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Wireless physical layer security
Contributed by H. Vincent Poor, November 2, 2016 (sent for review June 1, 2016; reviewed by Matthieu R. Bloch and Gregory W. Wornell)
See related content:
- QnAs with H. Vincent Poor- Jan 26, 2017

Significance
Security is a very important issue in the design and use of wireless networks. Traditional methods of providing security in such networks are impractical for some emerging types of wireless networks due to the light computational abilities of some wireless devices [such as radio-frequency identification (RFID) tags, certain sensors, etc.] or to the very large scale or loose organizational structure of some networks. Physical layer security has the potential to address these concerns by taking advantage of the fundamental ability of the physics of radio propagation to provide certain types of security. This paper provides a review of recent research in this field.
Abstract
Security in wireless networks has traditionally been considered to be an issue to be addressed separately from the physical radio transmission aspects of wireless systems. However, with the emergence of new networking architectures that are not amenable to traditional methods of secure communication such as data encryption, there has been an increase in interest in the potential of the physical properties of the radio channel itself to provide communications security. Information theory provides a natural framework for the study of this issue, and there has been considerable recent research devoted to using this framework to develop a greater understanding of the fundamental ability of the so-called physical layer to provide security in wireless networks. Moreover, this approach is also suggestive in many cases of coding techniques that can approach fundamental limits in practice and of techniques for other security tasks such as authentication. This paper provides an overview of these developments.
Wireless communication is one of the most ubiquitous of modern technologies. Cellular communication alone is accessible to an estimated 5 billion people, and this is but one of an array of wireless technologies that have emerged in recent decades. Wireless networks are increasingly used for a very wide range of applications, including banking and other financial transactions, social networking, and environmental monitoring, among many others. For this reason, the security of wireless networks is of critical societal interest. Security has traditionally been implemented at the higher, logical layers of communication networks, rather than at the level of the physical transmission medium. For data confidentiality, encryption is the primary method of ensuring secrecy, a method that works well in most current situations. However, in some emerging networking architectures, issues of key management or computational complexity make the use of data encryption difficult. Examples include ad hoc networks, in which messages may pass through many intermediate terminals on the way from source to destination, and sensor or radio-frequency identification (RFID) networks such as might arise in the envisioned Internet of Things, in which the end devices are of very low complexity. For these and other reasons, there has been considerable recent interest in developing methods for secure data transmission that are based on the physical properties of the radio channel (the so-called wireless physical layer). These results are based on information theoretic characterizations of secrecy, which date to some of Claude Shannon’s early work on the mathematical theory of communication (1). Whereas Shannon’s work focused on symmetric key encryption systems, perhaps a more relevant development in this area was Aaron Wyner’s work on the wiretap channel, which introduced the idea that secrecy can be imparted by the communication channel itself without resorting to the use of shared secret keys (2). Although not focusing on wireless networks per se, this work nevertheless lays the mathematical groundwork for the study of this issue on a much broader scale and particularly in the context of wireless networks.
For the reasons noted above, wireless physical layer security has become a major research topic in recent years, and considerable progress has been made in understanding the fundamental ability of the physical layer to support secure communications and in determining the consequent limits of this ability (3, 4). In particular, it has been shown that the two principal properties of radio transmission—namely, diffusion and superposition—can be exploited to provide data confidentiality through several mechanisms that degrade the ability of potential eavesdroppers to gain information about confidential messages. These mechanisms include the exploitation of fading, interference, and path diversity (through the use of multiple antennas), all of which also lead to potential techniques for implementation in practical wireless systems. Moreover, the random nature of wireless channels provides sources of common randomness that can be used to extract shared secret keys from the physical layer, thereby allowing more traditional methods of data protection to be applied.
This paper reviews these developments, beginning with a brief historical account of the use of information theory to characterize secrecy more generally and then discussing the main results for the principal channel models of interest in modern wireless networks. General information theoretic concepts are defined briefly as needed; these are explained in greater depth in ref. 5.
Shannon’s Cipher System
Shannon was the first person who studied, in ref. 1, the problem of secure communication from an information theoretic perspective. He considered a noiseless cipher system as illustrated in Fig. 1. A transmitter (Alice) wishes to convey a message
Shannon’s cipher system.
A communication scheme is considered to be secure if the mutual information between the message
Assuming the message and the secret key to be sequences of binary numbers, perfect secrecy is achieved by the so-called one-time pad approach (6), where the codeword is simply the binary addition [exclusive or (XOR) operation] of the message and the secret key; i.e.,
The observation that Alice and Bob must share a secret key of the same length as the message they want to exchange seems discouraging at first. But this mainly stems from the fact that the communication channel is assumed to be noiseless so that Eve observes exactly the same as Bob. However, the physical layer especially in wireless communication systems is anything but noiseless. In the following we will see that this imperfection of the communication channel can be explicitly exploited to establish secrecy by physical layer methods without the need of a shared secret key.
Wyner’s Wiretap Channel
The wiretap channel was introduced by Wyner (2) and its communication task is similar to Shannon’s cipher system: Alice wants to transmit a confidential message to Bob while keeping it secret from Eve. The wiretap channel generalizes the previous scenario by considering noisy communication channels as shown in Fig. 2. However, no secret key is available to the legitimate users.
Wyner’s wiretap channel.
Accordingly, the objective is now twofold: Alice must encode the message
Note that a codeword of length
At the same time, the message must be kept secret from Eve. An issue then is how to specify secrecy in this setting, which is discussed next.
Secrecy Criterion.
Shannon’s cipher system considered the criterion of perfect secrecy. This is a very stringent criterion as it requires strict statistical independence between the message
Having in mind that the channel output at Eve should not reveal any information about the confidential message, Wyner defined secrecy in terms of equivocation, or conditional entropy (2). Specifically, he required that the conditional entropy
This quantity describes the information leaked about
This condition is termed strong secrecy and the intuition is to have the total amount of information leaked to Eve vanish as
Recently, this criterion was further strengthened by considering semantic security (17). Here, Eve is not only not able to decode the transmitted message, but also not able to obtain any information about it at all.
Secrecy Capacity.
Recall that Alice must encode the message into a codeword such that it is useful for Bob to recover the transmitted message (reliability) and at the same time the same codeword is useless for Eve (security). These two requirements seem to be conflicting and it is not obvious that it is possible to achieve both simultaneously.
Surprisingly, it is indeed possible and the so-called secrecy capacity characterizes the maximal rate at which both requirements are met. For discrete memoryless channels, for which the relation between the transmitted input and received output symbols at each independent channel use can be described by a conditional probability distribution of the channel output given the channel input, Wyner established the secrecy capacity in ref. 2 for the case of degraded channels, i.e., channels for which
The secrecy capacity of the discrete memoryless wiretap channel is given by
where the maximization is over all random variables
The crucial idea for achieving the secrecy capacity is the following: Instead of using all of the available resources for message transmission, a certain part of them are used for randomization by adding “dummy” messages unknown to Bob and Eve. Specifically, for each confidential message Alice wants to transmit, there are multiple valid codewords and a stochastic encoder chooses one of them uniformly at random. The key idea is now to choose the randomization rate for each confidential message roughly as
Secure Communication over Wireless Channels
In this section, the information theoretic approaches to security discussed above for discrete memoryless channels are extended to models for physical wireless channels. Wireless physical layer security is one of the key applications of these concepts, as a signal broadcast over a wireless medium is not only received by its intended receiver but also easily eavesdropped upon by nonlegitimate receivers. As we have noted above, the imperfection of the wireless medium will help establish security by exploiting the noisy channel.
Gaussian Wiretap Channels.
The Gaussian wiretap channel is the most basic model for a wireless channel, having linear time-invariant multiplicative links corrupted by additive white Gaussian noise. When Alice transmits a signal
Considering an average transmit power constraint of
The secrecy-capacity–achieving strategy is to transmit with full power
Multiantenna Wiretap Channels.
Systems with multiple transmit and receive antennas, so-called multiple-input multiple-output (MIMO) systems, can improve the performance of wireless transmission significantly and hence form the basis of most modern high-capacity wireless systems. Thus, the MIMO wiretap channel is particularly of interest. Accordingly, Alice, Bob, and Eve are assumed to have multiple transmit and receive antennas, respectively. Note that a multiantenna eavesdropper can also be interpreted as multiple single-antenna eavesdroppers that cooperate.
When Alice transmits a vector-valued signal
The secrecy capacity of the MIMO Gaussian wiretap channel was established in refs. 21 and 22 and is given by
Similarly to the scalar case, capacity is achieved by transmitting with full power
A scenario that is completely understood is the multiple-input single-output wiretap channel, in which Alice has multiple transmit antennas, Bob has a single receive antenna only, and Eve may have multiple receive antennas. In this case, the optimal transmit covariance matrix is known in closed form (21). Denoting the channel to Bob by the vector
Partial Channel State Information.
The previous discussions have in common that knowledge of the gains of all channels (including those to eavesdroppers) is available to the legitimate users. This condition is termed perfect channel state information (CSI) and such idealized communication assumptions allow one to obtain important insights and to develop an understanding of the fundamental principles of wireless physical layer security. However, due to the nature of the wireless channel, but also due to practical limitations such as inaccurate channel state estimation or limited feedback schemes, practical systems always have to deal with limited CSI. In particular, perfect eavesdropper CSI is questionable unless the eavesdroppers are otherwise legitimate network participants, as malevolent eavesdroppers will not provide any information about their channels or may even jam or otherwise influence the legitimate channel. A survey on secure communication under channel uncertainty and adversarial attacks can be found in ref. 25.
A realistic model for the unpredictable nature of the wireless channel and the imperfections of practical implementations is to assume that the actual realization of the channel gains is unknown to Alice and Bob but is known to lie in an uncertainty set of possible channels. This is the concept of compound channels and it accordingly requires reliability and secrecy for all possible channel realizations in this uncertainty set. Such a guaranteed performance criterion is particularly relevant for the transmission of confidential information that must be kept secret regardless of the actual channel conditions.
The compound wiretap channel has been studied, for example, in refs. 16, 26, and 27. In this scenario, the legitimate channel and eavesdropper channel are not known, but belong to uncertainty sets
Assuming [4] and [5] to be the uncertainty sets for Bob’s and Eve’s channels yields a compound wiretap channel that reflects two practically relevant points: First, Eve’s desire is to be confidential so that only minimal CSI is available to Alice. It might be known only that Eve is beyond a certain protection distance, as noted above. And second, Bob on the other hand wants to maximize the rate and, accordingly, is willing to share his CSI with Alice. However, due to practical limitations only a channel estimate is available, resulting in additive uncertainty. This model is studied in ref. 27.
Determining the secrecy capacity of the compound wiretap channel is a challenging task and it is known only for certain special cases. For degraded channels, i.e., for which each potential eavesdropper channel realization is a degraded version of all possible legitimate channel realizations, the secrecy capacity has been established in refs. 16 and 26 for discrete memoryless channels and in ref. 26 for MIMO Gaussian channels. The compound MIMO wiretap channel above with uncertainty sets [4] and [5] is not degraded and is one of the few examples for which the secrecy capacity has been established for the nondegraded case:
The analysis reveals the characteristic structure of secure communication under channel uncertainty. The maximum transmission rate is limited by the worst channel to Bob and by the best channel to Eve. This result confirms the intuition that for guaranteeing reliable and secure communication, one has to be prepared for the worst channel conditions. This result further shows how the performance degrades because of channel uncertainty.
Fading Wiretap Channels.
In the above discussion, the channel has been considered to be fixed during the entire duration of transmission. In particular, for the previously discussed Gaussian wiretap channel, the multiplicative channel gains
For ergodic fading channels, the fading coefficients are independent and identically distributed and are allowed to change from channel use to channel use. Thus, Alice, Bob, and Eve might experience a different fading state for each channel use. Assuming that all terminals have perfect CSI about the current fading state, so-called instantaneous CSI, the ergodic secrecy capacity has been studied in ref. 28 and is given as
The key idea behind this result is that the instantaneous CSI allows one to decompose the fading channel into a set of parallel and time-invariant channels. Now, each fading realization corresponds to a particular wiretap channel and it remains to determine the optimal power allocation
Having a closer look at the secrecy capacity of the (static) wiretap channel and the fading wiretap channel, one observes the following. Whereas for the (static) wiretap channel secure communication is possible only if Bob has a better channel than Eve, i.e.,
Physical Layer Security in Wireless Networks
There has been considerable effort in extending and generalizing concepts and results for the wiretap channel to more complex multiuser scenarios as well. We briefly discuss the practically relevant models of the broadcast channel, multiple access channel, interference channel, and relay channel. These channels give insight into the properties of more complex networks.
Broadcast Channel.
The broadcast channel describes the communication scenario in which one sender transmits information to several receivers. For example, this channel describes the downlink phase of a cellular communication system in which a base station transmits data to several mobile users.
The broadcast channel with confidential messages models the communication scenario in which one transmitter Alice transmits a common message
Broadcast channel with confidential messages.
In a similar way to that for the wiretap channel, the broadcast channel with confidential messages has been subsequently extended into several directions as well, including MIMO Gaussian channels (32), channels with partial CSI (33), and fading channels (28).
Multiple-Access Channel.
The multiple-access channel is the counterpart to the broadcast channel: Multiple senders transmit information to a single receiver. An example of where this occurs is in the uplink phase of a cellular system in which several mobile users transmit data to a base station.
In a multiple-access channel with confidential messages two senders Alice 1 and Alice 2 transmit confidential messages
Multiple-access channel with confidential messages.
A slightly different setting is given by the multiple-access wiretap channel in which both transmitters are trustworthy but their communication must be secured from an external eavesdropper. This situation has been studied, for example, in refs. 35 and 36. Similar to the multiple-access channel with confidential messages the secrecy capacity region is unknown and only inner and outer bounds have been established so far.
Interference Channel.
The interference channel describes the communication scenario in which multiple transmitter–receiver pairs interfere with each other. Each sender is interested only in transmitting information to its designated receiver. However, due to the open nature of the wireless medium, the transmitted signals are received not only by the intended receivers but also by the other users.
The interference channel with confidential messages considers two transmitters Alice 1 and Alice 2 who wish to transmit their confidential messages
Interference channel with confidential messages.
A different communication scenario is given by the cognitive interference channel with one common and one confidential message. Here, the common message is known to both transmitters and must be conveyed to both receivers whereas the confidential message is known only at one transmitter and must be conveyed to its respective receiver, keeping the other receiver ignorant of it. Unlike the other interference scenarios, the secrecy capacity region is known in this case (39).
Relay Channel.
The aim of a relay is to support the communication between a transmitter and a receiver. Relays are used, for example, for coverage and range extension or to increase the maximal transmission rate.
The relay channel with confidential messages considers the scenario in which the sender Alice wishes to transmit a confidential message to receiver Bob. The transmission is supported by an untrusted relay so that Alice must encode and transmit the message in such a way that the relay is able to help the communication, but does not get any information about the message. This has been studied in refs. 40 and 41.
The relay channel with an external eavesdropper differs from the previous scenario by having a trusted relay, but the confidential transmission must be secured against an external eavesdropper. This situation is considered in ref. 42.
Secret-Key Generation
In the previous discussions we saw how information theoretic approaches can be used to secure a confidential message transmission over a wireless channel. We now discuss how these information theoretic approaches can be used to generate secret keys based on public discussion and subsequently with the help of wireless channels. Surveys of the use of the wireless physical layer for secret-key generation can be found in refs. 43 and 44.
Public Discussion.
Secret-key generation using public discussion was first considered simultaneously by Ahlswede and Csiszár (45) and Maurer (46). In this setting the two terminals Alice and Bob observe correlated versions
Secret-key generation.
The aim is now to determine the secret-key capacity, which characterizes the maximal rate at which secret keys can be generated. In refs. 45 and 46 it has been shown that for the case of unlimited public communication, the secret-key capacity is
The crucial idea for generating a uniformly distributed secret key of rate [7] is based on Slepian–Wolf coding (5) and can be outlined as follows. All sequences
In the previous model, Eve was able to eavesdrop upon the public communication only over the noisy channel. This has been extended by allowing Eve to further observe its own correlated observation
In the above setting, the public communication was unlimited in the sense that no restrictions on the corresponding communication rate have been made. In practical applications, however, there might be such restrictions that then result in a certain degradation in secret-key capacity (47).
Wireless Channels.
Now we extend the previous discussion on secret-key generation based on public discussion to the practically relevant case of wireless channels. We will see that wireless channels themselves can serve as sources of common randomness, making previous concepts applicable (43, 48, 49).
The scenario is the same: Two terminals Alice and Bob want to generate a secret key, keeping an eavesdropper Eve in the dark. Both terminals can transmit over a wireless fading channel and can further use a noiseless public channel for public discussion. Eve overhears the transmissions over the wireless channel and also eavesdrops upon the public discussion. The crucial idea is to exploit the reciprocity of the wireless channel to obtain correlated observations of the common fading channel. Then the key can be generated as discussed above.
When Alice transmits a signal
If both transmissions happen in the same frequency band and within the coherence time of the channel, it is reasonable to assume that the channel between Alice and Bob is reciprocal; i.e.,
In a first phase, Alice and Bob send training signals that allow each terminal to estimate its channel
Conclusion
In this paper, we have reviewed recent research in the field of wireless physical layer security, which exploits the physical properties of radio channels, notably diffusion and superposition, to provide security in wireless data transmission. By using an information theoretic formalism, we have seen that, in all of the principal channel models of wireless networking, the physical layer can in principle support reliable data transmission with perfect secrecy under realistic conditions. Note that a common theme of these results is a reliance on accurate channel modeling. Although this is a common approach in the design and analysis of communication systems, it nevertheless means that robustness to the model used is a factor that needs to be considered in practice. We have discussed this issue in the context of channel state information, but it is in general an important issue for further research.
Although we have focused here primarily on the fundamental issue of secrecy capacity, practical issues such as code design (50), authentication (51), and medium access control (52) have been considered in this context as well. Moreover, these basic ideas have been applied in other settings, such as optical communication (53, 54) and situations with adversarial attacks (25), and in other application areas, such as biometric identification systems (55, 56) and smart electricity grids (57).
Acknowledgments
This work was supported in part by the US National Science Foundation under Grants CMMI-1435778 and ECCS-1647198 and in part by the German Research Foundation under Grant WY 151/2-1.
Footnotes
- ↵1To whom correspondence should be addressed. Email: poor{at}princeton.edu.
This contribution is part of the special series of Inaugural Articles by members of the National Academy of Sciences elected in 2011.
Author contributions: H.V.P. and R.F.S. designed research, performed research, and wrote the paper.
Reviewers: M.R.B., Georgia Institute of Technology; and G.W.W., Massachusetts Institute of Technology.
The authors declare no conflict of interest.
Freely available online through the PNAS open access option.
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