6 Hfxulw/1 HFHVVLW/DQGLWV, PSDFWRQ 6 Pduw&Lwlhv :luhohvv 6 Hqvru 1 Hwzrunv
6 Hfxulw/1 HFHVVLW/DQGLWV, PSDFWRQ 6 Pduw&Lwlhv :luhohvv 6 Hqvru 1 Hwzrunv
6 Hfxulw/1 HFHVVLW/DQGLWV, PSDFWRQ 6 Pduw&Lwlhv :luhohvv 6 Hqvru 1 Hwzrunv
:LUHOHVV6HQVRU1HWZRUNV
.$QWRQRSRXORV&K3HWURSRXORV&K3$QWRQRSRXORV169RURV
&RPSXWHU ,QIRUPDWLFV(QJLQHHULQJ'HSW7(,RI:HVWHUQ*UHHFH$QWLULR*UHHFH
&RUUHVSRQGLQJDXWKRUHPDLOFDQWRQRSRXORV#WHLZHVWJU
Abstract- 'XULQJ WKH ODVW IHZ \HDUV FULWLFDO DGYDQFHPHQWV LQ 7KH XVHIXOQHVV RI D 6PDUW &LW\ QHWZRUN LV TXLWH
:LUHOHVV 6HQVRU 1HWZRUNV :61V KDYH KLJKOLJKWHG UHVSHFWLYH PXOWLIDFHWHG UDQJLQJ IURP WUDIILF FRQWURO SROOXWLRQ
SODWIRUPV DV D SURPLQHQW WHFKQRORJ\ DEOH WR WDFNOH YDULRXV PRQLWRULQJ YHKLFOH PRQLWRULQJ DQG ZDUQLQJ WR PRQLWRULQJ
FKDOOHQJHVSRVHGE\6PDUW&LW\DSSOLFDWLRQVFHQDULRV7KURXJK LQGLYLGXDOVIRUPHGLFDO RUDQG VDIHW\ UHDVRQV5HJDUGOHVV RI
WKHLU FRPPXQLFDWLRQ SDUDGLJP DQG SODWIRUP YHUVDWLOLW\ :61V WKH DFWXDO QHWZRUN DSSOLFDWLRQ VFHQDULR SUREDEO\ DOO FDVHV
DUH DEOH WR PHHW LQFUHDVLQJO\ GHPDQGLQJ FRPPXQLFDWLRQ LQYROYH WKH DFTXLVLWLRQ SURFHVVLQJ VWRUDJH DQG WUDQVIHUULQJ
UHTXLUHPHQWV +RZHYHU D FULWLFDO DUHD WKDW KDV QRW EHHQ RISHUVRQDODQGVHQVLWLYHLQIRUPDWLRQ
DGHTXDWHO\WDNHQLQWRFRQVLGHUDWLRQFRQFHUQVVHFXULW\SURYLVLRQ
QHFHVVLW\ LQ FRQMXQFWLRQ WR LWV LPSDFW RQ UHDO :61 SODWIRUP )URP DQ HQJLQHHULQJ SRLQW RI YLHZ :LUHOHVV 6HQVRU
FRPPXQLFDWLRQ HIILFLHQF\ $FWXDO GHSOR\PHQW RI :61V LQ WKH 1HWZRUNV DUH LQFUHDVLQJO\ FRQVLGHUHG DV D PDWXUH DQG
FRQWH[W RI 6PDUW&LWLHV
VFHQDULRV LPSOLHV WKH KDQGOLQJ RI UHOLDEOH WHFKQRORJLFDO VROXWLRQ DV IDU DV WKH LQFUHDVLQJ
SHUVRQDO DQG VHQVLWLYH LQIRUPDWLRQ &RQVHTXHQWO\ VSHFLILF FRPPXQLFDWLRQGHPDQGVRIVPDUWFLW\SODWIRUPGHSOR\PHQWV
SUDFWLFHV PXVW EH GHILQHG LQ DOLJQPHQW ZLWK XS WR GDWH DUH FRQFHUQHG 7KH FRPPXQLFDWLRQ FKDUDFWHULVWLFV RI :61V
UHJXODWLRQV DQG OHJLVODWLRQ $W WKH VDPH WLPH RIIHULQJ WKH RQ RQH KDQG DQG WKH DGYDQFHPHQW SHUWDLQLQJ WR V\VWHP
UHTXLUHGVHFXULW\OHYHOLPSOLHVWKHXVHRIGHPDQGLQJWHFKQLTXHV LPSOHPHQWDWLRQRQWKHRWKHUVHHPWRRIIHUH[DFWO\ZKDWWKH
DQG DOJRULWKPV ZKLFK PXVW SRVH DFFHSWDEOH SHUIRUPDQFH 6PDUW &LW\ FRQFHSW QHHGV LQ RUGHU WR DFKLHYH ZLGH VSUHDG
EXUGHQ RQ WKH SODWIRUP WKXV QHJDWLYHO\ DIIHFWLQJ WKH RYHUDOO
DQG DFFHSWDQFH LQ DOO DVSHFWV RI HYHU\GD\ OLIH 7KH IRUPHU
FRPPXQLFDWLRQHIILFLHQF\
SHUWDLQV WR WKH FKDUDFWHULVWLFV RI :61 IDFLOLWDWLQJ HDV\
,Q WKLV SDSHU D WZRIROG FRQWULEXWLRQ LV PDGH DLPLQJ WR GHSOR\PHQW UDSLG QHWZRUN VHWXS PRELOLW\ VXSSRUW
HQKDQFH LQGHSWK XQGHUVWDQGLQJ RQ WKH WZR DIRUHPHQWLRQHG UREXVWQHVV WR QHWZRUN WRSRORJ\ FKDQJHV PXOWLKRS
DVSHFWV RI VHFXULW\ SURYLVLRQ 7KHUHIRUH RQ RQH KDQG D FRPPXQLFDWLRQ HIILFLHQW URXWLQJ DOJRULWKPV XWLOL]DWLRQ
FRPSUHKHQVLYH VWXG\ LV SUHVHQWHG UHJDUGLQJ VRIW LVVXHV RI H[WUHPHO\ ORZ SRZHU FRPPXQLFDWLRQ DQG PDQ\ PRUH >@
VHFXULW\ SURYLVLRQ IRFXVLQJ RQ SUDFWLFHV WKDW D UHDO :61 PXVW )XUWKHUPRUH DGYDQFHPHQWV LQ ORZ SRZHU \HW HIILFLHQW
IROORZ VR DV WR FRPSO\ ZLWK UHVSHFWLYH UHJXODWLRQV DQG FRPPXQLFDWLRQ SURWRFROV DOVR FRPSULVH D FULWLFDO DUHD
OHJLVODWLRQV 2Q WKH RWKHU KDQG D FRPSUHKHQVLYH V\VWHP OHYHO VLJQLILFDQWO\ HQKDQFLQJ WKH FRPSHWLWLYHQHVV RI :61V
HYDOXDWLRQ LV XQGHUWDNHQ DQG SUHVHQWHG HPSKDVL]LQJ RQ WKH QRZDGD\V 7KH ODWWHU FRQFHUQV LPSUHVVLYH DGYDQFHPHQWV LQ
HIIHFWRIVWDWHRIWKHDUWVHFXULW\DOJRULWKPVXWLOL]DWLRQXSRQWKH HPEHGGHG GHYLFH PLQLDWXUL]DWLRQ 9/6, GHVLJQV DQG GHVLJQ
EHKDYLRU DQG SHUIRUPDQFH RI D SURPLQHQW UHDO :61 RI H[WUHPHO\ ORZ SRZHU FRQVXPSWLRQ FRPSRQHQWV DQG
HQYLURQPHQW 7KLV HYDOXDWLRQ LV EDVHG RQ H[SHULPHQWDWLRQV VHQVRUV 7KXV HQDEOLQJ WKH LQWHJUDWLRQ RI D FRPSOHWH DQG
XVLQJDSURPLQHQW:61SODWIRUPHQDEOLQJDOJRULWKPVRIIHULQJ IXOO\ IXQFWLRQDO :61 VHQVRU QRGH LQ WKH FRQWH[W RI YHU\
KLJK OHYHO VHFXULW\ IHDWXUHV ZKLOH YDU\LQJ D ZLGH UDQJH RI VPDOOGHYLFHDEOHWREHSOXJJHGLQWRYLUWXDODQ\HQYLURQPHQW
FULWLFDOQHWZRUNSDUDPHWHUV RUHYHQEHZRUQE\SHRSOH>@
:LWKRXWD GRXEW ERWK DVSHFWV RIIHU VLJQLILFDQW FRQFOXVLRQV DQG +RZHYHU ZKHQ D QHWZRUN LV WR EH GHSOR\HG LQ D UHDO
LQVLJKW WKDW RQJRLQJ DQG IXWXUH :61 GHSOR\PHQWV PXVW WDNH VFHQDULR DGGLWLRQDO DQG HTXDOO\ LPSRUWDQW QRQWHFKQLFDO
LQWR FRQVLGHUDWLRQ ZKHQ DLPLQJ WR EH XVHG LQ UHDO 6PDUW &LW\ DVSHFWV FRPH LQWR SOD\ VXFK DV DGHTXDWH VHFXULW\ SURYLVLRQ
GHSOR\PHQWV ,62,(& 3ULYDF\ IUDPHZRUN GHILQHV DV 3HUVRQDOO\
,GHQWLILDEOH ,QIRUPDWLRQ 3,, $Q\ LQIRUPDWLRQ WKDW
Keyword: Wireless Sensor Networks, Performance Evaluation, LGHQWLILHV RU FDQ EH XVHG WR LGHQWLI\ FRQWDFW RU ORFDWH WKH
Encryption Algorithms, Security, Privacy and Authentication SHUVRQ WR ZKRP VXFK LQIRUPDWLRQ SHUWDLQV IURP ZKLFK
, ,1752'8&7,21 LGHQWLILFDWLRQRUFRQWDFWLQIRUPDWLRQRIDQLQGLYLGXDOSHUVRQ
FDQ EH GHULYHG RU WKDW LV RU PLJKW EH OLQNHG WR D QDWXUDO
6PDUW &LW\ FRQFHSW KDV DWWUDFWHG D ORW RI DWWHQWLRQ RYHU SHUVRQ GLUHFWO\ RU LQGLUHFWO\ >@ 6XFK 3,, JDWKHUHG VWRUHG
WKHODVW\HDUVFRPSULVLQJDQDSSURDFKDEOHWRHQKDQFHTXDOLW\ DQGWUDQVIHUUHGDUHJRYHUQHGE\VWULFWHWKLFDODQGOHJLVODWLYH
RI OLIH DQG VHFXULW\ IRU D ZLGH UDQJH RI XVHUV IURP YDULRXV UHJXODWLRQV &RPSOHWH HQGWRHQG VHFXULW\ VXSSRUW LQ WKH
DVSHFWV>@7KHWHUP6PDUW&LW\LVRIWHQXVHGWRGHVFULEHD FRQWH[WRIDFRPSOH[6PDUW&LW\QHWZRUNVJRHVEH\RQGSXUH
GLVWULEXWHG QHWZRUN FRPSULVHG E\ D KLJK QXPEHU RI WHFKQLFDO FRXQWHUPHDVXUHV KDUGZDUH DQG WHFKQLTXHV
LQGHSHQGHQWVHQVRUVDQGDFWXDWRUVFRQWLQXRXVO\PRQLWRULQJD (VSHFLDOO\ VLQFH KLJKO\ VHQVLWLYH 3HUVRQDOO\ ,GHQWLILDEOH
ZLGHUDQJHRIVLJQDOVSURFHVVLQJUHVSHFWLYHGDWDUHDFWLQJWR ,QIRUPDWLRQ3,,ZLOOEHFUHDWHGDFFHVVHVVWRUHGSURFHVVHG
VSHFLILFHYHQWVDQGRIIHULQJIHHGEDFNWRWKHDXWKRUL]HGXVHUV DQG WUDQVIHUUHG LW LV RI SDUDPRXQW LPSRUWDQFH WR GHILQH
DFFXUDWH DQG FRPSUHKHQVLYH GDWD PDQDJHPHQW SURFHVVHV
>@ 'DWD SULYDF\ LQYROYHV WKH ULJKW RI DQ\ LQGLYLGXDO WR
H[SHFW WKDW 3,, FROOHFWHG DERXW WKHP ZLOO EH SURFHVVHG SURYLVLRQ VHUYLFHV DQG REMHFWLYHV DV ZHOO DV WKH PDLQ
VHFXUHO\ DQG ZLOO QRW EH GLVFORVHG WR XQDXWKRUL]HG FKDUDFWHULVWLFVRIDOJRULWKPVXSRQZKLFKVHFXULW\SURYLVLRQLV
LQGLYLGXDOVHQWLWLHVRUSURFHVVHV EDVHG 7KHQ LQ 6HFWLRQ ,,, D GHWDLOHG GDWD PDQDJHPHQW
SURFHVVHV DQG JXLGHOLQHV RI SUDFWLFH DUH LGHQWLILHG DQG
$OO LQIRUPDWLRQ KHOG DQG SURFHVVHG E\ 6PDUW &LW\ SUHVHQWHG ZLWK UHVSHFW WR WKH REMHFWLYHV RI 6PDUW &LW\
QHWZRUNVDUHVXEMHFWWRWKUHDWVRIDWWDFNHUURUQDWXUH VFHQDULRV 7KHQ LQ 6HFWLRQ ,9 FRQILJXUDWLRQ FRQFHUQLQJ
HWF DQG DUH VXEMHFW WR YXOQHUDELOLWLHV LQKHUHQW LQ WKHLU XVH H[SHULPHQWDO HYDOXDWLRQ RI WKH HIIHFW RI VWDWHRIWKHDUW
6HFXULW\ VXSSRUW E\ 6PDUW &LW\ QHWZRUNV SHUWDLQV WR GDWD VHFXULW\ DOJRULWKPV RQ QHWZRUN SHUIRUPDQFH LV SUHVHQWHG
SULYDF\ SULYDF\ FRQWUROV ZLWK UHJDUG WR WKH SURFHVVLQJ RI ZKLOHLQ6HFWLRQ9WKHPDLQUHVXOWVRIVXFKDQHYDOXDWLRQDUH
3,,GDWDLQWHJULW\SURSHUW\WKDWGDWDKDVQRWEHHQDOWHUHGRU DQDO\]HG )LQDOO\ LQ 6HFWLRQ 9, WKH PDLQ FRQFOXVLRQV DQG
GHVWUR\HG LQ DQ XQDXWKRUL]HG PDQQHU DQG DXWKHQWLFDWLRQ SRWHQWLDOH[WHQVLRQVRIWKLVHIIRUWDUHGLVFXVVHG
SURWRFROVGHILQHGVHTXHQFHRIPHVVDJHVEHWZHHQDFODLPDQW
DQG D YHULILHU WKDW HQDEOHV WKH YHULILHU WR FRUURERUDWH WKH ,, %$&.*5281',1)250$7,21
FODLPDQW
VLGHQWLW\
,QIRUPDWLRQLVRQHRI6PDUW&LW\
VPRVWLPSRUWDQWDVVHWV
7KH SURYLVLRQ RI DOO UHTXLUHG IHDWXUHV LV EDVHG XSRQ WKH 3URWHFWLRQRILQIRUPDWLRQDVVHWVLVQHFHVVDU\WRHVWDEOLVKDQG
H[HFXWLRQ RI SURPLQHQW GDWD HQFU\SWLRQ DQG XVHU PDLQWDLQ WUXVW EHWZHHQ XVHUV PDLQWDLQ FRPSOLDQFH ZLWK WKH
DXWKHQWLFDWLRQ DOJRULWKPV ZKLFK FDQ SRVH D VLJQLILFDQW ODZDQGSURWHFWWKHUHSXWDWLRQRIDUHDOGHSOR\PHQW$6PDUW
EXUGHQ WR :61 QRGH UHVRXUFH DYDLODELOLW\ 7KLV EXUGHQ LQ &LW\
V QHWZRUN UHSXWDWLRQ DQG LQWHJULW\ FDQ EH DGYHUVHO\
FRQMXQFWLRQ ZLWK WKH H[WUHPHO\ OLPLWHG DYDLODEOH UHVRXUFHV DIIHFWHG LI LQIRUPDWLRQ EHFRPHV NQRZQ WR XQDXWKRUL]HG
RIIHUHG E\ W\SLFDO VWDWHRIWKHDUW :61 SODWIRUPV KLJKOLJKW SDUWLHV LV DOWHUHG RU LV QRW DYDLODEOH ZKHQ LW LV QHHGHG
VHFXULW\ SURYLVLRQ VWXG\ DV DQ LVVXH RI SDUDPRXQW ,QIRUPDWLRQ VHFXULW\ LV WKH SURFHVV ZLWK ZKLFK DQ
LPSRUWDQFH,QGLFDWLYHDUHDVZKHUHH[WUHPHO\ORZUHVRXUFHV RUJDQL]DWLRQ SURWHFWV DQG VHFXUHV LWV V\VWHPV PHGLD DQG
DUH DYDLODEOH LQFOXGH ORZ SURFHVVLQJ FDSDELOLWLHV EDVHG RQ IDFLOLWLHV WKDW SURFHVV DQG PDLQWDLQV LQIRUPDWLRQ YLWDO WR LWV
ORZIUHTXHQF\%LW&08VOLPLWHGDYDLODEOHPHPRU\LQWKH RSHUDWLRQV
DUHD RI .E\WH 5$0 DQG VFDUFH DYDLODEOH HQHUJ\ PRVW
SURPLQHQW :61 SODWIRUPV EDVH WKHLU RSHUDWLRQ RQ IHZ $$ 2Q D EURDG VFDOH 6PDUW &LW\ QHWZRUNV KDYH D SULPDU\
EDWWHULHV RU HYHQ VPDOOHU FDSDFLW\ EDWWHULHV $W WKH VDPH UROHLQSURWHFWLQJXVHUV
SHUVRQDOLQIRUPDWLRQXSRQFROOHFWHG
WLPH :61 QRGHV DUH H[SHFWHG WR RSHUDWH XQDWWHQGHG IURP DQG SURFHVVHG 7KH *XLGHOLQHV RI 3UDFWLFH DV SUHVHQWHG LQ
PDQ\ GD\V WR PRQWKV IRU FRPPXQLFDWLRQ LQWHQVLYH IROORZLQJ VHFWLRQV SURYLGH JXLGDQFH WR :61 6PDUW &LW\
V
DSSOLFDWLRQV RU HYHQ \HDUV IRU UHOD[HG FRPPXQLFDWLRQ PHPEHUV GXULQJ DUFKLWHFWXUH LPSOHPHQWDWLRQ DQG VHUYLFH
DSSOLFDWLRQVFHQDULRV>@ GHOLYHU\ WR DVVHVV WKH OHYHO RI VHFXULW\ ULVNV ,QIRUPDWLRQ
VHFXULW\HQDEOHVD6PDUW&LW\QHWZRUNWRPHHWLWVREMHFWLYHV
$V LW LV HDVLO\ XQGHUVWRRG SRVLQJ DGGLWLRQDO ZRUNORDG E\ LPSOHPHQWLQJ PXOWLPRGDO GDWD FROOHFWLRQ ZLWK GXH
WKURXJK WKH H[HFXWLRQ RI FRPSXWDWLRQDOO\ GHPDQGLQJ FRQVLGHUDWLRQ RI LQIRUPDWLRQ WHFKQRORJ\ ,7 FDSDFLW\ DQG
HQFU\SWLRQ DOJRULWKPV LV D FULWLFDO WUDGHRII )URP D FRQVWUDLQWV 7KLV JRDO LV DFKLHYHG E\ VWULYLQJ WR DFFRPSOLVK
FRPPXQLFDWLRQ SRLQW RI YLHZ :61V RIIHU YHU\ OLPLWHG WKH IROORZLQJ VHFXULW\ UHODWHG REMHFWLYHV LQFOXGLQJ
DYDLODEOH EDQGZLGWK 6XFK FKDUDFWHULVWLF FRQWUDGLFWV WR DYDLODELOLW\ LQWHJULW\ RI GDWD RU V\VWHPV FRQILGHQWLDOLW\ RI
DGGLWLRQDO LQIRUPDWLRQ W\SLFDOO\ DGGHG WR HDFK SDFNHW GDWDRUV\VWHPVDFFRXQWDELOLW\DQGDVVXUDQFH
HQDEOLQJ DXWKHQWLFDWLRQ VHUYLFHV HJ WKRXJK D SDFNHW
FKHFNVXP +RZHYHU GHVSLWH WKH FULWLFDO WUDGHRII EHWZHHQ $OO WKH DERYH VHUYLFHV DUH EDVHG RQ WKH H[HFXWLRQ RI
WKH QHFHVVLW\ RI KLJK OHYHO VHFXULW\ SURYLVLRQ DQG FRPSXWDWLRQDOO\LQWHQVLYHHQFU\SWLRQDOVRNQRZQDVFLSKHU
SHUIRUPDQFH SRWHQWLDO EXUGHQ D JDS LV LGHQWLILHG LQ DOJRULWKPVDOWHULQJGDWDXVXDOO\UHIHUUHGWRDVplain-textLQ
UHVSHFWLYH OLWHUDWXUH FRQFHUQLQJ D FRPSUHKHQVLYH VWXG\ RQ VXFK D ZD\ WKDW RQO\ WKH LQWHQGHG XVHUV FDQ UHWULHYH WKH
RQH KDQG YDOLGDWLQJ WKH UHDVRQV ZK\ VXFK D SURYLVLRQ LV RULJLQDO LQIRUPDWLRQ IURP WKH RXWSXW RI WKH DOJRULWKPV
PDQGDWRU\ DQG RQ WKH RWKHU UHDOLVWLFDOO\ HYDOXDWH WKH HIIHFW XVXDOO\ UHIHUUHG WR DV cipher-text ,Q D QHWZRUN WKH IRUPHU
RQ VWDWHRIWKHDUW SODWIRUPV
SHUIRUPDQFH RI UHVSHFWLYH SURFHVV HQFU\SWLRQLVXVXDOO\SHUIRUPHG E\ WKH WUDQVPLWWHU
SURYLVLRQ,QWKDWUHVSHFWPRVWUHODWLYHHIIRUWVIRFXVVROHO\RQ RI GDWD ZKLOH WKH ODWWHU GHFU\SWLRQ E\ WKH UHFHLYHU
WKH DOJRULWKP LPSOHPHQWDWLRQ LWVHOI HLWKHU VRIWZDUH RU &RQVLGHULQJ D VSHFLILF DOJRULWKP ERWK SURFHVVHV GHSHQG RQ
KDUGZDUH EDVHG 7KLV DSSURDFK KRZHYHU LV UDWKHU P\RSLF XWLOL]LQJDVSHFLILFVHTXHQFHRIGDWDGHQRWHGDVNH\8SRQ
VLQFHWKHPRVWFULWLFDODVSHFWLVRYHUVHHQZKLFKLVWKHHIIHFW WKLVNH\WKHILUVWPDLQFDWHJRUL]DWLRQRIDOJRULWKPVLVEDVHG
RI WKDW IXQFWLRQDOLW\ RQ GULYLQJ VHUYLFHV ZKLFK DUH WKH 2QRQHKDQG public key encryption DOJRULWKPV DUHEDVHGRQ
FRPPXQLFDWLRQVHUYLFHV>@ WKHDVVXPSWLRQWKDWWKHWZRNH\VDUHQRWWKHVDPH ZKLOHRQ
WKHRWKHUKDQGWKHprivate key encryption DOJRULWKPV DVVXPH
$LPLQJ WR DGGUHVV WKLV JDS WKLV SDSHU RIIHUV D WZRIROG WKH VDPH NH\ IRU ERWK SURFHVVHV >@ )RFXVLQJ RQ :61
FRQWULEXWLRQ &RQVHTXHQWO\ D FRPSUHKHQVLYH VWXG\ QHWZRUNV DQG OLPLWHG UHVRXUFH EDVHG SODWIRUPV LW LV
FRQFHUQLQJ VRIW VHFXULW\ LV SURYLGHG UHIHUHQFLQJ UHVSHFWLYH FRPPRQO\DFFHSWHGWKDWSULYDWHNH\DOJRULWKPVFRPSULVHWKH
UHJXODWLRQV DQG OHJLVODWLRQ ,Q DGGLWLRQ JXLGH RI SUDFWLFH D PRVW DGHTXDWH VHOHFWLRQ WDNLQJ LQWR FRQVLGHUDWLRQ WKH
6PDUW &LW\ :61 QHWZRUN PXVW FRPSO\ ZLWK VR DV WR EH FRPSXWDWLRQDORYHUKHDGYVVHFXULW\OHYHOSURYLGHG>@7KH
DFWXDOO\ XVDEOH LV DOVR SUHVHQWHG )XUWKHUPRUH KDUGZDUH GDWDWUDQVPLWWHUWUDQVPLWVWKHHQFU\SWHGPHVVDJHSXEOLFO\WR
EDVHGVHFXULW\ PHFKDQLVPVDUH HQDEOHG XVLQJ D VWDWHRIWKH WKHUHFHLYHU ZKLFK PD\UHFRYHUWKH SODLQWH[W DJDLQ WKURXJK
DUW:61SODWIRUPDQGWKHHIIHFWRQQHWZRUNSHUIRUPDQFHLV WKH XVH RI WKH VDPH VHFUHW NH\ SUHYLRXVO\ DJUHHG EHWZHHQ
SUHVHQWHG DQG DQDO\]HG ZLWK UHVSHFW WR FULWLFDO QHWZRUN VHQGHUDQGUHFHLYHU
SDUDPHWHU
$VHFRQGFULWLFDODOJRULWKP
FDWHJRUL]DWLRQFRQFHUQVEORFN
7KH UHVW RI WKH SDSHU LV VWUXFWXUH DV IROORZV 6HFWLRQ ,, FLSKHUVDQGVWUHDPFLSKHUV%ORFNFLSKHUVRSHUDWHRQDIL[HG
RIIHUVLPSRUWDQWEDFNJURXQGLQIRUPDWLRQFRQFHUQLQJVHFXULW\ WUDQVIRUPDWLRQ RQ ODUJH EORFNV RI SODLQ WH[W GDWD ZKLOH
VWUHDPFLSKHUVRSHUDWHZLWKDWLPHYDU\LQJWUDQVIRUPDWLRQRQ UHJXODWLRQ7KHGLUHFWLYHZDVZULWWHQEHIRUHWKHEUHDNWKURXJK
LQGLYLGXDOSODLQWH[WGLJLWV>@ ,QWKDWUHVSHFW%ORFNEDVHG RIWKH,QWHUQHWDQGWRGDWHWKHUHLVOLWWOHMXULVSUXGHQFHRQWKLV
FLSKHUDOJRULWKPVKDYHDWWUDFWHGPRVWRIWKHLQWHUHVWRYHUWKH VXEMHFW
ODVW \HDUV IRU :61 QHWZRUNV $QRWKHU FULWLFDO SDUDPHWHU
FRQFHUQV WKH VL]H RI NH\ XWLOL]HG GUDVWLFDOO\ DIIHFWLQJ WKH $QRWKHU UHOHYDQW (8 GLUHFWLYH LV >@ RQ 3ULYDF\ DQG
VHFXULW\OHYHOSURYLGHGDQGUHTXLUHG%ORFNVRIELWVVL]H (OHFWURQLF &RPPXQLFDWLRQV RWKHUZLVH NQRZQ DV (3ULYDF\
NH\VZLWKVL]HIURPWRELWVVL]HDQGQXPEHURI 'LUHFWLYH ,W SUHVHQWV D FRQWLQXDWLRQ RI HDUOLHU HIIRUWV PRVW
URXQGV KDYH EHHQ FRPPRQO\ XVHG LQ PRVW :61 EDVHG GLUHFWO\ WKH 'DWD 3URWHFWLRQ 'LUHFWLYH ,W GHDOV ZLWK WKH
VROXWLRQV UHJXODWLRQ RI D QXPEHU RI LPSRUWDQW LVVXHV VXFK DV
FRQILGHQWLDOLW\RILQIRUPDWLRQWUHDWPHQWRIWUDIILFGDWDVSDP
)LQDOO\ DQG SUREDEO\ WKH PRVW FULWLFDO IDFWRU LQIOXHQFLQJ DQGFRRNLHV
ERWK FRPSXWDWLRQ DQG FRPPXQLFDWLRQDO SHUIRUPDQFH RI D
:61 SODWIRUP LV ZKHWKHU WKH DOJRULWKP LPSOHPHQWDWLRQ LV 7KHILUVWJHQHUDOREOLJDWLRQLQWKH'LUHFWLYHLVWRSURYLGH
KDUGZDUHRUVRIWZDUHEDVHG:LWKRXWDGRXEWDQGWDNLQJLQWR VHFXULW\ RI VHUYLFHV 7KH DGGUHVVHHV DUH SURYLGHUV RI
FRQVLGHUDWLRQ WKH ORZ SURFHVVLQJ FKDUDFWHULVWLFV RI W\SLFDO HOHFWURQLF FRPPXQLFDWLRQV VHUYLFHV 7KLV REOLJDWLRQ DOVR
LQFOXGHVWKHGXW\WRLQIRUPWKHVXEVFULEHUVZKHQHYHUWKHUHLV
:61 0LFUR &RQWUROOHU 8QLWV KDUGZDUH LPSOHPHQWDWLRQ
DSDUWLFXODUULVNVXFKDVDYLUXVRURWKHUPDOZDUHDWWDFN
FOHDUO\RXWSHUIRUPDQ\UHVSHFWLYHVRIWZDUHEDVHGFRPSRQHQW
>@)XUWKHUPRUHVRIWZDUHLPSOHPHQWDWLRQSRVHH[FHVVLYHO\ 7KHVHFRQGJHQHUDOREOLJDWLRQLVIRUWKHFRQILGHQWLDOLW\RI
KLJK EXUGHQ WR WKH QHWZRUN >@ $V LW ZLOO EH GHSLFWHG LQ LQIRUPDWLRQ WR EH PDLQWDLQHG 7KH DGGUHVVHHV DUH 0HPEHU
IROORZLQJVHFWLRQWKHDERYHFDWHJRUL]DWLRQSURFHVVFRPSULVHG 6WDWHV ZKR VKRXOG SURKLELW OLVWHQLQJ WDSSLQJ VWRUDJH RU
D FULWLFDO SDUW RI WKH ZRUN SUHVHQWHG LQ WKLV SDSHU VLQFH LW RWKHUNLQGVRILQWHUFHSWLRQRUVXUYHLOODQFHRIFRPPXQLFDWLRQ
HIIHFWLYHO\ GURYH WKH FRQILJXUDWLRQ RI WKH H[SHULPHQWDO DQG ³UHODWHG WUDIILF´ XQOHVV WKH XVHUV KDYH JLYHQ WKHLU
HYDOXDWLRQ FRQVHQWRUFRQGLWLRQVRI$UWLFOHKDYHEHHQIXOILOOHG
,,, 6(&85,7<'$7$0$1$*(0(17352&(66(6 $FULWLFDODVSHFWH[WUDFWHGIURPVXFKUHJXODWLRQVFRQFHUQ
WKHGDWDUHWHQWLRQDQGDQRQ\PL]DWLRQFKDUDFWHULVWLFVSURFHVV
,Q WKLV VHFWLRQ WKH VHFXULW\ UHTXLUHPHQWV DUH DQDO\]HG
E\ZKLFK3,,LVLUUHYHUVLEO\UHPRYHGRUDOWHUHGLQVXFKDZD\
IURPDQLQGHSWKLQYHVWLJDWLRQRQVSHFLILFUHJXODWLRQVSRVHG
WKDW D 3,, SULQFLSDO FDQ QR ORQJHU EH LGHQWLILHG GLUHFWO\ RU
E\ LQIOXHQWLDO ERGLHV VXFK DV WKH (& RQ KRZ D 6PDUW &LW\
LQGLUHFWO\ QHLWKHU E\ WKH 3,, FRQWUROOHU DORQH QRU LQ
QHWZRUN PXVW EH GHVLJQHG VR DV WR EH OHJDOO\ FRPSOLDQW
FROODERUDWLRQZLWKDQ\RWKHUSDUW\WKDWPXVWEHRIIHUHGIURP
)XUWKHUPRUH VSHFLILF GDWD PDQDJHPHQW SURFHVVHV DQG
WKH QHWZRUN HJ D 6PDUW &LW\ FRPPXQLFDWLRQ
SUDFWLFHV UHODWHG WR 6PDUW &LWLHV QHWZRUNV DUH LGHQWLILHG
LQIUDVWUXFWXUH 6SHFLILFDOO\ WKH GLUHFWLYH REOLJHV WKH
EDVHGRQ JXLGHOLQHV HQIRUFHG E\LQIOXHQWLDORUJDQL]DWLRQVLQ
SURYLGHUV RI VHUYLFHV WR HUDVH RU DQRQ\PL]H WKH WUDIILF GDWD
WKHDUHDRIVHFXULW\GDWDKDQGOLQJ
SURFHVVHGZKHQQRORQJHUQHHGHGXQOHVVWKHFRQGLWLRQVIURP
7KH 'DWD 3URWHFWLRQ 'LUHFWLYH >@ LV D (XURSHDQ 8QLRQ $UWLFOH KDYH EHHQ IXOILOOHG 5HWHQWLRQ LV DOORZHG IRU
GLUHFWLYHFRPSULVLQJDQLPSRUWDQWFRPSRQHQWRI(8SULYDF\ ELOOLQJSXUSRVHVEXWRQO\DVORQJDVWKHVWDWXWHRIOLPLWDWLRQV
DQG KXPDQ ULJKWV ODZ 3HUVRQDO GDWD DUH GHILQHG DV DQ\ DOORZV WKH SD\PHQW WR EH ODZIXOO\ SXUVXHG 'DWD PD\ EH
LQIRUPDWLRQ UHODWLQJ WR DQ LGHQWLILHG RU LGHQWLILDEOH QDWXUDO UHWDLQHGXSRQDXVHU¶VFRQVHQWIRUPDUNHWLQJDQGYDOXHDGGHG
SHUVRQGDWDVXEMHFWDQLGHQWLILDEOHSHUVRQLVRQHZKRFDQ VHUYLFHV )RU ERWK SUHYLRXV XVHV WKH GDWD VXEMHFW PXVW EH
EHLGHQWLILHGGLUHFWO\RULQGLUHFWO\LQSDUWLFXODUE\UHIHUHQFH LQIRUPHGZK\DQGIRUKRZORQJWKHGDWDLVEHLQJSURFHVVHG
WRDQLGHQWLILFDWLRQQXPEHURUWRRQHRUPRUHIDFWRUVVSHFLILF :KHUHGDWDUHODWLQJWRORFDWLRQRIXVHUVRURWKHUWUDIILFFDQEH
WR KLV SK\VLFDOSK\VLRORJLFDO PHQWDOHFRQRPLF FXOWXUDO RU SURFHVVHG$UWLFOHLQGLFDWHVWKDWWKLVZLOORQO\EHSHUPLWWHG
VRFLDOLGHQWLW\DUWD7KLVGHILQLWLRQLVPHDQWWREHYHU\ LIVXFKGDWDLVDQRQ\PL]HGZKHUHXVHUVKDYHJLYHQFRQVHQW
EURDG'DWDDUHSHUVRQDOGDWDZKHQVRPHRQHLVDEOHWROLQN RUIRUSURYLVLRQRIYDOXHDGGHGVHUYLFHV/LNHLQWKHSUHYLRXV
WKH LQIRUPDWLRQ WR D SHUVRQ HYHQ LI WKH SHUVRQ KROGLQJ WKH FDVHXVHUVPXVWEHLQIRUPHGEHIRUHKDQGRIWKHFKDUDFWHURI
GDWD FDQQRW PDNH WKLV OLQN 6RPH H[DPSOHV RI SHUVRQDO LQIRUPDWLRQFROOHFWHGDQGKDYHWKHRSWLRQWRRSWRXW
GDWD DUH DGGUHVV FUHGLW FDUG QXPEHU EDQN VWDWHPHQWV
:LWK UHVSHFW WR 6PDUW &LW\ DSSOLFDWLRQ LQ UHODWLRQ WR
FULPLQDOUHFRUGHWF
PHGLFDO UHODWHG VFHQDULRV >@ RI WKH (XURSHDQ 3DUOLDPHQW
7KH QRWLRQ SURFHVVLQJ PHDQV DQ\ RSHUDWLRQ RU VHW RI DQGRIWKH&RXQFLORI0DUFKUHIHUVWRWKHDSSOLFDWLRQ
RSHUDWLRQV ZKLFK LV SHUIRUPHG XSRQ SHUVRQDO GDWD ZKHWKHU RI SDWLHQWV¶ ULJKWV LQ FURVVERUGHU KHDOWKFDUH 7KURXJK VXFK
RU QRW E\ DXWRPDWLF PHDQV VXFK DV FROOHFWLRQ UHFRUGLQJ GLUHFWLYHV+HDOWKH[SHUWVDFURVV(XURSHZLOOEHEHWWHUDEOHWR
RUJDQL]DWLRQ VWRUDJH DGDSWDWLRQ RU DOWHUDWLRQ UHWULHYDO VKDUHEHVWSUDFWLFHVRQKHDOWKFDUHDQGHVWDEOLVKDQGPDLQWDLQ
FRQVXOWDWLRQ XVH GLVFORVXUH E\ WUDQVPLVVLRQ GLVVHPLQDWLRQ VWDQGDUGVRIH[FHOOHQFH$GHTXDWHPHDVXUHVDQGVSHFLILFGDWD
RU RWKHUZLVH PDNLQJ DYDLODEOH DOLJQPHQW RU FRPELQDWLRQ PDQDJHPHQWSURFHVVHVDQGSUDFWLFHVDUHFRQVROLGDWHGLQWKH
EORFNLQJHUDVXUHRUGHVWUXFWLRQDUWE7KHUHVSRQVLELOLW\ IROORZLQJ SDUDJUDSKV WDNLQJ LQWR FRQVLGHUDWLRQ YDULRXV
IRU FRPSOLDQFH UHVWV RQ WKH VKRXOGHUV RI WKH FRQWUROOHU VRXUFHVLQFOXGLQJEXWQRWOLPLWHGWR>@
PHDQLQJ WKH QDWXUDO RU DUWLILFLDO SHUVRQ SXEOLF DXWKRULW\
DJHQF\RUDQ\RWKHUERG\ZKLFKDORQHRUMRLQWO\ZLWKRWKHUV x $FFHVV&RQWURO
GHWHUPLQHV WKH SXUSRVHV DQG PHDQV RI WKH SURFHVVLQJ RI 7KH JRDO RI DFFHVV FRQWURO LV WR DOORZ DFFHVV E\
SHUVRQDOGDWDDUWG DXWKRUL]HGLQGLYLGXDOVDQGGHYLFHVDQGWRGLVDOORZDFFHVVWR
7KH GDWD SURWHFWLRQ UXOHV DUH DSSOLFDEOH QRW RQO\ ZKHQ DOORWKHUV$FFHVVVKRXOGEHDXWKRUL]HGDQGSURYLGHGRQO\WR
WKHFRQWUROOHULVHVWDEOLVKHGZLWKLQWKH(8EXWZKHQHYHUWKH LQGLYLGXDOVZKRVHLGHQWLW\LVHVWDEOLVKHGDQGWKHLUDFWLYLWLHV
FRQWUROOHUXVHVHTXLSPHQWVLWXDWHGZLWKLQWKH(8LQRUGHUWR VKRXOG EH OLPLWHG WR WKH PLQLPXP UHTXLUHG IRU SURMHFW
SURFHVV GDWD DUW &RQWUROOHUV IURP RXWVLGH WKH (8 SXUSRVHV $Q HIIHFWLYH FRQWURO PHFKDQLVP LQFOXGHV
SURFHVVLQJGDWDLQWKH(8ZLOOKDYHWRIROORZGDWDSURWHFWLRQ
QXPHURXV FRQWUROV WR VDIHJXDUG DQG OLPLWV DFFHVV WR NH\ DFFHVV 2QH H[DPSOH LV D WRNHQ WKDW JHQHUDWHV G\QDPLF
LQIRUPDWLRQV\VWHPDVVHWVDWDOOOD\HUVLQWKHQHWZRUNVWDFN SDVVZRUGVDIWHUDVHWQXPEHURIVHFRQGV:KHQSURPSWHGIRU
D SDVVZRUG WKH XVHU HQWHUV WKH SDVVZRUG JHQHUDWHG E\ WKH
x $FFHVV5LJKWV$GPLQLVWUDWLRQ WRNHQ 7KH WRNHQ¶V SDVVZRUGJHQHUDWLQJ V\VWHP LV LGHQWLFDO
(DFK V\VWHP UHVRXUFH V\VWHP GHYLFHV SURJUDPV DQG GDWD DQGV\QFKURQL]HGWRWKDWLQWKHV\VWHPDOORZLQJWKHV\VWHP
PD\ QHHG WR EH DFFHVVHG E\ LQGLYLGXDOV XVHUV LQ RUGHU IRU WR UHFRJQL]H WKH SDVVZRUG DV YDOLG 7KH VWUHQJWK RI WKLV
ZRUNWREHSHUIRUPHG$FFHVVEH\RQGWKHPLQLPXPUHTXLUHG V\VWHPRIDXWKHQWLFDWLRQUHVWVLQWKHIUHTXHQWFKDQJLQJRIWKH
IRUZRUNWREHSHUIRUPHGH[SRVHVWKHSURMHFW¶VV\VWHPVDQG SDVVZRUG DQG WKH LQDELOLW\ RI DQ DWWDFNHU WR JXHVV WKH VHHG
LQIRUPDWLRQ WR D ORVV RI FRQILGHQWLDOLW\ LQWHJULW\ DQG DQGSDVVZRUGDWDQ\SRLQWLQWLPH
DYDLODELOLW\ $FFRUGLQJO\ WKH JRDO RI DFFHVV ULJKWV $QRWKHU H[DPSOH RI D WRNHQ V\VWHP XVHV D
DGPLQLVWUDWLRQ LV WR LGHQWLI\ DQG UHVWULFW DFFHVV WR DQ\ FKDOOHQJHUHVSRQVH PHFKDQLVP ,Q WKLV FDVH WKH XVHU
SDUWLFXODUV\VWHPUHVRXUFHWRWKHPLQLPXPUHTXLUHGIRUZRUN LGHQWLILHVKLPKHUVHOIWRWKHV\VWHPDQGWKHV\VWHPUHWXUQVD
WREHSHUIRUPHG FRGHWRHQWHULQWRWKHSDVVZRUGJHQHUDWLQJWRNHQ
)RUPDODFFHVVULJKWVDGPLQLVWUDWLRQIRUXVHUVFRQVLVWVRIIRXU x 3XEOLF.H\,QIUDVWUXFWXUH
SURFHVVHV
3XEOLFNH\LQIUDVWUXFWXUH3.,LISURSHUO\LPSOHPHQWHGDQG
$QHQUROOPHQWSURFHVVWRDGGQHZXVHUVWRWKHV\VWHP PDLQWDLQHGFDQSURYLGHDVWURQJPHDQVRIDXWKHQWLFDWLRQ%\
$Q DXWKRUL]DWLRQ SURFHVV WR DGG GHOHWH RU PRGLI\ FRPELQLQJ D YDULHW\ RI KDUGZDUH FRPSRQHQWV V\VWHP
DXWKRUL]HG XVHU DFFHVV WR RSHUDWLQJ V\VWHPV DSSOLFDWLRQV VRIWZDUHSROLFLHVSUDFWLFHVDQGVWDQGDUGV3.,FDQSURYLGH
GLUHFWRULHVILOHVDQGVSHFLILFW\SHVRILQIRUPDWLRQ IRU DXWKHQWLFDWLRQ GDWD LQWHJULW\ GHIHQVHV DJDLQVW FXVWRPHU
UHSXGLDWLRQ DQG FRQILGHQWLDOLW\ 7KH V\VWHP LV EDVHG RQ
$Q DXWKHQWLFDWLRQ SURFHVV WR LGHQWLI\ WKH XVHU GXULQJ SXEOLFNH\FU\SWRJUDSK\LQZKLFKHDFKXVHUKDVDNH\SDLU²
VXEVHTXHQWDFWLYLWLHVDQG D XQLTXH HOHFWURQLF YDOXH FDOOHG D SXEOLF NH\ DQG D
$ PRQLWRULQJ SURFHVV WR RYHUVHH DQG PDQDJH WKH DFFHVV PDWKHPDWLFDOO\ UHODWHG SULYDWH NH\ 7KH SXEOLF NH\ LV PDGH
ULJKWVJUDQWHGWRHDFKXVHURQWKHV\VWHP DYDLODEOHWRWKRVHZKRQHHGWRYHULI\WKHXVHU¶VLGHQWLW\
x $XWKHQWLFDWLRQ x 'HYLFH$XWKHQWLFDWLRQ
$XWKHQWLFDWLRQ LV WKH YHULILFDWLRQ RI LGHQWLW\ E\ D V\VWHP 'HYLFH DXWKHQWLFDWLRQ W\SLFDOO\ WDNHV SODFH HLWKHU DV D
EDVHG RQ WKH SUHVHQWDWLRQ RI XQLTXH FUHGHQWLDOV WR WKDW VXSSOHPHQW WR WKH DXWKHQWLFDWLRQ RI LQGLYLGXDOV RU ZKHQ
V\VWHP $XWKHQWLFDWLRQ FRQWULEXWHV WR WKH FRQILGHQWLDOLW\ RI DVVXUDQFHLVQHHGHGWKDWWKHGHYLFHLVDXWKRUL]HGWREHRQWKH
GDWD DQG WKH DFFRXQWDELOLW\ RI DFWLRQV SHUIRUPHG RQ WKH QHWZRUN 'HYLFHV DUH DXWKHQWLFDWHG WKURXJK HLWKHU VKDUHG
V\VWHPE\YHULI\LQJWKHXQLTXHLGHQWLW\RIWKHV\VWHPXVHU VHFUHWV VXFK DV SUHVKDUHG NH\V RU WKH XVH RI 3.,
$XWKHQWLFDWLRQFDQWDNHSODFHDWWKHQHWZRUNOHYHODQGDERYH
$XWKHQWLFDWLRQ RYHU D 6PDUW &LW\ :61 QHWZRUN SUHVHQWV $W WKH QHWZRUN OHYHO ,3Y KDV WKH EXLOWLQ DELOLW\ WR
XQLTXH FKDOOHQJHV 7KDW FKDQQHO GRHV QRW EHQHILW IURP DXWKHQWLFDWHHDFKGHYLFH
SK\VLFDO VHFXULW\ DQG FRQWUROOHG FRPSXWLQJ DQG
FRPPXQLFDWLRQV GHYLFHV OLNH LQWHUQDO ORFDO DUHD QHWZRUNV ,9 &21),*85$7,212)60$57&,7<:61(1'72
/$1V DQG LV XVHG E\ SHRSOH ZKRVH DFWLRQV FDQQRW EH (1'(9$/8$7,21
FRQWUROOHG ,W VKRXOG EH FRQVLGHUHG WKH XVH RI VLQJOHIDFWRU $VDOUHDG\LQGLFDWHGKDUGZDUHEDVHGVHFXULW\DOJRULWKPV
DXWKHQWLFDWLRQ LQ WKDW HQYLURQPHQW DV WKH RQO\ FRQWURO
FOHDUO\VXUSDVVDQ\VRIWZDUHEDVHGFRXQWHUSDUWLQDOOUHODWLYH
PHFKDQLVP WR EH LQDGHTXDWH IRU KLJKULVN WUDQVDFWLRQV 6PDUW &LW\ SHUIRUPDQFH PHWULFV VXFK DV GHOD\ RYHUKHDG
LQYROYLQJ DFFHVV WR SDWLHQW LQIRUPDWLRQ RU WKH PRYHPHQW RI HQHUJ\FRQVXPSWLRQRYHUKHDGDQGUHVRXUFHUHTXLUHPHQWDVLW
KHDOWKFDUH LQIRUPDWLRQ WR RWKHU SDUWLHV $XWKHQWLFDWLRQ GRHV LV FOHDUO\ GHSLFWHG LQ YDULRXV DOUHDG\ H[LVWLQJ SXEOLFDWLRQV
QRW SURYLGH DVVXUDQFH WKDW WKH LQLWLDO LGHQWLILFDWLRQ RI D >@ &RQVHTXHQWO\ LQ RUGHU WR SUHVHQW DQ REMHFWLYH DQG
V\VWHPXVHULVFRUUHFW UHDOLVWLF HYDOXDWLRQ IRFXVLQJ RQ 6PDUW &LW\ VFHQDULRV
x 6KDUHG6HFUHW6\VWHPV UHVSHFWLYHH[SHULPHQWDWLRQVDUHEDVHGRQWKH$(6>@EDVHG
KDUGZDUH VHFXULW\ IHDWXUHV SURYLGHG E\ WKH && UDGLR
6KDUHGVHFUHWV\VWHPVXQLTXHO\LGHQWLI\WKHXVHUE\PDWFKLQJ FRPSULVLQJ RQH RI WKH PRVW ZLGHO\ XWLOL]HG :61 ,(((
NQRZOHGJHRQWKHV\VWHPWRNQRZOHGJHWKDWRQO\WKHV\VWHP UDGLR FKLSV EHLQJ LQWHJUDWHG LQ D ZLGH YDULHW\ RI
DQGXVHUDUHH[SHFWHGWRVKDUH([DPSOHVDUHSDVVZRUGVSDVV :61 SODWIRUPV (YDOXDWLRQ SUHVHQWHG LQ IROORZLQJ VHFWLRQV
SKUDVHVRUFXUUHQWWUDQVDFWLRQNQRZOHGJH$SDVVZRUGLVRQH LV EDVHG RQ H[SHULPHQWV PDGH XVLQJ WKH 6KLPPHU SODWIRUP
VWULQJ RI FKDUDFWHUV HJ ³W2O#7\PH´ $ SDVV SKUDVH LV >@ EHLQJ D SURPLQHQW SODWIRUP HTXDOO\ DGHTXDWH IRU
W\SLFDOO\ D VWULQJ RI ZRUGV RU FKDUDFWHUV HJ ³0\ FDU LV D UHVHDUFKDVZHOODVFRPPHUFLDODSSOLFDWLRQVLQFOXGLQJ6PDUW
VKHSKHUG´ WKDW WKH V\VWHP PD\ VKRUWHQ WR D VPDOOHU &LW\ GHSOR\PHQWV %DVHG RQ WKH && UDGLR 6KLPPHU
SDVVZRUGE\PHDQVRI DQ DOJRULWKP7KH VWUHQJWKRIVKDUHG SODWIRUPRIIHUVDZLUHOHVVWUDQVPLVVLRQPHGLXPRI.ESV
VHFUHW V\VWHPV LV UHODWHG WR WKH ODFN RI GLVFORVXUH RI DQG XVLQJ DV SRZHU VRXUFH D VPDOO UHFKDUJHDEOH EDWWHU\ RI
DERXWWKHVHFUHWWKHGLIILFXOW\LQJXHVVLQJRUGLVFRYHULQJWKH P$K ,W LV DOVR LPSRUWDQW WR QRWH WKDW 6KLPPHU XVHV
VHFUHWDQGWKHOHQJWKRIWLPHWKDWWKHVHFUHWH[LVWVEHIRUHLWLV 7LQ\26:6126DOORZLQJUHTXLUHGFRQILJXUDWLRQRIDQRGH
FKDQJHG $ VWURQJ VKDUHG VHFUHW V\VWHP RQO\ LQYROYHV WKH
XVHUDQGWKHV\VWHPLQWKHJHQHUDWLRQRIWKHVKDUHGVHFUHW 6SHFLILFDOO\ UHVSHFWLYH ILUPZDUH FRQILJXUDWLRQV DUH
FRQVLGHUHGHQDEOLQJWKHIROORZLQJVHFXULW\IHDWXUHV
x 7RNHQ6\VWHPV
&RXQWHU 0RGH (QFU\SWLRQ &75 &75 PRGH SHUIRUPV
7RNHQ V\VWHPV W\SLFDOO\ DXWKHQWLFDWH WKH WRNHQ DQG DVVXPH HQFU\SWLRQ GHFU\SWLRQ RQ 0$& IUDPHV ZLWKLQ WKH
WKDWWKHXVHUZKRZDVLVVXHGWKHWRNHQLVWKHRQHUHTXHVWLQJ 7;),)25;),)2UHVSHFWLYHO\:KHQHQFU\SWLRQLVLQLWLDWHG
WKH SODLQWH[W LQ WKH 7;),)2 LV HQFU\SWHG 2Q WKH UHFHLYHU WKH XQGHUWDNHQ HYDOXDWLRQ WKURXJK QRGHV
OLIHWLPH
VLGH ZKHQ GHFU\SWLRQ LV LQLWLDWHG WKH HQFU\SWHG GDWD RI WKH PHDVXUHPHQWV
5;),)2DUHGHFU\SWHG
)LQDOO\JLYHQWKDWHDFKQRGHRIWKHQHWZRUNKDVLWVRZQ
&LSKHU %ORFN &KDLQLQJ 0HVVDJH $XWKHQWLFDWLRQ &RGH LQGHSHQGHQW FORFN D WHFKQLTXH HQDEOLQJ QHWZRUN ZLGH
&%&0$&&%&0$&PRGHJHQHUDWHD%\WH0HVVDJH V\QFKURQL]DWLRQLVUHTXLUHG7RDFKLHYHV\QFKURQL]DWLRQZKDW
,QWHJULW\ &RGH 0,& RI WKH PHVVDJH DQG WKHQ JHQHUDWHG LV UHTXLUHG LV WR V\QFKURQL]H DOO QRGHV RI WKH QHWZRUN WR D
0,& LV ZULWWHQ WR WKH 7;),)2 IRU WUDQVPLVVLRQ 2Q WKH VLQJOHFORFNWKDWEHLQJDFORFNRIDVSHFLILFQRGHLQGLFDWHGDV
UHFHLYHUVLGHWKHJHQHUDWHG0,&FRPSDUHGWRWKH0,&LQWKH V\QFKURQL]HU :KHQ HQDEOHG WKH V\QFKURQL]HU VHQGV D
5;),)2 ,I WKH 0,& LQ WKH 5;),)2 LV FRUUHFW ODVW E\WH LV EURDGFDVW PHVVDJH LH WKH V\QFKURQL]DWLRQ SDFNHW WRWKH
UHSODFHG ZLWK [ RU [)) LI WKH 0,& LV LQFRUUHFW 7KH QHWZRUN ZKLFK ZLOO EH UHFHLYHG E\ HDFK QRGH WUDQVPLWWHUV
RWKHU E\WHV LQ WKH 0,& DUH OHIW XQFKDQJHG ,Q WKDW ZD\ ZH DQG UHFHLYHU QRGHV $W WKDW WLPH HDFK QRGH ZLOO VWRUH KLV
FDQDFFRPSOLVKGDWDLQWHJULW\ FXUUHQW FORFN YDOXH FDOOHG synchronization_time
HIIHFWLYHO\ PDNLQJ WKH UHFHLYH WLPH RI WKH V\QFKURQL]DWLRQ
&RXQWHU ZLWK &%&0$& &&0 &&0 PRGH FRPELQHV SDFNHW WKH VWDUW RI WKH H[SHULPHQW 'XULQJ H[SHULPHQWDO
&75PRGHHQFU\SWLRQDQG&%&0$&DXWKHQWLFDWLRQLQRQH SURFHVVHDFKWLPHDPHVVDJHLVVHQWRUUHFHLYHGWKHVHQGLQJ
RSHUDWLRQ 7KH 0,& LV JHQHUDWHG DQG YHULILHG DV WKH &%& RU UHFHLYLQJ WLPH ZLOO EH GHILQHG IURP FXUUHQW QRGH FORFN
0$&PRGHGHVFULEHGDERYH WLPHPLQXVVWRUHGFORFNWLPHsynchronization_time,QWKDW
7KH PDLQ REMHFWLYH RI WKLV ZRUN LV QRW VHFXULW\ ZD\ DOO QHWZRUN QRGHV ZLOO KDYH WKH VDPH FORFN WLPH RQ
DOJRULWKPV
HYDOXDWLRQ LQ LVRODWLRQ DV XVXDOO\ SUHVHQWHG LQ PHVVDJHWUDQVPLVVLRQUHFHSWLRQ,QRUGHUWREHVXUHWKDWWKH
UHODWLYH HIIRUWV EXW HYDOXDWLQJ WKH HIIHFW RI VXFK DOJRULWKPV FULWLFDOV\QFKURQL]DWLRQSDFNHWLVQRWORVWGXHWRFROOLVLRQ
XSRQ WKH HQGWRHQG FRPPXQLFDWLRQ SHUIRUPDQFH DQG RUDQ\RWKHUUHDVRQDOHGLVHQDEOHGZKHQWKLVVSHFLDOSDFNHW
EHKDYLRU &RQVHTXHQWO\ VHYHUDO FRPPXQLFDWLRQ VFHQDULRV LVUHFHLYHG2QO\ZKHQWKHVSHFLILFOHGLVHQDEOHGLQDOOQRGHV
KDYH EHHQ FRQILJXUHG YDU\LQJ FULWLFDO QHWZRUN SDUDPHWHU DV LVWKHH[SHULPHQWFRQVLGHUHGYDOLG
IROORZV
9 (;3(5,0(17$/5(68/76
7UDIILF UDWH LPSRVHG RQ WKH QHWZRUN FRPSULVHV WKH ILUVW
$V DOUHDG\ PHQWLRQHG WKH H[SHULPHQWDO HYDOXDWLRQ
QHWZRUN SDUDPHWHU 7KH FULWLFDOLW\ RI VXFK SDUDPHWHU LV
XQGHUWDNHQ IRFXVHG RQ 6PDUW &LW\ FULWLFDO PHWULFV VXFK DV
LQGLFDWHGE\WKH IDFWWKDW W\SLFDO :61DSSOLFDWLRQ GHPDQGV
GHOD\SDFNHWORVVDQGOLIHWLPHWKXVDUHVSHFWLYHVWUXFWXUHLV
PD\ YDU\ IURP ORZ UDWH ZKHUH IHZ GDWD SDFNHWV DUH
IROORZHG LQ WKLV VHFWLRQ 'HOD\ SHUIRUPDQFH HYDOXDWLRQ LV
WUDQVPLWWHG SHU VHFRQG WR KLJKO\ GHPDQGLQJ FDVHV ZKHUH
EDVHG RQ0HDQ 3DFNHW 'HOD\ RI DOO VXFFHVVIXOO\ WUDQVPLWWHG
KXQGUHGVRISDFNHWVDUHEHLQJWUDQVPLWWHGHDFKVHFRQG
SDFNHWV RXW RI FUHDWHG SDFNHWV SHU QRGH 1HWZRUN
6HFRQGO\ DOO ZLUHOHVV WUDQVPLVVLRQV DQG HYHQ PRUH LQ UHOLDELOLW\LVHYDOXDWHGWKURXJK0HDQ3DFNHW/RVVSHUFHQWDJH
:61VDUHVXVFHSWLEOHWRFRPSHWLQJQRGHVOHDGLQJWRSDFNHW PHDVXUHPHQWV FRQFHUQLQJ ORVW SDFNHWV RXW RI FUHDWHG
FROOLVLRQVDQGHYHQWXDOO\WRFRQJHVWHGQHWZRUNVLWXDWLRQV,Q SDFNHWVSHUQRGH)LQDOO\OLIHWLPHPHDVXUHPHQWVFRQFHUQWKH
WKDWUHVSHFWWKHHYDOXDWLRQRIWKHVFHQDULRVSUHVHQWHGLQWKLV WLPH GXUDWLRQ PHDVXUHG LQ KRXUV UHTXLUHG IRU D IXOO\
SDSHU WDNHV LQWR DFFRXQW QHWZRUN VHWXSV FRPSULVLQJ IURP FKDUJHG 6KLPPHU QRGH FRQWLQXRXVO\ WUDQVPLWWLQJ SDFNHWV
DJJUHJDWLRQ QRGH DQG FOLHQW QRGHV YDU\LQJ IURP XS WR ZLWK D VSHFLILF UDWH WR EH HQHUJ\ GHSOHWHG DQG WKXV
FRQFXUUHQWO\ WUDQVPLWWLQJ :61 QRGHV WR WKH VDPH UHFHLYHU GHDFWLYDWHG
QRGH
,QDOOIROORZLQJILJXUHV[D[LVLQGLFDWHWKHWLPHGXUDWLRQ
7KLUGO\ D FULWLFDO SDUDPHWHU DIIHFWLQJ WKH QHWZRUN EHWZHHQ WZR VXFFHVVLYH SDFNHW FUHDWLRQV ,Q ILJXUH OHJHQGV
SHUIRUPDQFHLVWKHDFWXDOSDFNHWSD\ORDGRIDVLQJOHSDFNHW WKHQXPEHURIWUDQVPLWWLQJQRGHVLVGHQRWHGDVD7[ZKHUH
'LIIHUHQW DSSOLFDWLRQV OHDG WR YDU\LQJ SDFNHW IRUPDWLRQ DQG DVWDQGVIRUWKHQXPEHURIFRQFXUUHQWO\WUDQVPLWWLQJQRGHV
VL]HV ZKLFK LQ FRQMXQFWLRQ ZLWK WKH HUURU SURQH QDWXUH RI )XUWKHUPRUH WKH VL]H RI WKH SDFNHW SD\ORDG LV GHSLFWHG DV
:61QHWZRUNVFDQUHVXOWLQH[FHVVLYHSUREDELOLW\RISDFNHW D%ZKHUHDVWDQGVIRUWKHSD\ORDGVL]HLQE\WHV)LQDOO\
FRUUXSWLRQ VXEVHTXHQW UHWUDQVPLVVLRQ WKXV SHUIRUPDQFH IRXUGLIIHUHQWVHFXULW\FRQILJXUDWLRQVFDQEHIRXQGLQOHJHQGV
GHJUDGDWLRQ 7KHUHIRUH LQ WKH IROORZLQJ H[SHULPHQWV WKUHH DVIROORZV
GLIIHUHQW SDFNHW SD\ORDG VL]HV KDYH EHHQ FRQVLGHUHG
DQG%\WHV x 1R6HF1RVHFXULW\IHDWXUHLVDFWLYDWHG
)RFXVLQJ RQ QHWZRUN SHUIRUPDQFH DQG EHKDYLRU x (QFU 2QO\ GDWD HQFU\SWLRQ LV HQDEOHG XVLQJ WKH
UHVSHFWLYH PHWULFV DUH FRQVLGHUHG ZKHUH WKH RYHUKHDG RI &75PRGH
KLJKOHYHO VHFXULW\ SURYLVLRQ FDQ KDYH D VLJQLILFDQW LPSDFW x $XWK2QO\DXWKHQWLFDWLRQLVHQDEOHGXVLQJWKH&%&
2QRQHKDQGGHOD\SHUIRUPDQFHPXVWEHDIIHFWHGDVOLWWOHDV PRGH
SRVVLEOH VR WKDW WKH QHWZRUN FDQ VWLOO SURYLGH WLPH
FRQVWUDLQHG EHKDYLRU DV LW GRHV ZLWKRXW VHFXULW\ RYHUKHDG x (QFU$XWK%RWKGDWDHQFU\SWLRQDQGDXWKHQWLFDWLRQ
2Q WKH RWKHU KDQG DQ\ DGGLWLRQDO VHFXULW\ FDSDELOLWLHV PXVW DUHDFWLYDWHGXVLQJ&75DQG&%&RSHUDWLRQPRGHV
QRWQHJDWLYHO\DIIHFWWKHFDSDFLW\RIWKHQHWZRUNLQWHUPVRI A. The Effect on Delay Performance
WKHSDFNHWVVXFFHVVIXOO\WUDQVPLWWHGIURPWKHUHFHLYHUWRWKH
WUDQVPLWWHU )LQDOO\ LW LV DQWLFLSDWHG WKDW DQ\ DGGLWLRQDO 'LIIHUHQWVHFXULW\RSWLRQVLQIOXHQFHWKHWLPHLWWDNHVIRUD
IXQFWLRQDOLW\ ZLOO UHTXLUH VRPH DGGLWLRQDO HQHUJ\ +RZHYHU SDFNHW IURP WKH WLPH WKH SD\ORDG LV FUHDWHG XQWLO LW LV
WKH PDLQ FRQFHUQ LV WR PLQLPL]H WKDW SRZHU FRQVXPSWLRQ UHFHLYHG E\ WKH UHFHLYHU DSSOLFDWLRQ LQ GLIIHUHQW ZD\V 2Q
RYHUKHDG DQG WKLV LV ZKHUH KDUGZDUH LPSOHPHQWDWLRQ
V RQHKDQGHQFU\SWLRQDGGVDGHOD\DWHDFKWUDQVPLVVLRQVRWKDW
EHQHILWVDUHPRUHDSSDUHQW5HVSHFWLYHHIIHFWLVPHDVXUHGLQ WKH SD\ORDG LV HQFU\SWHG DQG D UHVSHFWLYH GHOD\ ZKHQ WKH
SD\ORDG LV GHFU\SWHG $XWKHQWLFDWLRQ RQ WKH RWKHU KDQG
UHTXLUHVDWLPHLQWHUYDOIRUWKHDXWKHQWLFDWLRQFKHFNVXPWREH $QDORJRXV FRQFOXVLRQV FDQ EH H[WUDFWHG IURP )LJXUH
FUHDWHG DW WKH WUDQVPLWWHU DQG FKHFNHG DW WKH UHFHLYHU FRQFHUQLQJ %\WH SDFNHW SD\ORDGV $OWKRXJK WKH RYHUDOO
QRGHKRZHYHUDGGLWLRQDOO\LWLQFUHDVHVWKHQXPEHURIE\WHV QHWZRUN GHOD\ SHUIRUPDQFH LV VOLJKWO\ LQFUHDVHG GXH WR WKH
WKDW DUH WR EH WUDQVPLWWHG ZKLFK DOVR LQIOXHQFHV WKH DGGLWLRQDOE\WHVSHUSDFNHWWKHEHKDYLRUSDWWHUQZLWKUHVSHFW
WUDQVPLVVLRQUHTXLUHGLQWHUYDO WR VHFXULW\ RSWLRQV DQG QXPEHU RI FRQFXUUHQW WUDQVPLWWHU
RIIHUV WKH VDPH LQGLFDWLRQV 7KHUHIRUH Encr DOWKRXJK
$V VHHQ LQ )LJXUH VHFXULW\ IHDWXUHV HYHQ WKURXJK H[KLELWLQJDUHODWLYHFORVHGHOD\SHUIRUPDQFHWRNoSec ZKHQ
KDUGZDUH LPSOHPHQWHG LQGHHG UHVXOW LQ LQFUHDVHG QHWZRUN RQO\ RQH QRGH LV WUDQVPLWWLQJ LW LV FRQVLGHUDEO\ DIIHFWHGE\
GHOD\ SHUIRUPDQFH &OHDUO\ NoSec H[KLELWV WKH ORZHU GHOD\ FRPSHWLWLRQ OHDGLQJ WR D VLJQLILFDQW RYHUKHDG ZKHQ IRXU
SHUIRUPDQFH IROORZHG E\ Encr +RZHYHU WKH PRVW FRQFXUUHQWO\ WUDQVPLWWLQJ QRGHV DUH FRQVLGHUHG )LQDOO\
VLJQLILFDQW GHOD\ RYHUKHDG VHHPV WR EH SRVHG E\ Auth DXWKHQWLFDWLRQ VHHPV WR EH WKH PRVW EXUGHQLQJ VHFXULW\
FRQILJXUDWLRQ VLQFH HVSHFLDOO\ IRU DQG WUDQVPLWWLQJ IXQFWLRQDOLW\ VLQFH Auth DQG Encr/Auth H[KLELW WKH KLJKHVW
QRGHVGHOD\LQFUHDVHIRUAuth DQGEncr/Auth RSWLRQVLVPRUH GHOD\ RYHUKHDGV DQG DUH WKH PRVW VHQVLWLYH FRQILJXUDWLRQ
WKDQ PVHF 7KLV LQFUHDVH LV TXLWH VXEVWDQWLDO ZKHQ FDVHVWRFRPSHWLWLRQDQGWUDIILFZRUNORDGLQFUHDVH
FRQVLGHULQJ WKDW NoSec FRQILJXUDWLRQ XS WR PVHF SDFNHW
FUHDWLRQLQWHUYDOH[KLELWVDPHDQGHOD\LQWKHUDQJHRIWR
PVHF
)LJXUH'HOD\RYHUKHDGGXHYDU\LQJVHFXULW\OHYHO
)LJXUH'HOD\SHUIRUPDQFHFRQFHUQLQJ%\WHSDFNHWSD\ORDG DQGLQFUHDVHGSDFNHWSD\ORDG
$QRWKHU LQWHUHVWLQJ REVHUYDWLRQ FRQFHUQV WKH IDFW WKDW
EncrFRQILJXUDWLRQLVWKHRQHPRVWDIIHFWHGE\WKHLQFUHDVHRI $LPLQJ WR HYDOXDWH WKH HIIHFW RI GLIIHUHQW VHFXULW\
FRPSHWLWLRQDVGHSLFWHGE\WKHYDULDWLRQRIWKHEODFNJUDSKV IHDWXUHVZLWKUHVSHFWWRLQFUHDVHGSDFNHWSD\ORDG)LJXUHWKH
DV RSSRVHG WR WKH RWKHU VHFXULW\ RSWLRQV )XUWKHUPRUH Auth SUHVHQWVUHVSHFWLYHGHOD\PHDVXUHPHQWVFRQVLGHULQJDQG
DQGEncr/Auth VHHP WR EH WKH VHFXULW\ RSWLRQ PRVW DIIHFWHG %\WH SD\ORDGV ,W LV QRWHG WKDW Auth LV QRW LQFOXGHG VLQFH LW
E\ FRPSHWLWLRQ LQ FRQMXQFWLRQ ZLWK SDFNHW FUHDWLRQLQWHUYDO RIIHUV LQ DOO FDVHV DOPRVW LGHQWLFDO EHKDYLRU WR Encr/Auth
7KLV LV H[WUDFWHG E\ WKH REVHUYDWLRQ WKDW VLJQLILFDQW GHOD\ %HVLGHV WKH IDFW WKDW RQFH DJDLQ Auth LV GHSLFWHG DV WKH
LQFUHDVHLVH[KLELWHGIRUWKHVHRSWLRQVAuth DQGEncr/Auth) VHFXULW\ FRQILJXUDWLRQ OHDGLQJ WR GHOD\ LQFUHDVH LW LV DOVR
HYHQ DW UHODWLYHO\ UHOD[HG WUDIILF VFHQDULRV HJ IURP VKRZQWKDWXSWRPHGLXPORDGVIURPWRPVHFSDFNHW
PVHFSDFNHWFUHDWLRQLQWHUYDOFRPSDUHGWRIRUH[DPSOH FUHDWLRQWKHHIIHFWRISDFNHWSD\ORDGVL]HLVUHODWLYHO\VWHDG\
Encr ZKHUHGUDVWLFGHOD\LQFUHDVHLVREVHUYHGIRUORZHUWKHQ WRDOOVHFXULW\FDVHV
PVHF SDFNHW FUHDWLRQ LQWHUYDO LH PXFK PRUH VWUHVVHG
VFHQDULRV :KHQ SDFNHW FUHDWLRQ LQWHUYDOV LV UHGXFHG PRUH WKDQ
PVHF IRU Auth/Encr) DQG PRUH WKDQ PVHF IRU Encr
DQG Nosec WKH GHOD\ GHYLDWLRQ LV UHGXFHG DWWULEXWHG WR WKH
IDFWWKDWDWWKRVHFDVHVGHOD\SHUIRUPDQFHLQPRVWO\DIIHFWHG
E\ WKH WUDIILF ZRUNORDGV DQG UHVSHFWLYH FKDQQHO DFFHVV
FRPSHWLWLRQUDWKHUWKDQWKHSDFNHWSD\ORDG
B. The Effect on Packet Loss Performance
,Q )LJXUH WKH HIIHFW RI GLIIHUHQW VHFXULW\ RSWLRQV DQG
GLIIHUHQW FRPSHWLWLRQ OHYHOV IRU WKH ZLUHOHVV PHGLXP ZLWK
UHVSHFW WR UHODWLYHO\ VPDOO SDFNHWV FRQFHUQLQJ WKH SDFNHW
ORVVHVDUHLQGLFDWHG
)LJXUH'HOD\SHUIRUPDQFHFRQFHUQLQJ%\WHSDFNHWSD\ORDG
JUDSKV DUH DOPRVW LGHQWLFDO DQG PRVWO\ DIIHFWHG E\ WKH
LQFUHDVLQJWUDIILFUDWHORZHULQJSDFNHWFUHDWLRQLQWHUYDO
)LQDOO\ )LJXUH GHSLFWV WKH HIIHFW RI LQFUHDVHG SDFNHW
SD\ORDG VL]H WR SDFNHW ORVVHV $V DSSOLHG IRU GHOD\
SHUIRUPDQFHLQRUGHUWRHYDOXDWHVROHO\WKHHIIHFWRIGLIIHUHQW
SDFNHW SD\ORDGV QR FRPSHWLWLRQ LV FUHDWHG VLQFH RQO\ RQH
WUDQVPLWWHU LV FRQVLGHUHG ,Q WKLV ILJXUH LW LV VKRZQ WKDW
HQFU\SWLRQ RSHUDWLRQ HIIHFWLYHO\ KDV QR QHJDWLYH HIIHFW RQ
SDFNHWORVVHV$XWKHQWLFDWLRQKRZHYHUOHDGVWRVRPHSDFNHW
ORVVHV HYHQ LQ YHU\ UHOD[HG FDVHV DQG ZLWKRXW FRPSHWLWLRQ
+RZHYHU LW LV LPSRUWDQW WR HPSKDVL]H WKDW WKHVH ORVVHV DUH
YHU\ IHZ VLQFH WKH\ UHSUHVHQW E\ PD[LPXP D SHUFHQWDJH
FORVHWRRIDOOWKHFUHDWHGDQGWUDQVPLWWHGSDFNHWV
)LJXUH'DWDWUDQVIHUUHOLDELOLW\FRQFHUQLQJ%\WHSDFNHWSD\ORDG
7KHILUVWREVHUYDWLRQFRQFHUQVWKHIDFWWKDWZKHQRQO\RQH
QRGHLVWUDQVPLWWLQJWKHUHLVQRQHJDWLYHHIIHFWRQSDFNHWORVV
GXH WR VHFXULW\ FRQILJXUDWLRQ DFWLYDWLRQ DQG UHVSHFWLYH
PHDVXUHPHQWV DUH ]HUR HYHQ IRU VFHQDULRV RI TXLWH VWUHVVHG
WUDIILF $QRWKHU FULWLFDO LQGLFDWLRQ FRQFHUQV WKH HIIHFW HYHQ
IRU UHOD[HG WUDIILF VFHQDULRV WKDW FRPSHWLWLRQ KDV ZKHQ
HQFU\SWLRQLVHQDEOHG$VGHSLFWHGDFRQVLGHUDEOHSDFNHWORVV
SHUFHQWDJH a LV DSSDUHQW HYHQ IRU PVHF SDFNHW
FUHDWLRQ LQWHUYDO ZKHQ IRXU QRGHV FRPSHWH WR DFFHVV WKH
WUDQVPLVVLRQPHGLXP
7UDIILF UDWH LQ FRQMXQFWLRQ ZLWK FRQFXUUHQW WUDQVPLWWLQJ
QRGHVKRZHYHUDIIHFWVPDLQO\VHFXULW\FRQILJXUDWLRQVZKHUH
DXWKHQWLFDWLRQ LV HQDEOHG $V LQGLFDWHG ZKHQ DVVXPLQJ IRXU
WUDQVPLWWLQJ QRGHV Auth DQG Encr/Auth H[KLELW QHWZRUN
FRQJHVWLRQVLQGLFDWHGE\DEUXSWSDFNHWORVVHVLQFUHDVHIURP )LJXUH'DWDWUDQVIHUUHOLDELOLW\RYHUKHDGGXHYDU\LQJVHFXULW\OHYHO
DQGLQFUHDVHGSDFNHWSD\ORDG
RUHYHQPVHFSDFNHWFUHDWLRQLQWHUYDOZKHUHDVNoSec
DQG Encr FRQILJXUDWLRQV H[KLELW D VWHDG\ EHKDYLRU IRU HYHQ
PRUHVWUHVVHGWUDIILFVFHQDULRV
C. The Effect on Lifetime Capabilities
%HVLGHV WKH HIIHFW RI VHFXULW\ SURYLVLRQ RQ WKH
FRPPXQLFDWLRQ SHUIRUPDQFH HIILFLHQF\ LW LV LPSRUWDQW WR
HYDOXDWH LI DQG ZKDW GHJUHH RIIHULQJ UHVSHFWLYH VHUYLFHV
LQIOXHQFH WKH OLIHWLPH FDSDELOLWLHV RI :61 QHWZRUNV
FRPSULVLQJ D FULWLFDO $FKLOOHV
KLOO VLQFH :61 QRGH
V
RSHUDWLRQGHSHQGVRQVPDOOEDWWHULHV,QRUGHUWRFDSWXUHWKH
VROH HIIHFW RI VHFXULW\ IXQFWLRQDOLWLHV ZLWKRXW WKDW EHLQJ
LQIOXHQFHG E\ QHWZRUN EDVHG IDFWRUV RXU PHDVXUHPHQWV
IRFXVHGRQVFHQDULRVZKHUHWKHUHLVRQO\RQHWUDQVPLWWHUWKXV
DYRLGLQJQHWZRUNLQJHYHQWVXFKDVFROOLVLRQVDQGFRQJHVWLRQ
5HVSHFWLYH PHDVXUHPHQWV DUH GHSLFWHG LQ )LJXUH
FRQFHUQLQJSDFNHWFUHDWLRQLQWHUYDOHTXDOWRPVHF
,W LV QRWHG WKDW UHVSHFWLYH H[SHULPHQWV ZKHUH UHSHDWHG
PXOWLSOH WLPHV VR DV WR H[FOXGH RXWOLQHU FDVHV ZKHUH WKH
WUDQVPLWWHU DSSHDUHG WR EH H[KDXVWHG PXFK VRRQHU WKDQ WKH
PHDVXUHPHQWVLQGLFDWHGWRXQH[SHFWHGUHDVRQVSUREDEO\GXH
)LJXUH'DWDWUDQVIHUUHOLDELOLW\FRQFHUQLQJ%\WHSDFNHWSD\ORDG LQFLGHQWDOKDUGZDUHIDFWRUV
$V GHSLFWHG LQ )LJ DOWKRXJK FRQVLGHULQJ D UHODWLYH
&RQVLGHULQJSDFNHWVZLWKDSD\ORDGODUJHUWKDQ%\WHV VWUHVVHG FRPPXQLFDWLRQ VFHQDULR SDFNHW EHLQJ FUHDWHG
OHDGVDOVRWRLQWHUHVWLQJUHVXOWVEncr FRQILJXUDWLRQDVVXPLQJ HDFK VHFRQG HQDEOLQJ KDUGZDUH VHFXULW\ IHDWXUHV RI WKH
IRXU WUDQVPLWWLQJ QRGHV RQ RQH KDQG OHDGV WR D VLJQLILFDQW SODWIRUP GLG QRW KDYH DQ\ VLJQLILFDQW QHJDWLYH HIIHFW RQ WKH
SDFNHWORVVHYHQIRUTXLWHUHOD[HGFRPPXQLFDWLRQVFHQDULRV OLIHWLPH FDSDELOLW\ RI WKH QRGH ,QGHHG WDNLQJ LQWR
KRZHYHU RQ WKH RWKHU KDQG LW H[KLELWV D PXFK VWHDGLHU FRQVLGHUDWLRQ WKDW RSHUDWLRQ LV EDVHG RQ D VPDOO FDSDFLW\
EHKDYLRUHJFRPSDUHGWRAuth DQGEncr/Auth FDVHVVLQFH EDWWHU\LHP$KDQRGHZDVDEOHWRRSHUDWHIRUDERXW
LW LV QRW DIIHFW E\ LQFUHDVHG WUDIILF UDWH HYHQ DW PVHF KRXUV EHIRUH EHLQJ HQHUJ\ H[KDXVWHG 7KHVH PHDVXUHPHQWV
SDFNHW FUHDWLRQ LQWHUYDO )XUWKHUPRUH WKH QHJDWLYH HIIHFW RI LQGLFDWH WKDW UDGLR FRPPXQLFDWLRQ RSHUDWLRQV LH SDFNHW
DXWKHQWLFDWLRQ FRPSDUHG WR HQFU\SWLRQ IXQFWLRQDOLW\ WR WUDQVPLVVLRQV UHFHSWLRQV DQG LGOH OLVWHQLQJ FRPSULVH WKH
QHWZRUN SHUIRUPDQFH LV YHULILHG VLQFH Auth DQG Encr/Auth GRPLQDQW IDFWRUV IRU EDWWHU\ GHSOHWLRQ ZKHUHDV KDUGZDUH
EDVHG HQFU\SWLRQ DOJRULWKPV KDYH HIIHFWLYHO\ QR QHJDWLYH DFWXDOO\LPSOHPHQWHGLQDOODVSHFWVRIDFRQWHPSRUDU\FLW\
V
HIIHFWRQWKLVDVSHFW HYHU\GD\OLIH
$&.12:/('*(017
7KLV VWXG\ LV IXQGHG E\ WKH (XURSHDQ &RPPLVVLRQ WKURXJK
WKH +RUL]RQ 3URJUDPPH +3+& XQGHU
WKH 5HVHDUFK DQG ,QQRYDWLRQ $FWLRQ ³5$',2 Robots in
assisted living environments: Unobtrusive, efficient, reliable
and modular solutions for independent ageing
5()(5(1&(6
>@ .HKXD 6X HW DO6PDUW FLW\ DQG WKH DSSOLFDWLRQV ,QWHUQDWLRQDO
&RQIHUHQFH RQ (OHFWURQLFV &RPPXQLFDWLRQV DQG &RQWURO ,&(&&
=KHMLDQJ6HSW
>@/L +DR HW DO ³7KH DSSOLFDWLRQ DQG LPSOHPHQWDWLRQ UHVHDUFK RI VPDUW
FLW\ LQ &KLQD´ ,QWHUQDWLRQDO &RQIHUHQFH RQ 6\VWHP 6FLHQFH DQG
(QJLQHHULQJ ,&66( 'DOLDQ /LDRQLQJ -XQH -XO\
)LJXUH/LIHWLPHFDSDELOLWLHVZLWKUHVSHFWWRYDU\LQJVHFXULW\OHYHO
DQGLQFUHDVHGSDFNHWSD\ORDG >@ 6]DER 5 HW DO ³)UDPHZRUN IRU VPDUW FLW\ DSSOLFDWLRQV EDVHG RQ
SDUWLFLSDWRU\ VHQVLQJ´,(((WK,QWHUQDWLRQDO &RQIHUHQFHRQ&RJQLWLYH
,QIRFRPPXQLFDWLRQV&RJ,QIR&RP%XGDSHVW'HF
>@5DJKXQDWKDQ9HWDO³$QHZFRPSXWLQJDQGFRPPXQLFDWLRQSDUDGLJP
9, &21&/86,216 IRUQH[WJHQHUDWLRQZLUHOHVVVHUYLFHVORZSRZHUVHFXUHZLUHOHVVVHQVRU
QHWZRUNV´ ,((( 5DGLR DQG :LUHOHVV 6\PSRVLXP -DQ
,Q RUGHU :61 QHWZRUNV WR FRPSULVH DQ DGHTXDWH 6DQ'LHJR&DOLIRUQLD
WHFKQRORJ\ IRU UHDO 6PDUW&LW\ GHSOR\PHQWV KLJK OHYHO >@ %D\RXPL 0 HW DO :LUHOHVV VHQVRU QHWZRUNV D QHZ FRPPXQLFDWLRQ
VHFXULW\SURYLVLRQLVHVVHQWLDO$OWKRXJKVLJQLILFDQWWHFKQLFDO SDUDGLJP ,((( WK &$6 6\PSRVLXP RQ (PHUJLQJ 7HFKQRORJLHV
&LUFXLWV DQG 6\VWHPV IRU * 0RELOH :LUHOHVV &RPPXQLFDWLRQV
DGYDQFHPHQWVKDYHEHHQPDGHLQ:61VRYHUWKHODVWVHYHUDO (7:
-XQH6W3HWHUVEXUJ
\HDUVZKHQSHUVRQDOGDWDDUHDFTXLUHGVWRUHGDQGZLUHOHVVO\ >@ 7DUDQQXP 6XUDL\D HW DO '\QDPLF KLHUDUFKLFDO FRPPXQLFDWLRQ
WUDQVPLWWHG FRPSOLDQFH WR WKH ODWHVW UHJXODWLRQVOHJLVODWLRQV SDUDGLJPIRU:LUHOHVV6HQVRU1HWZRUNV$FHQWUDOL]HGHQHUJ\HIILFLHQW
UHJDUGLQJ VHQVLWLYH GDWD KDQGOLQJ FRPSULVH D FULWLFDO DVSHFW DSSURDFK WK ,((( 6LQJDSRUH ,QWHUQDWLRQDO &RQIHUHQFH RQ
QRW DWWUDFWLQJ DGHTXDWH LQWHUHVW )XUWKHUPRUH ZKHQ &RPPXQLFDWLRQ 6\VWHPV ,&&6 *XDQJ]KRX 1RY
DGGUHVVLQJ VXFK UHTXLUHPHQWV LW LV FULWLFDO WR WDNH LQWR >@ /HFRLQWUH $ 'UDJRPLUHVFX ' 'XEXF ' *UHQLHU . 3RQV 3
FRQVLGHUDWLRQ WKH HIIHFW XSRQ WKH V\VWHP OHYHO $XEHUW $ 0XOOHU $ %HUWKRX 3 *D\UDXG 7 3ODQD 5
FRPPXQLFDWLRQSHUIRUPDQFHDQGEHKDYLRU 0LQLDWXUL]HG :LUHOHVV 6HQVRU 1HWZRUNV ,Q ,QWHUQDWLRQDO
6HPLFRQGXFWRU&RQIHUHQFHSS6LQDLD
7KHUHIRUH LQ WKLV SDSHU DQ LQGHSWK DQDO\VLV RI VHFXULW\ >@ /LX ; HW DO $ PLQLDWXUL]HG KHWHURJHQHRXV ZLUHOHVV VHQVRU QRGH LQ
UHODWHGGDWDPDQDJHPHQWSURFHVVHVDQGVHUYLFHVLVDWWHPSWHG ',&,(((,QWHUQDWLRQDO'6\VWHPV,QWHJUDWLRQ&RQIHUHQFH',&
ZLWK UHVSHFW WR GLUHFWLYHV LVVXHG E\ SURPLQHQW DXWKRULWLHV 2VDND-DQ)HE
>@
LQFOXGLQJ (8(& DV ZHOO DV LQIOXHQWLDO RUJDQL]DWLRQV KWWSZZZLVRRUJLVRLVRBFDWDORJXHFDWDORJXHBWFFDWDORJXHBGHWDLOKWP
)XUWKHUPRUHDQGEDVHGRQWKHDIRUHPHQWLRQHGDQDO\VLVDVHW "FVQXPEHU
RIJXLGHOLQHVRISUDFWLFHLVDOVRSUHVHQWHG+RZHYHUPHHWLQJ >@:LOEDQNV/HWDO7KH,PSDFWRI3HUVRQDOO\,GHQWLILDEOH,QIRUPDWLRQ
VXFK GHPDQGLQJ UHTXLUHPHQWV LPSOLHV WKH XVH RI ,73URIHVVLRQDO9ROXPH,VVXH-XO\$XJ
FRPSXWDWLRQDOO\ LQWHQVLYH VHFXULW\ DOJRULWKPV ZKLOH LW JRHV >@6KLPPHU3ODWIRUPKWWSZZZVKLPPHUVHQVLQJFRP
>@:617HORV%3ODWIRUPKWWSZZZZLOORZFRXN7HORV%B'DWDVKHHWSGI
ZLWKRXW VD\LQJ WKDW UHVSHFWLYH EXUGHQ WR QHWZRUN >@ 0 5D]YL 'RRPXQ ³$QDO\WLFDO &RPSDULVRQ RI &U\SWRJUDSKLF
SHUIRUPDQFHDQGEHKDYLRUPXVWEHDFFHSWDEOH 7HFKQLTXHV IRU 5HVRXUFH&RQVWUDLQHG :LUHOHVV 6HFXULW\´ ,QWHUQDWLRQDO
-RXUQDORI1HWZRUN6HFXULW\9RO1R33±-XO\
'ULYHQ E\ VXFK FULWLFDO UHTXLUHPHQWV DQ H[SHULPHQWDO >@ - /HH HW DO ³7KH 3ULFH RI 6HFXULW\ LQ :LUHOHVV 6HQVRU 1HWZRUNV´
HYDOXDWLRQ RI WKH HIIHFW RI VXFK DOJRULWKPV HQFU\SWLRQ DQG &RPSXWHU 1HWZRUNV 7KH ,QWHUQDWLRQDO -RXUQDO RI &RPSXWHU DQG
DXWKHQWLFDWLRQ DOJRULWKPV XWLOL]DWLRQ LV SUHVHQWHG XVLQJ D 7HOHFRPPXQLFDWLRQV1HWZRUNLQJ9RO,VVXH'HF
SURPLQHQW:61GHYHORSPHQWSODWIRUPDVWHVWEHG(QDEOLQJ >@ 6WUHDP &LSKHUV 56$ /DERUDWRULHV 7HFKQLFDO 5HSRUW 75 0-%
5REVKDZ
DQG FRQILJXULQJ KDUGZDUH EDVHG VHFXULW\ IHDWXUHV DV ZHOO DV >@1DFKLNHWK5HWDO³$VWXG\RIWKHHQHUJ\FRQVXPSWLRQFKDUDFWHULVWLFV
FRQILJXULQJ FULWLFDO QHWZRUN SDUDPHWHUV UHVSHFWLYH HIIHFW RIFU\SWRJUDSKLFDOJRULWKPVDQGVHFXULW\SURWRFROV´,(((7UDQVDFWLRQV
XSRQQHWZRUNSHUIRUPDQFHPHWULFVRISDUDPRXQWLPSRUWDQFH RQ0RELOH&RPSXWLQJ9ROXPH,VVXH
LV SRVVLEOH %DVHG RQ UHVSHFWLYH UHVXOWV LQGLFDWLRQV >@'DWD3URWHFWLRQ'LUHFWLYH'LUHFWLYH(&
FRQFHUQLQJ RSWLPXP FRQILJXUDWLRQ VHWSRLQWV DQG WUDGHRIIV >@'LUHFWLYH>'B(&@
>@'LUHFWLYH(8
EHWZHHQ FRQVLGHUHG SDUDPHWHUV DUH H[SRVHG WKDW FDQ EH >@,62&RGHRISUDFWLFH
SURYHQLQYDOXDEOHZKHQUHDODGHSOR\PHQWLVWREHGHVLJQHG >@6$16,QVWLWXWHJXLGHOLQHSROLFLHV
>@(&
V'DWDSURWHFWLRQDQGSULYDF\HWKLFDOJXLGHOLQHV
)XUWKHUPRUH DQG DV IXWXUH ZRUN PRUH DFFXUDWH DQG >@ $QWRQRSRXORV &3 HW DO 7KH HIIHFW RI V\PPHWULF EORFN FLSKHUV RQ
DSSOLFDWLRQ VFHQDULR VSHFLILF VHFXULW\ VHUYLFHV FDQ EH :61 SHUIRUPDQFH DQG EHKDYLRU ,((( WK :L0RE 2FW
SURSRVHG LQ FRQMXQFWLRQ ZLWK VSHFLILF VHFXULW\ PHFKDQLVPV %DUFHORQD
LQYROYLQJERWKVHFXULW\DOJRULWKPVH[HFXWLRQDQGJXLGHOLQHV >@(ULF&RQUDG³$GYDQFHG(QFU\SWLRQ6WDQGDUG´:KLWH3DSHU
RISUDFWLFH,QWKLVZD\WKHYLVLRQRI6PDUW&LW\:61FDQEH