observed.
4. TCP modifications over MAC layer in ad-hoc networks
In recent years, there has been an increasing amount of literature available on optimizing
TCP performance in interaction with MAC layer over multi-hop wireless networks at both
TCP sender and receiver side (De Oliveira & Braun, 2005, 2007; Fu, et al., 2005; Hamadani &
Rakocevic, 2005) in which all of them try to minimize the effect of MAC overhead caused by
spurious TCP retransmissions, TCP sending rate, and ACK packets. In order to mitigate the
spatial contention, the proposal is to apply changes to the TCP cwnd size at the sender end.
In contrast, proposals at receiver side aim to reduce the MAC overhead and ACK traffic by
alternations on TCP acknowledgment strategy or advertised window (rwin).
4.1 Limiting TCPs packet output
The effect of 802.11 MAC protocol interferences on TCP is extensively studied (Fu, et al.,
2005). They have suggested that for a given specific network topology there is an optimum
cwnd size, which maximizes TCP throughput by improving the spatial reuse property of
CTS
A
B
C D E
DATA
TCP-ACK
RTS

406
wireless networks. It is stated that in a chain topology consisting of h number of hops, the
maximum number of simultaneous transmission is upper bounded by
4
h
, at which
maximum spatial channel reuse is achieved (Fu, et al., 2005). Therefore, TCP achieves the
highest throughput with its cwnd size being
4
h
in an h-hop chain topology to limit the
number of outstanding packets over the entire forwarding path.
TCP continuously increases its cwnd size until a packet loss is detected. It typically operates
at an average window size that is larger than optimal, thereby leading to dropped packets
caused by link layer contention. Therefore, two link layer modifications named Link RED
and adaptive pacing is proposed to maintain the optimum cwnd size at TCP sender and to
reduce the medium contention. The Link RED algorithm aims to reduce the contention on
the wireless channel by monitoring the average number of retransmissions. The probability
of dropping a packet is computed when this average number becomes greater than a
threshold. The goal of adaptive pacing is to improve the spatial channel reuse when the
cwnd size exceeds the optimum value. This mechanism is enabled within the Link RED and
a node increases its backoff timer in MAC layer when it notices that the threshold has
reached.
In another major study, Chen et al. (K. Chen, Xue, & Nahrstedt, 2003) have investigated the
impact of the TCPs Congestion Window Limit (CWL) on TCP throughput by taking up the
Fu et al.s observations. Based on this claim that the impact of return path is not considered
in (Fu, et al., 2005), a dynamic mechanism known as dynamic CWL is proposed in which the
CWL depends on the Bandwidth Delay Product (BDP) of the connection. It is discussed that
regardless of the MAC protocol, the BDP cannot exceed the Round-Trip Hop-Count (RTHC)
in a wireless multi-hop network. In case of 802.11 MAC protocol, authors report that the
BDP is less than
1
4
of the RHTC as only four hops nodes away can transmit concurrently
without collisions. As a result, when the cwnd exceeds
5
RHTC
, the TCP throughput
decreases substantially. However, one major drawback is that the maximum retransmission
timeout in TCP is set to 2s as opposed to the 240s which is given in the standard. This might
affect the simulation result.
The maximum retransmission timeout in dynamic CWL has improved in (Papanastasiou &
Ould-Khaoua, 2004), where it is proposed to throttle the sending rate increase during the
congestion avoidance phase to a level below the standard of one segment per RTT. In this
way, no upper bound is forced to cwnd as it is done in CWL and dynamic CWL and a
significant improvement above dynamic CWL has been achieved by realistic setting of the
maximum RTO. One can see that limiting the cwnd to slow down the transmission rate has
been conclusively shown as an effective solution for spatial contention in MAC layer and
consequent TCP throughput optimization.
4.2 Managing a shared medium
As discussed earlier, TCP performance suffers from an inefficient spatial channel usage
when multiple flows are trying to access the shared radio channel leading to severe
unfairness problem (Boggia et al., 2005). It is mentioned that, during the probing phase for
available network bandwidth, TCP allows a large number of segments to be outstanding
which in turn generates a high collision probability when TCP flows go through an 802.11
ad-hoc networks. A receiver-side approach has been then proposed by Boggia et el. to

407
exploit the rwin filed of TCP segments to limit the number of in-flight packets in the
network based on the medium condition. In this paper, a cross-layer algorithm which
collects the total frame collision probability in MAC layer along the path has been proposed.
The measured probability is then communicated to the TCP receiver to properly set the
rwin. When there is not much collision in MAC layer, the total collision probability value is
less than a threshold, rwin is increased exponentially by one segment. However, in a high
congested media, the increment is much slower. Upon this strategy, a reasonable tradeoff
has been achieved between TCP throughput and fairness. But the ratio of retransmitted
segments is strongly reduced and the throughput does not improve significantly and stays
similar to that obtained using NewReno. These findings suggest that by monitoring the
channel condition, we can control the MAC overhead caused by spurious TCP
retransmissions and redundant ACKs, resulting in a better TCP performance.
4.3 ACK thinning techniques
The senders transmission of TCP-DATA segments and the receivers ACK response
contribute to spatial contention while TCP pair are communicating. The mechanisms
dealing with the reciprocal ACK response aim to reduce the amount of ACK traffic for an
optimized spatial contention. The first optimization of this nature has been introduced
through standard TCP with delayed ACK option by delaying ACKs upon receiving two in-
order data packets. It has been proved through extensive simulations (Lilakiatsakun &
Seneviratne, 2003; S Xu & T Saadawi, 2001) that well-known TCP variants including Reno,
New Reno, SACK and Vegas can perform better in case of throughput, bandwidth and
energy consumption by employing the delayed ACKs. It has also been shown that in special
cases the improvement in TCP throughput is in the range of 15-32% by deploying the
optional delayed ACK mechanism (S Xu & T Saadawi, 2001). Such findings motivate the
recent studies on more investigation over the degree of improvement that can be achievable
with ACK thinning mechanisms.
The study of the behavior of delaying more than two ACKs over 802.11 MAC protocol was
first carried out by Altman et al (Altman & Jimenez, 2003) in which the idea of standard
delayed ACKs, which is combination of only two consecutive ACKs, has been extended. In
the proposed scheme called TCP-LDA (Large Delayed Acknowledgment), an
acknowledgment is sent only after a given number d of segments or after a certain fixed
timeout. The dynamic aspect of TCP-LDA operates with d growing with an increasing
packet sequence number from one up to d = 4. Once this limit is reached, the delay window
(dwin) size, i.e. the number of the ACKs to be combined, is considered as fixed at 4 data
packets even though a timer expires at TCP sender side. This may lead to the shortage of
ACK phenomenon which is a condition with a bigger dwin size than a cwnd size. In this
condition, a sender does not receive any ACK in a time interval and is just able to transmit
upon a timeout. Moreover, TCP-LDA is not adaptable to different channel conditions and
out-of-order packets are not taken into account. This means that when any indication of an
out-of-order packet or dropped packet is received, dwin is never decremented again and still
is fixed at 4 packets leading to poor TCP performance.
Singh et al (Singh & Kankipati, 2004) have shown enhancement in TCP performance and
have derived the relation between throughput and number of data packets covered in one
ACK. Based on the analysis, they have proposed TCP-ADA (Adaptive Delayed
Acknowledgment) scheme, which tries to decrease the number of ACKs to one per
congestion window. However, employing a large dwin size equal to cwnd size is not an

408
efficient solution in all scenarios resulting in the burstiness of the forwarding packets in long
paths. In this case, too many data packets are queued at TCP sender side, waiting for an
acknowledgment to be received inducing packet drops in the router's buffer. Also they have
not addressed the effect of packet loss event and out-of-order packets in the dwin size
adjustment.
TCP-DCA (Delayed Cumulative Acknowledgment) (J. Chen et al., 2008) has been proposed
to decrease the number of ACKs based on the path length. This study reveals that for a
given topology and flow pattern, there exists an optimal delay window size at receiver that
produces best TCP throughput. It is shown that path length is an important factor in
choosing the dwin size because when travelling a longer path, a packet is more likely to
suffer interference. For a 3 hop scenario in hidden terminal problem, it may rarely happen
that the dwin size limit is equal to cwnd size. However, for long paths a high dwin limit
aggravates the channel contention. If data packets arrive in order, the receiver generates one
cumulative ACK for every d data packets. In case of an out of order packet, the receiver
acknowledges immediately without any delay. To get the delay timer period of ACK
timeout, the receiver monitors the packet inter-arrival interval and computes a smooth inter-
arrival. Moreover, in TCP-DCA the sender reuses the advertised window (rwin) field in data
packet header for advertising its cwnd size to the receiver to prevent the shortage of ACKs
phenomenon. The modifications are at receiver side and the mechanism is simulated in
scenarios with medium traffics while the higher loaded traffics are not taken into
consideration. Table 1 shows these findings on the optimized dwin size based on the path
length.

Path Length (h) dwin limit
h 3 Cwnd
3 < h 9 5
h 10 3
Table 1. Optimized delay window size in different path length
Olivera et al (De Oliveira & Braun, 2005, 2007) draws our attention to some drawbacks and
limitations in the previous literature. The authors have improved the fix number of 4
packets handled with a single ACK after the start-up phase and the fixed ACK timeout in
Altman and Jimenezs scheme.
The proposed dynamic delayed acknowledgment scheme called TCP-DAA (Dynamic
Adaptive Acknowledgment) of Altman and Jimenezs applies the concept proposed in RFC
2581 by sending an immediate acknowledgment upon out-of-order packets or packets filling
a gap at the receiver. This means that TCP-DAA is adaptive in the term of packet losses in
the channel. The receiver maintains a dynamic delaying window (dwin) with size ranging
from 2 to 4 full sized segments in networks with medium traffics which determines when an
ACK will be produced. When a packet loss is observed; the dwin breaks down to two ACK
packets. When there is no more losses reported; TCP enlarges dwin by one up to 4 packets.
That means TCP receiver waits for 4 data packets before generating the ACK. To this end,
the receiver implements an ack-count variable which increases by one until it reaches to the
current value of dwin whenever a consecutive data packet is received.
To deal with the high delay variations in wireless ad-hoc environments, an effective
mechanism has been employed to set the ACK timeout based on the packet inter-arrival
times at the receiver. The rational is, in case of a single dropped packet, the next DATA

409
packet will arrive out-of-order, thus triggerring immediate transmission of an ACK.
However, if it was only a delay variation and the DATA packet arrives before the expected
time for the subsequent packet; no timeout is triggered and the receiver avoids sending an
extra and unnecessary ACK packet into the network (De Oliveira & Braun, 2005). The DAA
method has been evaluated on string and mesh topologies of varying lengths and different
number of flows. The results show an optimization in TCP throughput up to 50% over plain
TCP NewReno on string topologies up to 8 hops and 20 flows (De Oliveira & Braun, 2005).
Later in (de Oliveira & Braun, 2007), an extension has been proposed to TCP-DAA
concerning the robustness in high traffic environments with considerable packet losses. It
has been pointed out that TCP-DAA may be inefficient in such environments. Based on
these observations, an enhanced mechanism is suggested which is more adaptable in high
traffic channels. In proposed mechanism called TCP-DAAp (TCP-DAA plus), dwin enlarges
more gradually by a factor between zero and one to its limit of 4 packets to provide enough
ACKs to the TCP sender. Additionally, dwin is reduced to one packet instead of two as a
reaction to packet losses. This behavior is more conservative in comparison with TCP-DAA
to prevent from transmitting a burst of data and the shortage of ACK phenomenon due to
the small size of cwnd in such high loaded lossy environments. The achieved results
obtained on a chain topology confirm that TCP-DAAp is as robust as the regular TCP
mechanism under heavily constraint environments; however it does not provide the same
improvements of TCP-DAA.
The main drawback of this work is that receiver is not dynamically notified to use TCP-
DAA or TCP-DAAp in the scenarios mix of moderate and high traffic. Therefore, although
the results have shown a significant and robust improvement, respectively in moderate and
high traffics, the algorithm is not applicable in the real world where the traffic may change
from time to time. To this end, it has been suggested to have an additional monitoring
mechanism at the receiver to adjust the TCP-DAA strategy on the basis of channel condition
(de Oliveira & Braun, 2007). Thus an adaptive receiver mechanism to switch between DAA
and DAAp strategies in scenarios susceptible with high losses; is considered as future work
by de Oliver and Braun (de Oliveira & Braun, 2007).
5. Monitoring Delayed Acknowledgment (TCP-MDA)
TCP-MDA dynamically reacts to the existing traffic in the network unlike the TCP-DAA. It
can delay more ACKs in low load channels and less in the high traffics. Basically, in a high
traffic network, it's more conservative to provide enough ACKs to TCP sender as there are
more data packets intended to achieve the channel simultaneously. This is prominent in a
long path topology where the spatial reuse property is limited due to hidden terminals and
packet loss is more common to happen.
5.1 MAC collision probability measurement
The method implemented in TCP-MDA to measure the collision probability in 802.11 is
based on the procedure used in (Boggia, et al., 2005) in which the measured collision
probability has been employed to set the advertised window field of TCP to slow down the
transmission rate. The same idea has been used in TCP-MDA to properly set the number of
delayed ACKs as it is shown in Fig. 3.
A field called as _ _
tot
i
non collision prob in the MAC protocol header has been added to meet
our requirements. This field is set to 1 in the first hop of the path where no collision is

410
detected. It should be recalled that TCPs functionality is based on the end hosts and it does
not need any support from the intermediate nodes. Hence, the first hop is the hop which
holds the source of the flow and the last hop is considered as TCP destination node. On the
other hand, 802.11 is involved with the intermediate nodes as well as the source and
destination nodes due to its responsibility for node-to-node delivery.

Network
TCP
MAC
_ _ = 1
1 2
n
Forwarding Nodes
3
_ _ _ _ _
_
_ _
Sender
Receiver

Fig. 3. MAC collision probability measurement
In TCP-MDA, TCP layer sends the SYN segment when a connection initiates. The MAC
layer is conscious about flow start by receiving SYN at the first node and sets the
1
_ _ 1
tot
non collision prob = . For the same reason, TCP can interact with MAC layer at
destination node, allowing the evaluation of the final collision probability and sends it to the
TCP layer for the delayed ACK adjustment.
As the packet is traversing the path from sender to receiver in 802.11, the
_ _
tot
i
non collision prob field is calculated by taking into account the collision probability at
each intermediate node (Boggia, et al., 2005).
We define _
i
collision prob as the local collision probability at the i
th
forwarding node and it is
given by the ratio between the number of retransmitted data packets and the total number
of transmitted data packets.
The _ _
tot
i
non collision prob is not a local value. It is defined as the product of collision
probability at each node from sender to i
th
node in a given path. Hence, in order to obtain the
_ _ ,
tot
i
non collision prob it is needed to multiply the local non collision probability of the i
th
forwarding node which is (1 _ ),
i
collision prob with the overall non collision probability
written in the header of the packet that is being forwarded from the (i 1)
th
node. To this
end, when a packet is received at node i, the overall
1
_ _
tot
i
non collision prob

is read from the
packet header. Then for each transmitted frame, the local non collision probability is
estimated and the computed overall _ _
tot
i
non collision prob is written back into the packet
header. This procedure continues until the packet reaches to the last node and the
_ _
tot
i
non collision prob is given as:

1
_ _ _ _ (1 _ )
tot tot
i i i
non collision prob non collision prob collision prob
= (1)
Finally, the total collision probability in the path at the last node is computed by using the
value of total non collision probability which is read from the packet header. This is given as:

411
_ 1 _ _
tot tot
n n
collision prob non collision prob = (2)
It should be noted that all the calculated values are considered for the data packets and the
transmission of RTC/CTS control frames is not taken into account. The pseudo-code
depicted in Fig. 4 describes the whole process at one node.

Fig. 4. Packet processing at a single node to collect the collision probability
5.2 Delaying window strategy
The ACK processing in TCP-MDA is dependent on the calculated collision probability,
total_collision_prob, in different channel traffics. Withholding ACK responses is done by
maintaining a dynamic delaying window (dwin) at TCP receiver to define the number of
data packets that would arrive before generating an ACK.
Like TCP-DAA, dwin size is initialized to one and it is gradually enlarged to its limit of 4
data packets. When the achieved total_collision_prob from MAC layer is less than a threshold
(collision_ thresh), the channel is considered in the good condition and dwin is incremented
by one for every received data packets. This means that dwin would become 4 faster and the
receiver would generate less ACKs. It would be advantageous then to keep dwin at 4 as long
as the channel is stable. When facing losses, however, dwin should be reduced due to the
fact that during these periods the channel may have less packets than 4 in flight to trigger
the fast retransmit mechanism at the sender. As a result, the channel may timeout if the
receiver ACKs are not obtained quickly.
When receiver gets any indication of packet loss or the packet is overly delayed during
transit, dwin reduces to two packets and again enlarges by one packet into its limit in low
traffic channels. The reason to resume dwin growth from two instead of one is to go back to
a behavior similar to that of the standard delayed acknowledgment (DA) in such situations,
which performs better than configurations without it (de Oliveira & Braun, 2007). Figure 5
depicts the pseudo-code of TCP-MDA when a packet arrives at receiver.

412
To track the number of the delayed ACKs, TCP receiver maintains an ack_count variable
ranging from one to the current value of dwin. Whenever a consecutive data packet is
received, ack_count variable is increased by one. In this way, when ack_count = dwin, an ACK
response is, immediately produced and ack_count is reset to one. It signifies the beginning of
the next group of data packets for which the corresponding ACKs will be delayed. In fact,
ack_count differentiates between each group of data packets.
It is also desirable to produce quick ACK responses so as to allow an increase of sending
rate during the slow start phase at the sender. If ACKs are delayed too much during this
phase, the sender would not receive enough ACKs to increase its sending rate efficiently
due to the ACK requirements of TCP sender to clock out the data. A speeding factor , with
0 < < 1 is considered to enlarge the dwin in the startup phase instead of a fixed value of
one. Additionally, maxdwin is considered as an indicator which turns true when the slow
start phase is over and dwin reaches its maximum value of 4. Once the maxdwin is reached,
then this mechanism is not activated again for the same connection. Hence this facility is for
short life flows (de Oliveira & Braun, 2007).

Fig. 5. TCP-MDA pseudo-code
The mechanism described above works well in moderate traffics; however, when the loss
rates are considerable, it is desirable to enlarge dwin slowly to provide enough ACKs to TCP
sender as there are more packets intended to achieve the channel. To meet this design, when
total_collision_prob exceeds the collision_thresh, dwin is incremented by a factor between
zero and one. This is more aggressive in conditions with considerable losses due to small
cwnd size in most of the times. In fact, cwnd size will be cut when a packet loss is perceived
by a TCP sender. Thus, we need to provide enough ACKs to the corresponding sender to

413
prevent from a transmission upon the timeout and to prevent from a bigger dwin size than
cwnd size. For the same reason, it is more appropriate to reduce dwin to one instead of two
as a reaction to packet loss. The optimized value for the collision_thresh is obtained through
different simulation results which show the best value among all the indexes in (Armaghani
et al., 2008). Figure 5 illustrates the pseudo code of the whole algorithm.
5.3 ACK timeout computation
For every successful delivered data and ACK packets, MDA method allows 4 data packets
to produce one ACK response. However, it is desirable to trigger an immediate ACK
without waiting an ack_count to reach the current dwin when a data packet is overly delayed
during transmission. The ACK timeout is computed by the means of packets inter-arrival
time (Fig. 6).
That is, an ACK is generated when no data packets arrive within an average inter-arrival
time since the last unacknowledged data packet. Therefore, an inter-arrival time gap
between each received data packet which an ACK is to be delayed, say i 1, i, i + 1, , and
the previous data reception is recorded as
i1
,
i
,
i+1
, .
It should be noted that the inter-arrival time between each data group is not taken into
account. These collected inter-arrival time periods are used to calculate a smoothed average
to estimate an expected inter-arrival time,
i
as given by following equation:

1
(1 )
i i i

= + (3)
1 i

is the last calculated average,
i
is the data packet inter-arrival time sampled and
0 < < 1 is an inter-arrival smoothing factor.

_ _
Sender
Receiver
TCP &
MAC
TCP &
MAC
F
o
r
w
a
r
d
i
n
g

n
o
d
e
s

Out-of-order
Packets

Next
Duplicate ACKs
dwin = 4
ACK
dwin = 2
dwin = 3
ack_count
MAC

Fig. 6. An example of how TCP-MDA works in the moderate traffic
In case of out-of-order packets, an ACK is immediately prompted; otherwise the receiver
waits for the period
i
before responding. This effective timeout interval is calculated using a
timeout tolerance factor k, with k > 0 as given in equation (4).

414
(2 )
i i
k = + (4)
The rational here is that due to high delay variations in such environments, it is reasonable
to wait for the time the second packet is expected. So, unnecessary timeouts are avoided to
be triggered.
5.4 Sender sides modifications
The only requirement at the sender in TCP-MDA is to restrict its cwnd size to the maximum
of 4 packets. This means that, TCP allows keeping 2, 3 or 4 packets outstanding in the
network at any given time. This small size of cwnd has been reported in the literature (De
Oliveira & Braun, 2005; Fu, et al., 2005) as an efficient size in the short range scenarios and
has been thoroughly discussed in Section 4.1. It has been suggested that TCP sender can
overcome the spatial contention property by confining the number of the packets in flight in
the network (Fu, et al., 2005). So that a limit of
4
h
for cwnd has been reported as an optimal
setting in a chain topology; where h is the number of hops between sender and receiver.
This setting has been followed in all the methodologys steps described in last sections to
confirm the above conclusions and to make TCP-MDA more comparable with TCP-DAA.
5.5 Optimized numbers of delayed ACKs
Different simulations have been run to find the optimal number of in-order data packets to
be waited before generating an ACK in different path lengths. In fact, delaying more ACKs
in short range scenarios with less than three numbers of hops are found to be more effective
as opposed to the upper bounded of four ACKs in scenarios dealing with moderate traffic.
However, a large dwin over a long path can aggregate the situation by inducing a large burst
of data into the network leading to more packet losses (J. Chen, et al., 2008). We take these
considerations into account in scenarios, which is mix of low and high traffic/loss rates, An
optimal dwin size, which acts best in comparison with the other sizes, have been obtained.
TCP-MDA with optimal dwin size has been compared with TCP-MDA with cwnd limit
setting and the results are discussed later.
5.6 Performance evaluation
To validate the proposed strategy various simulations representing the derived TCP-MDA
scheme under different parameters is presented in this section. The system performance in
term of throughput has been studied and the effects of different parameters have been
investigated. The evaluation of TCP-MDA has been conducted with the Network Simulator-
2 (ns-2) (Fall & Varadhan, 2008).
5.6.1 Simulation area setup
Two scenarios namely chain topology and grid topology as depicted in Fig. 7 have been
considered throughout our experiment. The chain topology consist of n nodes with number
of nodes (n) varying from 2 to 20 and number of concurrent flows varying from 1 to 20 in
each simulation. For each simulation, TCP connection is sourced at the first node (node 0)
and packets travel hop by hop over the chain to the end node (1 end node 19).
Simulation has been done for a 55 grid topology with three and six TCP flows,

415
respectively. In case of six TCP flows, half of the flows go horizontally and the other half go
vertically, spaced evenly.

(a) (b)
Fig. 7. Simulation scenarios: (a) Chain topology, (b) Grid topology
The nodes are considered as static to minimize the impact of routing dynamics and
concentrate on the interaction between TCP and MAC protocol as it is widely followed in
the previous researches (K. Chen, et al., 2003; De Oliveira & Braun, 2005; Lilakiatsakun &
Seneviratne, 2003; Papanastasiou & Ould-Khaoua, 2004; S Xu & T Saadawi, 2001). In fact, the
target is to investigate the dropped packets resulting from channel spatial reuse and
contention rather than the dropped packets induced by the route failure which belongs to
the mobility fact of network layer. IEEE 802.11 MAC protocol has been considered as
widely studied underlying protocol in wireless networks along with Ad-hoc On-Demand
Distance Vector Routing (AODV) protocol as a very popular routing protocol in ad-hoc
networks. Moreover, nodes access the radio channel at the data rate of 2 Mbps with
transmission range set to 250 m and interference range of 550 m.
A TCP-NewReno variant is used which starts transmitting FTP traffic along the chain
topology and the packet size is set as 1,460 bytes. Most of the parameters are chosen as given
in (de Oliveira & Braun, 2007). These parameters include the value of 0.75 for as an inter-
arrival smoothing factor and 0.2 for k as a tolerance factor tailored to compute the ACK
timeout in sending the acknowledgments.We also set the startup parameter as 0.3 which
provides the best result among the other indexes in (de Oliveira & Braun, 2007). End-to-end
TCP throughput has been evaluated and has been defined as total bits transmitted and
acknowledged over the simulation time (5).

Re ( ) 8
( )
ceivedPackets Packetsize
STime
Throughput kbps

= (5)
Scenarios starting from a moderate traffic/loss rate and ending to a noisy channel with
extensive packet losses has been assumed in simulation. A Four State Markov Chain error
model has been considered to model this environment as depicted in Fig. 8.
The error rate is changed from 0 in good state to 0.2 in the worst state. There will be more
packet losses as the probability of error increases. Here, the packet drops are not only losses
due to MAC collisions but also losses induced due to permanent external disturbance. In
our proposed strategy, we account the packet losses due to the medium contention and
external disturbance is not taken into account. The multi-state error model implements time
based error state transitions. Transitions to the next error state occur at the end of the
duration of the current state. The next error state is then selected using the transition state
matrix (Fall & Varadhan, 2008).
node 3 node 1 node 2 node 4 node 5 node n
200
flow 1
flow 2
flow 3
flow 4 flow5 flow 6

416

Fig. 8. Four state markov chain error model
The justification for employing this typical error model is its compatibility of introducing
different state of collisions through the simulation time which has been achieved by
monitoring the simulation trace file. An error rate more than 0.2 might lead to a high
collision probability especially in larger ranges more than four hops. This would prevent the
proposed strategy to properly show its functionality in low collision probability conditions.
All simulation parameters are listed in Table 2. Each data point represents an average of 5
simulation runs with different random seed numbers and each run lasts for 1,000 s. We
choose 1,000 s as we target the constrained scenarios ending to high packet loss. So that, it
takes a longer time to reach a stable simulation condition.

Parameter Value
Channel bandwidth 2 Mbps
Channel delay 25 s
Transmission range 250 m
Interference range 550 m
Packet size 1460 bytes
Window limit 4 packets
Regular TCP NewReno
Routing protocol AODV
Traffic type FTP
0.75
0.2
0.3
0.28
collision_thresh 0.3
Table 2. Simulation parameters
5.6.2 Throughput in the chain topology
As discussed earlier, we know that when the channel is in good condition, dwin is
incremented by one to its limit of 4 to generate less ACKs. However, when the loss rates are
considerable, it is more proper to enlarge dwin slowly by a factor which has value
between zero and one to provide enough ACKs to TCP sender. Monitoring the channel
condition is done by comparing the achieved total_collision_prob from MAC layer with the
collision_ thresh.
The optimized value for has been obtained by the analytical evaluation given in (de
Oliveira & Braun, 2007). It has been proved that following a very conservative procedure,
dwin should be increased by about 0.28 for each in-order data packet received, and is same
as simulation results in (de Oliveira & Braun, 2007). The same value of has been used here
1 1
1
0.2 0.05
0.09 0
1

417
in all the simulations based on the observations in (de Oliveira & Braun, 2007). In addition
to , the optimized value of 0.3 for the collision_thresh has been obtained through different
simulation results which show the best value among all the indexes. All the simulation
results are presented in (Armaghani, et al. 2008) for different values of collision_thresh.
To evaluate the effectiveness of the TCP-MDA strategy against TCP-DAA and TCP-DAAp
(De Oliveira & Braun, 2005, 2007), further simulations have been conducted for 2, 4, 9 and 16
hop scenarios. The rest of simulation parameters and experimental setup were identical to
ones selected in Section 5.6.1. It can be concluded that in a 4 hop scenario with up to 5
concurrent flows, TCP-MDA performs similar to TCP-DAA (Fig. 9a). However, for
concurrent flows more than 5, results show the improvement of TCP-MDA over the other
protocols.
This behavior of TCP-MDA could be due to the setting of collision_thresh in our experiments.
In fact, the total collision probability (total_collision_prob) measured in the MAC layer has
been observed to be less than 0.3 in the scenarios up to 5 numbers of flows. Therefore, TCP-
MDA throughput is same as TCP-DAA by enlarging dwin by one to its limit of 4 packets.
As the number of flows increases, the total_collision_prob has a value more than 0.3. Thus,
TCP-MDA reacts under this condition by enlarging dwin more gradually in order to avoid
timeout at the receiver and a bigger dwin size than cwnd size, i.e. shortage of ACK
phenomenon. These results also show that the efficiency of TCP-DAA goes down to the
level of TCP-DAAp when we have several concurrent flows running in the network. This
behavior closely confirms the rationale of enlarging dwin more gradually in a higher loaded
channel.
For 2 hop scenario simulation results do not show considerable improvements over the
TCP-DAA. A possible explanation for this might be due to the limited spatial reuse property
imposed by MAC layer. Spatial contention is negligible in a small network with a short path
and we still have a steady state condition where less packet loss may occur with increased
load. So that, the calculated collision probability in MAC layer is less than the assumed
threshold in these scenarios and dwin enlarges by one to meet the need of combining 4
ACKs in one ACK.
The results of the evaluation with 9 hops are shown in Fig. 9b where we observed that TCP-
MDA strategy again proves superior to all other protocols. The improvement ranges
between 4 to 13% over TCP-DAAp and 10 to 30% over TCP-NewReno+DA+WL and even
higher over TCP-DAA.
The throughput results for a 16 hop scenario depicted in Fig. 9c is not very encouraging.
Although, TCP-MDA still seems to slightly outperform others, but TCP instability problem
is observed in this experiment. This instability may be explained due to the fact that there
are more hidden and exposed terminals that cannot sense each other for transmissions in
longer path. In fact, there would be more timeout reports and retransmission efforts in the
MAC layer. After several unsuccessful retransmission efforts, the MAC layer would report a
link breakage and a route discovery would be triggered immediately after the route failure
has been reported. In this way the source would have to wait for the duration until the new
route has been established. This is likely to affect the throughput.
Another reason that could be attributed may be due to the consequence of high interference
on TCP sender RTT estimation. This implies that longer end-to-end connection would result
in higher amount of contention among nodes because all of them try to access the channel at

418
168
173
178
183
188
193
198
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
T
h
r
o
u
g
h
p
u
t

(
k
b
p
s
)
Number of Flows
TCP-MDA
TCP-DAA
TCP-DAAp
TCP+DA+WL

(a) 4 hop

(b) 9 hop

(c) 16 hop
Fig. 9. TCP throughput vs. number of flows in a 4 hop chain topology
the same time, and time for the TCP sender to detect lost packets would be longer. Figure 10
depicts a simple scenario where all nodes have at least one packet to send in the forward
direction. We assume that node B and D initially have the channel access and they start to
transmit at the same time. Soon after the transmission, there would be collision in packet
from B to C with the packet from D to E. Meanwhile, A has been waiting to start
transmitting several packets to B before releasing the channel.

419
However, B would be still unable to access the channel and buffers the new packets in
addition to packet(s) already in its buffer and would start building up its queue. Therefore, a
bottleneck may occur at node B of the path resulting to an artificial increase of the RTT delay
measured by the sender. As a result, TCP would overestimate the available bandwidth and
enlarges its cwnd size leading to the network overload in the next RTT. This procedure
would continue until a packet drop would be reported within a MAC retry limits specified
by 802.11 MAC standard.

Fig. 10. Network overload scenario
It has been observed that TCP-MDA shows improvements in comparison with both TCP-
DAA and TCP-DAAp in short range networks (up to 10 hops). This is basically because
TCP-DAA and TCP-DAAp have not been designed for the scenarios facing the tradeoff
between moderate and high loss rates, so they are more adaptable to the environment when
they come together as TCP-MDA with a channel monitoring mechanism.
The drawback of the proposed strategy is that, TCP-MDA does not estimate the internal
network state. However, in a channel with high loss rate, packet drops are not only due to
the MAC collision. Packet loss might be due to the high medium induced errors and
external disturbance. Since TCP-MDA is not tailored to monitor the channel state, so it is
unable to demonstrate the level of medium errors.
5.6.3 Throughput in grid topology
Grid topology is a more complex scenario with various interactions among the nodes.
Extensive channel contention exists and so more packet drops are expected as a consequence.
Grid topology is commonly used in literature to evaluate the effect of multiple interfering
flows on TCP performance (Boggia, et al., 2005; J. Chen, et al., 2008; De Oliveira & Braun,
2005). Figure 11 compares the performance of TCP-MDA, TCP-DAA, TP-DAAp as well as
standard TCP with DA extension.

300
310
320
330
340
350
360
6 3
T
h
r
o
u
g
h
p
u
t

(
k
b
p
s
)
Number of Concurrent Flows
TCP-MDA
TCP-DAA
TCP-DAAp
TCP+DA+WL

Fig. 11. TCP throughput over a 55 grid topology
B C D E F A
1
2
3 4
5
6
7
8
n

420
Here, the flows do not share the same path but still interfere due to the hidden terminals
and interference between nodes transmission ranges. The results depicted in Fig. 11 again
mirror the optimized throughput of TCP-MDA over the other protocols in scenarios with
dynamic traffic. There are fewer contentions in the case of three flows and so TCP-MDA
maintains the traffic by enlarging dwin rapidly up to four delayed ACKs. As the level of
contention upsurges, TCP-MDA turns to perform more moderately by a gradual dwin
enlargement, i.e. in the case of six cross flows.
TCP-DAAp provides a better throughput over TCP-DAA and TCP+DA+WL in the case of
six flows which again prove the need of providing more ACKs in high traffic channels. In
general, the same observation as chain topology holds true for grid topology. It can be
deducted that in chain and grid scenarios, TCP-MDA benefits by delaying more ACKs in
low traffic and less in high traffic channels.
5.6.4 Impact of congestion window limit
It is reported in earlier studies that limiting cwnd size improves TCP performance by
maximizing the spatial reuse. So, in this study a limit of up to 4 packets has been considered
for cwnd in scenarios with not more than 19 hops to make our work more comparable with
the ones presented in (de Oliveira & Braun, 2007).
It would be noted that TCP-MDA may not provide the same improvement in some
scenarios and the performance may degrade to the level of standard TCP that uses DA and
window limit (WL). This behavior can be explained as following: first, limiting cwnd by itself
would decrease the channel interference and maximize the spatial reuse. On the other hand,
delaying ACKs helps TCP sender to slowdown its transmission rate by triggering the cwnd
growth to its limit in a longer interval. In this way, the total number of induced data packets
in the network might be affected by a slow transmission rate and the receiver delaying
window adaption provides little extra improvement.
The above discussion has motivated to do more investigation on the impact of cwnd limit
along with the dwin limit. To this end, we have run different simulations in which the cwnd
has been unbounded and dwin size has been varied with different values. All the simulation
parameters are same as in earlier simulations. Our objective has been to identify the
relationship between TCP throughput and optimized dwin size in different path lengths. The
results are presented in Fig. 12.
The above observations determine that dwin size in TCP-MDA is based on the path length of
a TCP connection. We have observed that for a short path (hops 3); the ACK can be
delayed up to a large value. The reason lies on the 802.11 capability to transmit the packets
without collision in short ranges no matter what the burst size is.
However, employing a large dwin size is not an efficient solution in all scenarios resulting in
the burstiness of the forwarding packets in long paths. In this case, too many data packets
are queued at the TCP sender side, waiting for an acknowledgment to be received inducing
packet drops in the router's buffer. Since there are more interfering nodes, there might be
more packet losses because the packet has more chances to be interfered in a long path. The
proper values for TCP-MDA dwin size according to our observations in different path length
are listed in Table 3.
Although, there are more unsuccessful packet transmissions caused by interference in the
chains between 4 and 6 hop counts, TCP-MDA still could maintain performance gain by
delaying ACK for more data packets since a TCP sender is able to recover packet loss rather
rapidly due to the small RTT.

421

945
950
955
960
965
970
2 3 4 5 6 7 8 9 10 11 12
T
h
r
o
u
g
h
p
u
t

(
k
b
p
s
)
Delay Window Size
1 hop

(a) hop count = 1 (b) hop count = 2

100
120
140
160
180
200
220
240
260
280
2 3 4 5 6 7 8 9 10
T
h
r
o
u
g
h
p
u
t

(
k
b
p
s
)
Delay Window Size
3 hops 4 hops
5 hops 6 hops

(c) 2 < hop count 6

6
16
26
36
46
56
66
76
86
96
2 3 4 5 6 7 8
T
h
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g
h
p
u
t

(
k
b
p
s
)
Delay Window Size
7 hops
8 hops
9 hops
11 hops
13 hops
15 hops
17 hops
19 hops

(d) 6< hop count 19

Fig. 12. TCP throughput vs. delay window size in chain topology

422
Path length (No. of hops) dwin Limit
h 3 9
3 < h 5 5
5 < h 9 4
9 < h 19 3
Table 3. Optimized dwin size in different path lengths
Similar trend also exists for paths longer than 6 hops, where TCP-MDA achieves throughput
gain only when the delay window size is equal to 4. For larger topologies than 10 hops,
large delay window size may not maintain throughput gain due to excessive data packet
losses. Further, TCP-MDA spends more time detecting packet loss due to the larger RTT.
Therefore, for long paths, large delay window is not preferred.
Next experiment is tailored to evaluate the performance of TCP-MDA WL over TCP-
MDA. Figure 13 shows the performance of proposed strategy with and without cwnd limit.
It has been shown in previous simulations that TCP-MDA outperforms the other protocols
in a short chain of hops. Here, the impact of cwnd limit has been investigated in our
assumed scenario with medium and high loss rates. The number of the acknowledgments to
be delayed in TCP-MDA WL has been accordingly based on observation in each path
length as listed in Table 3.
In this experiment, the two graphs in Fig. 13a and Fig. 13b show that cwnd limit on TCP-
MDA does not bring considerable benefit on a short path with less number of flows. In fact,
bounding the cwnd along with dwin may restrict the TCP performance by confining the total
number of packets in flight in the network in small topologies, i.e. small burst size.
Therefore, a large dwin solely might be enough effective on throughput improvement in
these kinds of scenarios. For a longer path in Fig. 13c cwnd limit provides more throughput
gain which is prominent in less number of flows.
6. Conclusion
In this chapter poor bandwidth utilization and performance of TCP, when it runs over 802.11
MAC protocol in multi-hop ad-hoc networks, has been addressed. This problem can be due to
the extensive number of medium access carried out by TCP by generating redundant ACK
packets that compete in the same route with data packets for the media. First, the reasons of
TCP performance degradation in ad-hoc networks have been studied. Then the impact of
delay acknowledgments has been studied which helps to improve TCP performance by
reducing the number of generated ACK. Taking into account the importance of delay ACKs on
TCP performance enhancement, a dynamic TCP-MAC interaction strategy has been proposed
to reduce ACK induced overhead and consequently collisions.
The results have shown that the proposed dynamic TCP-MAC interaction approach reduces
the number of ACKs transmitted by a TCP receiver by monitoring the medium collision
probability and reacting to packet losses. The results comparison has shown improvement
in short path lengths between 4 to 9 hops in a chain topology.
The impact of TCP cwnd size along with delayed ACK on MAC spatial reuse have also been
studied. The findings show that with an unbounded cwnd, for each topology there exists an

423

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Fig. 13. Comparison of TCP-MDA with and without cwnd limit
optimal delay window size in which TCP throughput is maximized. Armed with the
optimized numbers of delayed ACKs, the proposed strategy has been evaluated with two
different adjustments: with a limited cwnd and maximum delayed ACKs of 4 packets in all
the topologies; and an unbounded cwnd along with a various dwin based on the path length
of the topology. The related results draw to the conclusion that limiting cwnd is not
beneficial in all the scenarios and a large dwin may solely help to alleviate the spatial reuse
contention in short range topologies with less number of flows.
7. Directions for future work
Based on the achieved results, following problems may be subject for further study:
Error detection mechanism: TCP-MDA is basically based on the consideration that
having a dynamic loss rate, the packets suffer from the channel interference and MAC
collision and accordingly the channel collision probability is taken into account. Hence,

424
TCP-MDA does not detect the exact internal state of the network. However, multi-hop
networks are prone to much higher bit error rates in a lossy channel leading to very
complex conditions. As a consequence, TCP-MDA lacks robustness in detecting what is
exactly going on within the network so that it cant take proper action upon error based
losses. So, it would be an interesting prospect to develop an end-to-end basis error
detection mechanism to inform TCP about the actual cause of any packet loss so the
TCP recovery mechanism can take the most appropriate action. This error model can be
designed using more heuristic methods and fuzzy logic to consider more realistic
transitions among the various states of the network.
TCP sender adoption: TCP-MDA focuses more on the TCP receiver side and the only
investigation on the sender side is over the impact of congestion window limitation. It
is a basic TCP functionality that the sender relies on ACKs for computing its timeout
interval and transmits new data packets. Moreover, TCP RTT computation can be
affected by high/low delay variance. Hence, TCP performance can be disturbed by
unnecessary delaying ACKs. As a result, a comprehensive study might reveal issues
which are not captured in present research.
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Networks. Proc. IEEE VTC'01, Fall 2001, 267 - 271.
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6(2), 151-170.

19
The Effect of Packet Losses and Delay on TCP
Traffic over Wireless Ad Hoc Networks
May Zin Oo and Mazliza Othman
University of Malaya
Kuala Lumpur,
Malaysia
1. Introduction
The popularity of wireless network has been growing steadily. Wireless ad hoc networks
have been popular because they are very easy to implement without using base stations.
The wireless ad hoc networks are complex distributed systems that consist of wireless
mobile or static nodes that can freely and dynamically self-organize. The ad hoc networks
allow nodes to seamlessly communicate in an area with no pre-existing infrastructure.
Future advanced technology of ad hoc network will allow the forming of small ad hoc
networks on campuses, during conferences and even in homes. Furthermore, there is an
increasing need for easily portable ad hoc networks in rescue mission, especially for
accessing rough terrains. However, the quick adaptation and ease of configuration of ad hoc
networks come at a price.
In wireless ad hoc networks, route changes and network partitions occur frequently due to
the unconstrained network topology changes. Moreover, this kind of network inherits the
traditional problems of wireless communication, such as unprotected outside signals or
interferences, unreliable wireless medium, asymmetric propagation properties of wireless
channel, hidden and exposed terminal phenomena, transmission rate limitation and blindly
invoking congestion control of transport layer. Although most of these limitations and
complexities are due to the lack of fixed backbone or infrastructure, building ad hoc
network temporarily is not only simple and easy to implement but also cost-effective and
less time-consuming if compared to an infrastructure network that needs to establish a
based station and fixed backbone. Among the above mentioned problems and limitations,
the impact of transport layer limitations is analyzed across ad hoc routing protocols
throughout the network topologies.
Transmission Control Protocol (TCP) (Postel, 1981) is the de facto standard designed to
provide reliable end-to-end delivery of data packet in the wired networks. Normally, TCP is
an independent protocol that is not related to the underlying network technology. However,
some assumptions of TCP, such as consideration of only static node, packet losses due to
congestion or buffer overflows are inspired from the features of wired networks. In the
wireless network, these assumptions may not be correct all the time due to the rapid
network topology changes, node movements and limited battery power. In order to apply
TCP to an ad hoc environment, TCP has to overcome many problems, such as packet losses
due to congestion, high bit errors, node mobility, longer delay and so on. The following TCP

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versions, Tahoe (Stevens, 1997), Reno (Allman, 1999), NewReno (Floyd & Henderson, 1999),
Vegas (Brakno et al., 1994) and Westwood (Gerla et al., 2002), are enhanced versions of TCP
and perform differently depending on how the routing protocols can quickly adapt route
changes due to link breaks in an ad hoc network environment.
For wireless ad hoc networks, the issue of routing packets between any pair of nodes becomes
a challenging task because the nodes can move randomly within the network. A path that is
considered optimal at a given point in time might not work at all a few moments later.
Traditional routing protocols such as DSDV (Perkins & Watson, 1994) are proactive in that
they maintain routes to all nodes. They react to any change in the topology even if no traffic is
affected by the change and they require periodic control messages to maintain routes to every
node in the network. As mobility increases, more of scarce resources, such as bandwidth and
power, will be used. Alternative reactive routing protocols, i.e. DSR (Johnson et al., 2007) and
AODV (Perkins et al., 2003), determine the route when they explicitly need to route packets,
thus avoiding nodes from updating every possible route in the network. However, these
protocols tend to cause the broadcast storm problem (Tseng et al., 2002) due to the broadcast
nature of the route discovery procedure. To avoid the discovery of a new route whenever a
route fails, multipath routing protocols, i.e. AOMDV (Marina & Das, 2006) and OLSR (Clausen
& Jacquet, 2003), were proposed which involve either on-demand or the usage of multiple
relay points according to the link state information.
In the wireless ad hoc network, the behavior of protocols always vary depending on the core
mechanisms of other protocols and factors such as node speeds, node movement patterns
and background traffic. Almost all previous studies consider the importance of routing
protocols over the performance of TCP (Ahuja at al., 2000; Dyer & Boppana, 2001; Gupta et
al., 2004; El-Sayed, 2005; Kawadia & Kumar, 2005; Osipov & Tschudin, 2006; Mondal &
Laqman, 2007; Anastasi et al., 2007; Sakib, 2009). Ahuja at al., (2000) considered four routing
protocols: AODV, DSR, DSDV and SSA (Signal Stability-based Adaptive (Dube et al., 1997))
protocols and analyzed the performance of TCP. Dyer & Boppana (2001) also considered
two on demand routing protocols, DSR and AODV, and proposed an adaptive proactive
protocol (ADV) to enhance the TCP performance under a variety of conditions.
On the other hand, several papers (Ahuja at al., 2000; Chandran et al., 2001; Dyer &
Boppana, 2001; Holland & Vaidya, 2002) discuss the effect of node mobility that may
severely degrade the TCP performance due to the protocols inability to manage efficiently
mobility effects. As there are different versions of the TCP, many authors have compared
the performance of different TCP versions by measuring throughput and fairness (Xu &
Saadawi, 2000; Rakabawy et al. 2005, Kim et al., 2005). However, their analysis focus on the
comparison of throughput and fairness, rarely considered packet loss rate depending on the
increased number of connections. Some of them like, Kim et al. (2005), considered only TCP-
NewReno and TCP-Vegas depending on AODV and OLSR routing protocols.
To the best of our knowledge, very few experimental analyses have been carried out so far
(Lim et al., 2003; Oo & Othman, 2010) on the usage of multipath routing protocol. Their
experiments are limited to using the ordinary TCP over multipath routing protocols.
Therefore, this chapter discusses how the TCP variants interact to the use of routing protocols
depending on the different topologies in the static and mobile ad hoc network environments.
The next section of this chapter is organized as follows. Section 2 briefly presents an overview
of the ad hoc routing protocols and section 3 describes the variants of TCP that we have
analyzed. Section 4 discusses the simulation methodology. Section 5 presents an analysis of the
simulation results. Section 6 summarizes and concludes this chapter.
The Effect of Packet Losses and Delay on TCP Traffic over Wireless Ad Hoc Networks

429
2. Overview of ad hoc routing protocols
2.1 Destination-Sequenced Distance Vector (DSDV)
DSDV (Perkins & Watson, 1994) is a proactive, hop-by-hop distance vector routing protocol.
In DSDV, each node maintains a routing table of all possible destinations and the number of
hops to each destination. Each node broadcasts its routing table information periodically
throughout the network by using monotonically increased sequence numbers. The use of
sequence number not only prevents the nodes from the occurence of stale routes but also
avoids the formation of routing loops. If a node does not receive a periodic message from its
neighbor for a while, it assumes that the link is broken. Moreover, its route update
algorithm is very simple and guarantees loop free routes by transmitting a smaller update
messages time to time. Therefore, the entire routing table need not be transmitted when the
network topology changes occur.
2.2 Optimized Link State Routing Protocol (OLSR)
OLSR (Clausen & Jacquet, 2003) is a carefully designed protocol that works in a distributed
manner and does not depend on any central entity. Each node chooses its neighbor nodes as
multipoint relays (MPR) that are responsible for forwarding control traffic by flooding.
MPRs provide the shortest path to a destination by declaring and exchanging the link
information periodically for their MPRs selectors. By doing so, the nodes maintain the
network topology information. The MPR is used to reduce the number of nodes that
broadcasts the routing information throughout the network. To forward data traffic, a node
selects its one hop symmetric neighbors, referred to as MPRset that covers all nodes that are
two hops away.
The MPRset is calculated from information about the nodes symmetric one hop and two
hop neighbors. This information in turn is extracted from HELLO messages. Similar to the
MPRset, a MPR Selectors set is maintained at each node. A MPR Selector set is the set of
neighbors that have chosen the node as a MPR. Upon receiving a packet, a node checks its
MPR Selector set to see if the sender has chosen the node as a MPR. If yes, the packet is
forwarded, otherwise the packet is processed and discarded.
For route maintenance, Hello messages are broadcast periodically for link sensing,
neighbors detection and MPR selection process. The information contained in the HELLO
message:
how often the host sends Hello messages,
willingness of a host to act as a Multipoint Relay, and
information about its neighbor (i.e. interface address, link type and neighbor type)
The link type indicates that the link is symmetric, asymmetric or simply lost. The neighbor
type is either symmetric, MPR or not a neighbor. If the link to the neighbor is symmetric,
this node is chosen as MPR. After receiving a HELLO message information, a node builds its
routing table. When a node receives a duplicate packet with the same sequence number, it
discards the duplicate. A node updates its routing table either when a change in the
neighbor is detected or a route to any destination has expired and a shorter route is detected
for a destination.
2.3 Dynamic Source Routing (DSR)
In DSR (Johnson et al., 2007), each node is initialized by broadcasting a route request packet
when it either needs a route to the destination or does not have a route in its route cache. On

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receiving this request, each node broadcasts it by appending its address to the request
packet until this packet reaches the destination. The destination node replies to the earliest
request to the source node. This approach is known as source routing.
In DSR, each node not only quickly supports a route when a route break occurs but also
tolerates the topological changes due to the monitoring of the operations of routes.
Moreover, it is able to compute the correct routes in the presence of asymmetric link. It does
not make use of the periodic routing, thereby saving bandwidth and reducing power
consumption.

S
Source
S
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(a) Sending procedure of a request packet
S-A-D
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Destination

(b) Replying procedure of a reply packet
Fig. 1. Route discovery procedure of DSR
There are two main operations of DSR: route discovery and route maintenance. When a
node wants to send a packet, and there is no route available to the destination, the node
initiates a route discovery procedure. The source node broadcasts a route request to its
neighbors by adding the destination address and route information that is recorded when
the route request has passed. Upon receiving a route request, a node checks if it is the
destination or if it knows a fresh route to the destination. If it is, the destination node has
already found the complete route from the source and replied back to the source node.
Otherwise, the node appends its address to the route information record and re-broadcasts
the route request to its neighbors.To maintain the routes, each node constantly monitors the
links it uses to forward the packets. If a node finds out that it cannot forward a packet, it
sends a route error packet to its upstream nodes towards the source.

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2.4 Ad-hoc On-demand Distance Vector (AODV)

Source
Destination

Source
Destination

Fig. 2. Route discovery procedure of AODV
AODV (Perkins & Das, 2003) is based on DSDV and DSR routing protocols. In AODV, each
node maintains a routing table, one entry per destination. Each entry records the next hop to
the destination and its hop count (i.e. the distance from the current node to the destination
node). AODV also uses a sequence number generated by a destination node to indicate the
fresh-enough routes. Like DSR, AODV discovers a route through network-wide
broadcasting. Unlike DSR, it does not record the nodes it has passed but only counts the
number of hops. It builds the reversed routes to the source node by looking into the node
that the route request has come. The responsibility of intermediate nodes is to check for
fresh routes according to the hop count and destination sequence number and forwards the
packets that they receive from their neighbors to the respective destinations.
AODV utilizes HELLO packets for route maintenance. If a node does not receive a HELLO
packet within a certain time, or it receives a route break signal that is reported by the link
layer, it sends a route error packet by either unicast or broadcast, depending on the
precursor lists (i.e. active nodes towards the destination), in its routing table. It uses the
periodic beaconing and sequence numbering procedures of DSDV and a similar route
discovery procedure as in DSR. However, there are two major differences between DSR and
AODV. The most distinguishing difference is that in DSR each packet carries full routing
information, whereas in AODV the packets carry the destination address. This means that
AODV is potentially less memory consuming than DSR. The other difference is that the

432
route reply packets in DSR carry the address of every node along the route, whereas in
AODV the route reply packets only carry only the destination IP address and sequence
number. AODV avoids the stale route cache problem of DSR and it adapts the network
topology changes quickly by resuming route discovery from the very beginning.
2.5 Ad-hoc On-demand Multipath Distance Vector (AOMDV)

Source
Destination

Source
Destination

Fig. 3. Route discovery procedure of AOMDV
To overcome the invoking of a route discovery procedure whenever a route break occurs,
Marina & Das (2006) proposed an AOMDV that allows each node to keep multiple paths to
the destination. When a source node has data packets for a destination, it first checks its
routing table to ascertain whether it already has a route to the destination node. If a route is
available, it sends the data packets by utilizing its existing route. If not, it initiates a route
discovery procedure by broadcasting RREQ to obtain a route to the intended destination.
AOMDV computes multiple paths and observes each route advertisement to define an
alternate path to the source or the destination during a route discovery procedure. RREQ
packets arriving at the nodes are copied and sent back to the source nodes. This approach
may push the formation of loops due to accepting all copied routes. In order to eliminate
any possibility of loops, it uses advertised hop count field in the route tables. The advertised
hop count of a node S for a destination D is set the maximum hop count of the multiple
paths for D at S.

433
The advertised hop count is initialized each time the sequence number is updated. By doing
so, AOMDV only accepts alternative routes with lower hop counts. Each RREQ conveys an
additional first hop field to indicate the first neighbor of the source node. The intermediate
nodes do not discard duplicate copies of RREQ immediately as long as each RREQ provides
a new node-disjoint path to the source. If an intermediate offers a new path, a reverse path is
set up. It sends a RREP back to the source. At the destination, reverse routes are established
like in the same situation of intermediate nodes. By computing multiple paths in a single
route discovery attempt, a new route discovery is needed only when all paths fail.
3. Overview of transport protocols
3.1 TCP-Tahoe

Fig. 1. Congestion control of TCP-Tahoe
The TCP protocol provides reliability, flow control, congestion avoidance, fairness, and in-
order delivery. Originally, the protocol did not have congestion avoidance, causing the
networks to become overloaded. TCP Tahoe introduced congestion avoidance, where
dropped packets are used as an indication of congestion, and slow start, where the initial
window size grows exponentially (i.e. a source node transmits one segment and wait for its
ACK (acknowledgement). If the ACK is received, the congestion window is increased to
transmit two segments. After receiving ACKs for those two segments, the congestion
window is increased to four to transmit four segments) until either a congestion or timeout
event is detected. In the congestion avoidance region, the initial window is increased
linearly as shown in Fig. 1. In TCP-Tahoe (Stevens, 1997), there are two indications of packet
losses: a timeout event and the receipt of duplicate ACKs. Whenever the timeout event
occurs, Tahoe starts the slow start procedure by initiating congestion window size starting
from one, whereas the congestion window (cwnd) is halved (i.e. cwnd = cwnd/2) when three
duplicate ACKs are received.
3.2 TCP-Reno
Instead of starting transmission from a slow start after a relatively long idle period, Allman
(1999) introduced TCP-Reno by adding fast retransmit and fast recovery algorithms. With
fast retransmit, Reno attempts to retransmit packets before a timeout. However, a sender
will initiate a slow-start procedure as if a timeout causes the retransmission. With fast
recovery, Reno uses additive increase/multiplicative decrease at all the time, and only
Slow start Congestion avoidance
Threshold
Timeout
Duplicate ACKs

434
initiates the slow start when either a connection is established or a timeout occurs. In other
words, Reno with fast recovery omits the slow start if no timeout occurs.

Fig. 2. Congestion control of TCP-Reno
3.3 TCP-NewReno

Fig. 3. Congestion control of TCP-NewReno
TCP-NewReno (Floyd & Henderson, 1999) is an improvement of Reno and it is an advanced
fast transmit, where three duplicate acknowledgments signal a retransmission without a
timeout with fast recovery. The fast recovery means that once a certain threshold of ACKs is
received, the window size is decreased by half rather than starting over with slow start.
Only during timeout does it go back into slowstart. NewReno increases the adoption of the
TCP selective acknowledgements (SACK) (Mathis & Mahdavi, 1996) modification. TCP-
NewReno possesses two kinds of ACKs: partial ACK and full ACK. The partial ACK
acknowledges some segments at the fast recovery stage while the full ACK acknowledges
all outstanding data. NewReno retransmits the segment based on the partial ACK. Upon
receiving the full ACK, the sender sets the congestion window to slow start threshold and
terminates the fast recovery. Then the congestion avoidance mechanism is resumed. In this
way, the NewReno maintains a high throughput.
Timeout
Slow start
Duplicate
ACKs Additive increase
1
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fast retransmit
Receive new ACK
Fast Recovery
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3.4 TCP-Vegas
Tahoe, Reno and NewReno variants are window-based transport protocols that adjust
congestion window upon packet losses. On the other hand, Brakno et al., (1994) introduces a
delay-based TCP, called TCP-Vegas, which does not violate the congestion avoidance
paradigm of TCP. Instead of increasing the sending rate until a packet loss occurs, TCP
Vegas prevents such losses by decreasing the sending rate when it senses incipient
congestion even if there is no indication of packet loss. Vegas uses packet delay as an
indication of congestion.
In a situation when a duplicate ACK is received, the timestamp for the ACK is compared to
a timeout value. If the timestamp is greater than the timeout value, then Vegas will
retransmit rather than wait for three duplicate ACKs. Vegas detects congestion at an
incipient stage based on increasing Round Trip Time (RTT) values of the packets in the
connection unlike other flavors, like NewReno, which detect a congestion only after it has
actually happened via packet drops. TCP Vegas adopts a more sophisticated bandwidth
estimation scheme. It uses the difference between expected and actual flow rates to estimate
the available bandwidth in the network. When the network is not congested, the actual flow
rate will be close to the expected flow rate. Otherwise, the actual flow rate will be smaller
than the expected flow rate. So, TCP-Vegas can estimate the congestion level in the network
and updates the window size accordingly. The difference between the flow rates can be
easily calculated during the round trip time using the equation
Diff = (Expected | Actual) BaseRTT
where Expected is the expected rate, Actual is the actual rate, and BaseRTT is the minimum
round trip time. Based on Diff, the source updates its window size as follows.
1
1

CWND if Diff
CWND CWND if Diff
CWND otherwise
+ <
= >

3.5 TCP-Westwood
TCP-Westwood (Gerla et al., 2002) is a sender-side modification of the TCP congestion
window algorithm. The key idea behind it is to estimate bandwidth to control the
congestion window and the slow start threshold by monitoring the ACK packets.
A sender measures the rate of ACKs that it receives and estimates the data rate currently
achieved by that connection. Whenever the packet losses occur (i.e. timeout or duplicate
ACKs), the sender estimates the bandwidth to properly set the congestion window and slow
start threshold. Instead of halving congestion window like Reno and NewReno, TCP
Westwood backs off some value of cwnd and threshold based on the estimated value to ensure
faster recovery. The improvement of Westwood is more significant in wireless networks with
lossy links, since TCP Westwood relies on end-to-end bandwidth estimation to discriminate
the cause of packet loss. Rather, it fully complies with the end-to-end TCP design principle.
4. Simulation methodology
We use simulations to study the variants of TCP over three ad hoc routing protocols. The
simulation study is done using Network Simulator (NS-2) (McCanne & Floyd). NS-2 is a

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discrete event simulator that was developed as part of the VINT project at the Lawrence
Berkeley National University.
For the performance of TCP variants over routing protocols in a static environment we
simulate a scenario of chain (6 nodes) and grid (25 nodes) in a rectangular topology of
1300m 1000m, where each node has a transmission range of 200m. All nodes have a
default bandwidth of 11Mbps and the simulation period is 360 seconds. We use an FTP (File
Transfer Protocol) application with a packet size of 512 bytes. Each TCP variant is run over
each routing protocol in static and mobile environments (Figs. 4 to 7).

Fig. 4. Source node A connects to destination node F in a static ad hoc network

Source 1
Destination 1
Source 2
Destination 2
TCP pkts for flow 1
ACK pkts for flow 1
TCP pkts for flow 2
ACK pkts for flow 2

Fig. 5. Two TCP connections between a pair of nodes (A and Y) and node (E and U) in a
static ad hoc network
ACK pkts
Source Destination
TCP pkts

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In a mobile ad hoc environment, we manually change the network topology by adding
movement for a few nodes. The setdest command under NS-2 directory (i.e. ns-allinone-
2.34\ns-2.34\indep-utils\cmu-scen-gen\setdest) is used to generate the node movement. In
Fig. 6, node C and node D start moving at 50 and 100 seconds of simulation time
respectively. Both nodes turn back to its original position at 250 seconds, and they move at
10 m/s speed. Similarly, in Fig. 7, node I and node J start moving at 20 seconds and return to

ACK pkts
Source Destination
TCP pkts

Fig. 6. Source node A connects to destination node F in mobile ad hoc network
TCP pkts for flow 1
ACK pkts for flow 1
TCP pkts for flow 2
ACK pkts for flow 2
Source 1
Destination 1
Source 2
Destination 2

Fig. 7. Two TCP connections between a pair of nodes (A and Y) and node (E and U) in
mobile ad hoc environment

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Fig. 8. The 50 pairs of random node movement in mobile environment
their original positions at 260 seconds. Also, node S and node T move to the left at 100
seconds and reach to their original positions at 300 seconds. In a chain topology, only one
TCP connection is exchanged between a pair of source and destination while two TCP
connections are transmitting in the grid topology for the static and mobile ad hoc
environments.
To examine the TCP performance in a random topology, a moderate network of 50 nodes
are randomly moved using Random Waypoint (RWP) mobility model (Camp et al., 2002)
which is generated using the Bonnmotion v1.4 tool developed by the Communication
Systems group at the Institute of Computer Science IV of the University of Bonn, Germany
(BonnMotion: a Mobility Scenario Generation and Analysis Tool 2009). For example, the RWP
mobility model can be generated by using the following command.
bm f scenario1 RandomWaypoint n 50 d 900 i 3600 x 1600 y 400 h 10 l 10 p 0
n: the number of nodes that we wish to set
d: the simulation time
i: the cutting value that must be high default value because nodes have a higher probability
of being near the center of the simulation area, while they are initially uniformly distributed
over the simulation area in Random Waypoint model.
x: the coordinate of node position in x axis
y: the coordinate of node position in y axis
h: the maximum node speed
l: the minimum node speed
p: the maximum pause time
In the analyzed scenarios, the maximum pause time is set to zero for continuous movement,
and nodes are allowed to move at 10 m/s speed. Simulations are run for 360 seconds

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simulation time. The number of tcp connections is varied between 10 to 50, and
our performance analysis is examined by measuring the packet loss rate, delay and
throughput.
5. Simulation results
In this section, we describe the results obtained from the simulation experiments in different
scenarios. We simulate each variant of TCP (i.e. Tahoe, Reno, NewReno, Vegas and
Westwood) over each routing protocol (i.e. DSDV, DSR, AODV, AOMDV and OLSR) in
static and mobile ad hoc network environments. Then we measure how the topology
changes affect the performance of TCP variants across each routing protocol in a 6-node
chain and 25-node (5 x 5) grid topologies.
To examine the performance in the scenarios of random movement, the 50 pairs of nodes are
simulated in 1600 x 400 simulation area for 360 seconds.
To analyze the network performance in those topologies, the packet loss rate (%), average
end-to-end delay (msec) and throughput (kbps) are measured as performance metrics.
The packet loss rate (%) is the number of packet losses at the application layer while
transferring data packets, i.e.

100
1
Dropped Packets
PLR
Highest Packet ID
=
+

The average end-to-end (EtE) delay (msec) is the transmission delay of data packets that are
delivered to the intended destination successfully.
The throughput (kbps) is the rate of successfully delivered data per second to individual
destinations during the network simulation.
5.1 Chain topology
Firstly, we analyze the packet loss rates of the TCP variants over the ad hoc routing
protocols in static and mobile environments. The TCP variants over AODV incurs a lower
packet loss rate than DSDV and DSR in static environment as shown in Table 1. Because
DSDV sends periodic messages throughout the network, and DSR stores all route
information in the control packets, the packet loss rates for both protocols increase due to
the collision and congestion in the MAC layer. However, when the node movements are

DSDV DSR AODV Packet loss rate
(%)
TCP variants
Static Mobile Static Mobile Static Mobile
Tahoe 0.09 0.75 0.09 0.14 0.05 0.45
Reno 0.09 0.75 0.09 0.14 0.05 0.45
NewReno 0.09 0.75 0.09 0.14 0.05 0.45
Vegas 0.00 0.46 0.00 0.11 0.00 0.33
Westwood 0.09 0.65 0.09 0.14 0.05 0.45

Table 1. The percentage of packet loss rate in chain topology

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added, DSR achieves the lowest loss rate due to its route cache mechanism where all
possible routes to the destination are kept. On the other hand, among the TCP variants,
Vegas is the best protocol for all situations, and it achieves no losses over the routing
protocols in the static environment.
Secondly, when we examine the average end-to-end delay, AODV incurs the lowest delay,
whereas DSR incurs the highest delay over all TCP variants as shown in Table 2. AODV
always keeps routes as a soft state, for example, routes expire after a timeout interval and a
fresh route discovery is invoked. Accordingly, AODV is significantly better delay-wise and
can possibly perform even better than others when node movements are added. Likewise,
AODV has a special timer mechanism to detect route breaks and update fresh-enough
routes whereas DSR does not contain any explicit mechanism to expire stale routes in
the cache. The stale routes are later detected by route error packets, leading to
performance degradation although it achieves a lower packet loss rate as shown in
Table 1.

DSDV DSR AODV Delay (msec)
TCP variants
Tahoe 432.4 604.7 646.6 639.7 418.5 415.0
Reno 432.4 604.7 646.6 639.7 418.5 415.0
NewReno 432.4 604.7 646.6 639.7 418.5 415.0
Vegas 72.9 333.4 71.3 70.5 67.79 67.4
Westwood 432.4 624.5 646.6 639.7 418.5 415.0

Table 2. The average end-to-end delay in chain topology
The delay-based Vegas achieves the lowest delay for the static and mobile ad hoc
environments. The performance of Tahoe, Reno, NewReno and Westwood are not different
enough to compare against each other in both environments. The delay difference of Vegas
is lower than others by a factor of around 6 over DSDV and AODV, and by a factor of more
than 9 over DSR for the static environment. However, the variants of TCP incur a lower
delay over DSR and AODV whereas DSDV incurs a higher delay when the node movements
are added. Especially, the delay of Vegas over DSDV suddenly increases once the nodes
move as shown in Fig.1. No matter what variants of TCP are utilized, all of them achieve a
lower delay over AODV routing protocol in both environments.

DSDV DSR AODV Throughput
(kbps)
TCP variants
Tahoe 97.5 27.8 97.4 39.9 101.4 30.6
Reno 97.5 27.8 97.4 39.9 101.4 30.6
NewReno 97.5 27.8 97.4 39.9 101.4 30.6
Vegas 74.4 17.5 100.4 33.9 104.6 39.8
Westwood 97.5 25.9 97.4 39.9 101.4 30.6

Table 3. The performance throughput in chain topology

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Finally, Table 3 compares the throughput of TCP variants over each routing protocol.
AODV supports higher throughput for all TCP variants, especially Vegas in both
environments. However, the performance of Vegas is lower than others over DSDV in both
environments. In DSR, Vegas achieves higher throughput than others in static environment,
whereas its performance is lower than others in mobile environment. When the node
movement is introduced, TCP variants over DSR achieve a higher throughput than DSDV
and AODV because nodes with DSR always have backup routes in hand and keep them in
their caches. As soon as a route break occurs due to congestion or collision, it can recover the
route quickly before the TCP timeout. In this way, DSR attains higher throughput at
moderate node movement in mobile environment as long as its route cache is not stale.
5.2 Grid topology
For the grid topology, one of the multipath routing protocols, AOMDV is considered to
examine the performance of TCP variants. For the static environment, we encounter that
TCP variants except Westwood have no packet loss over AODV as shown in Table 4.
Another thing is that AOMDV also achieves a lower packet loss rate if compared to DSDV
and DSR. However, finding multiple paths in a static environment is not effective if
compared to the single path AODV, and even when a few node movement is added, AODV
has a lower losses than AOMDV. AOMDV possibly performs better than AODV over the
lossy links that occur due to the random node movement and increased traffic because it has
fresh multiple alternative routes. Like in chain topology, Vegas upholds a lower packet loss
than others, and there are no losses except over DSDV in the static environment.

DSDV DSR AODV AOMDV Packet loss rate
(%)
TCP variants
Static Mobile Static Mobile Static Mobile Static Mobile
Tahoe 0.29 1.73 0.15 0.88 0.00 0.33 0.06 0.57
Reno 0.29 1.73 0.15 0.86 0.00 0.33 0.06 0.57
NewReno 0.45 1.89 0.15 0.44 0.00 0.33 0.06 0.82
Vegas 0.17 0.20 0.00 0.14 0.00 0.07 0.00 0.18
Westwood 0.91 1.81 0.13 0.12 0.04 0.51 0.06 0.82

Table 4. The percentage of packet loss rate in grid topology
In Table 5, if we look at the end-to-end delay for all TCP variants in a static environment,
DSDV has the lowest delay for both environments in the grid topology because the nodes in
the grid topology are organized, therefore packet losses due to route break, congestion or
collision of MAC layer could be recovered easily. The table-driven and periodic approach of
DSDV, thus, suffers more losses possibly due to congestion, whereas it achieves the lowest
delay compared to others. The delay of Westwood is the worst over DSR routing protocol in
the static environment.
The delay-based protocol, Vegas always incurs a lower delay for all situations due to the
consideration of actual and expected flow rates. On the other hand, Vegas obtains a lower
delay over DSDV and DSR, and delay becomes higher over AODV and AOMDV protocols
when the node movements are added. Although AODV achieves a lower delay in most
situations, in the grid topology, it suffers a higher delay than others because the number of

442
route discovery frequencies of AODV increases due to its flooding nature whenever a route
break occurs due to network congestion.

DSDV DSR AODV AOMDV Delay
(msec)
TCP variants
Tahoe 596.8 131.2 970.3 198.8 662.1 647.1 715.7 616.1
Reno 588.9 141.0 970.3 193.3 662.1 647.1 715.7 616.1
NewReno 614.5 134.7 970.3 183.3 662.1 647.1 715.7 662.1
Vegas 137.2 48.1 112.8 32.0 108.4 127.9 115.5 125.9
Westwood 574.4 150.6 1160.9 210.4 661.3 639.6 715.7 662.1

Table 5. The average end-to-end delay in grid topology
In Table 6, when throughput is compared, TCP variants over DSR perform better than
others in both environments. In DSDV and AODV, Westwood is the best throughput in
static environment, whereas it suffers the lowest throughput in mobile environment. In the
grid topology, the possibility of congestion increases due to the channel contention.
Whenever a packet loss occurs, Westwood attempts to select a slow start threshold and a
congestion window depending on the effective bandwidth used at the time congestion is
experienced, whereas Reno and NewReno blindly halves the congestion window after
trying the fast retransmit and fast recovery procedures. Therefore, in grid topology, the
performance of Westwood is significant if compared to others. On the other hand, the
significance of performance throughput for all TCP variants can be seen over DSR routing in
the mobile environment. DSRs route cache mechanism may not be effective enough to
provide the routes that have been cached in high mobility and traffic scenarios, whereas in
moderate situation, such as fewer node movement, DSR provides the highest throughput to
all TCP variants.

DSDV DSR AODV AOMDV Throughput
(kbps)
TCP variants
Tahoe 37.4 78.1 90.5 237.1 45.3 44.4 42.4 80.3
Reno 36.2 78.1 90.5 147.9 45.3 44.4 42.4 80.3
NewReno 37.4 76.4 90.5 161.1 45.3 44.4 42.4 39.2
Vegas 27.7 56.8 44.5 158.7 46.5 44.1 43.4 42.6
Westwood 56.2 36.2 60.7 123.4 54.4 52.9 42.4 39.2

Table 6. The performance throughput in grid topology
5.3 Random topology
As mentioned in section 4, we examine the performance of TCP variants and routing
protocols in the random topology. All nodes move randomly across the RWP model. A node
starts moving from a randomly chosen position and stays in one location for a certain period
of time (i.e. a pause time). Once this time expires, the node chooses a destination and moves

443
at a randomly chosen speed. This speed is selected from a uniformly distributed speed
between minimum and maximum speed. Upon arrival at the destination, the above process
is started over again.
5.3.1 Packet loss rate measurement
We vary the number of TCP connections from 10 to 50 connections and the network
performance are measured in the 50 nodes random topology. TCP traffic is generated using
a traffic generation tool under the NS-2 directory (i.e. ns-allinone-2.34\ns-2.34\indep-
utils\cmu-scen-gen), for example, (ns cbrgen.tcl -type <cbr|tcp> -nn <nodes> -seed <seed> -mc
<connections> -rate <rate>). For the 20 number of connections and the 50 pair of nodes, the
following command is used.
ns cbrgen.tcl type cbr nn 50 seed 1 mc 20 rate 4
The percentage of packet loss rates for all TCP variants varies between 0.5 and 4 over all ad
hoc routing protocols as shown in Fig. 9. The stability of TCP variants is encountered over
DSR, and all losses vary between 0.5 and 1.2 (Fig. 9(b)). As the number of TCP connections
increases, the packet loss rates of TCP variants decrease. In Fig. 9(c), the packet losses over
AODV are the worst if we also look at the view of stability issue. The link failure detection
mechanism of AODV based on HELLO messages generates frequent route failures with
associated packet loss oscillation.
In the two multipath routing protocols AOMDV and OLSR, AOMDV encounters a greater
packet loss rate than OLSR by a factor of up to 2 as shown in Fig. 9(d) and (e). Although
AOMDV supports multiple paths between a source and destination, it is difficult to recover
the packets during the time between the failure of a primary route and the finding of an
alternative route. On the other hand, as OLSR nodes always have routes in hand due to its
proactive nature, it reduces packet loss rates significantly (Oo & Othman, 2010).
Vegas is the best transport variant of TCP, and it is able to provide a lower packet loss rate
in most situations. It is able to detect congestion in advance by estimating bandwidth before
actual congestion happens. Other TCP variants like Tahoe, Reno, NewReno are not as good
as Vegas when TCP connection flows grow, especially in DSDV and AODV.
5.3.2 Average end-to-end delay measurement
Although DSR has the lowest packet loss rate as mentioned in section 5.3.1, it is not good
enough to apply in delay-sensitive applications. It suffers the highest delay especially for
Tahoe, Reno and NewReno as shown in Fig. 10 (a). As the number of TCP connections
increases, the average delay of TCP variants also increases. Vegas can transfer packets
almost four times faster than over DSDV and OLSR, two times over AODV and DSR, five
times over AOMDV than others as shown in Fig. 10.
The performances of window-based protocols such as Tahoe, Reno and NewReno are not
very significant over each other, whereas delay-based Vegas protocol gains a significantly
lower delay. On the other hand, when the route breaks occur, Tahoe, Reno and NewReno
halves it congestion window and starts the slow start procedure after the TCP timeout
expiry period, tending to the increased delay if compared to the Vegas. In Fig. 10 (a), TCP
variants over DSDV are the best if compared to other routing protocols. DSDV starts
discovering routes proactively, and it may increase the routing overhead, whereas it
significantly reduces average end-to-end delay at the moderate network.

444

(a) DSDV (b) DSR

(c) AODV (d) AOMDV

(e) OLSR
Fig. 9. Packet loss rates measurement in the random topology

445

(a) DSDV (b) DSR

(c) AODV (d) AOMDV

(e) OLSR
Fig. 10. Average end-to-end delay measurement in the random topology

446

(a) DSDV (b) DSR

(c) AODV (d) AOMDV

(e) OLSR
Fig. 11. Throughput measurement in the random topology

447
5.3.3 Throughput measurement
The TCP variants over DSDV achieve a higher throughput by a factor of almost 1.5 on
average compared to others as shown in Fig. 11(a). The better stability of throughput for the
TCP variants could be encountered in proactive routing protocols DSDV and OLSR (Fig.
11(e)). When the number of nodes increases, the possibility of congestion and the contention
at the MAC layer increase in the network. However, when the routing layer protocols
receive the collision reports from the link layer, they re-discover routes by sending the
broadcast messages throughout the network. Therefore, in Fig. 11(c), AODV suffers a lower
throughput if compared to others. Another thing is that DSR suffers the instability
throughput for all TCP variants because when the node density and the number of
connections increase, the stale route problem of DSR comes active and makes the
performance worse (Fig. 11(b)).
6. Conclusion
In this chapter, we analyze the performance of TCP variants across ad hoc routing protocols
in static and mobile ad hoc environments. The performance of TCP variants vary depending
on the routing protocols, their core mechanisms and background changes, such as the node
mobility, node speed, pause time and number of tcp connections and network topologies. In
the chain topology, all of the TCP variants achieve a significantly lower delay over AODV
routing protocol in both environments. Moreover, AODV provides a higher throughput for
all TCP variants, especially for Vegas in both environments. One interesting thing is that
AODV always achieves a lower delay, it suffers a higher delay than others in the grid
topology. In the grid topology, although TCP variants have the lowest delay over DSDV in
both environments, in the random topology, TCP variants incur a lower packet losses over
DSR and OLSR, and encounter a lower delay over DSDV. On the other hand, DSDV and
OLSR provide the highest data transfer rate (i.e. throughput) for all TCP variants in random
topology. Among all TCP variants, Vegas is the best transport protocol and performs better
than others in most situations.
7. Acknowledgement
This work is supported in part by University of Malaya Research Grand (UMRG) under
grant RG024/09ICT.
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Part 5
Other Topics
1. Introduction
Even though the interest in ad hoc wireless networks has begun in the early 1970s, several
technological difculties, particularly those related to implementation, have postponed
advances in this eld until the 1990s, when important issues were investigated and solved,
including medium access control, routing, energy consumption, among others. These
advances have allowed for actual implementation and commercial deployment of wireless
communication systems based on the ad hoc concept, including wireless sensor networks,
Internet access in rural areas, etc. Despite the formidable advances in this eld observed
in the last two decades, one key problem remains open and is still subject to intense research
effort: that of modeling and measuring the capacity of ad hoc networks (Andrews et al., 2008).
The intrinsic characteristics of ad hoc networks, particularly the lack of a central coordination
entity and its consequences, added to the peculiarities of the wireless communication channel,
make the estimation of capacity of ad hoc networks a challenging task. Despite the mentioned
difculties, researchers have proposed a myriad of metrics for characterizing the capacity of
ad hoc networks under different conditions and emphasizing different aspects of the network,
as described throughout this chapter.
One of the rst key results in this eld was achieved by Kleinrock and Silvester (Kleinrock
& Silvester, 1978) in late 1970s, when they investigated the relationship between capacity
and transmission radius in a network of packet radios operating under ALOHA protocol.
Takagi and Kleinrock further investigated this relationship in (Takagi & Kleinrock, 1984).
Both works were based on the metric so called expected forward progress, dened in such
way to capture the tradeoff relating the one-hop throughput and the average one-hop
length. In fact, decreasing the one-hop length has conicting effects on throughput: it may
increase throughput due to the resulting link quality improvement, but it may also decrease
throughput, due to a larger trafc and a higher contention level caused by the consequent
larger number of hops between source and destination. Subbarao and Hughes (Subbarao
& Hughes, 2000) improved the model previously proposed, by including the effects of the
transmission system, and introduced the concept of information efciency, dened as the
product of the expected forward progress and the spectral efciency of the transmission
system. Nardelli and Cardieri extended the concept of information efciency by taking into
account the effects of channel reuse and multi-hop transmissions, leading to a new metric,
named aggregate multi-hop information efciency (Nardelli & Cardieri, 2008a; Nardelli et al.,
Paulo Cardieri
1
and Pedro Henrique Juliano Nardelli
2
1
University of Campinas
2
University of Oulu
1
Brazil
2
Finland
A Survey on the Characterization of the
Capacity of Ad Hoc Wireless Networks
20
2009). Based on a similar concept as that of information efciency, Weber et al. introduced
the metric transmission capacity (Weber et al., 2005), which is related to the optimum density
of concurrent transmissions that guarantees that outage constraints are met. Simply stated,
transmission capacity is the area spectral efciency of successful transmissions resulted
from the optimal contention density. The capacity metrics cited above, to be described in
Section 2, have in common their statistical basis, resulted from the statistical nature of several
mechanisms related to wireless communications, such as the interaction among nodes sharing
a given channel and the propagation effects.
Following a deterministic approach to characterizing capacity of ad hoc networks and
focusing on the behavior of capacity scaling laws, Gupta and Kumar introduced the
concept of transport capacity (Gupta & Kumar, 2000), which relates transmission rate and
source-destination distance. Gupta and Kumar formulated the transport capacity from the
perspective of the requirements for successful transmission, which were described according
to two interference models: the Protocol Interference Model, which is geometric-based,
and the Physical Interference Model, based on signal-to-interference ratio requirements.
Gupta and Kumar investigated the behavior of the network capacity when the number of
nodes grows (i.e., asymptotic capacity), to show that the per-node throughput decreases as
O(1/
n ), where n is the number of nodes in the network. This approach was followed
by several authors to investigate the asymptotic capacity of wireless ad hoc networks in a
variety of scenarios, such as different transmission constraints (Xie & Kumar, 2004; 2006), and
with directional antennas (Sagduyu & Ephremides, 2004). Grossglauser and Tse presented an
important extension of the work of Gupta and Kumar by considering the effects of mobility
on the capacity (Grossglauser &Tse, 2002). They showed that, in a network with mobile nodes
operating under a 2-hop relaying transmission scheme, the per-node throughput capacity may
remain constant as the number of nodes in the network increases, at the cost of unbounded
packet transmission delay. This important result motivated other researchers to further
investigate the tradeoff between capacity and delay in mobile wireless networks (El Gamal
et al., 2006), (Herdtner & Chong, 2005), (Neely & Modiano, 2005). In Section 3we will discuss
the main results on network capacity evaluation from the perspective of scaling laws.
The brief review presented above is an evidence of the complexity of the problem of
characterizing capacity of ad hoc networks, leading to a number of different metrics, with
different focuses and perspectives. While this large number of metrics is also an evidence of
the importance of this eld, it may also mislead researchers looking for appropriate models
and metrics for a particular application or scenario. This chapter therefore aims at providing
readers with an overview of capacity metrics for wireless ad hoc networks, emphasizing the
rationale behind the metrics.
2. Statistical-based capacity metrics
The inherent random nature of ad hoc networks suggests a statistical approach to quantify
capacity of such networks. Specically, a statistical approach is very useful for the
design of practical communication systems, when a set of quality requirements is imposed
by the user application in mind. In this section we will discuss some statistical-based
capacity metrics found in the literature, namely expected forward progress, information
efciency, transmission capacity and aggregate multi-hop information efciency metrics. The
specicities of each metric will be discussed and their application scenario will be pointed out.
A Survey on the Characterization of the Capacity of Ad Hoc Wireless Networks 3
2.1 Expected forward progress
As already mentioned, the work done by Kleinrock and Silvester (Kleinrock & Silvester,
1978) in the late 1970s was one of the rst attempts to model capacity of ad hoc wireless
networks (Kleinrock & Silvester, 1978). They proposed the metric expected forward progress
(EFP), measured in meters and dened as the product of the distance traveled by a packet
toward its destination and the probability that such packet is successfully received. Formally,
EFP = d (1 P
out
), (1)
where d is the transmitter-receiver separation distance and P
out
is the outage probability,
i.e., the probability that the bit error rate (or other related metric) is higher than a given
threshold. In (Kleinrock & Silvester, 1978) the authors introduced the idea of modeling
network as a collection of nodes following a spatial point process, allowing for the use of tools
and properties of Stochastic Geometry (Baddeley, 2007), making possible to derive analytical
formulation relating several network parameters, such node density, propagation channel
parameters, number of hops, packet error probability, etc. In fact, a plethora of analysis was
performed based on the metric EFP (e.g. (Sousa & Silvester, 1990), (Sousa, 1990), (Zorzi &
Pupolin, 1995)).
2.2 Information efciency
Subbarao and Hughes (Subbarao & Hughes, 2000) extended the work done by Silvester
and Kleinrock by including in the model the spectral efciency of the transmission system,
resulting in a new metric, named information efciency (IE), which is formally dened as the
product of EFP and the spectral efciency of the link connecting transmitter and receiver
nodes, or
IE = d (1 P
out
). (2)
Roughly speaking, IE quanties how efciently the information bits can travel towards its
destination.
In order to understand the tradeoff captured by the information efciency, let us consider a
transmission system in which modulation and error-correcting coding techniques should be
selected to optimize the IE of the network. If a modulation technique with large cardinality is
used, then the spectral efciency of the system increases, at expenses of a higher minimum
required signal-to-interference plus noise ratio (SINR) to achieve a given packet error
probability. This higher required SINR clearly increases the outage probability P
out
. Error
correcting coding also plays an important role in this tradeoff, as it can reduce the minimum
required SINR, at the expenses of a higher bandwidth, reducing therefore the spectral
efciency of the transmissions. These tradeoffs are captured by the information efciency
metric, allowing for a joint system design involving modulation, coding, transmission range,
among other parameters. Following this approach, the performance of different transmission
schemes was investigated, such as, discrete sequence spread spectrum (Subbarao & Hughes,
2000), frequency hopping (Liang & Stark, 2000), direct sequence mobile networks (Chandra &
Hughes, 2003), direct sequence code-division multiple access with channel-adaptive routing
(Souryal et al., 2005) and coded MIMO frequency hopping CDMA (Sui & Zeidler, 2009).
It should be noted that, from the perspective of the whole network, the information efciency
of a link does not tell us much about how efciently the channel is being reused throughout
the network area. We will return to this point when discussing the next two metrics.
455 A Survey on The Characterization of the Capacity of Ad Hoc Wireless Networks
2.3 Transmission capacity
Weber et al. proposed in (Weber et al., 2005) the transmission capacity (TmC) metric of
single-hop ad hoc networks. TmC is dened as the product of the density of successful links
and their communication rates, subject to a constraint on the outage probability. Formally,
TmC = (1 P
out
), (3)
where is the density of active links in the network. Therefore, TmC quanties the spatial
spectral efciency of the network, capturing in its formulation the effects of active links
density on the outage probability. In fact, with a high density of concurrent transmissions,
information ow in the network is also higher, which is indicated by a high TmC. However,
the downside of a high density of active links is an increase in the interference level, leading
to a higher outage probability and, consequently, a lower transmission capacity. This tradeoff,
together with the ones previously presented, are the basis of the TmC framework, which
can be used to evaluate several transmission strategies with different focuses. For instance,
TmC was used to study frequency hopping spread spectrum (Weber et al., 2005), interference
cancelation (Weber, Andrews, Yang & de Veciana, 2007), threshold transmissions and channel
inversion (Weber, Andrews & Jindal, 2007), power control (Jindal et al., 2008), among many
others. In fact, TmC is one of the most exible metrics to study single-hop ad hoc networks.
However, in multi-hop links scenarios, TmC is not an appropriate metric, as it does not take
into account the expected forward progress of packets, making this metric unsuitable to study,
for instance, the effects of different routing strategies.
2.4 Aggregate multi-hop information efciency
In (Mignaco & Cardieri, 2006), Mignaco and Cardieri extended the work done by Subbarao
and Hughes by including the effects of spatial reuse in the denition of the IE, leading to
a new metric named aggregate information efciency (AIE). This new metric is dened as the
sum of the IE of active links in the network per unit area. Nardelli and Cardieri further
improved the network model used to dene AIE, by including the effects of retransmissions
(Nardelli & Cardieri, 2008a) and outage constraints (Nardelli & Cardieri, 2008b). Particularly,
in (Nardelli & Cardieri, 2008b) the authors make the AIE an extension of the metric TmC,
where the distance traveled by a packet is explicitly considered.
Nonetheless, the metric AIE does not yet take into account the effects of multi-hop
communication links. In (Nardelli et al., 2009), Nardelli et al. addressed such limitation
and proposed the metric aggregate multi-hop information efciency (AMIE). The idea behind the
evolution fromAIE to AMIE is to abstract multi-hop links and evaluate the AMIE based on the
end-to-end performance of multi-hop links. Formally, the aggregate multi-hop information
efciency is dened as
AMIE = d (1 P
out
)
h
, (4)
where h is the average number of hops between source and destination, and d, , and
P
out
were already dened. The main advantage of the AMIE is to be more exible and
general than other similar metrics. Based on this metric, several transmission schemes and
network scenarios have been investigated, such as M-QAM modulation with Reed-Solomon
coding scheme and ARQretransmissions (Nardelli et al., 2009), different access protocols with
limited number of retransmissions and back-offs (Nardelli et al., 2010; Kaynia et al., 2010) and
different hopping strategies (Nardelli & Cardieri, 2010).
3. Capacity scaling laws
In this section, we study the capacity of wireless networks from the perspective of scaling
laws, that is, we are now interested in understanding how capacity scales as the number of
nodes in the network grows. This is an important subject to be investigated, as it exposes
how several intrinsic aspects of wireless communication, such as interference, channel reuse
and resource limitation, affect the performance of a network. Throughput, measured in
bit per second, is a typical metric of capacity of communication networks and, as such, is
one of the quantities considered in this section. However, in ad hoc wireless networks, in
their most general conguration, source and destination nodes may be far apart, such that
direct communication (single hop) is not possible, requiring a multi hop connection, with
neighboring nodes acting as relays. Clearly, multi hop connections leads to a trafc increase,
as a given packet is transmitted several times before reaching its nal destination. Therefore,
source-destination separation distance must be taken into account when characterizing
capacity in wireless ad hoc networks. In this sense, a very popular capacity metric for ad
hoc networks is the transport capacity, measured in bitmeter per second. Consider a network
with transport capacity of T bitmeter per second. This means that the rate between two nodes
spaced one meter away fromeach other is T b/s. If the distance between the nodes is doubled,
then the rate decreases to T/2 b/s.
Gupta and Kumar (Gupta & Kumar, 2000) investigated the transport capacity and the
throughput capacity of wireless networks, and derived bounds that describe the behavior
of the network capacity when the number of the nodes in the network increases. Several
other authors extended the work done by Gupta and Kumar, by including other aspects in the
models or improving the formulation. In this section we will review the main results from the
work of Gupta and Kumar and some of the extensions, particularly those presented in (Xue &
Kumar, 2006).
Before discussing the models and the results of capacity scaling law, we will review some
auxiliary concepts and models. We will begin with a review of asymptotic notation,
commonly used to describe the asymptotic behavior of capacity as the number of nodes in
the network increases.
3.1 Some auxiliary denitions
3.1.1 Asymptotic notation
In the asymptotic analysis of capacity of wireless network, the results are often presented
using the asymptotic notation (or big O-notation) (Bruijn, 2010). In this section we briey
review the denition of some of the notation commonly used. In the following, we will
assume that f (n) and g(n) are functions that map positive integers to positive real numbers.
Denition 1 We say that f (n) = O(g(n)) (or, more precisely, f (n) O(g(n)), or even f (n) is
O(g(n)))
1
, if there exists a constant c and there exists an integer n
0
1 such that f (n) c g(n) for
n n
0
(see Figure 1(a)).
In other words, f (n) = O(g(n)) means that g(n) grows at least as fast as g(n).
1
Formally, we should write f (n) O(g(n)), and the form f (n) = O(g(n)) is considered an abuse of
notation. In fact, the symmetry that the equals sign implicitly suggests does not exist in the statements
involving asymptotic notation.
n
o()
O()
f(n)
()
n
n
0
f(n)
c
2
g(n)
c
1
g(n)
(a) (b)
Fig. 1. (a) Interpretation of O(), o() and (); (b) Interpretation of f (n) = (g(n)).
Denition 2 We say that f (n) = o(g(n)) if for any positive constant c, there exists an integer n
0
1
such that f (n) c g(n) for n n
0
(see Figure 1(a)).
The difference between the denitions of O() and o() is that in the former there must exist
at least one constant c such that f (n) c g(n), while in the latter the relation f (n) c g(n)
must be true for any constant c. Therefore, O() and o() provide tight and loose upper bounds,
respectively.
Denition 3 We say that f (n) = (g(n)) if there exists a constant c and there exists an integer
n
0
1 such that f (n) c g(n) for n n
0
(see Figure 1(a)).
Denition 4 We say that f (n) =(g(n)) if there exist positive constants c
1
and c
2
, and there exists
n
0
1 such that c
1
g(n) f (n) c
2
g(n), for n n
0
. Equivalently, f (n) = (g(n)) if f (n) =
O(g(n)) and f (n) = (g(n)) (see Figure 1(b)).
Note that f (n) =(g(n)) means that g(n) is both a tight upper bound and a tight lower bound
on f (n).
3.1.2 Capacity metrics
Denition 5 (Transport capacity) Let us suppose that node i successfully transmits to node j at
rate
ij
bits per second, and that the distance between i and j is d
ij
meters. Therefore, we can say that
the network transports
ij
d
ij
bitmeter per second. Note that this metric expresses the difculty of
transmitting to a longer distances. Transport Capacity T of a network is evaluates as
i,=j
ij
d
ij
, where
ij
is the feasible rate between nodes i and j.
Denition 6 (Throughput capacity) It is the guaranteed rate, measured in bits per second, that can
be supported uniformly for all source-destination pairs.
3.1.3 Interference models
Denition 7 (The protocol interference model) Let (X
i
, X
R(i)
) : k T be the set of active
transmitter-receiver pairs in the network. According to the protocol interference model, this
transmission is successfully received if the distance between nodes X
R(i)
(the intended receiver of node
(a)
X
i
X
R(i)
(1+)|X
i
- X
R(i)
|
RX TX
X
k
Interferer
No interferer is allowed inside for
successful reception at X
R(i)
X
i
X
k
X
R(k)
(b)
|X
k
- X
R(k)
|
2
Exclusion
regions
X
R(i)
Fig. 2. The protocol model: (a) Disk around receiver X
R(i)
must be free of interfering nodes
for correct reception at node X
R(i)
; (b) Two links are successful if the corresponding exclusion
regions are disjoint.
X
i
transmission) and any other node X
k
transmitting on the same channel is larger than the distance
between X
i
and X
R(i)
, that is
[X
k
X
R(i)
[ (1 +)[X
i
X
R(i)
[, (5)
where [X
k
X
R(i)
[ indicates the distance between nodes X
i
and X
R(i)
, and >0 is the spatial
protection margin. Figure 2(a) shows a geometric interpretation of this model. Now, let us
consider two pairs of active nodes X
i
and X
k
, with X
i
transmitting to X
R(i)
and X
k
transmitting
to X
R(k)
, and with both pairs operating under the protocol model, represented by expression
(5). We can show that, in order to have both transmissions successfully received, we must
have
[X
R(k)
X
R(i)
[

2
_
[X
k
X
R(k)
[ +[X
i
X
R(i)
[
_
. (6)
This result indicates that circular exclusion regions around the receivers X
R(j)
and X
R(k)
, of
radius [X
i
X
R(i)
[/2 and [X
k
X
R(k)
[/2, respectively, are disjoint, as shown Figure 2(b).
Therefore, exclusion regions around receivers of each successful transmission are mutually
disjoint, and consume a portion of the network area.
Denition 8 (The physical interference model) Consider, as before, a set of active
transmitter-receiver pairs (X
i
, X
R(i)
) : i A, transmitting over the same channel, with a
transmit power assignment P
i
. According to the physical interference model, the transmission
from node X
i
is successfully received by node X
R(i)
if the signal-to-interference plus noise ratio (SINR)
at X
R(i)
is equal to or larger than a given threshold , that is
P
i
[X
i
X
R(i)
[
2
+
kA,k,=i
P
k
[X
k
X
R(i)
[
, (7)
X
i
X
R(i)
|X
k
- X
R(k)
|
2
Network area
Fig. 3. Arbitrary network under the Protocol Interference model: successful links correspond
to disjoint disks.
where
2
is the additive noise power. The threshold depends on transmission parameters,
such as modulation technique, error correcting coding and the minimum acceptable bit error
rate.
3.2 Transport capacity in arbitrary networks with immobile nodes
We consider in this section a network of n immobile nodes, which can act simultaneously as
source, relay or destination. These n nodes are arbitrarily located in a planar disk of unity area.
This means that the positions of the nodes can be adjusted in order to satisfy the conditions
for successful transmissions imposed by the interference model considered in the analysis.
Every node selects randomly another node as the destination of its bits. The results of this
analysis are presented in the sequel, for both the Protocol Interference model and the Physical
Interference model.
3.2.1 Capacity under the protocol interference model
The authors of (Gupta & Kumar, 2000) showed that the transport capacity T
A
of an arbitrary
network with n nodes under the Protocol Model is
T
A
= (W
n) bit meter/s, (8)

This means that the transport capacity per node is (W
1/n) bitmeter/s, and goes to zero

as the number of nodes increases. Following (Xue & Kumar, 2006), this result can be proved
using the fact that, under the Protocol Interference model, disks of radius equals to [X
i

X
R(i)
[/2 centered at receiver nodes of successful links are disjoint (see Denition 7). Therefore,
each successful link consumes a fraction of the network area and the sumof the area of disks of
all successful links is upper limited by the network area (see Figure 3). Neglecting the border
effects (i.e., when nodes are close to the boundary of the network area), we can write
iT (t)
2
d
i
_
2
1

iT (t)
d
2
i

4
2
, (9)
where d
i
is the T-R separation distance [X
i
X
R(i)
[ of the i-th T-R pair, and T (t) is the set
of successful links at time t. This expression can be interpreted as follows: a set of n nodes
is accommodated in such way
2
that condition (9) is satised. It should be noted that, at any
2
Recall that we are dealing with the arbitrary network case.
given time t, at most n/2 nodes will be transmitting (the other n/2 nodes will be receiving).
Now, we can use the Cauchy-Schwarz inequality to write
n/2
i=1
d
2
i
n/2
j=1
1
2
_
n/2
i=1
d
i
1
_
2
,
or
n/2
i=1
d
i

_
n/2
i=1
d
2
i
n
2
_
2n
2
.
Therefore, we have found an upper bound on the sum of the T-R separation distances of
successful links. Now, if we assume that all sources transmit at rate W, then the transport
capacity T
A
of the network at a given time t is upper bounded as
T
A
= W

iT (t)
d
i

_
2
n,
or, T
A
= O(W
n) bit-meter/s. Now, we can also show that a transport capacity of

W
A
1+2
n
n+
8
bit-meter/s is achievable under the Protocol Interference Model (see (Xue &
Kumar, 2006) for details), completing the proof of (8).
Recalling that the network has n nodes, we can conclude that the transport capacity per node is
(W/
n). This means that the transport capacity diminishes to zero as the number of users
in the network increases. Note that we are assuming here that sources randomly select other
nodes as their destinations and, therefore, the average source-destination separation distance
does not depend on the number of nodes n. So, as n increases, we have more and more
nodes willing to send their bits over paths with the same average length, but sharing the same
available bandwidth.
3.2.2 Capacity under the physical interference model
Now, if the Physical Interference model is adopted, Kumar and Gupta (Gupta & Kumar, 2000)
showed that the transport capacity is
T
A
= O(W n
1
) bit meter/s. (10)

This upper bound can be proved recalling that, according to the Physical Interference model,
a successful transmission requires that
P
i
d
i
N +
jT ,j,=i
P
j
d
j
. (11)
If we include the desired signal power in the summation in denominator, and isolate the term
d
i
, we get
d
i

( +1) P
i
_
N +
jT
P
j
d
j
_. (12)
Noting that the T-R separation distance d
i
is smaller than the diameter of the network area,
i.e., d
i
2/
, then
d
i

( +1) P
i
_
N +
_
4
_
/2
jT
P
j
_
( +1) P
i
_
_
4
_
/2
jT
P
j
_ . (13)
Now, summing the quantities d
i
of all active links, we get
iT
d
i

( +1)
_
4
_
/2
. (14)
Next, we use the Holders inequality, according to which, for a, b >0, p, q 1 and 1/p +1/q =
1,
ab
_
a
p
_
1/p
_
b
q
_
1/q
. (15)
Therefore, recalling that there are at most n/2 links, then
iT
d
i

_
iT
d
i
_
1/
_
iT
1
1
_1
iT
d
i
_
1/
_
n
2
_1
_
( +1)
_
4
_
/2
_
1/
_
n
2
_1
_
2 +2
_
1/
n
1
. (16)
Finally, if all sources transmit at rate W, the transport capacity is upper bounded as
T
A
= W
iT
d
i

W
_
2 +2
_
1/
n
1
. (17)
Note that if capacity is equitably shared among all sources, the transport capacity per node is
T
A
= O(W/n
1/
), and goes to zero as n increases. Note also that this bound indicates that a
larger path loss exponent leads to a higher capacity. This can be explained by noting that
larger means stronger signal attenuation and, therefore, reduced interference. Consequently,
concurrent links can be packed together, increasing capacity.
3.3 Throughput capacity in random networks with immobile nodes
3.3.1 Capacity under the protocol interference model
Gupta and Kumar also showed that the throughput capacity in bits per second of a random
network under the Protocol Model is upper bounded by
(n)
c W
_
nlogn
. (18)
This result can be proved using again the argument that successful transmissions consume
portions of the network area. Let us consider a network with n nodes randomly placed on a
(a) (b)
Network of unity
area with n nodes
Source Destination
L
r
n
r
n
2
Fig. 4. The protocol model: (a) Disks around active receivers must be disjoint; (b) Average
number of hops between source and destination.
disk of unity area. Let us also assume that all nodes transmit with a common transmission
range r
n
. In order to guarantee that no node is isolated in the network, it can be shown that
r
n
must be asymptotically larger than
_
logn/n (Gupta & Kumar, 1998) (Penrose, 1997).
Next, we recall that, under the Protocol Interference model, successful transmissions require
that disks of radius r
n
/2, centered at receivers, must be disjoint, as shown in Figure 4(a).
Therefore, the number of successful transmissions N
S
within a disk of unity area is upper
bounded as
N
S
<
4
2
r
2
n
. (19)
Therefore, the aggregate number of bits transmitted per second in the network cannot be
larger than
4W
2
r
2
n
,
where W is the common transmission rate of the individual transmissions.
Now, as before, let us consider that source nodes choose at random their destination nodes,
and denote L the average source-destination separation distance. Note that L does not depend
on the number of nodes in the network. Therefore, the average number of hops between
source and destination is lower bounded by L/r
n
(see Figure 4(b)). If each source generates
bits at rate (n), then the average number of bits transmitted by the whole network is given
by n(n)L/r
n
and must satisfy
n(n)
L
r
n
4W
2
r
2
n
. (20)
Finally, using r
n
>
_
logn/n, we complete the proof of (18).
In this same context, i.e., random networks under the Protocol Interference model, Xue and
Gupta presented in (Xue & Kumar, 2006) a transmission scheme that achieves a throughput
(n)
c W
(1 +)
2
_
nlogn
. (21)
To demonstrate that (21) is valid, n nodes are randomly placed in a square of unity area.
This area is tessellated by cells of side s
n
=
_
Klogn/n, as shown in Figure 5(a). We can
(a) (b)
M cells
M
s
n
Fig. 5. The protocol model: (a) Tessellation of the unity square by cells of side s
n
, with
adjacent cells grouped in groups of M
2
cells (M = 4). Cells in blue are allowed to transmit
concurrently; (b) Source-destination lines crossing a given cell (adapted from (El Gamal et al.,
2006), copyright c 2006 IEEE).
show that, with probability approaching one, each cell has at least one but no more than
Ke logn nodes (see (Xue & Kumar, 2006) for details). We suppose that nodes transmit with
a common transmission range such that every node can transmit to any node located in its
neighboring cells. In order to guarantee successful transmissions, by controlling interference,
the following transmission scheme is used. We divide the cells into groups of M
2
adjacent
cells (see Figure 5(a)). At each time-slot, one node from one cell of each group is allowed
to transmit. Therefore, at each time-slot, there will be n/M
2
concurrent transmissions (or
concurrent cells), as exemplied in Figure 5(b). Clearly, time is split into M
2
time-slots.
Successful transmissions are guaranteed if concurrent cells are enough far apart, being the
distance between concurrent cell controlled by the number M. Note that the required value
of M for successful transmission does not depend on n, as only one node from each cell
transmits at each time-slot. Therefore, under the Protocol Interference model, we can simply
set M = c(1 +) (Xue & Kumar, 2006). Since, as before, each source node chooses at random
its destination node, bits reach their destination by means of multi-hop routes. Therefore,
every node transmits not only its own bits, but also bits from other nodes. Therefore, the
number of bits each node pumps to the network (its own bits and those from other nodes) is
related to the number N
R
of multi hop routes crossing the cell to which the node belongs (see
Figure 5(b)). This number N
R
, in turn, is related to the number of lines connecting a source
and a destination that intersect a given cell. Xue and Gupta (Xue &Kumar, 2006) showed that,
with probability approaching one, N
R
c
_
nlogn. Therefore, the number of bits transmitted
per second from a given cell is (n)c
/
_
nlogn, where (n) is the throughput per node. If W is
the transmission rate in each time-slot, and recalling that there are [c(1 +)]
2
time-slots, then
each cell transmits at rate W/[c(1 +)]
2
. Therefore, the throughput per cell (n)c
/
_
nlogn is
feasible if
(n)c
/
_
nlogn
W
[c(1 +)]
2
,
M cells
s
n
M
cells
Interfering
transmitters
X
i
X
R(i)
Fig. 6. Evaluation of the interference in a tesselated network under the Physical Interference
model.
concluding the proof of (21). It should be noted that one node in each cell can be designated
to handle all relay trafc, while all other nodes act as sources or destinations.
Note that while (18) gives an upper bound on the throughput per node, (21) gives a feasible
throughput, and we say that the order of the throughput of random networks under the Protocol
Interference model is
(n) =
_
W
_
nlogn
_
. (22)
As noted in (Xue & Kumar, 2006), the result in (22) suggests that the throughput of random
networks is almost that achieved in the best case scenario (arbitrary networks), in which
throughput is O(1/
n), despite the fact that nodes are optimally located.

3.3.2 Capacity under the physical interference model
When the Physical Interference model is used, it can be shown that throughput per bits per
second
(n) =
_
W
_
nlogn
_
(23)
is feasible. This result can be derived using the same transmission scheme used in Section 3.3
.1. We just need to showthat M can be selected such that transmissions can achieve SI NR ,
as required by the Physical Interference model for successful transmission (Xue & Kumar,
2006). In order to show that, let us consider the transmission from node X
i
to receiver X
R(i)
in a network tesselated as before, as shown in Figure 6. This transmission is disturbed by
transmissions fromnodes located in the concurrent cells, which are arranged according to tiers
of 8k cells, with k = 1, 2, . Using simple geometric arguments, we see that in the worst-case
scenario, the distance between X
i
and X
R(i)
is 2
2s
n
, and the distances between receiver X
R(i)
and interferers of the k-th tier are larger than kMs
n
2s
n
. The aggregate interference power
can therefore be upper bounded as
kA,k,=i
P
k
[X
k
X
R(i)
[
k=1
8k
P
(kMs
n
2s
n
)
8P
(Ms
n
)
k=1
k
(k 2/M)
.
It can be shown that
k=1
k
(k2/M)
converges when >2 (Xue & Kumar, 2006), and therefore
there is a value of M sufciently large that guarantees SI NR at the receiver. Therefore,
the throughput
(n) =
cW
_
nlogn
is feasible in a random network under the Physical Interference model as well.
An upper bound on the throughput for random network under the Physical Interference
model can be derived using the upper bound on the throughput for the case under the
Protocol Interference model. In fact, successful links (X
i
, X
R(i)
) in a random network under
the Physical Interference mode are also successful under the Protocol Model, for appropriate
values of and . Therefore, an upper bound on the throughput for the Protocol Model also
holds for the Physical Interference model. Therefore, for a randomnetwork under the Physical
Interference model the throughput is upper bounded as
(n) <
c W
n
. (24)
3.4 Capacity with directional antennas
In the previous sections we assumed that transmitters and receivers are equipped with
omnidirectional antennas. However, it is well known that directional antennas can reduce
interference and, consequently, increase capacity. Yi et al. (Yi et al., 2007) extended the work
done by Gupta and Kumar by including directional antennas in the model, and investigated
the effects of directional antennas on the capacity scaling laws. The radiation pattern adopted
by Yi et al. is modeled as a sector with beamwidth , for the transmit antenna, and , for
the receive antenna. This is a rather optimistic model as it assumes that the energy irradiated
outside the main bean is zero (i.e., sidelobes have zero gain). Following the same reasoning as
in (Gupta & Kumar, 2000), the authors in (Yi et al., 2007) show that the throughput capacity
per node for a arbitrary network under the Protocol Interference model scales as
(n) = O
_
1
_
n
_
. (25)
Therefore, capacity increases as beamwidth decreases, what can be explaining by the fact that
directional antennas reduces the overall interference, and more concurrent transmissions can
be accommodated at a given time. However, even though the use of directional antennas may
increase capacity, it does not change the form of the scaling law of capacity. That would be
possible if and decreased as fast as 1/
n, leading to a constant throughput per node as

the size n of the network increases.
Spyropoulos and Raghavendra (Spyropoulos & Raghavendra, 2003) also investigated the
effects of directional antennas on the capacity scaling laws of ad hoc networks, but using more
(b)
G
side
R
2
R
1
(a)
Node A
Exclusion region
of node A
Fig. 7. (a) Idealized radiation pattern; (b) Exclusion region created when the Protocol
Interference model is used with the radiation pattern in (a): for successful reception at node
A, no other receiver can be located inside such exclusion region.
general antenna models. First, they considered an idealized radiation pattern with beamwidth
with unity gain, and constant sidelobe with gain G
side
< 1, as shown in Figure 7(a). When
this radiation pattern is assumed at both transmitters and receivers, the use of the Protocol
Interference model results in an exclusion region as shown in Figure 7(b), in which R
1
and R
2
are given by
R
1
= [(P/P
th
) G
side
]
1/
and R
2
=
_
(P/P
th
) G
2
side
_
1/
. (26)
Therefore, small gain G
side
leads to small exclusion area, which, in turn, leads to a large
number of concurrent transmissions. In fact, Spyropoulos and Raghavendra showed that the
throughput capacity per node is upper bounded as
(n)
cW
_
nlogn
1
G
side
+ (2 )G
2
side
. (27)
In the directional antenna model adopted by Spyropoulos and Raghavendra, a narrow beam
is steered towards the intended node, and out of the main beam, the antenna gain is constant.
This, however, is not an appropriate model for the so called smart antenna, which are capable of
not only steering a narrowbeamtowards a given direction, by also steering strong attenuation
(nulls) towards some directions, in order to mitigate the signal from known interfering
transmitters. In order to evaluate the effects of a smart antenna on the network capacity,
Spyropoulos and Raghavendra considered that a smart antenna with N elements can steer a
beam of gain G
max
= 1 towards the desired direction, and gains G
null
1 towards at most
N 2 different directions. Now, the use of this antenna model together with the Protocol
Interference model allows for the accommodation of at most N 2 receiving nodes within a
circle of radius R = (P/P
th
)
1/
, and the throughput capacity per bits/sec per node is upper
bounded as
(n)
cW(N 2)
_
nlogn
. (28)
(a) (b)
Destination
Destination
Relay
Source
Source
Phase 1 Phase 2
Fig. 8. The 2-hop relaying transmission scheme adopted by Tse and Grossglauser: (a) In
Phase 1, source transmits its packet to a relay node within its transmission range; (b) in Phase
2, packet is sent to the destination when the relay node gets close enough to the destination
node (adapted from (Grossglauser & Tse, 2002), copyright c 2002 IEEE).
3.5 Networks with mobile nodes
Grossglauser and Tse (Grossglauser & Tse, 2002) extended in another direction the work done
by Gupta and Kumar, by introducing mobility in the model. As discussed in previous sections,
throughput in a network with immobile nodes decays as 1/
n due to the trafc increase

caused by multi hop connections between sources and destinations. Alternatively, one could
use large transmission ranges in order to reduce the number of hops between source and
destination. However, this strategy limits the number of concurrent transmissions, limiting
the capacity of the network. Other alternative would be to restrict transmissions to neighbors.
However, only a small fraction of sources are close enough to their destination nodes, limiting
capacity as well. In the light of this observation, and considering a network of mobile nodes,
Grossglauser and Tse (Grossglauser & Tse, 2002) developed a 2-hop relaying transmission
scheme with two phases, described in the following as exempliced in Figure 8:
Phase 1: A packet generated by a node is either directly transmitted to the corresponding
destination node, or relayed to a intermediate (relay) node. In the former case, the
transmission session is concluded.
Phase 2: If the packet is sent to a relay node, the packet is buffered until the relay node
is close enough to the destination node, when the packet is eventually sent to its nal
destination.
Note that an essential aspect of this scheme is that , due to mobility, the relay node and
the destination nodes will eventually be close enough to each other to allow communication
between them. Based on this model, Grossglauser an Tse showed that the average long-term
throughput per S-D pair remains constant as n increases, that is, throughput scales as (1).
An important aspect of this analysis is that the mobility model adopted assumes that, at a
given time, a node is equally likely to be in any part of the network, meaning that the network
topology completely changes over time. Clearly, this mobility model is an oversimplication
of a real scenario, but the results obtained under this model can be viewed as upper bound on
the performance.
Grossglaucer and Tse pointed out that throughput remains constant as n increases at the
expenses of an increasing delay. This has motivated several studies of the tradeoff between
delay and throughput in ad hoc networks (El Gamal et al., 2006), (Herdtner & Chong, 2005),
(Lin et al., 2006), (Neely & Modiano, 2005), (Sharma et al., 2007). For instance, El Gamal et.
al (El Gamal et al., 2006) investigated this tradeoff not only for mobile networks, but also for
static networks. For mobile networks, they considered a network operating under the same
2-hop relaying transmission scheme adopted by Grossglauser an Tse, and assumed a mobility
model named random-walk model, according to which nodes move a distance 1/
n per
unit time. They then showed that the throughput scales as (1), as in (Grossglauser & Tse,
2002), but the delay scales as (nlogn). For static network, El Gamal et. al showed that, at
throughput (1/
_
nlogn) (as in the work done by Gupta and Kumar), the average delay is
(
_
n/logn).
Another important extension of the work done by Grossglaucer and Tse is the one carried
out by Herdtner and Chong (Herdtner & Chong, 2005) in which the authors showed that
mobility alone does not increase capacity of ad hoc networks. Specically, they showed that
if the buffer size of nodes is nite and limited to (1), i.e., it remains constant as n increase,
then the throughput capacity is only O(1/
n), instead of (1). Therefore, a scaling law for

throughput in a mobile network in the form (1) is only possible if the buffer size increases
as n increases.
Lin et al. (Lin et al., 2006) investigated the tradeoff between capacity and delay in a mobile
wireless network, assuming a Brownian motion model. A key parameter in this mobility
model is the variance
2
, which is related to the time required by a node to move to different
parts of the network. Large
2
means that the node will take a short amount of time to
move. The authors of (Lin et al., 2006) showed that, under the 2-hop relaying transmission
scheme proposed by Grossgluaser and Tse, throughput of (1) is achieved at the expenses of
an average delay of (logn/
2
), showing how the node speed affects the delay.
4. Summary
This chapter provided an overview of metrics for capacity evaluation of ad hoc wireless
networks. The peculiarities of wireless ad hoc networks make the estimation of capacity of
this kind of networks a complex task, which is evidenced by the variety of capacity metrics
found in the literature.
The capacity metrics discussed in this chapter can be classied into two groups: metrics
based on a statistical approach, and metrics focused on the network scalability. In the rst
group, discussed in Section 2, capacity metrics incorporate aspect from the physical layer (e.g.
modulation parameters, spectral efciency, etc.) and from the network layer (e.g. spatial
reuse, number of hops, etc.). Therefore, these metrics are suitable for network design and
parameter optimization.
The metrics in the second group, discussed in Section 3, essentially describe how network
capacity behaves when the number of nodes in the network grows. As can be noted from the
discussion presented in Section 3, the scaling laws derived are closely related to the particular
network model and transmission scheme assumed. Therefore, even though the resulting
scaling laws are rather pessimistic (per-node capacity vanishes as the size of the network
increases), the results can be used as guideline for the design of more appropriate transmission
schemes, that would hopefully result in non-vanishing capacity.
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21
Design and Analysis of a Multi-level Location
Information Based Routing Scheme for
Mobile Ad hoc Networks
Koushik Majumder
1
, Sudhabindu Ray
2
and Subir Kumar Sarkar
2

1
Department of Computer Science and Engineering,
West Bengal University of Technology, Kolkata
2
Department of Electronics and Telecommunication Engineering,
Jadavpur University, Kolkata
India
1. Introduction
Classical routing algorithms for MANET are basically route based, i.e. nodes maintain
routes to the other nodes in the network. Many existing routing protocols (DSDV (Perkins &
Bhagwat, 1994), WRP (Murthy & Garcia-Luna-Aceves, 1996), FSR (Haas. & Pearlman, 1998),
ANDMAR (Gerla et al., 2000), DSR (Johnson & Maltz, 1996), AODV (Perkins & Royer, 1999),
TORA (Park & Corson, 1997)) proposed within the MANET working group of IETF, are
designed. These algorithms are basically of two types proactive and reactive.
In case of proactive protocols like DSDV (Perkins & Bhagwat, 1994) , CGSR (Chiang et al.,
1997), STAR (Garcia-Luna-Aceves & Spohn, 1999), OLSR (Clausen et al., 2001), HSR (Iwata
et al., 1999), GSR (Chen & Gerla, 1998) the nodes in the adhoc network must keep track of all
the routes to all other nodes, so that, whenever a node wants to send a data packet to
another destination node, it can do that without wasting any time for path setup. This
necessitates periodic exchange of routing information between the nodes of the network.
The immediate disadvantage of these schemes is that too much network traffic will be
consumed when the size of the network or the mobility of nodes increases.
In case of reactive routing protocols such as DSR, AODV, ABR (Toh, 1997), SSA (Dube et al.,
1997), FORP (Su & Gerla, 1999), PLBR (Sisodia et al., 2002) a lazy approach is applied. Here
the nodes need not maintain the routes to all other nodes. Thus, there is no need of periodic
exchange of routing information between nodes. Routes to the destinations are determined
on demand by flooding the whole network with route query packets. The immediate
disadvantage of this approach is - flooding becomes prohibitive as the size of the network
grows.
Some proposed algorithms claim to have the best of these two classes. Protocols like CEDAR
(Sinha et al., 1999), ZRP (Haas, 1997), and ZHLS (Joa-Ng & Lu, 1999) combine both a
proactive and a reactive approach.
A new family of routing algorithms, which are known as position-based routing algorithms
such as GLS (Li et al., 2000), SLURP (Seung-Chul. et al., 2001), SLALoM (Cheng et al., 2002),
DLM (Xue et al., 2001), were, introduced which use information about the physical position

474
of the participating nodes. They eliminate some of the limitations of topology based routing
algorithms by using this extra information.
Commonly, each node determines its own position using GPS or some other type of
positioning service. Position-based routing protocols have certain advantages over
Topology-based routing protocols.
1. The nodes have neither to store routing tables nor to transmit messages to keep routing
tables up to date.
2. Reduced overhead, as the establishment and maintenance of routes is (usually) not
required in a protocol that uses location information for routing.
2. Location services
A Location service is responsible for providing location information of nodes in the
network. Mobile nodes register their current location with this service. When a node does
not know the position of the destination node, it contacts the location server and requests
that information.
Existing location services (Amouris et al., 1999) can be classified according to how many
nodes host the service. This can be either some specific nodes or all nodes on the network.
Furthermore, each location server may maintain the position of some specific or all nodes in
the network. These can be abbreviated as:
some-for-some
some-for-all
all-for-some
all-for-all
3. Review of previous work
Several location service schemes have been proposed in the literature: GLS, SLURP,
SLALoM and DLM are some representative examples.
3.1 GLS (Li et al., 2000)
Grid Location Service (GLS) divides an area containing the ad hoc network into a
hierarchical grid of squares. The largest square is called the level-H square. The level-H
square is then recursively divided into four level-(H-1) squares until level-0 squares are
reached, forming a so-called quad-tree. In each level-i square (for i > 0), node A selects three
location servers, one in each level-(i-1) square that A is not in. The structure of GLS is shown
in Fig. 1.

Fig. 1. Structure of GLS
Design and Analysis of a Multi-level Location Information Based
Routing Scheme for Mobile Ad hoc Networks

475
GLS selects the location servers based on the node ID in each server's service area (i.e., a
quadrant). For a node C to be node A's location server, C must have the smallest ID that is
larger than A's ID in that quadrant, i.e., C = min {x|node x is in the quadrant, ID(x) > ID (A)}
Each node updates its location servers with its exact location after it moves a threshold
distance . To query for a particular node A, a node B sends the query to the node that is
closest to A for which B has location information, and so on. Eventually the query would
reach one of A's location servers.
3.2 SLURP (Seung-Chul. et al., 2001)

Fig. 2. Flat Grid of Squares used in SLURP
In SLURP, the entire network area (a square) is divided into a flat grid of squares. Node A
selects its location servers by applying a hash function to A's ID and obtains the (x, y)
coordinate of a point in the entire area. The square containing that point is called the home
square for node A. All nodes in that square store A's exact location information. Every time
node A moves to a different square, it updates its home square with new location
information. For any node B, that wishes to communicate with node A, the same hash
function is applied to node A's ID to obtain A's home square. A query packet is then
forwarded to A's home square to retrieve A's location information. This is illustrated in Fig. 2.
3.3 SLALoM (Cheng et al., 2002)
SLALoM combines the strengths of SLURP and GLS. In this scheme, each node is assigned
multiple home regions distributed uniformly over the area in which the nodes move about.
(The nodes in these home regions act as location servers for the node.) It is assumed that the
mobile nodes are capable of knowing their current location, using for example, the Global
Positioning System (GPS), and are equipped with radios. It is also assumed that the nodes
move about in a square region of area A. According to SLALoM, the square is divided into
G unit regions called order-1 squares. It then combines K
2
of the order-1 squares to form order-
2 squares. A nodes home region will consist of an order-1 square. With some exceptions,
every node has a home region in each order-2 square. Hence, every node has O (A/K
2
)
home regions.
Maintaining location. Let v be a node in the network. Suppose it lies in the order-1 square R
i

and R
i
is inside order-2 square Q
j
. We say that a home region of v is near v if the home region
lies in Q
j
or it lies in one of the eight order-2 squares that are neighbors of Q
j
. Otherwise, a
home region is far from v.

476

Fig. 3. Network Hierarchy of SLALoM
The following invariant always holds for v: all home regions of v know v is in Q
j
. In addition, all
home regions near v know v is in R
i
.
Location Updation. Each time a node moves into a new order-1 square, it has to inform its 9
nearby home regions of its current exact location. This entails 9 broadcasts in a unit region.
Furthermore, if such a move also causes the node to move into a new order-2 square, then it
has to inform all its far home regions of its current approximate location. This requires O
(A/K
2
) broadcasts in a unit region.
Paging. If a node u wishes to find the location of another node v, it sends a unicast to a home
region of v closest to it. If this home region is near v then u obtains the exact location of v. On
the other hand, if the home region is far from v then u obtains an approximate location of v.
Node u then routes its message to a home region near v, R
k
. The node that receives the
message at R
k
then sends it to the exact location of v.
3.4 DLM (Xue et al., 2001)
DLM partitions the entire network much like GLS, i.e., there are H + 1 level of squares. The
location servers are duplicated uniformly across the region, one server in every level-K
square. Here K is a system parameter between 1 and H. The servers are chosen by hashing
to a point in each level-K square; therefore, we say DLM also uses a two-level server structure.
DLM uses two addressing policies: complete and partial address. In complete address
policy, all the location servers store the exact location of a node. In case of the partial
address policy, each location server stores location information with different granularity.
For i > K, if the location server of node A is located in the same level-i square in which A
resides in, the servers store only which level-(i-1) square A is in. If the server is located in the
same level-K square as A, the complete location information is stored.
The query operation is straightforward if the complete address policy is used. Node B
simply queries the nearest location server of A to obtain A's location. If the partial address
policy is used, node B simply queries the nearest location server of A. If the complete
address of A is found, then the query is complete. Otherwise the server of A indicates which
level-(i-1) square A is in, the query is then forwarded to A's location server in that level-(i-1)
square. This process continues until A's complete information is found.
4. Proposed scheme
Position based routing protocols need not store the route information. Here the main
component is the geographic location information of the nodes. In our proposed Layered

477
Square Location Management (LSLM) scheme, we have assumed that each node is equipped
with GPS system through which the node can acquire its current geographic location. We
also assume that each node has a transmission range of r
t.
Level n square region
Sub-region 0 Sub-region 3


Location server region

Level 2 square region

Level 1 square region

Sub-region 0

Location server
regions at different levels


Sub-region 0 Sub-region3


Fig. 4. Complete network structure of proposed LSLM
In our scheme, we

have divided the entire network area into L level of square regions. The
arrangement is such that each level i square region encapsulates the level (i-1) square region
and is encapsulated by level (i+1) square region. Each square region has a side length of
2.2
l.
s, where l denotes the level number and s depends on the node density. The innermost
region is the level-1 square region and the outermost region is the level-L square region.

Location server region 0



Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2

Fig. 5. Assignment of location server region

478
The square region at each level is further subdivided into four sub-regions: sub-region-0,
sub-region-1, sub-region-2, and sub-region-3. In each level we have four location server
regions, where each location server region is a square area having side length of r. All the
nodes residing in the location server region act as location servers. These location servers are
responsible for keeping track of the location information of the nodes. We have shown the
arrangement of the location server regions within the square region at each level in Fig. 5.
Each location server region has a fixed sub-region within the square region at each level
assigned to it. The location server is responsible for keeping track of the location information
of all the nodes within this sub-region. The Table:1 shows the assignment of the sub-regions
within the square region at each level.

Location server region 0 Sub-region0
Table 1. Assignment of sub-regions to location server regions
In case of MANET, changes in network topology can be frequent and mobility of the nodes
can be high. Therefore, cost for location update will be a major burden. If we keep track of
only the exact location information of the nodes, then there is a possibility of this
information becoming stale quickly as the mobile nodes frequently change their location.
This will require frequent invocation of expensive location update routines. To address the
issue, we have applied the concept of multi-level location information. We have assumed
that the location information can be of two types fully qualified location information and
relative location information.
The fully qualified location information of a node includes the following components.

Node -id
x-coordinate
y- coordinate
Location server-id
Fig. 6. Fully qualified location information
Location server id has three components.

Level no.
Sub-region no.
Server-id
Fig. 7. Location server id
From Fig. 6 and Fig. 7, we can see that the fully qualified location information of a node A
contains the current x and y coordinate position of A, the node id and the id of the location
server that is currently keeping track of the location information of A. Location server id has
three components embedded in it. The level no. of the square where the location server is
currently in is indicated by the level no. A location server is responsible for keeping track

479
of the fully qualified location information of the nodes within a sub-region and the sub-
region no. corresponds to this particular sub-region. Server id uniquely identifies the
sever within a location server region.
On the other hand relative location information has two components.

Location server id
Node id
Fig. 8. Relative location information
The location servers within a location server region are responsible for keeping track of the
fully qualified location information of only those nodes that are currently within its assigned
sub-region within a particular level i. On the other hand, the location servers within a
particular location server region also keep track of the relative location information of all the
nodes that are currently within other sub-regions of the same level i square region. When a
node moves within a particular sub-region, it needs to notify only the single location server
region - that is currently in charge of that sub-region, regarding the change in its fully
qualified location information. This reduces the location update cost.
4.1 Location update
We can divide the location update mechanism in three categories.

Fig. 9. Location update for node movement within sub-region
I. Location update for node movement within sub-region:
When a node A moves within its current sub-region, it needs to notify only those location
servers that are currently in charge of this particular sub-region. This set of location servers
are currently keeping track of the fully qualified location information of node A and any
changes in the x and y coordinate positions of node A must be reflected to them. As A is

480
moving within its sub-region, there will be no change in its relative location information.
Therefore, node A need not inform the location servers in other sub-regions of that
particular level. Moreover, A does not need to notify the location server regions in other
levels, as they contain neither the fully qualified location information nor the relative
location information of node A.
II. Location update for node movement between sub-regions:
In this case, node A is moving from one sub-region to another within the same level i square
region. After reaching the new sub-region, A probes its neighbors to get information about
its new location server region. Once it gets this information, A sends its current x and y
coordinate positions and the node id to the new location server region. Now node A is
under the direct supervision of the new location server region. Therefore, this new location
server region needs to update the location information regarding node A from relative to
fully qualified one. The new location server region then needs to send the new relative
location information of node A to other location server regions, which are within the same
level i square region. These other location server regions now need to modify the location
information about node A accordingly. If they contained the fully qualified location
information, in that case, they need to update it with the new relative location information
of node A. On the other hand, if they contained the old relative location information, in that
case, they need to update the entry with the new relative location information of node A.

Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2

Fig. 10. Location update for node movement between sub-regions
III. Location update for node movement between square regions at different levels:
In this case, (illustrated in Fig. 11), node A moves from a square region at one level to a
square region at another level. After reaching its new sub-region within its new square
region, the node probes its neighbors to get information about its new location server
region. Once A gets this information, it sends its previous fully qualified address and the
current x and y coordinate positions to this new location server region. From node As
previous fully qualified address, the new location server region can know the previous level

481
no. of the node. The previous level no. is required by the new location server region in
sending the new relative address of A, (i.e., current location server id and node id) to a
location server region in the previous level. This information is then relayed to all the other
location server regions in the previous level. Those location server regions after analyzing
the current relative address of the node, find that the level no. of node A has already
changed, i.e., node A is no longer in the square region at their level. Therefore, they delete
the entry corresponding to node A from their database.

Level i+1
square region

Level i
Square region

Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2

Sub-region 2
Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2

Fig. 11. Location update for node movement between square regions at different levels
The new location server region is in a square region, which is at a different level than the
level of node As previous square region. Therefore, the new location server region must
make a new entry in its location information database about the new fully qualified location
information of node A. This new location server region then needs to send the new relative
location information of node A to other location server regions within the new square
region. These other location servers previously had no location information about node A.
Therefore, they need to make new entries in their location information database about the
new relative location information of node A.
4.2 Location query
Suppose node S wants to send a data packet to a destination node D but the location
information of node D is unknown to S. Corresponding to three location update scenarios
three situations can evolve.

482
I. Destination D is within same sub-region at same level as of source S:
In this case the location server region that is in-charge of the sub-region contains the fully
qualified address of node D. The source node S sends the data packet to the location server
region. The location server region extracts the current x and y coordinate position of node D
from its fully qualified address and sends the data packet to node D at that location.

Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2
S
D

Fig. 12. Destination D is within same sub-region at same level as of source S
II. Destination D is within other sub-region at the same level as of source S:
In this case the source S sends the data packet to the assigned location server region of its
sub-region. But as the destination D is within a different sub-region, therefore, the location
server region of node S contains only the relative location information about destination D.
From this information, the location server region of node S can find the location server
region, which is currently containing the fully qualified address of node D. The location
server region of node S then sends the data packet forwarded by S, to that particular
location server region. This new location server region ultimately sends the data packet to
the destination node D.
III. Destination D is within other square region at different level than that of source S:
The location server region now sends the data packet to the location server region of the
square region that is encompassing the current level square region. It also forwards the
packet to the location server region of the square region that is contained by the current
level square region. The location server regions at other levels now follow the previously
mentioned steps for location query. This process is continued until the destination node D is
found or the network boundary is reached. Thus, if the destination node falls within the
network boundary, the data packet is propagated from the source node S to the destination
node D through the intermediate location server regions.

483

Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2
S D

Fig. 13. Destination D is within other sub-region at the same level as of source S

Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2

Sub-region 2

Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2

Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2
S
D

Fig. 14. Destination D is within other square region at different level than that of source S

484
5. Analysis of Layered Square Location Management (LSLM)
There are mainly two types of costs, which are important for any location management
scheme. These are - cost for location update and cost for location query. When a node
changes its position it must change its location information at the location server. The
number of packet forwarding operations it needs to perform per second, in order to
maintain fresh location information, is known as the location updation cost Cost
update
.
Similarly if a node wants to send a packet to a destination node whose location information
is unknown, in that case the sender node must perform location query, to find the location
information of the destination node. The number of packet forwarding operations that each
node needs to perform for the purpose of location query defines the location query cost
Cost
query
. There is also a third type of cost, which is known as the storage cost. The storage
cost Cost
storage
signifies the number of location records that each of the location servers needs
to store.
In the following sections we analyze these three types of costs for our proposed Layered
Square Location Management (LSLM) scheme.
5.1 Location updation cost [Cost
update
]:
In our proposed scheme, location update has been divided into three parts. As a
consequence, the cost for location update can also be divided into three parts - i>Cost for
location update for node movement within sub-region (Cost
update-intra-subregion
) ii>Cost for
location update for node movement between sub-regions (Cost
update-inter-subregion
) iii>Cost for
location update for node movement between square regions at different levels
(Cost
update-inter-level
).
Thus we can write,
Cost
update =
Cost
+ Cost

+ Cost
update-inter-level

D
Sub-region 0

Sub-region 3

Sub-region 1

Sub-region 2

Fig. 15. Distance D

485
The cost for location update depends upon the amount of forwarding load, where
forwarding load is determined by the number of hops traversed by a packet during location
update operation. Thus the forwarding load, and as a consequence the cost will be greater
for a packet traveling a greater distance. Cost for location update for node movement within
sub-region (Cost
) is basically the product of updation frequency and the cost
of updation of one location server region. The cost of updation of one location server region
is proportional to the average number of hops an update packet takes to reach the assigned
location server region. We denote this cost by Cost (1). We can approximate this cost by
considering the distance D=2.2
l
.s; where l denotes level number (Fig. 15).
Let us denote z as the average progress for each forwarding hop, where z is a function of the
radio transmission range r
t
and the node density () (Seung-Chul.et al., 2001). We assume
both r
t
and are constants. Therefore, z is also a constant. It is possible to derive the average
number of hops an update packet takes by D/z. If we consider the average velocity of a
node as v, and the transmission range of a node as r
t
,

then the updation frequency is v/r
t
.
Thus,
Cost
= v/ r
t
. Cost (1)
L
And Cost (1) 2.2
l
.s/z
l=0
2.s.L/z.
If we assume S as the side length of the square region at the maximum level, i.e. L
th
level
square region, then, S 2
L
. Thus, L log S. Since, S N, (N=Total Number of nodes in the
network), we have L logN. Thus,
Cost
= O (v.logN). (1)
Cost for location update for node movement between sub-regions (Cost
) is
the product of the boundary crossing rate () and the cost for updating the four location
server regions (Cost(4)). So,
Cost
= .

Cost (4).
The boundary-crossing rate is proved (Yu et al., 2004) to be proportional to v. The cost of
updating four location server regions can be approximated by 4(D
l
)/z. Thus
L
Cost (4) 4. 2.2
l
.s/z
l=0
42.s.L/z.

Therefore,
Cost
= O (v.logN). (2)
Similarly we can formulate Cost
update-inter-level
as
Cost
update-inter-level
= .Cost (8).

486
We can approximate the cost of updating eight location server regions by 4(D
l
+ D
l-1
)/z.
Thus
L
Cost (8) 6. 2.2
l
.s/z
l=0
62.s.L/z.

Therefore,
Cost
update-inter-level
= O (v.logN). (3)
Thus from (1), (2) and (3) we have
Cost
update =
Cost
+ Cost
+ Cost
update-inter-level
= O (v.logN).
5.2 Location query cost [Cost
query
]:
If a source node has some data to send to a destination node, the source node must first
query a location server region to get the current location information of the destination
node. The cost for this activity of querying the location information is known as location
query cost (Cost
query
). In order to calculate Cost
query
, we have to measure the expected
number of forwarding hops traveled by a query packet from the source node to its assigned
location server region, which can be approximated by D/z. Therefore, the expected query
cost is,
L
Cost
query
= 2.2
l
.s/z
l=0
H
= O (logN).

5.3 Storage cost [Cost
storage
]:
In order to calculate the expected storage cost we need to find the average number of
records stored by a location server node in the network. Dividing the total number of
records stored in the network by the total number of nodes acting as location servers gives
us the average number of records. Each node in the network stores its address at the four
location server regions of its current layer of existence. Earlier we have mentioned that each
location server region is a square area having side length of r. Hence, the area covered by a
location server region can be expressed by r
2
. The average number of nodes () is assumed
to be constant. Thus the average number of nodes serving as location servers within a
location server region is r
2
. . Now, the expected storage cost can be expressed as
Cost
storage
= (N.4. r
2
. )/(L. 4. r
2
. ) = N/L,
where, N= Total number of nodes in the network; L= Maximum level number. Since L
logN; the expected storage cost, Cost
storage
= O (N).

487
6. Conclusion
In this paper, we have presented Layered Square Location Management (LSLM), a novel
scheme for the management of location information of the nodes in mobile ad hoc network.
The effectiveness of a location management scheme depends on reducing the costs
associated with the major location management functions- location update and location
query. In case of a location service scheme we can reduce the location query cost by
employing various caching strategies which is not possible for location update cost. Keeping
track of only the exact location information, makes location update highly expensive due to
the high mobility of nodes. In our scheme by dividing the entire network area into L levels
of square regions and using multi-level location information, we have been able to provide a
unique way to reduce the cost associated with both location update and location query.
Further investigation on performance analysis of this scheme in different network scenarios
can be taken as extended work.
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Technical Report TR-04-002
0
Power Control in Ad Hoc Networks
Muhammad Mazhar Abbas and Hasan Mahmood
Quaid-i-Azam University
Pakistan
1. Introduction
In this chapter, we present the power control techniques used in ad hoc networks.
Traditionally, the power control has been implemented and used effectively in cellular
networks. While the use of transmission power control in infrastructure based networks has
proven to work well and improve performance, the application of power control techniques
to ad hoc networks has many challenges and implementation complexities (Chauh & Zhang,
2006) (Basagni et al., 2004). The power control is of great signicance in ad hoc networks
because of their organizational structure and lack of central management. With the
implementation of effective power control techniques, the ad hoc network can improve their
vital parameters, such as power consumption, interference distribution, throughput, routing,
connectivity, clustering, backbone management, and organization (Basagni et al., 2004).
We discuss several power control algorithms commonly used in ad hoc networks to get insight
of power control techniques and their effectiveness. Most of the algorithms are adapted from
cellular networks, modied accordingly, and proposed for ad hoc networks. Moreover, we
argue the enhancement in performance of ad hoc networks with the use of these power control
algorithms.
The power control requirements vary depending on the physical and network layer
implementation of ad hoc networks (St uber, 2002). We show the application of the
prevailing power control algorithms to different physical layer models and discuss their
performance. The application to CDMA based networks is emphasized as these types of
networks have strict power control requirements and the performance is severely degraded
without appropriate power control. In cellular networks, the power control requirements are
stringent, especially in multiple access technologies. The appropriate allocation of power to
the transmitters facilitates interference control and saves energy.
The near-far effect starts to dominate as the transmission power levels are not properly
managed. The advantage of cellular networks over ad hoc networks is the presence of central
management, and as a consequence, the uplink power control can be achieved. This is in
contrast to ad hoc networks, which lack central management and most of the nodes are in
peer to peer conguration (Blogh & Hanzo, 2002).
In addition, transmit power control is a cross layer design problem affecting all layers of
the OSI model from physical layer to transport layer (Jia et al., 2005). In general, power
conservative protocols are divided into two main categories: transmitter power control
protocols and power management algorithms. Second class can be further divided into MAC
layer protocols and network layer protocols (Ilyas, 2003).
22
At the end of the chapter, we discuss the concept of joint power control and routing
in ad hoc networks. Power can be controlled in ad hoc networks by choosing optimal
routes. The existing routing protocols may be classied as, uniform, non-uniform, proactive,
reactive, hybrid, source, and non-source routing protocols (?Chaudhuri & Johnson, 2002). To
further explain joint power control and routing techniques, we discuss a Minimum Average
Transmission Power Routing (MATPR) technique (Cai et al., 2002), which implements a
power control routing protocol using the concept of blind multi-user detection to achieve
the task of minimum power consumption. The Power Aware Routing Optimization (PARO)
technique (Gomez et al., 2003), a protocol for the minimization of transmission power in ad
hoc networks, is based on the concept of node to node power conservation using intermediate
nodes, usually called redirectors. PARO is efcient in both static and dynamic environments
and is based on three main operations: overhearing, redirecting, and route maintenance.
2. Cellular networks
The wireless cellular networks require a xed and well dened infrastructure. This type of
network infrastructure is suitable to efciently manage the network operations. Generally
the network can be managed and operated by a central operations point. In the eld, the
the physical parameters, such as transmission frequency, resource allocation, and power
control parameters are monitored and controlled by base station which have xed location.
We focus on power control for these types of congurations in order to study and analyze
implementation to ad hoc networks.
Power control is a necessary feature in cellular communication networks with multiple access
technologies. Power control has many management features such as interference control,
energy saving, and connectivity (Almgren et al., 2009). In power control mechanism each
user transmits and receives at an appropriate energy level, i.e., the transmission powers are
controlled in such a way that the interference is minimized, while achieving sufcient quality
of service (Lee, 1991).
In the absence of power control, the near-far effect is introduced as all the mobile users
transmit at same power level or at a level which is not suitable at receivers in the network.
In other words, the transmitters close to the base station create interference to neighboring
users which are in the vicinity. In the absence of power control, the system capacity degrades
as compared to other wireless systems (Hanly & Tse, 1999). The power control also increases
the battery life by using a minimum required transmission power and is equally important in
both uplink and downlink transmissions. In uplink transmission, the near-far effect problem
is created as the signals of mobile propagate through different channels before reaching their
corresponding base station (Moradi et al., 2006). The purpose of power control is to allow all
mobile signals to be received with same power at the base station. Uplink power control
enhances capacity of networks (Gilhousen et al., 1991). On the other hand, in downlink
transmission, the near-far effect problem is not as important, because signals from the base
station reach the mobile station while propagating through same channel (Lee et al., 1995).
Uplink power control algorithms achieve their functions through open loop and closed loop
power control, which can be further divided into closed outer loop power control and closed
inner loop power control. In open loop power control, the mobile user adjusts its transmission
power based on the receivedsignaling power fromthe base station (Chockalingam & Milstein,
1998). In closed-loop power control, based on the measurement of the link quality, the base
station sends a power control command instructing the mobile to increase or decrease its
transmission power level and sets the target signal-to-interference ratio (SIR) to such a level
that sufcient quality of service is guaranteed (Rintam aki, 2002).
Power can be controlledin a centralized or distributed fashion. In centralized forma controller
manages the information of all the established connections and channel gains, and controls
the transmission power level (Grandh et al., 1993). While in the distributed form a controller
controls only one transmitter of a single connection. It controls transmission power based
on local information such as the signal to interference ratio and channel gains of the specic
connection. Distributed form of power control is easy to use in common practice because it
does not require extensive computational work (Zender, 1993).
Although we aim to discuss power control techniques for wireless ad hoc networks, it
is important to get insight for the similar techniques used in cellular networks. These
techniques were initially applied to cellular networks, and with the advent of ad hoc network
were adapted and modied to meet new requirements. Some of the basic power control
algorithms are presented below which are related to wireless cellular networks and their
implementations.
2.1 Power control as eigen value problem
In the era of 1980s the concept of Signal to Interference Ratio (SIR) balancing in power
control algorithms for cellular networks based on Code Division Multiple Access (CDMA)
and other technologies were used by researchers (Nettleton, 1980) (Nettleton & Alavi, 1983)
(Alavi & Nettleton, 1982). Initially, the power control problem was focused and treated as an
eigen value problem with a non negative matrix G and corresponding balance power vectors
p
u
and p
d
which satisfy the eigen value problem as
Gp
u
= [(1 +
u
)/
u
]p
u
(1)
and
G
T
p
d
= [(1 +
d
)/
d
]p
d
(2)
where
u
and
d
are desired uplink and downlink SIRs. By taking (G) as eigen value of G a
solution to the above problem is given as
[(1 +
u
)/
u
] = [(1 +
d
)/
d
] (G) (3)
Another solution to SIR balancing problem is given as
u
=
d
= 1/( 1) (4)
where spectral radius is such that >1.
Iterative methods are very effective in solving these type of problems. One approach
(Foschini & Miljanic, 1993) to solve the above eigen value problem iteratively is by solving
liner algebraic equations, represented as AP = b, where P = [p
1
, p
2
, ....p
N
]
T
, and
P(k +1) = (1 A)P(k) + b (5)
This algorithm converges and the method use derivative named as surrogate derivative and
concludes that their algorithm is converging synchronously.
491 Power Control in Ad Hoc Networks
A generalized frame work for convergence is given in (Yates, 1995). By using proper power
control, the interference is eliminated and we get iteration as
p
i
(k +1) =
tar
i
(k)p
i
(k)/
i
(k) (6)
where p
i
is the power of i
th
user and
tar
i
is the target SIR
2.2 Distributed power control techniques
The Distributed Power Control (DPC) algorithmis applied at individual nodes in the network
and the objective is to converge system power allocations to a suitable level (Grandhi et al.,
1994). This can be accomplished by using feedback power control (Ariyavisitakul, 1994). In
this method the power is adjusted in steps which may have xed or variable size. It is seen
that the performance of a power control algorithm with xed step size and variable step size
is almost the same. In addition, the higher power control rate can accommodate the effect of
fast fading.
With the implementation of distributed power control, the SIR of the systemcan be controlled
and managed to some extent. As a result, the outage probability of an individual link or a set
of links can be reduced or entirely eliminated. The implementation of this type of method
requires a distributed power control algorithm which reduces the outage probability to zero
by keeping SIR above threshold value (Zander, 1992).
In another approach, a smaller balancing systems can be constructed by turning the
transmitter of cells off so the outage probability is minimized. In some scenarios, if the value
of SIR for a mobile is less than threshold value then outage probability is reduced and mobile
is dropped from network (Wu, 1999). This improves the remaining network SIR.
An optimal SIR based distributed power control technique can be used by unconstrained and
constrained optimization (Qian & Gajic, 2003). The theme of this algorithm is to establish a
proportionality between transmission power and the error between the actual SIR and the
desired SIR. Difference of transmission power from time step k to k +1 is given as
P
i
(k +1) = P
i
(k +1) P
i
(k) (7)
The error between desired SIR and actual SIR is given as
e
i
(k) =
des
i

i
(8)
Then the proposed algorithm is described as
P
i
(k +1) =
i
(k)e
i
(k) (9)
where
i
(k) is the gain. Thus power allocation is given as
P
i
(k +1) = P
i
(k) +
i
(k)(
des
i

i
) (10)
2.3 Discrete time dynamic optimal power control
In this method, the reverse link systeminformation is used for power control. A cost function,
consisting of weighted sumof powers and some additional parameters is dened. An optimal
power control lawis presented based on a cost function comprising of weighted sumof power,
power update information, and SIR error. It is also assumed that there is no signicant change
in SIR fromone step to the next. For this purpose, a technique named as discrete time dynamic
optical control is implemented (Koskie & Gajic, 2003). The general cost function and sufcient
conditions for optimality are dened as
J[N] = g(x[N]) +
N1
K=0
L(x[k], u[k], k) (11)
and
H
xx
H
xu
H
T
xu
H
uu
>0, H
uu
>0 (12)
where J is the controller, L is the cost function and H is the hamiltonian. Some of the different
optimal controllers for three cost functions are
J
I
= (1/2)
K
k=0
(qe
2
[k] + su
2
[k]) for cheap power cost (13)
J
I I
= (1/2)
K
k=0
(qe
2
[k] +2rp[k] + su
2
[k])for linear power cost (14)
J
I I I
= (1/2)
K
k=0
(qe
2
[k] +rp
2
[k] + su
2
[k])for quadratic power cost (15)
This method considerably saves power and improve quality of service.
2.4 Linear and bilinear power control techniques
The optimization of power conservation results in improved SIR distribution for the entire
network. Although these optimizations are based on some estimates, as a consequence, errors
are introduced in the actual results (Gajic et al., 2004).
The power control techniques named as linear and additive power updates algorithm and
bilinear control algorithm are based on optimization of SIR error. It can be seen that mobile
power is updated by using a distributive linear control law, given as
P
i
(k +1) = P
i
(k) + U
i
(k) (16)
where i =1, 2, ......n. By minimizing SIR error and after other calculations the optimized power
updates can be obtained as
P
i
(k +1) = P
i
(k) + U
i
(k) (17)
P
i
(k) =
tar
i
I
i
[P
(k)]/g
ii
(18)
Where P
i
is the optimized power. In the second algorithm, bilinear control law is used for
update of power as
P
i
(k +1) = P
i
(k)U
i
(k) (19)
where i = 1, 2, .....n, and corresponding optimized power is same as in above case.
2.5 Power control technique based on relaxation method
This method is particularly useful in networks with multiple access technology, such as
CDMA. A relaxation method can be used in solving iterative power control techniques. Two
common techniques for iterative solution of power control problems can be used effectively
with relaxation method. Application to Jacobi iteration method and Gauss Siddel iteration
method for solution of power control problem, by introducing a relaxation parameter in these
techniques, is presented as a modied Jacobi iteration
P
i
(k +1) = [1 +
tar
i
i
(k)
]P
i
(k) (20)
and modied Gauss Siddle iteration
P
i
(k +1) = [1 +
tar
i
i
(k, k +1)
]P
i
(k) (21)
The Gauss Siddle iteration with relaxation parameter is more efcient than Jacobi iteration
technique for solution of power control problem. The algorithms implemented by relaxation
method converge faster than simple distributed power control algorithm (Siddiqua et al.,
2007).
2.6 Distance based power control technique
The distance between transmitters and receivers can be estimated in a wireless networks. The
attenuation of the signals is proportional to the distance which they travel. Therefore, if the
information about the distances is know in real time or a prior, the power can be adjusted
efciently (Nuaymi et al., 2001). If a base station is present, the transmit power of each mobile
station can be controlled by using distance information between base station and mobile
stations. This algorithm computes the transmitted power P
m
of a mobile node m as
P
m
= kx
n
a
m
m
(22)
where
x
a
m
m
=
d
amm
rR
, if d
a
m
m
>d
min
d
min
R
, if d
a
m
m
d
min
(23)
where R is the base to mobile maximumdistance and d
a
m
m
is the distance between mobile and
assigned base station.
2.7 Kalman lter based power control technique
In an uplink closed loop power control algorithm based on Kalman lter technique, the
controller or a base station estimates SIR in a closed loop system (Rohi et al., 2007). The SIR
can be estimated by any suitable method. The outage probability calculated by this method
is smaller as compared to others. According to algorithm details, the base station estimates
the SIR for a user and provide as input to Kalman predictor. Its output is compared with the
desired SIR and the difference is quantized by a PCM. The transmitted power of user is then
updated and SIR estimation is given as
SIR
n+1
= SIR
n
+ SIR
n
+
n
(24)
and
SIR
n
= SIR
n
SIR
n1
(25)
The outage probability is given as P
0
= P
r
(SIR
r
< SIR
0
). Where SIR
r
is measured at base
station and SIR
0
is the minimum value of SIR for achieving desired BER.
2.8 Power control technique based on linear quadratic control theory
The state-space formulation and linear quadratic control technique can be used to solve the
problem of power control by considering each mobile to base station link as an independent
subsystem described as
S
i
(n +1) = S
i
(n) + V
i
(n) (26)
where
S
i
(n) = P
i
(n)/I
i
(n) (27)
and
V
i
(n) = U
i
(n)/I
i
(n) (28)
and
I
i
(n) =
Q
j=i
P
i
W
ij
+ n
i
/G
ki
(29)
The input to each subsystem U
i
(n) depends on the total interference produced by other users
plus the noise in the system and each S
i
(n) track is made equal to the threshold value of SIR
(Osery & Abdallah, 2000). For the discrete case the new state is given by
i
(n +1) =
i
(n) + e
i
(n) (30)
where error e
i
(n) = S
i
(n)
. Each subsystemcan nowbe expressedas a second-order linear

state-space system as
X
i
(n +1) =
e
i
(n +1)
s
i
(n +1)
1 1
0 1
X
i
(n) +
0
1
V
i
(n) (31)
The feedback controller V
i
(n) = [k
k
s
]x
i
(n) + k
s
, where [k
k
s
] is the gain matrix which
are found by solving the Riccati equation. If the right feedback gains [k
k
s
] is chosen, the
steady-state S
i
(n) will go to the threshold SIR. To nd the optimum feedback control for the
state-space representation given above, the Linear Quadratic Control theory is used. After the
gain matrix [k
k
s
] is found, the power control can be expressed as
P
i
(n +1) = min[P
i
, S
i
(n +1)I
i
(n)] (32)
The method assures that the maximum transmission power of the mobile i will not be
exceeded. This method reaches a zero outage probability with less iterations than other
distributed power control methods. This approach was also found to be more effective in
handling a large number of mobile stations in the system.
2.9 Power control technique based on utility and pricing
The power control algorithm can be implemented in a distributed fashion based on utility
and pricing concepts (Shah et al., 1998). The efciency of this protocol can be improved in low
BER and high SIR conditions. The formula of SIR of user j at base station k is given as
=
W
R
h
jk
p
j
i=j
h
ik
p
i
+
2
k
(33)
In this method, by introducing a pricing factor the utility is maximized and as a result helps
in power control problem. A general utility function which is a monotonically increasing
function of SIR is given as
u
j
=
E
p
j
Rf () (34)
Where f () is a measure of efciency of protocol. The power control problem is considered
as a cooperative power control game. The user maximizes its utility at equilibrium point
with maximum SIR value as Max u
i
(p
1
, p
2
, ......p
N
), i = 1, 2, .....N, and f (
) =
f (
).
We can also consider a monotonically increasing pricing function, F = p
j
, which is assumed
to depend upon a cost function, given as,
c
ij
=
u
i
p
j
p
j
(35)
and some inequalities,
p
1
< p
2
<......... < p
N
(36)
u
1
> u
2
>......... > u
N
(37)
c
1
< c
2
<......... < c
N
(38)
A distributed power control algorithm for a wireless cellular system based on sigmoid like
utility function can also be implemented (Xiao et al., 2003). In this algorithm, the power
control problemis considered as a multi player non-cooperative game. This algorithmis valid
for both voice and data users. The value of SIR for user i with transmission power P can be
written as
SIR
i
=
G
ii
P
i
j=i
G
ij
P
j
+
i
(39)
The main goal of this algorithm is to maximize the net utility by transmission power
adjustment and softening the hard SIR requirements as
NU
i
(SIR
i
, P
i
) = U
i
(SIR
i
) C
i
(P
i
) (40)
where C
i
(P
i
) =
i
P
i
is assumed cost function of power for the user i. The power control
problem is then dened as max
Pi
NU
i
. By solving above equation the optimal power for
user i is
P
i
=
R
i
G
ii
f
1
i
(
R
i
G
ii
) =
R
i
G
ii
SIR
i
(41)
After introducing the iteration factor the above equation can be written as
P
i
(K +1) =
R
i
(K)
G
ii
(K)
SIR
i
(K) = P
i
(K)
SIR
i
(K)
SIR
i
(K)
(42)
Thus, by using utility based power control protocol, a user can control its power by decreasing
its SIR and even turn off transmission during heavily loaded network.
2.10 Opportunistic power control technique
In this distributed opportunistic power control algorithm, the transmission power depends
on channel gain by observing feedback from the receiver. The transmission rate is managed
by SIR at the receiver (Leung & Sung, 2006). The SIR of a terminal i in a cellular system
comprising of N mobile terminals can be written as
i
=
P
i
R
i
, where R
i
is the effective
interference to terminal i, and is given as
R
i
=

j=i
G
ij
+
i
G
ii
(43)
and the power of the terminal i is upgraded as
P
n+1
i
= I
i
(R
n
i
, P
n
i
) (44)
The proposed opportunistic power control algorithm is given as
I
opp
i
(R
n
i
) =

i
R
n
i
(45)
This algorithm converges and equation P
n
i
R
n
i
=
i
is satised. The transmission power of
terminal i varies directly with
i
.
2.11 Power control technique based on simple prediction Method
A simple prediction is sometimes useful for power control in wireless networks (Neto et al.,
2004). This approach can be used to implement a distributed power control algorithm, based
on simple prediction method, and by considering both path gain and SIR as time varying
functions using Taylor series. Discrete-time SI NR is given as
i
(k) =
g
i
(k)p
i
(k)
I
i
(k)
(46)
where p
i
(k) =
I
i
(k)
i
(k)
g
i
(k)
is known as necessary transmission power. The transmission power at
instant k +1 is given by using Taylor series as
p
i
(k +1) =
t
I
i
(k +1)
g
i
(k +1)
=
t
2I
i
(k) I
i
(k 1)
2g
i
(k) g
i
(k 1)
(47)
3. Ad hoc networks
Wireless networks without any xed infrastructure are called ad hoc networks, also often
called as infrastructure less networks. Generally, ad hoc wireless networks are self-creating,
self-organizing, and self-administrating networks (Cayirci & Rong, 2009). Ad hoc network
consists of mobile nodes which communicate with each other through wireless medium
without any xed infrastructure. Nodes in mobile ad-hoc network are free to move and
organize themselves in an arbitrary fashion. The nodes in a mobile ad hoc network (MANET)
must collaborate amongst themselves and each node may acts as a relay when required.
Mobile ad hoc networks have a fully decentralized topology and they are dynamically
changing (Jindal et al., 2004). Ad hoc networks are very popular in military applications for
many years. The concept of ad hoc networks was rst used in commercial area in 1990s, at
the same time, the idea of a collection of mobile nodes was originated. In the mid of 1990s
some routing protocols were standardized by a commission known as Internet Engineering
Task Force (IETF). First standard IEEE802.11 for wireless network was introduced in 1997. The
latest standard is faster and applied for longer communication. Today, ad hoc networks are
attractive and challenging topic of research due to its tremendous applications (Perkins, 2001).
The most popular applications of ad hoc networks are temporary communication networks,
relief operations, operations in congested and small areas (Ramanathan & Redi, 2002).
Ad hoc networks have many challenges which includes high error probability of transmission,
limited capacity, hidden and exposed terminals problem, interference, mobility, node failures,
topology maintenance, self healing, node search, synchronization, transmission reliability, and
congestion control etc. (Goldsmith & Wicker, 2002).
3.1 Importance of power control in ad hoc networks
Unlike cellular networks, in ad hoc networks the power control is not trivial and is usually
managed in a distributed fashion. The nodes in the ad hoc network communicate with all
other nodes by sending packets to the neighboring nodes. The choice of an appropriate power
level for packets at a particular node is very crucial matter, as it indirectly effects the physical
layer, network layer, and transport layer of the system by determining the quality of received
signal, range of transmission and magnitude of interference respectively (Kawadia & Kumar,
2005). The nodes in ad hoc networks use different modes of operation such as transmit mode,
receive mode, idle mode and sleep mode. As a result, these different types of nodes have
different power consumption requirements (?).
Power consumption of ad hoc networks can be controlled either by controlling transmission
power or by choosing optimal routs for transmission. Transmit power control is a cross
layer design problem affecting all layers of the OSI model from physical layer to transport
layer (Jia et al., 2005). In general power conservative protocols can be divided into two main
categories as transmitter power control protocols and power management algorithms. Second
class can be further divided into MAC layer protocols and Network layer protocols (Ilyas,
2003). In the subsequent sections, we present the details of some of these protocols.
4. Power control techniques in ad hoc networks
The power control issue is one of the major challenges prevailing in ad hoc networks. There
are many power control algorithms presented by various authors and researchers. Some of
these algorithms are discussed in this chapter. We begin by presenting algorithms which are
based on 802.11 medium access layer, then discuss some of the challenges faced by CDMA
networks as in these types of networks, power control is an essential component. In addition,
power control techniques at network layer are also presented. These power control methods
are jointly implemented with routing protocols and clustering congurations.
4.1 Simple modications to 802.11
The 802.11 MAC standard is slightly modied and adapted in order to obtain a distributed
power control loop based algorithm which results in lower energy consumption and higher
throughput. In this algorithm, in contrast to the original IEEE 802.11 MAC protocol,
the transmissions occur at different power levels which are chosen by the algorithm
(Agarwal et al., 2001). The main purpose of the algorithm is to calculate a minimum transmit
power level for each node to successfully transmit to neighboring nodes. During transmission,
a ratio of the signal strength of the last received message to the minimum acceptable signal
strength at the node currently transmitting the message is included in the CTS and DATA
message headers. The receiver encodes the ratio of received signal strength of RTS message to
minimum acceptable signal strength in the header of CTS reply message.
The transmitter will also encode into it the ratio with respect to CTS upon transmitting the
DATA message. In this way RTS-CTS-DATA-ACK exchange provides an opportunity to both
receiver and transmitter to inform each other not only about their signals strength but also
about their transmit power levels. Each node maintains a small table with elds cf-pwr,
dr-pwr and a count down timer eld. The eld cf-pwr maintains an exponential weighted
average history of the received signal strength ratio received from each neighbor and the
dr-pwr eld maintains an exponential weighted average (EWA) history of the cf-pwr eld
at instances when packet loss occurred. Upon receiving a CTS or DATA message from a node
its cf-pwr eld in the table is updated by decreasing the transmit power level by one, unless
the countdown timer shows zero value. The dr-pwr eld in the table is updated by increasing
transmit power level by one for the timeout during wait for CTS, DATA or ACK message.
A power control scheme based on modications to BASIC power control scheme (CTS-RTS
hand shake), can be implemented which saves power without degrading throughput
(Jung & Vaidya, 2002). In this algorithm just like BASIC power control scheme RTS and
CTS, messages are sent at maximum power level P
max
while DATA and ACK messages are
sent with minimum power level. The novelty of this protocol is that ACK-DATA collision
avoidance can be made possible by transmitting DATA with maximumpower level for a short
period so that nodes in CS zone can sense it. P
max
is achieved periodically during transmission
of DATA. The nodes which may interfere with ACK reception stops their transmission by
observing that system is busy and power is saved.
In another modication (Lin & Lau, 2003), a protocol for power control named as PCMAC is
implemented. This protocol overcomes the problems created by asymmetrical links efciently.
The IEEE 802.11 standard protocol is modied by introducing an extra channel for power
control. In contrast to the BASIC scheme for power control, in PCMAC protocol RTS, CTS,
DATA, and ACK transmission occur at minimal necessary power level while the broadcast
packets at maximal power level. During reception of DATA, the receiver calculates the noise
power level by estimating the noise and signal strength. It then informs the neighboring
terminals with this information by using power control channel. Keeping in view this
information the neighboring terminals take any suitable action. This algorithm replaces the
four way handshake by three way hand shake. Also, each terminal manages the three tables
named as sent table, receive table for data packet transmission, and a power history table
maintaining the record of necessary power level to reach other terminals. This necessary
power level is calculated as P
nec
= Rx
th
P
T
/E, Where E is the received signal strength, P
T
,
the power level at which a packet is transmitted, included in the RTS, CTS and broadcast
packet head.
4.2 Link collision avoidance technique
In Asymmetric Link Collision Avoidance (ALCA) based power control protocol the power
levels are managed by the announcement of the Current Transmission Duration Information
(CTDI) through N different carrier durations (CD) (Pires et al., 2005). This protocol overcomes
the problem of DATA, ACK frames collision in BASIC power control scheme due to
asymmetric links. ALCA is based on two major steps. Firstly the transmitting node computes
the CTDI and then allows the nodes in CS-Zone (CSZ) to recover required CTDI by choosing
an appropriate CD from N different CDs. Secondly, the terminal in the CSZ nds a suitable
extended inter frame space (EIFS) value based on CD extracted by the DATA carrier. This
protocol saves power considerably.
4.3 Power control dual channel protocol
The power control dual channel (PCDC) protocol permits simultaneous interference limited
transmissions in the neighboring area of receiver by modifying typical RTS-CTS handshake
process in mobile ad hoc networks (Muqattash & Krunz, 2004). This protocol gives much
importance to the network layer and MAC layer interaction as power control issue is
considered a joint MACand network layer problem. The MAClayer controls the transmission
power of route request (RREQ) packets and affects the network layer. As it is evident fromthe
name, there are two main channels in protocol - data and control channel. The control channel
has further two sub channels named as RTS-CTS channel and ACK channel. This protocol is
based on the following assumptions:
i. Channel gain remains stationary during transmission of DATA packets.
ii. The gain between two nodes remain same in both sides.
iii. Data and control packets observe same gain between a pair of nodes.
This protocol is distributed in nature and has advantages over other protocols because of
the availability of reserved channels. Although functioning of the protocol has relatively
stringent assumptions, a relatively smooth and better performance can be achieved under
normal channel conditions.
4.4 Power control MAC protocol
This protocol uses an access window and improves the network throughput at low
energy consumption by allowing multiple transmissions (Muqattash & Krunz, 2005). It is a
distributed, asynchronous and adaptive power control protocol and is named as POWMAC
which is based on single channel and single transceiver design. The novel features of
POWMAC are described as:
i. Collision avoidance information (CAI) is included in control packets instead of simple
RTS/CTS control packets.
ii. Required transmission power is calculated at the intended receiver.
iii. Some CTS and Decide-to-Send (DTS) packets are transmitted towards the potentially
interfering terminals.
iv. An access window (AW) is introduced which stops the transmission of DATA packets for
a short period and reduces the collisions between control and data packets by informing
the transmitters about ensuing transmission.
4.5 Distributed correlative power control technique
The correlative power control can be described as a transmitting node that predicts the
interference by using a prediction lter after observing the interference around it. It also
includes this information with RTS message. The receiving node assigns a power to CTS
by observing this included predicted interference. The receiver repeats the whole procedure
and then sends CTS message along with predicted interference to transmitter. The transmitter
then assigns power to DATA by observing this predicted value of interference included in
CTS message. The same procedure is adopted before sending DATA and ACK messages
by transmitter and receiver (Alawieh et al., 2007). The minimum transmission power can be
calculated as P
min
= k/Gain, where the channel loss Gain can be measured as a ratio of the
received and transmitted powers P
r
and P
t
. The received signal power can be given as
P
r
= P
t
r
4
G
2
h
2
10
/10
(48)
Where r is the distance between two nodes, h is the height of the antenna, G is the antenna
gain and is shadowing component. The transmission power of CTS is given as
P
CTS
= max(P
min
, I/Gain) (49)
The transmission power of DATA is given as
P
DATA
= max(P
min
, I
+
/Gain) (50)
The transmission power of ACK is given as
P
ACK
= max(P
min
, I
++
/Gain) (51)
Where I is the predicted interference plus noise power.
4.6 Adaptive power control techniques
The adaptive power control technique uses a two ray groundpropagation model (Zhang et al.,
2005a). This adaptive power control algorithm is based on the relationship between
transmission powers of RTS-CTS, CTS-DATA, and DATA-ACK pairs using single channel
setup. The relationship between transmit power P
t
and receive power P
r
can be written as
P
r
= P
t
G
t
G
r
h
2
t
h
2
r
/d
4
(52)
where h
t
and h
r
are the heights, and G
t
and G
r
are the gains of transmitter and revivers
antenna respectively. The relationship between the transmissions powers of RTS/CTS/DATA
can be given as
P
RTS,r
= P
RTS,t
G
t
G
r
h
4
/d
4
(53)
P
DATA,r
= P
DATA,t
G
t
G
r
h
4
/d
4
(54)
P
CTS,r
= P
CTS,t
G
t
G
r
h
4
/d
4
(55)
where d is the distance between two nodes, h is the antenna height and P is the power. A
successful transmission between receiver and transmitter can take place by satisfying the
following necessary conditions:
P
i,t
P
j,t
P
w
(i, j) (56)
and
P
i,t
k/g
(t,r)
(57)
where g
(t,r)
is the ratio of attenuation gains between transmitter P
i,t
and receiver P
i,r
, P
w
is the
cross coefcient of i and j.
In a similar type of protocol the delivery of packets is based on a delivery curve function,
which shows a relationship between successfully delivered packet and total transmitted
packets (Zhang et al., 2005b). This is also an adaptive power control protocol assuming the
successive correlations between the transmission powers of four way hand shake frame for
improvement of system throughput and energy saving. It helps the protocol to choose the
best working prole and packet correlations are considered in protocol operation. In this
protocol transmission power of RTS and CTS are considered same while those of DATA and
ACK are similar. The main goal of this protocol is to nd minimum powers P
RTS
and P
DATA
for successive communication.
4.7 Neighbor detection power control technique
According to this protocol a node initially increases its transmission power until it detects
some neighbors around it and again adjusts its power according to the node degree
(Abasgholi et al., 2008). After this step, any increase in transmission power decreases the
number of one hop neighbors. The umber of neighbors increases with the decrease in
transmission power which ultimately enhance the network throughput. The transmission
power is varied between a minimum and a maximum value. The change in power can be
calculated as
P
t
= P
c
5 log(d
t
/d
c
) (58)
where P
t
and P
c
are the targeted and current transmission powers. d
t
and d
c
are targeted and
current node degrees which can be calculate as d
c
= D..r
2
c
and d
t
= D..r
2
t
4.8 Decoupled adaptive power control technique
The objective of these class of protocols is to strictly prohibit the hidden terminals creation
(Ho & Liew, 2006). The two protocols named as Decoupled Adaptive Power Control (DAPC)
and Progressive Uniformly Scaled Power Control (PUSPC), focus on the hidden terminal
avoidance and minimizing mutual interference for enhancing overall network capacity. In the
rst DAPC protocol each node continuously monitors its surrounding, adjust their powers
in a disturbed manner through various iterations by collecting information from neighboring
nodes and create hindrance to new hidden terminals and interfering links. The second PUSPC
protocol overcomes the deciencies in DAPC. This protocol deals with two sets named as
power control set and nished set. In the beginning of operations all nodes lie in the power
control set with same power and they start reducing power through each iteration and after
some time few nodes shift to nished set with different powers.
4.9 Autonomous power control technique
This protocol allows nodes to send DATA/ACK packets with power level calculated by
keeping in view the distance between transmitter and receiver and RTS/CTS packets with
an adjustable power (Chen et al., 2006). This protocol is based on autonomous power control
MAC protocol (APCMP). A dynamic network structure is proposed where the main goal
of protocol is to reduce energy consumption and improve network efciency. The protocol
describes the initial adjustment of a power level for DATA/ACK messages transmission
depending upon the average distance between a transmitter and its neighbors at that time.
The power level for RTS/CTS messages is adjusted in proportionality to the above adjusted
power for DATA/ACK messages. Usually transmission power level for RTS/CTS is taken a
little grater than transmission power for DATA/ACK. The distance between a transmitter and
receiver can be estimated as
d = k
RTS/CTS
p
rec
(59)
where k is the coefcient, p
RTS/CTS
is the transmitting power level for the RTS/CTS packet,
p
rec
is the received signal power level, and is a constant which depends on the antenna
gain, system loss, and wavelength. The average estimated distance from transmitter to n
neighboring nodes is calculated as
d = 1/n
n
i=1
d
i
(60)
where d
i
is the estimated distance from the transmitter to the i
th
neighbor. The transmission
power level for DATA/ACK can be calculated as
p
DATA/ACK
=

d
k
Rx
thresh
(61)
where Rx
thresh
is the minimum necessary received signal strength. The transmission power
level for RTS/CTS can be calculated as
p
RTS/CTS
= p
DATA/ACK
(62)
Where is a proportionality parameter such that >1.
4.10 Load sensitive power control technique
In these family of protocols, the power is optimized by keeping in view the load, number
of stations and grid area of the network (Park & Sivakumar, 2002). The algorithm denies the
concept that throughput can always be maximized with minimum transmission power. We
present two of these types of transmission control protocols, namely - the Common Power
Control (CPC) and Independent Power Control (IPC).
In CPC all nodes prefer to use the same transmission power while in IPC the nodes are
independent to use different transmission powers. The operation of CPC and IPC is initially
based on the continuous monitoring of contention time (CT). Each node in the network
maintains two threshold values for CT, upper threshold and lower threshold by observing
its CT values continuously. A node increase its transmission power if its measured CT lies
above the upper bound and decrease its transmission power if its measured CT lies below
the lower bound, while it maintains transmission power if its measured CT lies between two
bounds. In all cases the main purpose of protocol is to maximize throughput per low energy
consumption.
5. Power control for CDMA networks
The ad hoc networks which employ CDMA technology benet the most from power control.
While the use of transmission power control in these types of networks benet in saving
overall consumption for the entire network, the power control algorithms substantially
increase the throughput of CDMA networks. In the presence of uncontrolled interference, the
performance of CDMA networks degrades considerably. The peer to peer nature of ad hoc
networks prohibits the nodes to achieve perfect power control, therefore, CDMA networks
with all their benets fail to performwell. In this section we discuss power control algorithms
used in CDMA based ad hoc networks.
5.1 Single busy tone power control technique
This protocol utilizes three channels named as Data Channel (DCH), Control Channel (CCH),
and a Busy Tone (BT) separated by use of frequency (Zhou et al., 2005). This protocol, known
as single busy Tone CDMA (SBTCDMA), is based on the combined action of RTS/CTS hand
shake, single busy tone, and power control utilization. This protocol achieves better channel
gain at the cost of less energy consumption after successful solution of hidden node problem.
All RTS/CTS packets are transmitted through CCH with common code for all nodes and
DATA packets are transmitted in DCH with separate code for each node.
In this protocol initially each node maintains network allocation vector (NAV) and a CTS table.
The neighbors of a transmitter update their NAV regularly. Initially if CCH is idle for a short
period, a node i check its NAV and nding it zero starts operation by a sending an RTS packet
to another node j. After receiving RTS successfully the receiver j waits for a short period and
then sends the CTS packet to transmitter.
After sending RTS, it immediately turn on busy tone signal and wait for DATA packet. The
data packet will be sent by node i after successful completion of RTS/CTS packets exchange
using DCH and in the mean time it also updates its NAV also. All other neighbors of node i
except j remain silent by updating their NAV only and save power.
5.2 Dual reservation power control technique
The dual reservation power control technique a CDMA based multi channel MAC protocol
which utilizes three common code channels (Min et al., 2007). The system conguration
consists of a broadcast channel and data channel which considerably improves the network
throughput and reduces near far interference. The main features of the protocol are described
as,
i. Code synchronization is done through RTS/CTS handshake by using common code
channel.
ii. Dual reservation scheme is presented through ACK piggybacking using data channel.
iii. Near-Far interference is reduced dynamically.
iv. Broadcast messages are supported with busy tone.
According to the protocol each node in the network maintains three lists regularly, available
code list (ACL), occupied code list (OCL) and forbidden code list (FCL). Initially a node j
transmit RTS message along with ACL on common code channel with P
max
to node j. Upon
receiving RTS the node i, after comparing node its ACL, and calculating P
min
sends a CTS
message on common code channel including selected data channel and P
min
. Then node i
sends data on P
min
and after receiving data successfully the receiving node sends an ACK
message on data channel otherwise a piggybacking ACK is used. When a node is busy
in transmission it broadcast a message as a busy tone on channel by just switching on its
transceiver. This process decreases the collision probability and data is transmitted with less
power.
A similar protocol (Muqattash & Krunz, 2003), also based on CDMA, efciently solves the
near-far effect problem and allow simultaneous transmission in the vicinity of receiver. This
Protocol operates at two frequency channels namely Data and Control channels. Available
bandwidth, split into two frequency bands, is for simultaneous transmission to take place.
All the nodes on control channel use the common code while all nodes on data channel
use different codes. The RTS/CTS hand shake takes place through control channel and
all interfering nodes are allowed to transmit concurrently. In addition, the transmitter and
receiver must agree on spreading code and transmission power. The minimum required
transmit power can be given as
P
CDMA
=

max
P
thermal
d
n
k
(63)
where P
thermal
is the thermal noise power,
max
is maximum planned noise rise, and
is the
ratio needed to achieve the target bit error rate at that receiver. The minimum transmission
power at which the data is transmitted and decoded correctly, is given as
P
min
=

(P
thermal
+ P
MAI
)
G
(64)
where G is the channel gain.
5.3 Power control technique using channel access method
In this algorithm a distributed power control algorithm along with channel access protocol
for CDMA based ad hoc networks to maintain the quality of service is used (Sun et al., 2003).
Dynamic range of power for all terminals is considered as the ratio of maximum transmission
power and minimum transmission power. The i
th
links transmission power in a distributed
power control algorithm proposed with adaptive protection margin can be calculated as
P
i
(k +1) =

i
SIR
i
(k)
P
i
(k) = [
i
(
j=i
G
ij
P
j
(k) +
i
)/G
ii
] (65)
Where protection factor , that provides a protection margin for active links, should be greater
than one as >1. This increases overall network performance.
5.4 Joint distributed power control and routing protocol
In joint distributed power control and routing protocol, a joint distributed power control
and routing protocol for CDMA based ad hoc networks keeping in view the quality
of service aspect obtained under low energy and acceptable BER constraints is used
(Comaniciu & Poor, 2003). All retransmission are statistically independent of one another and
a packet transmission froma node wait for the successful reception fromprevious transmitter.
Probability of correct packet reception depends on SIR, described as
P() = (1 BER)
M
(66)
where M is the packet length. A link can operate on minimum power if received SIR is equal
to the optimal SIR
, that can be achieved by the solution of following equation
d

P
c
()
d

P
c
() = 0 (67)
As minimum SIR =
, this gives for a link (i, j) the value of P

i
as
min
r(i, j)
h
ij
P
i
1
L
N
k=i,k=j
h
(k,j)
P
k
+
2
=
(68)
The solution is possible by using iterative power control algorithm as
P
i
(n +1) = T(P(n)) (69)
If SIR <
, then the systemconsume more energy as many retransmission occur and if SIR >
, then the energy is consumed to overcome the surplus gain. Therefore, a better quality of
service the necessary condition achieved by power control is given as
SIR
(i,j)

, (i, j) (70)
where (i, j) = 1, 2, .....N. All new entries will follow the above necessary condition for active
transmission and the power vectors converge to minimum power solution. The algorithm
operation stops if further decrease in transmission power is not possible.
6. Joint power control, routing, and clustering
In joint power control, routing, and clustering, the algorithmis implemented at network layer.
The routes are carefully chosen such that the impact of interference or power consumption
is minimum. The information at the network layer is accessed from the physical layer
parameters, thus making it a cross layer system. Information exchange between layers
contribute in making routing decisions.
We present some protocols used for power control with joint power control and routing or
joint power control and clustering techniques.
6.1 Dynamic forwarding nodes
We can jointly address the transmission power assignment problem by using the concept
of power control, routing and clustering. In this protocol we propose a mechanism which
is based on careful selection of dynamic forwarding nodes for the enhancement of system
throughput while keeping the energy consumption low (Yener & Kishore, 2004). A node i
with an intended receiver j update its transmission power with the knowledge of received
SIR and channel gain as
P
i
(n +1) =

h
ij
(
j
(n)
P
i
(n)h
ij
N
) (71)
where
j
is the received interference, and
is the target SIR. Now two clusters of nodes are

considered say C
1
has at least L +2 nodes and C
2
having at least one node. If a node in C
1
,
say A wants to communicate with a node in C
2
say X and in the mean time a node B in C
1
also wants to communicate with another node D in the same cluster C
1
, then there are two
possibilities. In the rst option node A transmit to node X directly and transmission between
other two nodes of C
1
can also take place while in the second option the node A transmit to X
by using L 1 hops in C
1
to another node E in C
1
and then E will transmit to X. During the
transmission of nodes E and X the transmission between B and D nodes can also take place.
Here node E is considered as forwarding node. The necessary transmission powers levels for
node A and node B in the rst option are calculated as
P
AX
=
N
2
(d
4
AX
(K 1) + d
4
BD
)
K 2
(72)
P
BD
=
N
2
(d
4
BD
(K 1) + d
4
AX
)
K 2
(73)
where d
AX
is the distance between node A and X, d
BD
is the distance between node B and D,
and K = N/
+1.
The total transmission power for rst option is therefore calculated as
P
1
= P
AX
+ P
BD
=
N
2
K 2
(d
4
AX
+ d
4
BD
) (74)
Similarly the total power for second option is calculated as
P
2
=
N
2
K 2
(d
4
EX
+ d
4
BD
+
K 2
K 1

i=E
1
,E
2
,....E
L1
d
4
i,i+1
) (75)
6.2 Power control by clustering in CDMA ad hoc networks
While clustering in ad hoc networks has many benets, this approach can signicantly
improve power consumption and performance (Hasan et al., 2003). A clustered system for ad
hoc networks based on combination of a broadcast channel CSMAand two CDMAuplink and
downlink channels using the joint concept of successive interference cancellation (SIC), user
ordering, and open loop power control can improve network throughput. CSMAalso helps in
the cluster management, routing and mobility control. All nodes in the network communicate
through cluster heads using above described three channels. The received power P
r
at the
cluster head can be written as
P
r
=
2
10
/10

P
P
t
(76)
where

P is the constant revived power at a distance of one meter, is the shadowing factor,
is the path loss exponent, and is the fading amplitude.
The system describes two types of communications, intra cluster and inter cluster. In rst
type, all communication is done through cluster heads which are usually one hop or two hops
away from its member nodes and maintain three tables namely routing table, membership
table and a forwarding table. The communications from nodes to cluster head take place by
RTS/CTS/ACK handshake on CSMA channel.
In the second type of communication the nodes transmit packets to their respective cluster
head and then it is responsible for successful transmission to nearby cluster head using
gateway nodes. Ultimately the packet reached the cluster head of the destination node.
6.3 Common power control technique
In this protocol a distributed, asynchronous and adaptive method named as COMPOW is
based on the concept, that all homogeneously dispersed nodes in the network use a common
necessary power level (Narayanaswamy et al., 2000). It is important to note that link between
transmitter and receiver should be bidirectional. As all receivers, even using common power
level may not have common SI NR, so the transmission powers of all nodes should be kept
small so that nodes can have nearly equal SI NR value and also create less interference to
others. Moreover it is also proved by the proposed protocol, that power per route can be
saved and MAC contention is minimized on using low power levels at all nodes. A routing
table is maintained for each power level by sending and receiving HELLO messages at that
power level. The number of entries in the table for a power level describe the number of
nodes that can access the specic power level in minimum hops. The minimum power level
whose routing table has the same number of entries as the routing table with maximumpower
level, is known as optimum power level. The routing table of this optimum power level is
considered as master routing table. This protocol can easily be implemented with OSI model.
6.4 Joint power control and clustering techniques
According to this protocol the node clusters are made on the basis of transmit power level
without taking into consideration their physical location (Kawadia & Kumar, 2003). The joint
problem of power control and clustering can be effectively used for a non homogeneously
build network. There are three protocols namely CLUSTERPOW for network capacity
enhancement, tunneled CLUSTERPOW for optimization achievement, and implementation
of MINPOW for optimal routing.
A high transmit power level is required for communication between two separate clusters but
intra cluster communication can be done at low transmission power level with multiple hops.
Along with source node the CLUSTERPOWprotocol is implemented at each node fromsource
to destination route. The dynamic routing daemons are proposed for each power level which
maintains their own routing table by communicating with their daemons of same power level
on other nodes by sending HELLO messages at specic power level. The choice of next hop
depends upon the minimum necessary power routing table. This protocol provides loop free
routes for minimum power assignment.
The second protocol, tunneled CLUSTERPOW is an advance form of CLUSTERPOW
protocol which is responsible for the successful transmission of packets to its destination
by transmitting packet at small power level hop by hop instead of direct transmission to
destination. In this protocol a dynamic tunneling mechanism is required for each packet
delivery, which makes it more complicated than CLUSTERPOW protocol.
These protocols play an important role in network capacity maximization. To minimize power
consumption during communication MINPOW protocol based on the concept of link cost is
proposed and implemented at network layer by sending HELLO packets with each power
level. The HELLOpackets with maximumpower level have routing information while others,
considered as beacons, have knowledge of total consumed power, packet transmission power
and sequence number of the HELLO packets. Transmission power level can be calculated by
knowing receiver power level and distance between receiver and transmitter. Total consumed
power can be calculated as
P
total
= P
rec
+ P
trans
(p) (77)
where p is the transmission power level of a beacon packet. Link cost is calculated as
Link Cost = min
beacons
(P
total
) + P
rec
(78)
6.5 Joint power control and routing in ad hoc networks
Power can be controlled in ad hoc networks by choosing optimal routes. The choice of existing
routes depends on a complicated cost metric. This cost metric takes in to account the minimum
energy requirements of a particular route, while the routing protocol manages the power
consumption for the entire network. The existing routing protocols may be classied as,
uniform, non uniform, proactive, reactive, hybrid, source, and non source routing protocols
(Kadu & Chaudhari, 2002).
6.6 Minimum average transmission power routing technique
In minimumaverage transmission power routing technique, a power control routing protocol
named as minimum average transmission power routing (MATPR) is used (Cai et al., 2002).
This protocol is used for CDMA based ad hoc networks using the concept of blind multi-user
detection to achieve the task of minimum power consumption. It is applicable to both real
time services and data services. Multi-user interference, appropriate coding scheme and
acknowledgment scheme is jointly considered for the protocol design.
In normal data service, if a node say B receives a packet with errors fromanother node say A, it
will transmit the same packet with error to A and then A will retransmit the packet to B. Now
upon successful reception of error free packet B will send a correct received message to A to
inform other party. This explains that packet transmission latency from source to destination
does not matter in normal data service. The average power for successful transmission of
packet can be calculated as P
av
=
P
i
(1P
e
)
. In real time service it has great importance as BER
is very low. Thus the error correction takes place through error correcting codes rather than
retransmission process. MATPR protocol acts as proactive, where as the blind detector is
installed at receiving node.
6.7 Power aware routing optimization technique
Power aware routing optimization techniques are implemented at network layer. The Power
Aware Routing Protocol (PARO) uses the same principle of power aware routing optimization
(Gomez et al., 2003). This protocol minimizes transmission power in ad hoc networks and is
based on the concept of node to node power conservation using intermediate nodes usually
called as redirectors. The redirectors play their role in transmission even if the source and
destination pairs are in direct transmission range. The increasing number of redirectors
between source and destination lowers the transmission power of packets. According to the
PARO a node keeps its transmitter on for L/C seconds during transmission where L and C
are length of frame and speed of channel respectively. PARO is efcient in both static and
dynamic environments. This protocol is based on three main operations namely overhearing,
redirecting, and route maintenance.
7. Conclusion
In this chapter we presented the power control techniques used in ad hoc networks.
Traditionally, the power control has been implemented and used effectively in cellular
networks. While the use of transmission power control in infrastructure based networks has
proven to work well and improve performance, the application of power control techniques to
ad hoc networks has many challenges and implementation complexities. We presented power
control algorithms which are applicable to ad hoc networks. The power control is of great
signicance in ad hoc networks because of their organizational structure and lack of central
management. It is seen that with the implementation of efcient power control techniques, ad
hoc networks can improve their vital parameters, such as power consumption, interference
distribution, throughput, routing, connectivity, clustering, backbone management, and
organization.
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MOBILE ADHOC

Cycle i-1 Cycle i Cycle i+1

d is the distance from the sender, R is the

y are the means for x-

as the number of transmitting vehicles. The number of LOS rays results in r = Cv

+4v) + gr), whereas

. We dene three parts of the optimal route p, and illustrate it

, before the disjoint part: e.g., road (1,2,3),

, before the event: e.g., road (4,5,6),

is generated and signed to identify any

by checking the public witnesses that

. If the verification is successful the shuffled share values are

from a coalition of k nodes. One-hop neighbours are identified as more

[Luo &Lu, 2000]. In a similar manner, messages are signed

symmetric keys [William, 1999]. Therefore, this solution is not

. To avoid the impersonation attack which is common to mobile ad

over the main communication channel to realize authentication.

is decrypted at node i using K

is then verified by checking that h(S

with close to 1 (1)

Fig. 6. Block diagram for an MPR-based topology selection algorithm. E

(x) extracts from N(x) those neighbors

contains those edges (links) of E

(x) = {n N(x)|m(x, n) = dist

(x) : m(n, m) + m(m, x) = dist

s), equation (3) becomes

s), equation (4) becomes

Ecole Polytechnique, Paris (France).

is the total number of requiredvideo descriptions for all

n) bit meter/s, (8)

1/n) bitmeter/s, and goes to zero

n) bit-meter/s. Now, we can also show that a transport capacity of

) bit meter/s. (10)

n), despite the fact that nodes are optimally located.

n, leading to a constant throughput per node as

n due to the trafc increase

n), instead of (1). Therefore, a scaling law for

. Each subsystemcan nowbe expressedas a second-order linear

, that can be achieved by the solution of following equation

, this gives for a link (i, j) the value of P

is the target SIR. Now two clusters of nodes are

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