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Secure and Smart Cyber-Physical Systems

Cybersecurity is a paramount concern in both Internet of Things (IoT) and Cyber-Physical

Systems (CPSs) due to the interconnected and often critical nature of these systems. The
integration of AI/ML into the realm of IoT and CPS security has gained signifcant attention
and momentum in recent years. The success of AI/ML in various domains has sparked
interest in leveraging these technologies to enhance the security, resilience, and adaptability
of IoT and CPS. Secure and Smart Cyber-Physical Systems provides an extensive exploration
of AI/ML-based security applications in the context of IoT and CPS.

Features
• Presents cutting-edge topics and research in IoT and CPS.
• Includes contributions from leading worldwide researchers.
• Focuses on CPS architectures for secure and smart environments.
• Explores AI/ML and blockchain approaches for providing security and privacy to CPS
including smart grids, smart cities, and smart healthcare.
• Provides comprehensive guidance into the intricate world of software development for
medical devices.
• Covers a blueprint for the emergence of 6G communications technology in Industry 5.0
and federated-learning-based secure fnancial services.

This book covers state-of-the-art problems, existing solutions, and potential research
directions for CPS researchers, scholars, and professionals in both industry and academia.
Secure and Smart
Cyber-Physical Systems

Edited by Uttam Ghosh, Fortune Mhlanga,

and Danda B. Rawat

Boca Raton London New York

CRC Press is an imprint of the

Taylor & Francis Group, an informa business
Designed cover image: © Shutterstock
First edition published 2025
by CRC Press
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and by CRC Press
4 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN
CRC Press is an imprint of Taylor & Francis Group, LLC
© 2025 selection and editorial matter, Uttam Ghosh, Fortune Mhlanga, and Danda
B. Rawat; individual chapters, the contributors
Reasonable efforts have been made to publish reliable data and information, but the
author and publisher cannot assume responsibility for the validity of all materials or
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Library of Congress Cataloging-in-Publication Data
Names: Ghosh, Uttam, editor.
Title: Secure and smart cyber-physical systems / edited by Uttam Ghosh,
Fortune Mhlanga, Danda B. Rawat.
Description: First edition. | Boca Raton, FL : CRC Press, 2025. |
Includes bibliographical references and index.
Identifiers: LCCN 2024002986 (print) | LCCN 2024002987 (ebook) |
ISBN 9781032453828 (hardback) | ISBN 9781032453859 (paperback) |
ISBN 9781003376712 (ebook)
Subjects: LCSH: Cooperating objects (Computer systems)—Security measures. |
Internet of things—Security measures. | Computer security.
Classification: LCC QA76.9.A25 S3752 2025 (print) | LCC QA76.9.A25 (ebook) |
DDC 005.8—dc23/eng/20240527
LC record available at https://lccn.loc.gov/2024002986
LC ebook record available at https://lccn.loc.gov/2024002987

ISBN: 9781032453828 (hbk)

ISBN: 9781032453859 (pbk)
ISBN: 9781003376712 (ebk)
DOI: 10.1201/9781003376712

Typeset in Sabon
by Apex CoVantage, LLC
Dedication

To my wife Pushpita and our two children Dhriti and Shriyan—

Uttam Ghosh
To my wife Florah and our two boys (young men) Carl and Craig—
Fortune S. Mhlanga
Dedicated to my family—Danda B. Rawat
Contents

Preface ix
Acknowledgments xiii
About the Editors xiv
Contributors xvii
Abbreviations xix

1 Machine Learning and Deep Learning Approaches in

Cyber-Physical Systems 1
SUMATHI LAKSHMIRANGANATHA AND KOUSHIK A. MANJUNATHA

2 Securing Cyber-Physical Systems Using Artifcial Intelligence 30

PON HARSHAVARDHANAN, AGNI DATTA, YUVRAJ SINGH, YASH KARTIK,
CHANDAN THOTA, AND AKHILESH POKALE

3 Toward Fast Reliable Intelligent Industry 5.0—A Comprehensive Study 56

MANASH KUMAR MONDAL, SOURAV BANERJEE, AND YUDONG ZHANG

4 Software Development for Medical Devices: A Comprehensive Guide 81

PRAVIN MUNDRA, UTTAM GHOSH, SUDIP BARIK, AND SOURAV BANERJEE

5 6G Communication Technology for Industry 5.0: Prospect,

Opportunities, Security Issues, and Future Directions 104
PRIYANKA DAS, SANGRAM RAY, DIPANWITA SADHUKHAN, AND
MAHESH CHANDRA GOVIL

6 Cyber-Physical System in AI-Enabled Smart Healthcare System 118

JYOTI SRIVASTAVA AND SIDHESWAR ROUTRAY

7 Service-Oriented Distributed Architecture for Sustainable Secure

Smart City 135
SOURAV BANERJEE, SUDIP BARIK, ARIJIT SIL, AND JERRY CHUN-WEI LIN
viii Contents

8 A Comprehensive Security Risk Analysis of Clif Edge on

Cyber-Physical Systems 153
KOUSTAV KUMAR MONDAL, ASMITA BISWAS, AND DEEPSUBHRA GUHA ROY

9 Securing Financial Services with Federated Learning and Blockchain 178

PUSHPITA CHATTERJEE, DEBASHIS DAS, AND DANDA B. RAWAT

10 A Comprehensive Survey on Blockchain-Integrated Smart Grids 208

UTTAM GHOSH, LAURENT L. NJILLA, DANDA B. RAWAT, AND CHARLES A. KAMHOUA
Preface

Introduction
Around the world today, technology continues to become more and more pervasive with
dynamic innovation processes increasingly impacting societies and their governments, in-
dustries, communities, and individuals. For example, integrating Internet-connected things
with other devices creates larger systems of systems that solve the world’s most challeng-
ing and technological problems. One of the most popular revolutions of technology is the
Cyber-Physical System (CPS). CPS is an integration of cyber world (computation and com-
munication systems) and man-made physical world (e.g., utility networks, vehicles, and
factories.) formed by using sensors and actuators. Cyber systems make the physical infra-
structures smarter, more secure, and reliable, and fully automated systems foster a more
efcient, resilient, and sustainable built environment. In the near future (industry 4.0 revo-
lution or 4IR), CPSs will become the new “techno-economic” paradigm.
CPS have become ubiquitous and the core of modern critical infrastructure and in-
dustrial applications in recent years. CPSs such as self-driving cars, drones, and
intelligent transportation rely heavily on machine learning techniques for ever-
increasing levels of autonomy. Further, the deployed sensors generate a massive amount
of real-time Big data from the physical infrastructure and send it to the cyber systems
using communication infrastructure (such as switches and routers). In turn, the cyber sys-
tems also send feedback to the physical devices using the communication infrastructure.
On the other hand, these systems provide an appeal to attackers. Cybersecurity is, thus,
of prime concern in CPSs. Due to the success of Deep Learning (DL) in a multitude of
domains, the development of DL-based CPS security applications has received increased
interest in the past few years. However, despite the broad body of work on using DL for
ensuring the security of CPSs, to our best knowledge, very little work exists where the
focus is on the development of these DL applications. DL based on artifcial neural net-
works is a very popular approach to modeling, classifcation, and the recognition of com-
plex data including images, voice, and text. The unparalleled precision of DL approaches
has made them the cornerstone of new Internet-based AI-based services. Commercial
businesses gathering user data on a large scale were the main benefciaries of this phe-
nomenon since the performance of DL techniques is directly proportional to the amount
of data available for training. The vast collection of data required for DL poses clear
privacy problems. Highly sensitive personal data such as photos and voice recordings of
users, that is collected by some companies, is kept indefnitely. Users cannot uninstall it,
nor restrict the purposes for which it is being used. In addition, data stored internally is
x Preface

subject to legal subpoenas and extra judicial monitoring. For example, data owners, such
as healthcare institutions and organizations that may want to apply DL methods to clini-
cal records and are prevented from sharing data due to privacy and confdentiality con-
cerns, beneft from DL on a large scale.

Aim and Scope of the Book

The major aim of this book is to explore the advanced technologies used to facilitate Arti-
fcial Intelligence and Big data on the Internet of Things and CPSs. This is a much-needed
ingredient for researchers/scholars who are about to start their research in this emerging
area. The comprehensive coverage of state-of-the-art problems, existing solutions, and open
research directions is of paramount importance to research groups, postgraduate programs,
and doctoral programs around the world, especially within the dynamic feld of computer
science and cybersecurity. This book serves as a comprehensive guide that not only ad-
dresses the current challenges in the feld but also highlights efective solutions and outlines
future research paths.

Target Group
This book explores the advanced technologies used to facilitate the transformation of these
novel spaces into a pervasive environment with the development of computational and
physical infrastructures into a single habitat that facilitates the professional researchers and
application developers of solutions. AI and Big data can be ofered as an elective course for
graduate and postgraduate computer science engineering students to impart knowledge of
current trends, scope, and technology in mobile applications and the physical structure of
pervasive management. Furthermore, the system designers, industry personnel, and policy-
makers working for the transformation of the ubiquities of computing with the employment
of security professionals will beneft.

Contents of the Book

After careful selections, we have been able to put together a total of ten chapters in this
book. Here, we discuss the chapters in brief.
Chapter 1: Machine Learning and Deep Learning Approaches in Cyber-Physical Systems
presents a detailed discussion of machine learning (ML) and DL approaches to address the
various challenges posed in CPS, such as Big data analytics and ways to enable ML/DL ca-
pability on the resource constraint devices of CPS. It discusses how ML and DL algorithms
are used as the solutions for addressing various security issues in CPS including anomaly de-
tection, cybersecurity, fault prediction, predictive maintenance, process optimization, QoS
analysis, and resource allocation.
Chapter 2: Securing Cyber-Physical Systems Using Artifcial Intelligence focuses on how
AI-enabled CPS addresses a variety of cybersecurity threats including identifying and fore-
casting malware incursions, network-based assaults such as Distributed Denial of Service at-
tacks, and other pattern obfuscation-based incursions. It discusses the specifcs and endpoints
of cyberattacks in a CPS device in addition to various AI-based approaches for increased CPS
performance and security and provides case studies and proof of concepts in simulated envi-
ronments in addition to the current research direction and trend in this domain.
Preface xi

Chapter 3: Toward Fast Reliable Intelligent Industry 5.0—A Comprehensive Study

provides a comprehensive exploration of the key principles, methodologies, and emerg-
ing technologies essential to realizing the vision of Industry 5.0. In the context of Industry
5.0, it delves into the convergence of various cutting-edge technologies, including IoT,
AI, Big data analytics, and advanced robotics to create an ecosystem of interconnected,
intelligent, and adaptive industrial systems. It highlights the pivotal role of real-time data
acquisition, processing, and decision-making in optimizing industrial operations. The
chapter further investigates the challenges and opportunities associated with Industry
5.0, addressing concerns related to data security, privacy, and scalability. It emphasizes
the need for robust, fast, and reliable communication networks, such as 5G, as a critical
enabler for the seamless integration of CPSs. This study provides insights into the adop-
tion of digital twins, predictive maintenance, and autonomous manufacturing in Industry
5.0, illustrating how these concepts enhance reliability and performance while reduc-
ing downtime and operational costs. It also explores the concept of human–machine
collaboration and the evolving role of the workforce in an intelligent manufacturing
environment.
Chapter 4: Software Development for Medical Devices: A Comprehensive Guide pro-
vides a comprehensive guidance into the intricate world of software development for medi-
cal devices, ofering invaluable insights for developers, engineers, and stakeholders in the
healthcare industry. It explores the evolving landscape of the Internet of Medical Things
(IoMT), where interconnected devices gather and exchange real-time health data. The study
underscores the transformative potential of AI/ML in predictive analytics, disease diagnosis,
and personalized treatment. Furthermore, the guide examines Software as a Medical Device
(SaMD) and its multifaceted applications across various platforms. It provides a compre-
hensive overview of the challenges, regulations, and signifcance of software development
within the medical device sector, emphasizing the importance of quality, compliance, and
patient well-being.
Chapter 5: 6G Communication Technology for Industry 5.0: Prospect, Opportunities,
Security Issues, and Future Directions provides a blueprint for the emergence of 6G com-
munications technology in Industry 5.0 verticals mitigating the implementation challenges
and security issues along with its opportunities and advancements. 6G could be an ideal
communication technology choice in Industry 5.0 owing to its ample advancements such
as huge bandwidth, high data rate, and low latency. Since 6G communication technology
assures high-quality experiences (QoE) and high-quality services (QoS), the amalgamation
of Industry 5.0 and 6G communication technology could be proven as a game-changer in
the modern smart world that can infuence many contemporary applications, mainly focus-
ing on holographic communication, UAV, virtual/augmented reality, and so on. However,
the data exchanged in various heterogeneous networks and spanning diverse authoritative
domains of the Industry 5.0 ecosystem are vulnerable to security and trust issues. This
chapter discusses the implementation challenges and security issues of 6G communication
technology in Industry 5.0.
Chapter 6: Cyber-Physical System in AI-Enabled Smart Healthcare System elaboratively
discusses various CPS technologies required for its physical and cyber components and
continuous health-monitoring techniques. Here, it compares several existing works through
theoretical and tabular methods to cover all aspects in this era for improving the overall per-
formance of CPS in AI-enabled Smart Healthcare System. It presents cyber-physical systems
in smart healthcare, their characteristics, diferent technologies incorporated in the growth
xii Preface

of CPS, and major challenges encountered during the successful implementation of cyber
physical medication systems.
Chapter 7: Service-Oriented Distributed Architecture for Sustainable Secure Smart City
underpins several challenges in the process of adopting an urban space as a smart city.
Given the importance of urban data accumulation, storage, retrieval, and the simultane-
ous deployment of networked infrastructure, it proposes a high-level framework to better
represent the various subsystems of this computing model. The framework is essentially a
hierarchical model that represents the fow and storage of urban data, as well as the partici-
pation of diferent actors in the provision of services to citizens. It ensures an incremental
implementation of a smart city and provides a seamless integration of new services as they
are needed.
Chapter 8: A Comprehensive Security Risk Analysis of Clif Edge on Cyber-Physical
Systems discusses the protection threats including concerns in a CPS and recognizes the
reasonable vulnerabilities, attack arguments, opponent’s features, and an assemblage of
provocations that necessitate being inscribed. Further, the chapter discusses some recom-
mendations and failures in CPS.
Chapter 9: Securing Financial Services with Federated Learning and Blockchain gives an
in-depth look at how Blockchain and federated learning (FL) are used in fnancial services.
It starts with an overview of recent developments in both use cases. It explores and discusses
existing fnancial service vulnerabilities, potential threats, and consequent risks. The chap-
ter focuses on addressing the issues present in fnancial services and how the integration
of Blockchain technology and FL can contribute to solving these challenges. These issues
include data protection, storage optimization, and making more money in fnancial services.
The chapter presents various Blockchain-enabled FL methods and provides possible solu-
tions to solve several challenges including cost-efectiveness, automation, and security con-
trol in fnancial services. It also provides future research directions at the end of the study.
Chapter 10: A Comprehensive Survey on Blockchain-Integrated Smart Grids provides
an overview of Blockchain technology and a number of recent research works presented in
diferent literature on Blockchain integration into smart grid systems for energy manage-
ment, energy trading, security and privacy, microgrid management, and electric vehicle
management. It also presents the limitations and future directions of applying Blockchain
in smart grids.
Acknowledgments

First and foremost, praises and thanks to God, the Almighty, for His abundant blessings
and guidance, which have illuminated our path and enabled us to successfully complete this
book. We extend our heartfelt appreciation to all the contributors, whose valuable insights
and dedication have enriched the content and depth of this project. We are indebted to the
dedicated publishing team at CRC Press, whose expertise and commitment have played
an important role in shaping and bringing this book to fruition. Last but not the least, we
would like to acknowledge our families and friends for their patience, understanding, and
encouragement during the countless hours spent on this project.
It should be specifcally noted that for this project, Uttam Ghosh has been partly sup-
ported by the US NSF under grants award numbers 2219741 and 2334391, also Visiting
Faculty Research Program (VFRP) with the Information Assurance Branch of the AFRL,
Rome, NY, United States; and the Information Institute (II).
Uttam Ghosh, PhD
Meharry Medical College, United States
Fortune S. Mhlanga, PhD
Meharry Medical College, United States
Danda B. Rawat, PhD
Howard University, United States
About the Editors

Uttam Ghosh joined Meharry Medical College, Nashville, Tennessee,

United States, as Associate Professor of Cybersecurity in the School of
Applied Computational Sciences in January 2022. Earlier, he worked
as Assistant Professor in the Department of Computer Science at Van-
derbilt University, where he was awarded the 2018–2019 Junior Fac-
ulty Teaching Fellow (JFTF). Dr. Ghosh earned his MS and PhD
degrees in Electronics and Electrical Communication Engineering
from the Indian Institute of Technology (IIT) Kharagpur, India, in
2009 and 2013, respectively. He had post-doctoral experiences at the
University of Illinois in Urbana-Champaign, Fordham University, and
Tennessee State University. He received research funding from the US National Science
Foundation (NSF), US National Security Agency (NSA), National Aeronautics and Space
Administration (NASA), and Thurgood Marshall College Fund (TMCF). Dr. Ghosh has
published over 120 papers at reputed international journals including IEEE Transactions,
Elsevier, Springer, IET, and Wiley, and in top international conferences sponsored by IEEE,
ACM, and Springer. He has coedited and published seven books: Internet of Things and
Secure Smart Environments, Machine Intelligence and Data Analytics for Sustainable Future
Smart Cities, Intelligent Internet of Things for Healthcare and Industry, Efcient Data Han-
dling for Massive Internet of Medical Things, Deep Learning for Internet of Things Infra-
structure, How COVID-19 is Accelerating the Digital Revolution: Challenges and
Opportunities, and Security and Risk Analysis for Intelligent Edge Computing. Dr. Ghosh is
listed in the Stanford-Elsevier list of the world’s most-cited scholars, placing him among the
top 2% of cited scientists. He is a senior member of the IEEE and a member of ACM.

Fortune Mhlanga is a proven leader with a strong track record of

developing and managing organizations in the academic, private, and
public sectors with a specifc focus on computing and technology. He
joined Meharry Medical College in August 2020 as executive direc-
tor of the Data Science Institute (DSI). In February 2021, he became
the founding dean of the School of Applied Computational Sciences
(SACS), the fourth school in Meharry’s proud history, after leading
the transition of the DSI to the school level. He also serves as found-
ing senior vice president of the Enterprise Data and Analytics (EDA)
division whose establishment, in March 2022, posited an advanced
About the Editors xv

technology-driven enterprise data ecosystem that plays a critical role in achieving success in
programs and initiatives across the entire Meharry enterprise as it caters for all data storage,
harmonization, management, stewardship, and business intelligence in Meharry’s clinical,
research, academic, and business enterprises. Previously, Mhlanga served as Founding Dean
of the College of Computing and Technology and Professor of Computer Science, Data Sci-
ence, and Software Engineering at Lipscomb University. His tenure at Lipscomb began in
August 2011 as Director of the then newly established School of Computing and Informat-
ics. He led the school through a period of growth that resulted in its transformation into the
College of Computing and Technology in 2014, ofering 11 bachelor’s degrees and 3 mas-
ter’s degrees. Before his appointment at Lipscomb, Mhlanga was Professor of Computer
Science in the School of IT & Computing (SITC) from August 2007 to July 2011. He also
served as Director of the SITC during his last year at ACU. From 2002 to 2007, he served
as Associate Professor and subsequently Professor and Founding Chair of the computer sci-
ence department at Faulkner University. Mhlanga was the Founding Director of the Infor-
matics and Electronics Institute at the Scientifc and Industrial Research and Development
Centre in Harare, Zimbabwe, from 1998 to 2002. He was Senior Lecturer in the computer
science department at the University of Zimbabwe from 1993 to 1994 and subsequently
served as Chair of the department until December 1997. Mhlanga has published widely in
computing, technology, and computational sciences including modeling and simulation.
His experience also includes several domestic and internationally based academic and re-
search fellowships. Mhlanga earned his bachelor’s degree in computer science from Harding
University in 1984, and his master’s and PhD degrees in computer science from the New
Jersey Institute of Technology in 1989 and 1993, respectively. His PhD work focused on
database systems and resulted in the conception of a Data Model and Query Algebra for
Ofce Documents.

Danda B. Rawat is Executive Director, Research Institute for Tactical

Autonomy (RITA)—a University Afliated Research Center (UARC)
of the US Department of Defense; Associate Dean for Research &
Graduate Studies; a Full Professor in the Department of Electrical
Engineering & Computer Science (EECS); Founding Director of the
Howard University Data Science & Cybersecurity Center; Founding
Director of DoD Center of Excellence in Artifcial Intelligence & Ma-
chine Learning (CoE-AIML); Director of Cyber security and Wireless
Networking Innovations (CWiNs) Research Lab, Graduate Program
Director of Howard CS Graduate Programs; and Director of Gradu-
ate Cybersecurity Certifcate Program at Howard University, Washington, DC, United
States. Dr. Rawat is engaged in research and teaching in the areas of cybersecurity, machine
learning, Big data analytics and wireless networking for emerging networked systems in-
cluding CPSs (e-Health, energy, transportation), Internet-of-Things, multi domain opera-
tions, smart cities, software-defned systems, and vehicular networks. Dr. Rawat is the
recipient of NSF CAREER Award in 2016, Department of Homeland Security (DHS) Scien-
tifc Leadership Award in 2017, Provost’s Distinguished Service Award 2021, Researcher
Exemplar Award 2019 and Graduate Faculty Exemplar Award 2019 from Howard Univer-
sity, the US Air Force Research Laboratory (AFRL) Summer Faculty Visiting Fellowship
2017, Outstanding Research Faculty Award (Award for Excellence in Scholarly Activity) at
xvi About the Editors

GSU in 2015, the Best Paper Awards (IEEE CCNC, IEEE ICII, IEEE DroneCom and
BWCA), and Outstanding PhD Researcher Award in 2009. He has delivered over 50 key-
notes and invited speeches at international conferences and workshops. Dr. Rawat has pub-
lished over 300 scientifc/technical articles and 11 books. He has been serving as Editor/
Guest Editor for over 100 international journals including being Associate Editor of IEEE
Transactions on Cognitive Communications and Networking, Associate Editor of IEEE
Transactions of Service Computing, Editor of IEEE Internet of Things Journal, Associate
Editor of IEEE Transactions of Network Science and Engineering, and Technical Editor of
IEEE Network. Dr. Rawat earned a PhD from Old Dominion University, Norfolk, Virginia.
Dr. Rawat is Senior Member of IEEE and ACM, a member of ASEE and AAAS, and Fellow
of the Institution of Engineering and Technology (IET). He is ACM Distinguished Speaker
(2021–2023).
Contributors

Sourav Banerjee Uttam Ghosh

Department of Computer Science and En- Department of Computer Science and Data
gineering, Kalyani Government Engi- Science, Meharry Medical College, Nash-
neering College, Kalyani, West Bengal, ville, TN, United States
India
Mahesh Chandra Govil
Sudip Barik Deaprtment of Computer Science and En-
Department of Computer Science and Engi- gineering, National Institute of Technol-
neering, Kalyani Government Engineering ogy, Ravangla, Sikkim, India
College, Kalyani, West Bengal, India
Pon Harshavardhanan
Asmita Biswas Department of Computer Science and Engineer-
Department of Computer Science and En- ing, VIT Bhopal, Madhya Pradesh, India
gineering, Institute of Engineering and
Management, Kolkata, West Bengal, Charles A. Kamhoua
India Network Security Branch, US Army Re-
search Lab, Adelphi, MD, United States
Pushpita Chatterjee
Deaprtment of Electrical Engineering and Yash Kartik
Computer Science, Howard University, Department of Computer Science and Engi-
Washington DC, United States neering, VIT Bhopal, Madhya Pradesh,
India
Debashis Das
Department of Computer Science and Data Sumathi Lakshmiranganatha
Science, Meharry Medical College, Nash- Los Alamos National Laboratory, Los Ala-
ville, TN, United States mos, NM, United States
Priyanka Das Jerry Chun-Wei Lin
Deaprtment of Computer Science and En- Department of Computer Science, Western
gineering, National Institute of Technol- Norway University of Applied Sciences,
ogy, Ravangla, Sikkim, India Bergen, Vestland, Norway
Agni Datta Koustav Kumar Mondal
Department of Computer Science and Engi- Department of Computer Science and En-
neering, VIT Bhopal, Madhya Pradesh, gineering, Indian Institute of Technology
India (IIT) Jodhpur, Rajasthan, India
xviii Contributors

Koushik A. Manjunatha Deepsubhra Guha Roy

Department of Instrumentation Controls Department of Computer Science and En-
and Data Science,University of Alabama, gineering, Institute of Engineering and
California, United States Management, Kolkata, West Bengal,
India
Manash Kumar Mondal
Deaprtment of Computer Science and Engi- Dipanwita Sadhukhan
neering, University of Kalyani, Kalyani, Department of Computer Science and En-
West Bengal, India gineering, National Institute of Technol-
Pravin Mundra ogy, Ravangla, Sikkim, India
Medtronic, Minneapolis, MN, United States, Arijit Sil
the United States Department of Information Technology,
Laurent L. Njilla Meghnad Saha Institute of Technology,
Cyber Information Branch, Air Force Re- Kolkata, West Bengal, India
search Lab, Rome, NY, United States Yuvraj Singh
Akhilesh Pokale Department of Computer Science and Engi-
Department of Computer Science and Engi- neering, VIT Bhopal, Madhya Pradesh,
neering, VIT Bhopal, Madhya Pradesh, India
India Jyoti Srivastava
Danda B. Rawat Department of Computer Science and En-
Deaprtment of Electrical Engineering and gineering, Indrashil University, Gujarat,
Computer Science, Howard University, India
Washington DC, United States Chandan Thota
Sangram Ray Department of Computer Science and Engi-
Deaprtment of Computer Science and En- neering, VIT Bhopal, Madhya Pradesh,
gineering, National Institute of Technol- India
ogy, Ravangla, Sikkim, India
Yudong Zhang
Sidheswar Routray Department of Medical Social Sciences,
Department of Computer Science and Engi- University of Leicester, Leicester, United
neering, Indrashil University, Gujarat, India Kingdom
Abbreviations

DNS: Domain Name System

LDAP: Lightweight Directory Access Protocol
mssql: Microsoft Structured Query Language
NetBIOS: Network Basic Input/Output System
NTP: Network Time Protocol
SNMP: Simple Network Management Protocol
SSDP: Simple Service Discovery Protocol
TFTP: Test and Performance Tools Platform
UDP: User Datagram Protocol
Chapter 1

Machine Learning and Deep Learning

Approaches in Cyber-Physical Systems
Sumathi Lakshmiranganatha and Koushik A. Manjunatha

Chapter Contents
1.1 Introduction 1
1.2 Cyber-Physical Systems 2
1.2.1 Data Characteristics 4
1.2.2 Computing Framework 4
1.3 Machine Learning 5
1.3.1 ML Models 6
1.3.2 Feature Extraction Techniques 8
1.3.3 DL Models 8
1.4 CPS Applications 16
1.4.1 CPS Infrastructure Security 16
1.4.2 Critical Infrastructure 19
1.5 Adapting ML models 21
1.5.1 Model Compression Techniques 22
1.5.2 Accelerators 23
1.6 Open-Ended Research Challenges and Future Directions 23
1.6.1 Data Scarcity and Scalability for DL Models 23
1.6.2 Sensitivity and Security of ML and DL Models 24
1.6.3 Adversarial ML and Cyber Threats 24
1.6.4 Legislative Challenges for ML in Security 24
1.6.5 Explainability of ML and DL Methods in CPS 25
1.7 Summary 25
Acknowledgment 25
Bibliography 25

1.1 Introduction
Cyber-Physical System (CPSs) consist of physical systems interconnected with multiple software
algorithms to form an intelligent system. With the evolution of the Internet, there has been a
huge transformation of how the objects in a system are connected. Nowadays, the intercon-
nected traditional objects are transformed to smart objects, allowing people to interact with the
engineered systems CPS is an amalgamation of sensors, control, computation, and networking
integrating into the physical systems that connect each other and also connect them to Internet.
Technological advancements are not confned to a particular area when it comes to CPS. The
advancements can be observed in the embedded sensors, software frameworks for data analyt-
ics, communication protocols, and computing resources to name a few. CPS contains devices or

DOI: 10.1201/ 9781003376712-1

2 Secure and Smart Cyber-Physical Systems

things connected to the Internet to form a network to communicate and exchange data among
each other. This network of devices in a CPS is called the Internet of Things (IoT). The things in
IoT that are the physical objects are an integral part of our daily life which can be as simple as a
smartwatch tied to the wrist, smart bulb controlled by voice command, a smart refrigerator that
remembers weekly groceries to more sophisticated devices like wearable heart monitor, Radio
Frequency Identifcation (RFID) devices, smart parking lots, self-driving cars, smart building,
and many more. The heart of all these devices are various sensors that are embedded which col-
lect data based on the time interval set for the device. Therefore, IoT is driving the world toward
sensor-rich data that are continuously streamed and exchanged with each other through better
computing resources, sensing devices, and communication capabilities.
CPS applications can be applied to a wide range of applications namely: Consumer appli-
cations like a smart home; critical infrastructure applications like smart grid and smart city;
industrial applications like agriculture and manufacturing; and organizational applications
like healthcare, transportation, and military applications.One of the main objectives of CPS
is to provide intelligent services.
According to a forecast by International Data Corporation, there will be 41.6 billion IoT
devices that will be connected by 2025 which will inherently become a part of CPS. As the
network becomes large scale, new challenges arise with privacy and security, data storage,
communications, computations, and management of the devices in the network. As IoT gen-
erates a huge amount of data, traditional data processing and storage will not work for such
networks. The data obtained from IoT devices can be used for improving the user experience
or enhancing the IoT framework performance. The data can be studied for pattern behavior,
predictions, and assessments of the IoT network. Also, the data representation in an IoT net-
work is heterogeneous, and the devices generate a continuous stream of raw data. Therefore,
a single data-processing framework cannot be applied to the IoT-generated data which paves
the way for a need for new computational methods instead of traditional methods.
Also, the decision-making process and control actions of CPS in certain computing layers
demand real-time solutions. Traditional analytical methods are not suitable for achieving
real-time solutions. Therefore, data-driven methods are explored to minimize the computa-
tions and achieve real-time solutions. The most commonly used data-driven method is ML.
ML methods can extract useful information from the data generated. This enables in better
automation process, and the devices can change their behavior or take necessary actions
based on the knowledge inferred from the data which is a vital characteristic of a CPS. The
convergence of ML also improves communication and computations. While DL is a subset
of ML, they both have diferent capabilities. Therefore, in this chapter, we distinguish ML
and DL methods separately. ML and DL approaches have seen tremendous advancements
in the last decade. ML and DL methods have been implemented to a wide spectrum of ap-
plications from image processing, stock market analysis, behavioral analysis, and natural
language processing to mention a few. They have shown promising results with close to hu-
man performance. ML and DL have proven to be strong tools for huge data volumes.

1.2 Cyber-Physical Systems

CPS intertwines the physical components and the software components to perform operations
at diferent time scales. It provides the combination and coordination of the physical, computa-
tion, and software elements of the systems. The components in a CPS interact and exchange in-
formation at diferent levels to maintain the synchronism of the system. The main goal of CPS
is to improve the quality of human life by developing a smarter environment and providing a
Machine Learning and Deep Learning Approaches 3

simplifed lifestyle with a reduction in cost, energy, and time. CPS also has potential applica-
tions which can beneft multiple industries. In CPS, the physical and networking devices are
connected and exchange data with or without any human intervention or inputs. The layer in
which the devices of the CPS are connected through the Internet or network is known as IoT.
Therefore, in many applications, IoT can be treated as a subset of CPS as shown in Figure 1.1.
The models that consist of CPS and IoT have a certain degree of overlap based on the
requirements of the application. Based on the percentage of overlap between CPS and IoT,
the models are divided in four categories as described in Figure 1.2. In this chapter, the main
focus is the model in which IoT is the subset of CPS.
CPS applications involve Internet, and inherently, the devices connected in the applica-
tion become IoT devices. The aim of IoT is similar to the CPS to achieve a smarter environ-
ment except without any human interaction, making it a completely automated process.
Therefore, majority of ML and DL models are implemented and tested at the IoT layer as it
is well known for Big data and fast streaming data generation. The ML/DL models which
are implemented for IoT are inherently part of CPS. Depending on the application and
needs, appropriate data processing and preparation methods need to be performed. The
fow of data can be summarized as follows: the raw data of the environment is collected
from the IoT devices and sensors; the important features or knowledge from the data is
extracted; the data is sent to other objects, servers, or devices via the Internet. In recent

Figure 1.1 CPS–IoT connection.

Figure 1.2 CPS/IoT overlap models.

4 Secure and Smart Cyber-Physical Systems

years, Big data and data analytics for IoT have gained immense research interests due to
the following reasons:

1. Huge volume of data generated: A huge number of devices are deployed for various IoT
applications in a CPS, and these devices/sensors will generate continuous streams of data.
For example, in a smart grid, phasor measurement units (PMU) are placed to capture
the phasor values of the grid in real time. The phasor data generated by PMU is a huge
volume of continuous data.
2. Heterogeneous data: IoT network consists of a large variety of devices due to the conver-
gence of multiple applications and their requirements. Therefore, the data acquired by
diferent applications have diferent parameters sampled at varying times that result in
heterogeneous data. For example, IoT devices/sensors used for smart homes are diferent
from the devices/sensors used in military surveillance.
3. Inconsistency and noisy data: Inconsistency in IoT data is an inevitable problem due to
uncertainties associated with the devices/sensors. The data captured can be noisy due to
faulty devices or cyber intrusion. This leads to noisy data or gross errors in the data dur-
ing transmission and acquisition. For example, the data from PMU could be modifed by
cyberattacks during transmission from a device to the cloud.

1.2.1 Data Characteristics

The Big data characteristics can be described through the 6Vs presented in (1): volume,
variety, velocity, veracity, variability, and value. Based on the reasons described, the data
generated by a CPS application can be characterized in terms of Big data characteristics.

1. Volume: The devices in CPS generate huge amounts of data, clearly indicating Big data.
2. Velocity: The data generated by the devices in CPS are sampled at very high velocity in
general. However, the velocity of the data generated changes over time and is dependent
on the application.
3. Variety: The data is heterogeneous in nature. The data representation acquired from the
devices consists of various data types like time-series data, images, audio signals, video,
sensor measurements in diferent system of units, and many more.
4. Veracity: It refers to the trustworthiness, quality, and reliability of the data generated
from the devices. It plays an important factor in an intelligent decision-making approach.
5. Variability: This refers to the data fow at diferent rates. CPS consists of various devices
that generate data at diferent time intervals. Also, the data fow in IoT networks can be
at specifc times like the exchange of data in wearable devices during a particular mode.
6. Value: It is the crucial characteristic of Big data. It refers to information that can be
obtained from the data collected in business terms. In IoT, the value of the data can be
derived on the basis of the application.

1.2.2 Computing Framework

It is also important to understand the diferent computing frameworks in an IoT and the
methods of data processing for deploying intelligent models at each level. Three major com-
puting frameworks constitute an IoT network as shown in Figure 1.3.

1. Cloud computing: In this computing architecture, the computing resources are located
in remote locations, and the data is sent over the Internet. The resources are used to
Machine Learning and Deep Learning Approaches 5

Figure 1.3 IoT computing framework.

store, gather, analyze, and process the data. Cloud computing supports diferent types of
services based on the requirements like i) infrastructure as a service (IaaS), ii) platform
as a service (PaaS), iii) software as a service, iv) mobile backend as a service (MBaaS).
The cloud architectures vary depending on the user scenario as public, private, hybrid,
or community-based architecture (2).
2. Edge computing: In this architecture, the computing and data processing happen at the
source of the data or close to it in terms of physical location. In this computing frame-
work, the devices are not continuously connected to the network; therefore, the only
inference can be performed at the edge. The major advantages of edge computing are i)
low latency (there is no data transfer between the central server and the device) and ii)
increased analytical efciency. Edge computing is more suitable for time-sensitive prob-
lems that demand real-time operations (2). Edge computing can be adhoc in nature and
does not require extensive planning like cloud computing. In the near future, it has been
predicted that around 45% of the IoT data will use edge architecture (3).
3. Fog computing: Here, the computing architecture can be categorized between edge com-
puting and cloud computing. This was proposed by Cisco to address the latency issues
caused by time-sensitive applications (4). Fog computing provides limited computing,
storage, and networking facilities through virtual platforms.

1.3 Machine Learning

The ML approach is a data-driven approach that learns the features from the data sample
provided to make predictions or decisions. There are diferent types of learning methods
that ML uses to learn and extract the features from the data which are discussed as follows:

1. Supervised learning: In this type of learning, each input has its corresponding output
labels. The objective of the learning algorithm is set. The learning algorithms try to learn
the relationship between the input dataset and the output labels that are used for predict-
ing the output label of the new set in similar input data.
6 Secure and Smart Cyber-Physical Systems

2. Unsupervised learning: In this type of learning, the ML learning algorithm receives only
the input data, and the output labels are not specifed. Therefore, defning a common
objective for this type of learning is difcult. It is commonly used to classify the data into
diferent groups.
3. Reinforcement learning: In this, the algorithm learns an appropriate action or sequence
of actions that need to be performed on the basis of the reward function. The agents
learn through feedback mechanisms after interacting with the environment. These algo-
rithms are applied widely in highly dynamic applications like robot control where the
tasks are accomplished without a defned outcome. The reward function determines the
success and failure of the agent (5).

Along with the above three learning algorithms, semi-supervised ML algorithm is used when
the majority of the data is not suitable for supervised learning. This learning method falls be-
tween unsupervised and supervised learning. The general dataset is a combination of a small
amount of labeled data (i.e., each input data has a labeled output and a large amount of unla-
beled data used in unsupervised learning). In many practical applications, the labeled data ac-
quisition cost for training is high due to the requirement of human experts; whereas unlabeled
data acquisition is relatively inexpensive. Therefore, this method can be used for modeling
when there is a large set of unlabeled dataset combining with a small set of labeled dataset.
Most of the applications use ML models which are based on the above learning mecha-
nisms. In supervised learning, the type of tasks is dependent on the labels. The labels can be
discrete category values or continuous values. If the labels belong to a single discrete cat-
egory, the task is called a classifcation task; if the labels consist of one or more continuous
values, then the tasks are classifed as regression tasks. First, diferent types of ML models
are explained followed by DL models.

1.3.1 ML Models

1. Support vector machines (SVM): SVM is one of the ML models that is widely used in
both classifcation and regression tasks using supervised learning. It is a non-probabilistic
binary classifer in which the major objective is to fnd a hyperplane in an N-dimensional
space that separates both classes with a maximum margin. The data points falling on
either side of the hyperplane can be denoted as diferent classes. The number of hyper-
planes depends on the number of input features. For example, if the number of input
features is three, then the hyperplane is 2D. As the number of input feature increases, the
hyperplane dimension also increases. SVMs are among the best supervised learning mod-
els that can deal with high-dimensional datasets and have efcient memory usage. In (6),
the SVMs can be trained in an online fashion. SVM can be extended to solve regression
problems using the support vector regression (SVR) process. SVR model depends only
on a subset of the training data since the model only cares about training points within
the margin, and all the data points beyond the margin are rejected. The mathematical
equations to compute y and loss function are shown below. Model:

 n 


 i1

y sign   i yi xi , x  b 



Loss Function:
Hinge Loss = max(0,1 − y · f (x))
Machine Learning and Deep Learning Approaches 7

2. Naive Bayes (NB): NB is a probabilistic classifcation model based on Baye’s theorem with
an assumption of independence between the predictors. NB frst creates a frequency table
of all the classes and then creates a likelihood table from it. Based on the likelihood, it cal-
culates the posterior probability. NB is highly scalable and requires a small number of data
points for training. They can also deal with high-dimensional data points and trains fast.
3. K-nearest neighbors: KNN is a non-parametric classifcation model that classifes an un-
seen data point by looking at the K given data points in the training set that are closest to
the feature space. The commonly used distance metrics are Euclidean distance, Hamming
distance, or L∞ norm. Since the algorithm relies on distance for classifcation, if there are
multiple data represented in diferent physical quantities, it is suggested to normalize the
data before training. One of the major drawbacks of KNN is scalability. KNN requires
storing the entire training dataset which is cumbersome for large datasets.
4. Decision trees (DT): DT is a non-parametric supervised learning model that can be used for
classifcation and regression tasks. It is a decision-support tool with the main objective to
predict the value of the target variable based on simple decision tools based on features. DT
splits into multiple branches until a decision is made. The DT is drawn in an upside-down
fashion with its root at the top. Based on the decision it splits, a DT will have multiple
branches. The terminal node is called a leaf node which cannot be split any further since it
is the end of the branch. The performance of the trees can be increased by pruning which
involves the removal of branches that make use of features with low importance. DT is
simple to implement and understand. DT is independent of data features; therefore, data
preparation is minimal. However, DT is unstable because if there is a small change in the
data, it can lead to a completely diferent tree generation. DT can create complex trees that
cause overftting. The mathematical method to compute decision trees is given as

Model:
𝒴 = Tree(x)

Loss Function:
C

p 
2
Gini Index 1  i
i1

5. Random forests (RF): RF is constructed by combining multiple DT that can be used for clas-
sifcation and regression tasks. Each tree is trained on a subset of data that is chosen randomly
with replacement. If there are M input variables, then each node gets m variables selected
randomly out of M where m «M, and the best split is used on these m values. The value of m
remains unchanged during forest growing. RF has high accuracy, but it causes overftting. A
large number of trees can make the algorithm slow and infeasible for real-time applications.
The below equation is the mathematical representation for computing random forests.
Model:

𝒴 = MajorityVote(Tree1(x),Tree2(x), … ,Treen(x))

6. K-means clustering: It is an unsupervised learning model which involves dividing the

data points into K clusters; each described by the mean of the sample in the cluster. The
mean is generally defned as the cluster center or centroids. It assigns the data point to a
cluster based on the computed distance between the data point and the cluster centroid
8 Secure and Smart Cyber-Physical Systems

which is minimum. K-means clustering is a very fast and scalable algorithm. However,
K-means assign one data point to one cluster which may result in inappropriate clusters.
Also, it is not robust for the outliers.
7. XGboost: XGBoost is an ML algorithm that has gained popularity in recent years. This
algorithm works well for structured and tabular data. It is a gradient-boosted DT that is
been developed for faster execution speed and higher performance. XGBoost algorithm
implements optimizations at hardware, software, and algorithmic levels. In XGBoost,
the process of sequential tree building is parallelized due to the loop interchangeable
property. The hardware resource is efciently utilized by allocating internal bufers in
each thread to store gradient statistics. The overftting of the model is prevented by pe-
nalizing through L1 and L2 regularization.

In Table 1.1, a summary of diferent ML models discussed above is presented with poten-
tial applications that can be implemented.

1.3.2 Feature Extraction Techniques

Feature extraction techniques are widely used in ML algorithms due to their inability to
handle a large number of variables in high-dimensional spaces. Some of the variables in
the dataset may be redundant or do not have dominating features that can be extracted by
the ML algorithm. Therefore, the variables which are redundant or have features that do
not distinguish signifcantly from others are removed, and only the dominating features are
retained using feature extraction techniques. It reduces the dimensions of the input dataset.
Hence, the number of resources required to describe the dataset is reduced and aids in ML
model efciency. Feature extraction techniques were widely implemented in the early 1990s
and 2000s due to hardware resource limitations. The common feature extraction technique
is principal component analysis (PCA) and canonical correlation analysis (CCA). In PCA,
the dimension of the data is reduced by projecting each data point onto only the frst few
principal components while preserving as much variation in the data as possible. There are
other similar techniques that are used for feature extraction like linear discriminant analysis
and independent component analysis. CCA is a linear dimensionality reduction technique
that infers the information from the cross-covariance matrices. CCA is closely related to
PCA. CCA deals with two or more vector of features, unlike PCA which deals with one
variable or a feature. Table 1.2 shows a brief comparison between CCA and PCA.

1.3.3 DL Models

DL model consists of multiple layers of artifcial neural networks (ANNs) that are trained
using supervised or unsupervised learning. DL which is a subset of ML can be classifed into
three categories: i) Generative models that are used for unsupervised learning, ii) discrimina-
tive models that are used for supervised learning, and iii) the hybrid models that can be classi-
fed as semi-supervised learning. The diferent DL models are discussed briefy in this chapter.

1. Fully connected deep neural network (FC-DNN) or multi layer perceptron (MLP): A fully
connected deep neural network consists of one input layer, multiple hidden layers, and an
output layer. Each layer has multiple neurons that are the processing units of the network. The
neurons receive multiple input signals coming from the external environment denoted by a
Table 1.1 Summary of Different ML Models

Model Learning Category Input Data Characteristics Sample Applications

SVM Supervised Various It is a non-probabilistic model with low- Attack detection (7)
computational complexity Intrusion detection (8)
It aims to classify the input data into n Stability classification in smart grids (9)
dimensions by drawing a n–1 hyperplanes
It is suitable for high-dimensional datasets with
low memory usage
NB Supervised Various It calculates the posterior probability Securing DDoS attack (10)
It uses Bayes’ theorem to calculate the Smart agriculture (11)
probability of a particular feature set
Can deal with high-dimensional data
KNN Supervised Various The objective is to classify the new data point by Attack detection for small networks (7)
looking at the K closest points in the training set Anomaly detection (12)
For good performance, a new data point needs
to be closely associated with the training set
It requires storing the entire training set which
makes it non-scalable for large datasets

Machine Learning and Deep Learning Approaches

DT Supervised Various The training data is represented as trees and Smart healthcare scheduling (13)
branches for the learning process Intrusion detection (14)
The model is pretrained and then used to
predict for new samples
The trees are used to split the dataset into
branches based on a set of rules
Due to its constructive nature, it requires large
storage
RF Supervised Various It is constructed combining several DTs Detection of unauthorized IoT
It is robust to over-fitting devices (15)
It is not suitable for some real-time applications Crop yield prediction (16)
with large datasets since it is constructed with Traffic accident detection (17) for
multiple DTs smart cities
K-means Unsupervised Various It is an unsupervised learning method that Privacy protections in wireless sensor
clustering classifies the input data into K clusters based networks (18)
on the feature similarities Smart cities—traffic network
It is very fast and highly scalable assignment (19)
The cluster centers do not perform well for outliers
XGBoost Supervised Various It works for tabular and structured data Anomaly detection (20)
It has faster performance compared to other Fall detection in the elderly using
ML algorithms wearable devices (21)

9
Can handle missing data
10 Secure and Smart Cyber-Physical Systems

Table 1.2 Comparison of CCA and PCA

Method CCA PCA

Objective Maximizes correlation between Maximizes variance in a single dataset

two datasets
(multivariate analysis) (univariate analysis)
Data type Used for two sets of continuous Used for a single set of continuous
variables variables
(e.g., feature vectors, time series) (e.g., feature vectors, images)
Output Canonical variates (linear Principal components (orthogonal axes)
combinations)
representing correlated patterns representing most significant variation
Applications Multimodal data integration Dimensionality reduction
(e.g., neuroscience, genetics) (e.g., data visualization, feature
extraction)

set of input values or from other neurons connected to them. The relationship of each input is
calculated by multiplying the synaptic weight to validate all the information received by that
neuron. The weighted sum is then passed through an activation function to limit the output
of the neuron. Depending on the task defned, the output of the neuron can be a continuous
or discrete value. The neural network is supposed to learn the relationship between input
and output provided to the network. Once the network learns the relationship, it is capable
of predicting the output for any given input. To generalize the output, the weights associated
with the neurons need to be tuned by a training process using a suitable learning algorithm.
The training process begins with the initialization of random synaptic weights for the
network. The weights are adjusted or changed at the end of each iteration in a particular
direction to reduce the error between the desired and the actual outputs. An iteration to
complete the adjustment of the synaptic weights and the threshold for all the input patterns
presented to the network is called an epoch. The network is trained after going through the
defned number of epochs with the given training data; the network can be used for testing
other values. The error between the actual output and the desired output is termed as the
cost or loss function. The training algorithm aims at achieving the minimum cost function
to train the network by adjusting the weights for each layer to classify the data. It is crucial
to have correct weights at each layer to train the network. Therefore, the general method
for obtaining the weights updates of the networks is done by optimization methods. There
are several optimization methods like gradient descent, momentum, and RMSProp to up-
date the weights. The commonly used optimizer to train the network is the gradient descent
optimizer. This optimizer implements a full-batch fundamental backpropagation algorithm
which updates the weights for the entire dataset using its gradient. The weights must have the
negative direction of the gradient to fnd the global minimum. The cost function is minimized
to fnd its global minimum. One of the widely used training algorithms for FC-DNN is the
backpropagation algorithm. The training process using the backpropagation algorithm is
done by the successive application of two specifc stages: a) forward stage and b) backward
stage as shown in Figure 1.4. The forward stage is the frst stage, where the inputs from the
training data are inserted into the network inputs and are propagated layer-by-layer until the
output is calculated. In the second stage, diferences between the actual and desired outputs
are calculated and used to adjust the weights and thresholds of the neurons in the network.
Therefore, the successive application of forward and backward stages allows the synaptic
weights and thresholds of the neurons to be adjusted automatically in each iteration.
Machine Learning and Deep Learning Approaches 11

Figure 1.4 Backpropagation algorithm for FC-DNN.

Figure 1.5 CNN architecture.

2. Convolution neural networks (CNN): FC-DNN is a dense network due to connections be-
tween each neuron in every layer limiting the network to scale. For images or vision-related
tasks, where the image contains the translation invariance characteristics that are not learned
in the FC-DNN networks. However, CNN solves this problem using convolutional kernels
that capture the translation invariance charateristics in the image. A typical CNN architec-
ture is shown in Figure 1.5. The input to a CNN typically is a grid topology. The data is rep-
resented either in a 1D grid or 2D grid which can be an image, audio signal, or video frame.
CNN extracts the features of the image using convolutional kernels in each hidden layer. The
output of the convolutional layer is the feature map. The feature map is obtained by calculat-
ing the inner products of the input and the flter. Each convolutional kernel can be diferent
sizes starting from 1 × 1. The general rule of thumb is to have few feature maps with a large
kernel size at the beginning of the CNN network so the large features are extracted. As the
network gets deep, more kernels with smaller sizes are used to extract nonlinear and smaller
features. In many CNN implementations, a small flter size is used to have deeper networks.
The convolution layer is followed by a detection layer which has an activation function.
12 Secure and Smart Cyber-Physical Systems

Usually, the activation function is rectifed linear unit (ReLU) for the CNN. Following the
detection layer, the pooling layer is applied. It downsamples the input data to reduce the
number of learnable parameters and number of computations in the network (usually by
half at every layer). The pooling layer operates over each activation map independently. Max
pooling and average pooling are used in the CNN architecture. The last layer of the CNN
architecture is the fully connected layer which converts the matrix to a 1D vector. The output
of the fully connected layer is the number of desired outputs. One of the major advantages
of using CNN over DNN is that each neuron in the DNN connects to all input dimensions;
whereas in CNN, only a small portion of the input is connected to a neuron. This helps in
the great reduction of the parameters that need to be trained. Given an input image or feature
map X with dimensions N × H × W × C, where N is the number of samples, H is the height,
W is the width, and C is the number of channels. The CNN applies convolutional flters or
kernels K, nonlinear activation functions σ, and pooling operations Pool.
The output feature map of a CNN layer Y can be obtained using the following math-
ematical formulation:

Y = σ(Conv(X, K) + b)

3. Recurrent neural networks (RNN): While CNN is suitable for a spatially oriented applica-
tion, RNN is suitable for time series applications. RNNs carry the information time step in
their internal memory which is known as hidden state ht making it suitable for time series or
sequential applications. A standard RNN unrolled in time is shown in Figure 1.6. The out-
put of ht is calculated from the input xt and the history ht−1 which is the output at time t − 1.
Block A in the fgure represents a layer of n neurons. Each neuron is equipped with a feed-
back loop that returns the current output as an input for the next step. However, for the
standard RNN, the number of hidden states to store temporal information is one. There-
fore, standard RNN is not suitable for long-term dependency of the data. Also, standard
RNN implementation results in vanishing gradients and gradient explosion. This problem
afects the weight updates during the training process leading to erroneous learning.
To overcome the problems posed by the standard RNN network, the variant called long
short-term memory network (LSTM) is developed. LSTM network is made up of LSTM cell

Figure 1.6 RNN architecture.

Machine Learning and Deep Learning Approaches 13

Figure 1.7 LSTM cell.

block shown in Figure 1.7 instead of standard RNN layer. The backbone component of the
LSTM network is the cell state that has a memory that helps to remember the past values
by accumulating the state information st at every time step t. The LSTM cell block consists
of three gates namely: input gate, forget gate, and output gate. The sigmoid activation func-
tion is applied to all three gates to accumulate the information and control the information
fow to trap the gradient in the cell. Based on which gate is activated, the input information
is accumulated, forgotten, or passed on to the next state. LSTM networks have proven to
perform better than the standard RNN networks.
Given an input sequence X = {x1,x2, … ,xT }, the LSTM computes hidden states H and cell
states C using input gate i, forget gate f, output gate o, and a candidate cell state C̃.
The LSTM equations are as follows:

it   Wxi xt  Whi ht 1  bi 

ft   Wxf xt  Whf ht 1  bf 
ot  Wxo xt  Who ht 1  bo 


C t tanh Wxc xt  Whc ht 1  bc 
C  f  C  i  C
t t t 1 t t
h
t ot  tanh
t Ct 
4. Autoencoders (AE): AE is a type of DL model that falls under the unsupervised cat-
egory. AE network has two parts. First, the encoder learns a lower-dimensional feature
representation from an unlabeled dataset. Second, in the decoder, the code or the repre-
sentation features of the data try to reconstruct the original input data. The encoder and
decoder can have multiple hidden layers. AE has the same number of input and output
units. The basic architecture is shown in Figure 1.8. Due to their ability to reconstruct the
input at the output layer, autoencoders have a wide range of applications in industries for
14 Secure and Smart Cyber-Physical Systems

Figure 1.8 Autoencoder architecture.

fault detections and anomaly detection. There are variants of AE namely, contractive au-
toencoder (CAE), variation autoencoder (VAE), sparse autoencoder (SAE), and de-noising
autoencoder (DAE).
The autoencoder objective function minimizes the reconstruction error between the input
X and the output X̂:

min ((X, X̂ ) = ||X − D(E(X))||2

E, D

And VAE objective function combines a reconstruction loss and a regularization term
using the Kullback–Leibler (KL) divergence:

min (X, Xˆ , z) 
q(z|X)[ log p(X | z)]  KL(q(z | X) || p(z))
E, D

5. Generative Adversarial Networks (GANs): GANs are used for generative modeling us-
ing DNN like CNN and RNN. For a given training set, GANs learn to generate new data
with the same statistics as the training set. GANs consist of two neural networks: i) genera-
tive network and ii) discriminative network. The two networks work together to produce
high-quality and synthetic outputs. The generative networks learn from the input dataset
to generate new data. The discriminative model tries to classify the date if it is real (actual
input data from the domain) or fake (generated from the generative model). The network
is trained until the discriminative network cannot distinguish between the actual and fake
data. In GANs, two networks compete with each other based on zero-sum games in which
one network tries to maximize the value function, and the other network tries to minimize
it. The generative network generates a batch of samples in an unsupervised manner. The
discriminative network receives two inputs: i) output of the generative network and ii) the
real example from the domain to classify them as real or fake. The discriminative network
Machine Learning and Deep Learning Approaches 15

gets updated to get better at classifying the real and fake samples in the next round. The
generative networks get updated on the basis of how well the generator samples deceived
the discriminative network. In Figure 1.9, the GANs architecture is shown.
GANs have gained immense popularity due to the capability of generative high-quality real-
istic examples in a wide range of applications. It has shown promising results in cases of image-
to-image translation. The GAN objective function can be formulated as a minimax game:

D, G)  x~ pdata (x)[log(D(x))]   z~pz (z)[log(1  D(G(z))))]

min max V (
G D

6. Restricted Boltzmann Machine (RBM): RBM is a stochastic ANN that learns the prob-
ability distribution from a given training dataset. RBMs consist of two layers: a) visible
layer and b) hidden layer. The architecture of RBMs is shown in Figure 1.10. In RMBs, the
neurons are called nodes, and each node is connected to each other across the layers, but

Figure 1.9 GAN structure.

Figure 1.10 RBM structure.

16 Secure and Smart Cyber-Physical Systems

Figure 1.11 DBN structure.

no two nodes are connected in the same layer. The training data is assigned to the visible
node that needs to be learned. Then, the output of all the visible nodes is passed to each
hidden node in the hidden layer. Because of this, the RBMs form a symmetric bipartite
graph. The results from the hidden node are passed through the activation function to
produce one output for each hidden unit. The training of RBMs can use a backpropagation
algorithm and diferent weight optimization techniques. The main objective is to minimize
the error and maximize the product of all probabilities of the visible units. RBMs func-
tion in a similar fashion as AEs for a simple feed-forward network. RBMs are also used
as building blocks in deep belief networks (DBNs). RBMs are useful for dimensionality
reduction problems, regression, feature extraction, classifcation, and topic modeling.

7. Deep Belief Networks (DBNs): DBNs are generative models which consist of multiple
hidden layers which have interlayer connections but not intra-layer connections. DBNs are
composed of unsupervised networks like RBMs and AEs. DBNs learn to reconstruct the
input as well as extract the features in a hierarchical manner. Once the DBN is trained in an
unsupervised manner, DBNs can be further trained to perform classifcation tasks by adding
a softmax layer. The DBNs are trained in a greedy fashion with one layer at a time. This
makes the DBNs one of the most efcient and fast algorithms in DL. The architecture of the
DBNs is shown in Figure 1.11.
In Table 1.3, a summary of diferent DL models discussed above is presented with poten-
tial applications that can be implemented.

1.4 CPS Applications

ML and DL algorithms have been researched for multiple CPS applications like smart grids,
smart healthcare, and smart homes to name a few. A brief discussion on ML and DL meth-
ods applied to IoT infrastructure and security is provided in the next section.

1.4.1 CPS Infrastructure Security

One of the major concerns in the CPS is the privacy and security of the data generated by
numerous devices in the system. A major threat for the security of CPS arises from the IoT
Table 1.3 Summary of Different DL Models

Model Learning Input Data Characteristics Sample Applications

FC-DNN/ Supervised Various It is a fully connected network Detection of distributed

MLP The error function is minimized using a denial of service (DDoS)
backpropagation algorithm (22)
It is a dense network with all neurons connected to Brain tumor detection in
neurons in the next layer healthcare (23)
CNN Supervised 1D (sound), 2D It is the robust supervised DL method Traffic sign detection (24)
(images, video It has fewer connections between layers compared Plant detection (25)
frames, etc.) to FC-DNN and good for spatial dataset Food analysis (26)
With new features, the CNNs are scalable and their
training time complexity is improved
It has a high computational cost
It requires a large training set to achieve good

Machine Learning and Deep Learning Approaches

performance
RNN Supervised Various, time- It considers the temporal dimension of the Activity prediction (27)
series data sequential data and learns them using hidden units of Energy demand prediction
recurrent cell in smart grid (28)
The main issue of RNN is vanishing or exploding Authentication and access
gradients control (29)
To address the vanishing or exploding gradient issue,
a variant of RNN called LSTM is used
LSTM is suitable for long-time lag data
The memory cell is accessed by gates depending on the
input data
AE Unsupervised Various It is an unsupervised learning model that has two Botnet attack detection
parts: i) an encoder that converts the input into an (30)
abstraction code and ii) a decoder that takes the Real-time traffic speed
abstraction code to reconstruct the input data estimation (31)
It is suitable for feature extraction and dimension
reduction with no prior data knowledge
It is computationally expensive

(Continued)

17
Table 1.3 (Continued)

18
Model Learning Input Data Characteristics Sample Applications

Secure and Smart Cyber-Physical Systems

1.4.2 Critical Infrastructure

ML and DL methods applied to a wide spectrum of applications like smart grids, health-
care, industries, agriculture, and transportation can be categorized as the critical infrastruc-
ture of CPS applications for a smart city. A brief literature review of ML and DL methods
applied to these applications are presented.
The power grid is no longer an unidirectional communication with the advanced digital
technologies for real-time analysis along with the integration of renewable energies to the
grid. Various ML and DL models are implemented to forecast the load requirements in
real-time. The research in (46) compares various ML models for load forecasting in a smart
grid. In this research, they used data-imaging conversion-based CNN for the time-series data
with temperature, weather, and date for load forecasting. The implementation of SVM for
predicting the stability of the grid using synchrophasor data collected during the post-fault
period of the system subjected to a large disturbance is shown in (9). Overall, 97% predic-
tion accuracy was obtained for simulated cases containing PMU data. They achieve the
20 Secure and Smart Cyber-Physical Systems

highest performance for the proposed method with SVM being the second-best method. The
researchers in (28) use a combination of CNN- and LSTM-based neural networks for resi-
dential energy consumption prediction. The CNN layer can extract the features between sev-
eral variables impacting the energy consumption, and the LSTM layer is used to obtain the
temporal information of the irregular trends in the time-series components. The proposed
CNN–LSTM network method achieves the prediction performance very close to the actual
data that was previously difcult to predict using the DNN method. The research in (47)
uses the RBM-based DL method to predict a building’s energy fexibility in real time. The re-
search in (48) implemented the CNN for transient stability assessment and instability mode
prediction. CNN is implemented to predict the stability of the system and classify the data
into stable, aperiodic unstable, and oscillatory unstable. The best performance was achieved
using the CNN when compared to other ML models with 97% accuracy. Along with CNN,
a new class of DNN called ConvLSTM network is used to predict the parameters of the
critical values like PMU voltage phasors to perform stability analysis is being researched in
(49). This research explores the application of DNN for system-wide parameter prediction.
A survey on various frameworks, performance, and challenges for the smart grid implemen-
tation can be found in (50).
Various methods are explored to produce healthy crops and efcient farming tech-
niques to provide a healthy and sustainable environment. There are several uses of ML
and DL models for smart agriculture for diferent stages of farming from soil testing to
harvesting. In (16), the research demonstrates the use of the RF method for yield pre-
dictions of sugarcanes. The prediction helps in making farm decisions like how much
nitrogen fertilizer to apply, maintenance of the miller, and labor schedules for milling.
The research in (51, 52) demonstrates the use of CNN-based DL method for plant dis-
ease detection. The research in (25) used CNN for the identifcation of citrus trees using
unmanned aerial vehicle imagery. The authors in (53) propose a multilevel DL architec-
ture land cover and crop-type classifcation from multi-temporal, multi source satellite
imagery. CNN implementation outperforms other ML models like RF and MLP with
85% accuracy in detecting major crops. The research in (54) used SVM for pest detec-
tion. DL is widely used in fruit detection and determining the stage of fruit for automatic
harvesting. The research in (55, 56) uses region-based CNN (R-CNN) for the analysis
of the fruit. A comprehensive review of ML and DL methods applied to agriculture is
provided in (57–59).
CPS, IoT, and ML methods are infused to bring better healthcare solutions and well-being
practices among individuals and communities. ML-based models are widely used in health-
care for various ailments’ detection. In (23), the authors propose the use of MLP in detecting
brain tumors using MRI images. The proposed model outperforms the NB method with
98.6% accuracy. CNN is implemented in assessing cardiovascular disease based on mam-
mograms (60). The results demonstrate that the DL approach achieves a level of detection
similar to the human experts. An overview of diferent ML algorithms applied in cardio-
vascular disease is provided in (61). Models have been implemented for ftness devices to
analyze the data and make predictions (62). The data collected from wearable smartwatches
such as participants, terrain, calories, and steps. DT and RF have the best performance
for participant prediction, whereas NB has the best performance for steps. CNN-based
framework is developed to provide the nutritional value of the food in real time (63).
The top-1 accuracy achieved is 85% in classifying the food. The research in (26) provides
Machine Learning and Deep Learning Approaches 21

visual support of calorie intake of the food using R-CNN-based DL model. Various DL
models are implemented for the early diagnosis and study of Alzheimer’s disease (64, 65).
A brief survey of ML models for cancer detection is studied in (66). Along with traditional
DL and ML methods with IoT, the recent research advancements are focused on Federated
Learning (FL) which is a distributed AI paradigm. FL is more benefcial in smart healthcare
as they don’t share any raw data for training. This addresses the main concern of using any
AI-related frameworks which is data privacy. The use of FL and its challenges are provided
in (67), and a survey of smart healthcare is summarized in (68). The research in (69) dis-
cusses about the efective use of cloud-based healthcare system using DL methods for IoT
healthcare in smart cities.
Transportation system is one of major CPS applications where most of the data are gener-
ated. As the automotive industry is making technologically advanced vehicles, it is important
to integrate the intelligent system. The research in (24) used CNN for real-time trafc sign
detection. This approach has 99.96% of accuracy in classifcation. The model is run on an
embedded GPU platform. With autonomous driving, driver assistant systems, mobile map-
ping services, and reliable services are demanded. Self-driving cars use DNN for real-time
analysis of various tasks like detecting the speed limit and identifying the pedestrians, traf-
fc signs, etc (70). (71, 72) researches driver behavior identifcation using DL models and
challenges associated with it. ML and DL algorithms have been explored for transportation
systems in various aspects. (73) discusses the use of CNN and LSTM networks for trafc
fow prediction of smart city planning using intelligent transportation systems. This method
incorporates the spacial and temporal features for better prediction of trafc fow. In (74, 75),
various ML algorithms applied for smart transportation are provided. Industries are incorpo-
rating advanced technologies with IoT and CPS called Industry 4.0. The industries must have
high-accurate intelligence to work efciently and productively. ML and DL models have been
used in many industrial applications making them intelligent with the reduction in operation
and maintenance costs. There are numerous research surveys conducted for ML and DL algo-
rithms implemented in industrial applications like smart machine process (76), fault diagnosis
(77), and autonomous order dispatching (78). A survey of current state-of-the-art CPS and
IoT technologies implemented for Industry 4.0 is discussed in (79). The progress of incorpo-
rating the technological advancements in Industry 4.0 to the need for more explanability in
AI is summarized in (80).

1.5 Adapting ML models

ML and DL models have shown promising results like image, speech, and video applica-
tions. Majority of these applications are executed on IoT devices of the CPS. Transforming
these IoT devices into smart devices requires some computationally inexpensive intelligence
frameworks for deployment. ML models, particularly DL models, are not feasible for re-
source constraint devices for the training process since DL models need a large amount of
computing resources, memory, and power. Studies in (81) show that resources available on
these devices are insufcient to perform inference from a pretrained model. Many research-
ers have explored and studied fundamental methods of DL models to adapt to low-power
resource constraint devices with modifcation to the DL models while maintaining high
accuracy (82). Here, various approaches for the DL model deployment for IoT devices are
briefy discussed.
22 Secure and Smart Cyber-Physical Systems

1.5.1 Model Compression Techniques

A typical DL model consists of millions of trainable parameters that require large computa-
tional and memory resources. To adapt to a resource constraint problem, research interests
in model compression have grown over the past few years.

1. Pruning: This is one of the model compression methods, in which the redundant and use-
less weights of the network are removed to reduce the network complexity and over-ft-
ting (83, 84) called the pruning technique. Recently, (85) demonstrated that pruning does
not impact the accuracy when applied to the state-of-the-art CNN models. In this method,
the dense network is converted into a sparse network, and the sparse values are stored
using a compressed sparse row (CSR). This method does not reduce the number of layers
in the original network. In Figure 1.12 , the concept of DNN pruning is demonstrated.
2. Quantization: A typical representation of weights and activations in deep networks are
32-bit foat point numbers. Quantization reduces the number of bits that represent these
weights and activations which in turn reduce the memory required for storing the values.
Quantization applied for the pruned network reduces the memory storage and compu-
tations signifcantly. The authors in (85) demonstrate the quantization technique for
pruned AleXNet with eight-bit representation without any compromise in accuracy.
3. Knowledge distillation (KD): In this method, two types of networks are trained: 1)
teacher network and 2) student network as shown in Figure 1.13. KD trains the student
network (i.e., a smaller network that mimics the large teacher network). The student
network utilizes the information contained in the soft targets from the teacher’s network
to aid the training of the student network. KD along with quantization enables model
compression which reduces the memory footprint and complexity of the networks. The
number of layers can reduce using KD in the student network (86). In research (87), the
KD can be applied for networks with unlabeled datasets.

Figure 1.12 Pruning technique.

Machine Learning and Deep Learning Approaches 23

Figure 1.13 Knowledge distillation.

1.5.2 Accelerators
With the growth of DL models, suitable hardware designs are developed to optimize the
memory footprint and power consumption in IoT devices. The main focus of developing
the accelerators for the device is on inference rather than training the DL models. Various
researches (88, 89) have been conducted to develop accelerators to adapt to IoT devices.
Along with hardware accelerators, various researches have been conducted using software
frameworks.

1.6 Open-Ended Research Challenges and Future Directions

Even though ML and DL approaches have shown promising results, and eforts are made
to incorporate the ML and DL approaches into CPS, there are several challenges associated
with it. In this section, a brief discussion of various challenges is presented followed by
future directions and research opportunities.

1.6.1 Data Scarcity and Scalability for DL Models

One-size-fts-all solution may not be achieved with DL models, as the model trained for
one domain might not be able to perform well for another problem in a similar domain.
The model needs to be retrained to ft into another domain. This might not be an issue for
static domains but challenging for real-time CPS applications as collecting and processing
24 Secure and Smart Cyber-Physical Systems

data, as well as retraining, can be difcult due to limited computational resources. Besides,
the representative data for each behavior are rare events (e.g., machine failure) causing an
imbalanced dataset for model retraining and thus negatively impacting on the inference
and decision-making. Heterogeneity in considered environments, as well as sensors, also
impacts ML–DL model scalability across the same domains. On the other hand, due to the
heterogeneity of the data collected from devices with diferent modality and granularity,
there could be ambiguity and spuriousness. Future work need to consider addressing these
challenges.

1.6.2 Sensitivity and Security of ML and DL Models

The data in CPS are typically collected from sensors, and sensors have diferent sensitivity
and operation levels in diferent environments. Thus, trained ML and DL models will also
be susceptible to change in data patterns leading to the butterfy efect. Such a swing in
model results can further pose additional challenges. First, the trained model cannot track
or detect issues in the sensors and change their operating characteristics. Second, the ML–
DL models become prone to security attacks such as Trojan attacks. An adversary can inject
false data and easily mislead the model inferences. More investigation is needed to tackle
the privacy and integrity of the models.

1.6.3 Adversarial ML and Cyber Threats

ML and DL models nourish the data, but adversaries can use ML and DL models for
malicious purposes. Such a branch of ML and DL is called adversarial machine learning
(AML). With AML, adversaries can perform spoofng attacks, generate realistic fake data,
and understand inferencing patterns of other ML and DL models by playing with the train-
ing parameters, thus misleading the learning system. GANs and other AML models with
perturbation can be used by adversaries to attack IoT networks and operations. Hence,
ML and DL models can backfre if they are not safeguarded from their vulnerabilities. On
the other hand, in critical infrastructure deployment, compromised data can be a threat to
human lives and device safety. Furthermore, the compromised data can also be another ap-
proach of adversarial attacks. Hence, it is important to ensure the security of IoT devices
and the health of the generated data for ML–DL training, and it is extremely important to
investigate the role and impact of AML approaches on IoT networks.

1.6.4 Legislative Challenges for ML in Security

The infux of CPS services and applications is surging and spurring legislative discussion.
Most CPS applications are struggling with efcient and acceptable legislative policies. Con-
sidering ML and DL models are black box solutions, it is very challenging to convince or
sell ML and DL solutions and develop technology-oriented legislative policies. As ML and
DL models require data for training, the privacy of the users and data leakage become top
concerns while making policies. Furthermore, each country will have its own policies for
diferent applications; hence, one security framework might not work for other regions and
applications. It is apparent that the legislative policies decide the course for the success,
deployment, and adaptation of new technologies among consumers.
Machine Learning and Deep Learning Approaches 25

1.6.5 Explainability of ML and DL Methods in CPS

Every device in CPS generates data, and that data is processed as needed to train the diferent
ML/DL models. The results inferred from these models are based of from a black box calcula-
tions. In order to completely rely on the ML/DL results, the user must be completely confdent
of the data that has been used for training and testing the models; if not, it would simply be
treated as a garbage-in garbage-out scenario. Given the scarcity and quality of the data for cer-
tain areas of critical infrastructure, one cannot rely just on the ML/DL results to take the neces-
sary actions. There is a pressing need to more than ever to understand how the ML/DL model
concludes the results based on the data that is been used to train and interpret the calculations
at each layer. This is one of the major challenges that is hindering from completely deploying
AI-driven models in real-world scenarios. There are several software like LIME, Shapley values
to name a few that translate the ML/DL models to human understanding which could help us
to implement ML/DL models in confdence. In the future, more tools need to be developed in
understanding how the ML/DL models work to beneft their implementation.

1.7 Summary
ML and DL approaches have gained great attention in the last decade for various applica-
tions. With the growth of CPS for various applications and the number of devices connected
in the CPS, there is a need for efcient methods to process, analyze, and predict from the
data generated by these devices. One of the main objectives of CPS is to provide intelligent
services. Various researches have demonstrated that it is possible to achieve intelligent ser-
vices by combining the ML and DL approaches with CPS mainly with IoT. In this chapter,
we reviewed the characteristics of data generated in a CPS and a brief overview of various
ML and DL algorithms that are used for CPS applications. We also provided a brief litera-
ture review of ML and DL methods implemented for CPS security and critical infrastruc-
ture. From the literature, it is observed that ML and DL approaches have shown promising
results for various CPS applications. A brief discussion of adopting ML and DL methods
for IoT devices that are resource constraint and the recent advancements in the feld was
also carried out this chapter. Finally, we concluded the chapter by discussing the challenges
posed and future directions for using ML and DL approaches to IoT networks in CPS.

Acknowledgment
The LA-UR for this document is LA-UR-21–29411.

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Chapter 2

Securing Cyber-Physical Systems Using

Artificial Intelligence
Pon Harshavardhanan, Agni Datta, Yuvraj Singh, Yash Kartik,
Chandan Thota, and Akhilesh Pokale

Chapter Contents
2.1 Introduction 30
2.2 CPS Description 32
2.3 CPS Architecture 33
2.3.1 Layers of Attack Vector 37
2.4 Security in CPS 38
2.5 Methodology 39
2.5.1 General Approach for Security in CPS 39
2.5.1.1 Security Implementation Challenges 41
2.6 How Artifcial Intelligence Can Help Solve CPS Challenges 42
2.6.1 Results 43
2.7 Discussion 44
2.7.1 DDoS Attack in CPS 44
2.7.1.1 How Does DDoS Attack Afect CPS? 45
2.7.1.2 Understanding How to Prevent CPS from DDoS
Attack Using AI 45
2.7.1.2.1 ABOUT THE DATA SET 45
2.7.1.2.2 IMPORTING REQUIRED PYTHON LIBRARIES 45
2.7.1.3 Methodology 47
2.7.1.4 Data Pre-processing 47
2.7.1.5 Model 47
2.7.1.5.1 MODELS SELECTION 48
2.7.1.6 Training 48
2.7.1.7 Testing 49
2.7.1.8 Evaluation 49
2.7.2 Model Analysis 50
2.7.2.1 Pros and Cons of the Above ML Methods 51
2.8 Conclusion 52
References 52

2.1 Introduction
CPS is the next generation of intelligent systems that combine the inherent and comprehensive
embedding of communication and control technologies to integrate computational resources
with hardware facilities [5]. CPS combines computational and physical processes at the micro-
level by embedding computer and telecommunications kernels in hardware. CPS is a reactive

DOI: 10.1201/9781003376712-2
Securing Cyber-Physical Systems Using AI 31

hybrid structure comprising distributed asynchronous heterogeneous networks operating in

diverse spatial and temporal ranges, as well as numerous resources and confgurable modules
such as sensing prediction and evaluation. For the implementation of lightweight symmet-
ric cryptography in CPS, difculties generally include fnding a balance between industrial
requirements and publicly available research data. While CPS is a huge facilitator of better
living standards across the globe, the coupling of physical systems and the virtual realm poses
vulnerabilities that if not addressed can have disastrous repercussions. The CPS modules are
more vulnerable to an attacker, raising the possibility of physical attacks that might compro-
mise security. The tremendous lifetime of CPS also needs the capacity of CPS components to
withstand new threats that are continually emerging. What makes CPS security so much more
difcult is that all these risks and security difculties are frequently to be managed in severely
limited contexts due to multiple variables such as low-cost and low-energy requirements [23].

Defnition 1.10 Cyber-physical systems (CPS) are a new class of computing systems that
combine complex computational and physical functionalities, and they may interact and
communicate with individuals in novel forms.

CPSs are computing networking and physical process integration [31]. Physical processes in
these systems are usually monitored and controlled by sophisticated embedded computing
and networking, which include feedback loops where physical activities afect calculations
and vice versa. The commercial and sociological capability of such platforms is far higher
than has been realized; therefore, heavy resources are primarily being invested globally to
advance this modern technology. The technology draws on the earlier yet quite new feld of
embedded systems which are processors and software installed in devices besides just comput-
ers including automobiles, toys, healthcare products, and laboratory equipment. CPS mixes
physical process dynamics with computer software and networking dynamics, giving frame-
works as well as modelling design and analysis approaches for the connected total system [31].
The capacity to communicate with and augment the possibilities of the surrounding
environment through computing communication and automation is a crucial component
for prospective technological advancements in this feld. The merging of engineering and
physical application domains with computer science engineering devices and cyberspace
worlds is the core idea behind CPS development. Physics simulation and realistic intangible
attributes like uncertainties in nature and volatility of the business are illustrations of fun-
damental natural concepts. At the same time, computer science and engineering fundamen-
tals concentrate on embedded applications, communications computing, and programming
methods. CPS has fve tiers of technological application, and the structure of such a system
is as described in the following:

• Smart Connection Level: Gathering data from machines or components in an expedient,

consistent, and precise manner and delivering it to the information transformation layer.
• Data-to-Information Conversion Level: Gathering and transforming data transferred from
the smart connection level into relevant data for prediction and business applications.
• Cyber Level: A centralized data centre for the system infrastructure and information
from each of the interconnected devices constructs a machinery network after accumu-
lating a large amount of data specialized analysis is necessary to retrieve more data to
fully comprehend the status of each device; these evaluations could also provide devices
with the potential to self analyse with other similar devices or try comparing and analyz-
ing devices at diferent points in time which facilitates in a thorough understanding of the
status of each device in the cluster.
32 Secure and Smart Cyber-Physical Systems

• Cognition Level: The device is analysed after gathering data from other devices via the
network stack and contrasting it to other occurrences. Certain particular prediction al-
gorithms are used to forecast or determine the time of component failure based on previ-
ously gathered information.
• Confguration Level: Technicians and industrial managers may base decisions on input
from cyberspace to physical space, as well as system monitoring and administration. Si-
multaneously, the device by itself can decrease the damage by system failures, permitting
the rectifcation of mistakes as well as the implementation of precautionary measures.

CPSs are becoming increasingly prevalent in our daily lives, with the integration of physical
processes with computing and communication technologies. CPS has revolutionized several
industries, including healthcare, transportation, and energy management. However, this inte-
gration has also made these systems vulnerable to cyberattacks, which can have severe physi-
cal consequences, such as equipment damage, power outages, and even loss of life. Securing
CPS has, therefore, become a critical concern for industries, governments, and society as a
whole. CPS security involves the protection of these systems from cyber threats, ensuring
that they operate as intended and maintaining their confdentiality, integrity, and availabil-
ity. CPS security is a multidisciplinary feld that requires the collaboration of experts in com-
puter science, engineering, mathematics, and other related felds. However, the integration
of physical processes with computing and communication technologies makes these systems
vulnerable to cyberattacks [13], which can have severe physical consequences. For instance
a cyberattack on an industrial control system can result in equipment damage, power out-
ages, and even injuries or loss of life. Thus, securing CPS has become a critical concern for
industries, governments, and society as a whole. This chapter aims to explore the importance
of securing CPS, the potential risks and consequences of cyberattacks on these systems, and
the various techniques and approaches that can be used to ensure their security. Through this
research, we hope to raise awareness about the need for efective CPS security measures and
encourage further eforts to safeguard these systems [44]. The remainder of this project is
organized as follows: Section 2 talks about the description about CPS followed by Section 3
which discusses the architecture of CPS. Section 4 is focused on the security IN CPS, and Sec-
tion 5 explores the security methodologies in CPS, and next Section 6 about the relevance of
AI for the security challenges of CPS. Section 7 talks about the diferent cyberattack methods
in CPSs followed by conclusion in Section 8 and references at last.

2.2 CPS Description

A system that integrates the cyber and physical worlds is referred to as a “cyber-physical
system.” CPSs might be used in a variety of industries such as space transportation, logis-
tics, healthcare, home automation, malls, and communication systems. Let’s conceive a
scenario where someone forgets to utilize milk and other food that they store in a smart re-
frigerator. The smart refrigerator will start to warn when the milk or curd is near to expire.
As the CPS has expanded, the number of people using the Internet has surpassed billions,
and it continues to rise daily.
CPS has an impact on how the Internet and wireless sensor networks (WSNs) operate as
intelligent systems that automate tasks that were previously heavily dependent on human
labour unnaturally connected to physical and technical systems which have been described
in a number of ways and in which the monitoring cooperation controlling and integration
of the activities are carried out by a computer and communication core. By including a
Securing Cyber-Physical Systems Using AI 33

control action, CPS increases the IoT’s processing and networking capabilities. Due to the
capacity to employ feedback control to tell a selection to act based on physical measure-
ments collected from the detectors, CPSs have a higher level of automation than IoT sys-
tems. They have the great capacity to examine practically every aspect of mortal endeavour
and conquer difculties. This has led to a great deal of interest in CPS from the academic
community, the government, and individuals with astuteness.
One of the defences against IoT and CPS when employed in crucial structures like ag-
riculture, health service, transportation, home automation, and power systems is the vast
volume of data that is created. This is due to the fact that the majority of gadgets are con-
tinually connected and switched on. As a result, the creation of Big data analytics (BDA),
IoT and CPSs, becomes important because they make data-based information available
for decisions on fault prediction diagnosis and preventative maintenance. Data analytics
is becoming less and less common as a technique to extract value from the generated data
by revealing regression patterns correlations and other relationships as they add new func-
tionality to the systems under stress as well as providing perception from vast volumes of
data. Despite all the hoopla surrounding CPS, its actual implementation to tackle practical
challenges is hampered by highly strict safety and security requirements such as the need to
function in real time and sensitivity to network difculties like latency.
Additionally, the impact a failure brings to human life and structure is more serious than
it is for typical information technology systems. Cybersecurity is now a hot topic in com-
puter science and information technology. Malware, adware, spyware, and ransomware
were used at frst to provide security, followed by frewall’s intrusion detection systems and
antivirus software (IDS). The growing interconnectedness is problematic since it expands
the attack surface and exposes these systems to adversarial conditioning. An important fac-
tor in the increase of cyberattacks is the failure of CPS’s detectors selectors and regulators.
Machine learning (ML) and artifcial intelligence (AI) algorithms have lately been employed
to improve the efectiveness of various systems.
Therefore, a prevalent type of cyberattack in CPS and other systems is the development of
techniques to tamper with the data or the input. As a result, the model is forced to generate
the erroneous labour. Particularly vulnerable to this are deep neural networks (DNNs) which
have grown to be widely employed to protect CPSs. The possibility of utilizing system pro-
tection techniques against it has also grown into a topic of concern. Adversaries may attack
systems using AI and ML algorithms that are designed to secure those systems to initiate ag-
gressive ofences. It has recently been proven that comparable assaults have a higher implicit
value. They utilize the perspiration of the defence systems to develop stronger harder-to-detect
and harder-to-check weapons, making them more advanced rapid and relatively afordable.

2.3 CPS Architecture

The web and mobile applications will increasingly dominate the Internet which will even-
tually permeate every part of the real world. A dynamic and complex physical world is
essentially diferent from a cyber world which opens a lot of advanced challenges in the
development of CPS. CPS difers from conventional embedded systems. Integration of net-
working computations and physical systems is called “cyber-physical systems” while em-
bedded systems track the physical processes that afect the computation and vice versa.

Better Network Performance: CPSs have applications such as intelligent transportation

and CPS in medicine needs meticulous real-time and secure services that lead a way for
34 Secure and Smart Cyber-Physical Systems

time-spatial and security afrmation. The network in CPS requires more strategic ampli-
fcations in handling time and security.
Heterogeneous: In CPS, many end devices have diferent processing potential security
measurements and communication procedures. Embedded end devices in CPS have the
potential to loop to process the information because they have fnite memory and com-
puting power. The processing potential of the device is distinct and brings a cluster of
challenges to system confguration.
Adaptability: The CPS end device’s application scheme is capable of change. The commut-
ing of surrounding domain coordinates leads to diferences in sensing data. An appropri-
ate and convenient design of CPS can acclimate to the environment.

Edward A. Lee argues that the networking requirements of CPSs which combine networking
and computation with physical dynamics make the case that CPS requires networks where
time is a semantic attribute rather than just being a quality criterion [30]. The design of the
CPS treats time as a semantic coordinate and not just a quality factor. If we talk about the
design of CPS, time is a semantic property not a factor for quality assurance. Don Kang et
al. presented an approach to subsidizing these requirements. In his proposed approach, he
discussed network-enabled real-time embedded databases (nRTEDBs) that can interact and
can be controlled with wireless sensors. This varies signifcantly from a traditional database as
it deals with both prediction and raw data. Three signifcant issues with system security that
must be taken into account are confdentiality, integrity, and availability.
We split CPS into two groups: Systems that are essential to security and systems that are
not. Then for the frst, there is a strong emphasis on physical security as well as other needs
like confdentiality integrity and availability. However, the latter emphasizes integrity and
availability while somewhat weakening security. In various settings there are various needs.
For instance although the demand for real-time performance is prioritized in smart home
systems, the secrecy aspect is crucial for military applications. The three components of CPS
security are: Perception security (ensuring the security and accuracy of data collected from
physical environments), transport security (preventing data from being lost during trans-
mission processes), and processing centre security (including physical security and safety
procedures on servers or workstations).
A typical CPS process was divided into four parts by Eric Ke Wang et al. [58].

(1) Monitoring: A key duty of CPS is to keep an eye on the environment and physical
processes. It is also used to provide feedback on any previous CPS activities in order to
maintain proper operations in the future.
(2) Deal with data aggregation and distribution through networking.Numerous sensors
may provide a large amount of data that must be combined or distributed for further
processing by analysers.
(3) Computing, this stage is used to reason about and examine the data gathered during
monitoring to see if the physical process complies with predetermined standards; ex-
ecute the steps decided upon during the computing stage.
(4) A context-aware security architecture for CPS was suggested in light of this.

Numerous security-related tactics including authentication or encryption are included in

the security architecture mentioned above. Context-aware frameworks can adapt to chang-
ing physical environments, which is why they are so named as shown in Figure 2.1. Ad-
ditionally, they scale well and adapt well to changing environmental conditions. The CPS
Securing Cyber-Physical Systems Using AI 35

Figure 2.1 Context-Aware security scheme in CPS.

Figure 2.2 CPS architecture based on SOA.

36 Secure and Smart Cyber-Physical Systems

security architecture covers mitigating current attacks as well as predicting potential attacks
and making necessary modifcations. As part of the system’s demand for self-adaptation, the
security framework in a changing environment should maintain the system’s safety.
Using a standards-based software component technology, SOA (service-oriented archi-
tecture) is a dynamically integrating paradigm used to combine loosely connected services
into a single workfow. We recommended the generic CPS architecture, which is based on
the SOA design as shown in Figure 2.2.
This architecture consists of fve tiers [19]:
The data source for the tiers mentioned above also known as the sensor tier is the perceive
tier. Environment awareness which is mostly accomplished by sensors and preliminary data
pre-processing which transfers the data to the data-processing layer are the duties of this tier.
One of the fundamental methods used in this sensor tier is the WSN (Wireless Sensor Network).
The computational and storage components that make up the data tier perform heterogeneous
data processing, including normalization noise reduction data storage and other related tasks.
Between the Producer and the Service lies this layer. The service layer ofers the standard system
operations such as decision-making task scheduling task analysis and consumer-facing APIs.
Several services are installed in this tier that communicate with one another.
The two layers that interact with the environment are the execution and perceived tiers;
the actuator might be a real object like an automobile or a bulb. It takes directives from the
system and puts them into action. Against access security to data security to device security,
the security assurance component is present across the whole system. Require a number
of measures to ensure system security from unauthorized access or malicious assaults. The
real-time distribution reliability scalability and other properties of CPS create a number of
design and implementation issues. The integration fexibility of services or components is
one of this suggested CPS architecture’s primary benefts. Because diverse needs call for dif-
ferent realizations of these layers, the architecture simplifes the intricacies of each tier [1].

Figure 2.3 5C Architecture for CPS.

Securing Cyber-Physical Systems Using AI 37

2.3.1 Layers of Attack Vector

Predictive analytics and CPSs are at the heart of industrial Big data [33, 34]. The physical
entities in cyberspace are connected and synthesized by CPSs [35, 38]. A digital twin model
is created in the CPS environment using information gathered from the IoT infrastructure to
represent a physical entity such as a machine or component in cyberspace [36]. Figure 2.3
illustrates a “5C” architecture that serves as a blueprint for the creation of CPS in industrial
applications [37]. We will extrapolate the “5C” levels in detail as follows.

(1) Connections: Finding a trustworthy, efective, and secure method of data acquisition
is the crucial next step. Typically, sending data from the edge to the central server
requires the use of a local agent and communication protocol. The current industrial
communication protocols available change based on the manufacturers of the machines
the suppliers of the controllers and the data-gathering systems. In order to synchronize
and ofer an efcient data-collection solution for various equipment [21] including MT-
Connect and SmartBox from Mazak and Cisco, a common tether-free communication
protocol is encouraged [38].
(2) Conversion Level: Data is collected from a variety of sources in the industrial setting,
including controllers, sensors, production systems (ERP MES etc.), and maintenance re-
cords. Each data point or signal might represent a distinct feature of the under surveillance
machine systems. Users can only make the best choice at the correct moment to increase
productivity when the data is transformed into “useful” information such as health indi-
ces and fault diagnosis fndings. For instance all data to information approaches for ro-
tary equipment, employing data-driven methods were included in the review study [34].
(3) Cyber Level: The machine health information may be created through the data-to-
information conversion level to describe the state of the system. Diferent info-graphs
at the cyber level make the health status of assets evident. Each physical asset may be
benchmarked against peers in various time periods once it has a digital twin at the cyber
level, a concept known as feet dimension. The data from each asset is used to generate
cyber avatars that represent each machine or system in more detail, giving consumers a
better understanding of system variance and life forecast [29, 24, 60]. Thus, feet mod-
elling in the cyberspace can beneft from a vast scale of comparable assets and improve
the robustness and dependability of the algorithms for asset health monitoring. Cyber
level algorithms on the other hand will be more adaptable to support dynamic operat-
ing regime changes and increase robustness, for example the algorithm can learn new
failure modes adaptively and enrich itself to be more robust and dependable. [61].
(4) Cognition Level: The machine can assess its probable failure and be aware of its poten-
tial degeneration, can assess its probable failure and be aware of its potential degen-
eration in advance by utilizing the online monitoring system. The system may use the
prediction algorithms to forecast possible failure and determine the remaining usable
life after learning from the past health assessment. Users may improve manufacturing,
operations, maintenance, scheduling, and logistics planning at this level with the use of
the predictive information to assist improved decision-making [6,40,47,17].
(5) Confguration: The machine’s health status may be monitored and visualized online
at the frst four levels, and the operation level can then get the health information. As
a result of the machine’s gradual deterioration, timely maintenance will signifcantly
minimize downtime and boost production. In order to limit the loss from machine
malfunction and eventually create a resilient system, operators and factory managers
38 Secure and Smart Cyber-Physical Systems

may make the best decision based on maintenance information while also allowing
the machine itself to lower its workload and modify the manufacturing schedule.

The “5C” architecture provides a methodical way to turn data into knowledge, explain-
production process risks, and make better “informed” decisions. Managers will have the
necessary data to calculate the facility-wide OEE with manufacturing transparency; with
predictive capabilities, all assets may be handled efciently with just-in-time maintenance.
In order to create a closed loop life cycle redesign lifespan deterioration information may
also be sent back to the equipment designer. As a result, an Industry 4.0 plant will move
away from traditional TPS management and towards self-aware, self-predictive, and self-
confguring processes.

2.4 Security in CPS

Cyber-physical security is just an enhancement of traditional cyber security in which the op-
eration of all physical system is also factored in. Password cracking which entails the proce-
dure of recovering a service’s password is one of the most critical cybersecurity threats in the
traditional cyber security area, owing to the possibility of personal information breaches.
In cyber-physical security, basic information exposure by cracking passwords could indeed
harm the CPS; rather, a physical process modifcation via illegal access via a password might
afect the characteristics of the physical systems.
As a result, a wide range of cyber-physical security studies have been carried out by mod-
elling physical dynamics with control theory. Unfortunately, because CPSs are infuenced
by a diverse range of parameters including quick changes in the environment and unpredict-
able occurrences, physically model-based cyber-physical security devices sufer from false
alarms, reducing detection capability against cyber-physical threats as shown in Table 2.1.
Furthermore, when the CPS grows in size and the interactions between its components be-
come more complicated, the degree of accuracy demonstrated by a traditional CPS model
and a genuine CPS drops resulting in the generation of new attack vectors.

(1) Secure Constrained Device: Constrained systems are incapable of completing compli-
cated encryption and decryption swiftly in real time. These devices are in responsibility
of attacks such as power analysis. The data is usually transmitted without encryption
or decryption. This can be mitigated by implementing lightweight cryptography and
numerous layers of systems such as isolating devices on a septate network.
(2) Secure Communication: The security problem with low-power devices is to guarantee
network connection. Low-power systems on the other hand do not encrypt data before

Table 2.1 Techniques for the Detection of Malware and At-

tackPatterns Using Learning Methods

Machine Learning Deep Learning

SVM RNN
Logistic Regression GAN
GTB CNN
J48 Decision Trees MLP
Random Forests LSTM
Securing Cyber-Physical Systems Using AI 39

transferring them over the network. To keep data confdential, employ a separate net-
work and segregate the device which aids in encrypted personal communications.
(3) Data Integration and Privacy: It is critical that information is primarily safely kept and
handled once it has transmitted across the network. It is critical to establish data pro-
tection in low-power systems, which involves forming sensitive material before it has
been recorded. Data management within a lawful and consistent framework is likewise
a signifcant difculty.

Data-driven anomaly-based methodologies (where anomalous data is obtained through

various simulations and controlled experiments) are employed in cyber-physical security to
circumvent the constraints of legacy model-based cyber-physical security. Machine learning
(ML), in particular, which illustrates correlation coefcients between being an input and
output using huge quantities of data without modelling based on physical principles, is be-
ing used in cyber-physical security to address high-level safety and dependability problems.
Besides, ML technologies allow the generation of a prototype for the huge and intricate con-
nections of each constituent of the CPS which include various physical systems operating in
the real entire globe of heterogeneous networking technologies and complex software appli-
cations in the cyber world in which the resulting model can improve the CPS’s security level.

2.5 Methodology

2.5.1 General Approach for Security in CPS

The ISO/IEC 270012013 standard states that troubles might be purposeful, unintentional, or
environmental. The following are some exemplifcations of common pitfalls: Physical detri-
ment, natural disasters, the interruption of vital services, radiation, malfunctions, concession
of information (similar to wiretapping software tampering, etc.), specialized lapses, unauthor-
ized conduct (similar to data corruption), and concession of functions for illustration, forging.
and abuse of rights). Using the fndings of the study of recent security exploration (Figure 2.4),
a chart of pitfalls and attacks grounded on the functional model of CPS is suggested. The
chart branches come in the following: Kinds of attacks on detectors (seeing); assaults on se-
lectors (actuating); and attacks against selectors (actuation), computer factors (computing),
dispatches (communication), and feedback (E) are all exemplifcations of cyberattacks [18].

(1) Threats and failings that vitiate CPS detectors have been uncovered by experimenters
(similar to edging in fake radar signals bedazzling cameras with light GPS spoofng,
etc.). The trustability and delicacy of the data collecting process must be guaranteed
because CPSs are explosively tied to the physical process in which they’re integrated. To
ensure that any data obtained from a physical process can be trusted, detector security
requires methods to enhance physical authentication [18, 2].
(2) The Finite Energy Attack which includes for illustration the loss and modifcation of
particular packets the Finite Time Attack and Impulse attacks as well as the Bounded
Attack which results in the suppression of the control signal were two classes that
covered a wide range of implicit attacks in Djouadi et al. [12] analysis of the goods
of cyberattacks on selectors. The actuation control security refers to the fact that no
action may be taken during a unresistant-active or active mode of operation without
the necessary authorization. Since the CPS specifcations vary over time, the warrants’
specifcation must be dynamic.
40 Secure and Smart Cyber-Physical Systems

Figure 2.4 Map of attacks and threats on cyber-physical systems.

(3) The specifcs of attacks on computer resources are covered in the document and com-
prise DoS attacks, worms, viruses, and Trojan horses. In details on techniques for data
mining (DM) that can be applied to boost cybersecurity [54, 46]. The CPS might sustain
harm from a sneaky strike, underscoring the importance of robust security measures
and vigilance in safeguarding critical systems. The detecting methods must make sure
that the violations and measurement mistakes that are common in control systems won’t
result in a false alert. The attacker now has a place to hide. An integrity attack occurs
when a hacker alters actual data by obtaining a communication key for secure com-
munication or by capturing some network devices. The creation of solutions to protect
stored data in CPS platforms from physical or digital intrusions falls under the category
of storage security. From the attacker’s perspective, developing a false attack strategy
typically takes into account a variety of variable resources and security restrictions.
(4) Selective forwarding, packet spoofng, packet replaying, sybil attacks, and other com-
munication attacks that subvert system package routing can be employed to impede re-
source distribution between nodes in favor of malware. Any revision to the data might
Securing Cyber-Physical Systems Using AI 41

afect miscalculations when recycling it in the future. An efective attack strategy is to

record some “normal” data and play it back to avoid discovery if the bushwhacker can
only capture and further real data packets [2]. The creation of protocols is necessary
for communication security because they link active hindrance sources and resistant
listeners between and within CPS.
(5) A three-concentrated logical model of CPS and a cyberattack metamodel were pre-
sented, wherein the system was subjected to a feedback integrity assault, whereby only
a portion of the control signals retained their integrity. Feedback Security describes the
safekeeping of the CPS control systems, which deliver the needed feedback for actua-
tion. Ultramodern security measures are only concerned with defending data, but in
order to adequately defend CPSs, it is important to understand how they afect evalua-
tion and operation algorithms [18, 4].

2.5.1.1 Security Implementation Challenges

CPS includes embedded controllers in digital systems (cyberspace) and physical settings.
This integrated system is nevertheless vulnerable to several threats. Choo et al. research a
variety of security issues including both internal and external assaults. Potential issues can
arise with various systems. These include CPS integrated with IoT for healthcare-embedded
systems and green cryptography in smart building security. Privacy concerns in CPS trust
and security, emerging security schemes for embedded security, and handling sensitive data
in CPS are also among these potential issues. In addition, unresolved issues are brought on
by the diversity of technologies used in IoT-integrated CPS. The study by Wang et al. looked
at time synchronization attacks in CPS [9, 59]. Diferent attacks are found in CPS environ-
ments according to research by Ding et al. They are referred to as deception replay and DoS
attacks. Diferent attacks connected to CPS were identifed by Mahmoud et al. Jamming
attacks, deception attacks, DoS attacks, and replay attacks are among them [11, 45].
According to Sarker et al., data wisdom is playing a critical part in accelerating the re-
cent technological transition in cybersecurity. Data wisdom was developed to identify attacks
through data analysis as the quantum of data relating to cybersecurity events increased. The
quantum of training data is growing along with the number of circumstances, which helps to
automate the monitoring of cyberspace irruptions with the necessary intelligence. Machine
learning is essential in achieving this thing, since it excerpts useful information from numer-
ous cybersecurity data sources. It is known that the number of IoT use cases has sometimes
increased,; according to exploration by Sarker et al. [51], IoT use cases that include thousands
of linked resource-constrained devices present security enterprises in dispersed surroundings.
In such a case, an automated and intelligent system of covering cyberspace is needed to be
suitable to take prompt action when circumstances call for it. They also delved several data
sets employed for cybersecurity study. Among the data sets are KDD’99 Cup [22], NSL-KDD
[56], CAIDA [22], ISOT’10 [22], ISCX’12 [22], CTU-13 [14], UNSW-NB15, CIC-IDS2018
and CIC-IDS2017 [22], MAWI [25] CERT [42], DGA [15], Malware [63], and Bot-IoT [28].
While each of these distinctions are signifcant, we think that the way in which control
systems interact with the physical environment sets them apart from other IT systems. Gen-
erally speaking, information security has produced established technologies and design ten-
ets (authentication, access, control, message, integrity, separation of privilege, etc.) that can
aid in the prevention and response to assaults on control systems. However, information
protection has always been the main emphasis of computer security research. The impact
of assaults on estimate and control algorithms and eventually on the physical world has
not been taken into account by researchers. While the present information security tools
42 Secure and Smart Cyber-Physical Systems

can provide required mechanisms for the security of control systems, we contend that these
mechanisms alone are insufcient for the security of control systems defence.
We think that by comprehending how the control system interacts with the physical
world, we should be able

(1) To better comprehend the efects of an assault: It is important to note that there is cur-
rently no study on how an adversary would choose a strategy after gaining unauthor-
ized access to some control network devices.
(2) To create original attack-detection algorithms: By fguring out how the physical process
ought to react in response to our control instructions and sensor readings, we can tell
whether a hacker is interfering with the control or sensor data.
(3) To create new algorithms and architectural designs that are resistant to attacks: If an
attack is detected, we may be able to modify the control commands to improve the
system’s resilience.

2.6 How Artificial Intelligence Can Help Solve CPS Challenges

Data science with its machine learning and DL approaches is giving a signifcant contribu-
tion to the automatic analysis of CPSs to enable non-stop monitoring for increased security
measures, as detailed in the antedating sections [52]. For the independent mitigation of cy-
berattacks on CPS, Kholidy presented a result with a foundational security frame. In order
to ameliorate security, it incorporates standard IDS styles like SNORT and ML-grounded
ways. In order to achieve the new Autonomous Response Controller (ARC) framework, it
takes into account the security ways and threat assessment models formerly in use. They
employed a probabilistic threat assessment model which evaluates possible pitfalls and
takes the necessary conduct. Lv et al. delved into the use of AI to increase the security of
CPS. A CPS-grounded inner terrain assessment and control system for smart structures was
taken into consideration as a case study. They created a multi-agent system that consists of
numerous rudiments including discovery control prosecution and communication. For clas-
sifcation and regression, they employed BPNN (Backpropagation Neural Network). The
system is assessed using a variety of performance measures including Mean Absolute Error
(MAE), NRMSE, and PSNR, and it was discovered to have excellent performance and the
smallest false positives [26, 43].
Tantawy et al. suggested a model-based combined strategy for CPS security. They employed
the Continuous Stirred Tank Reactor (CSTR) and its integration with cyberspace in a real-
world company for their study on security. A business network and control network are also
included in the CPS test bed employed for the exploration, in addition to data participation for
machine-literacy-grounded monitoring of cyberattacks. Various corridors of the system includ-
ing the factory control logic monitoring system commercial analysis and safety sense. To detect
cyberattacks, a hybrid automation is created. To store data and use it efciently for the dis-
covery of assaults, a tree-grounded fashion is used. Regarding the physical subcaste of Cogni-
tive Radio Networks, Salahdine and Kaabouch examined cybersecurity risks, weaknesses, and
responses [55, 49]. They concentrated on several physical subcaste assaults related to vicious
business injection belief manipulation wiretapping and dynamic diapason access. Compres-
sive seeing, learning-grounded approaches, the IDS model pointgrounded approaches, data-
supported approaches, localization-grounded approaches, belief propagation approaches, and
diapason seeing ways have also been covered. The PU emulation attacks are divided into four
orders: Hybrid attacks, point attacks, cryptography attacks, and game proposition attacks.
Securing Cyber-Physical Systems Using AI 43

Sargolzaei et al. investigated the use of machine learning for defect discovery using a case
study of a vehicular CPS. The False Data Injection (FDI) attack that leads to mishaps in ve-
hicular networks was the main emphasis. In order to help the driver or controller determine
the safe distance between his or her auto and the vehicle in front of it, they suggested a system
that recognizes FDI attacks and takes remedial action in order to induce the right signal. For
defect identifcation, it uses a neural network-grounded system. Goh et al. employed LSTM-
RNN to model the system and an unsupervised literacy system of deep literacy to identify the
anomalous gesture. A CPS can be told by one of two diferent time synchronization attacks
that use GPS. Time Synchronization (TS) assault and Stealth Time Synchronization (STS) at-
tack are the names of these types of attacks. ML approaches were delved into by Wang et al.
to stop similar assaults. They proposed a discovery approach grounded on Artifcial Neural
Networks (ANNs) that took advantage of performance in identifying the threats [50, 16, 59].

2.6.1 Results

• Intelligent transportation: As the number of personal vehicles increases, related issues

including air pollution trafc congestion and safety concerns are receiving greater atten-
tion. Next-generation transportation systems such air trafc railway and vehicle control
will heavily rely on cutting-edge computer and sensor technologies to increase safety and
throughput. The idea of an intelligent transportation system (ITS) is not new. It refers
to a broad spectrum of integrated transportation management that must be precise, ef-
fective, and in real time. The old forms of transportation are evolving towards more
intelligence on the basis of contemporary technology like electronics, computers, sensors,
and networks. The United States AHS Consortium (NAHSC) whose members include
General Motors and Carnegie Mellon University Bechtel Corporation and others was
founded in 1994. In order to create more intelligent and safe trafc, NAHSC focuses on
the research and development of autonomous high-speed systems or “AHS” (Automated
Highway Systems) [57]. MIT created CarTel one of the American NSF-supported pro-
grammes. To meet these issues, the CarTel project integrates wireless networking, mobile
computing, and sensors and data-intensive algorithms operating on cloud servers. CarTel
enables applications to quickly gather, process, deliver, analyse, and display data from
mobile unit sensors. CarTel has made contributions in the areas of danger identifcation,
vehicular networking, trafc reduction, and monitoring of the road surface [20].
• Precision agriculture: In order to apply a full range of contemporary systems of agricultural
management techniques and technologies, precision agriculture is a technology that was
created in the early 1980s from conventional agriculture and backed by information tech-
nology [62]. Data management for production trials basic geographic data for farms infor-
mation on microclimates and other data are all part of the precision agriculture concept.
In the University of Nebraska-Lincoln Cyber-Physical Networking Lab, Agnelo R. Silva
and Mehmet C. Vuran created the “underground wireless sensor network” project. They
combined centre pivot systems with wireless underground sensor networks to create the
CPS2 for precision agriculture [53]. The Wireless Subterranean Sensor Networks (WUSNs)
are made up of underground sensor nodes that are wirelessly linked and communicate via
the soil. The outcomes of the experiment demonstrate the viability and high reliability of
the CPS2 idea when employing widely available wireless sensor motes. One of the usual
CPS applications with promising futures combines CPS with precision agriculture.
• Medical CPS: In the future, medical CPS (MCPS) will take the place of conventional
medical equipment that operate separately. Multiple medical devices collaborate with
44 Secure and Smart Cyber-Physical Systems

sensors and networks to identify the patient’s physical state in real time, particularly
for essential patients like those with heart disease. The patient’s portable terminal de-
vices can constantly monitor the patient’s status and deliver timely alerts or forecasts.
Additionally, patients would fnd it much more convenient if medical equipment and
real-time data distribution worked together. The highly reputable medical CPSs’ devel-
opment and problems were discussed by Insup Lee and Oleg Sokolsky [32] who also
discussed the system’s reliance on software for the creation of new functions, the need
for network connections, and the need for ongoing patient monitoring to examine how
medical CPS may develop in the future. Cheolgi Kim et al. established a general frame-
work called the NASS (Network-Aware Supervisory Systems) to integrate medical de-
vices into a clinical interoperability system that makes use of actual networks to address
medical device interoperability concerns [8]. It ofers a development environment where
the supervisory logic for medical devices may be created using the presumption that op-
erates a perfect, reliable network. The case study demonstrates how well the NASS ar-
chitecture protects against actual network outages and is procedurally successful. More
aspects including a higher need for security, real-time processing, and network latency
will be taken into account while designing the medical CPS due to the uniqueness of
medical applications [28].

2.7 Discussion
2.7.1 DDoS Attack in CPS

Hackers or cyber criminals use DDoS (Distributed Denial of Service) attacks, a sort of mali-
cious cyberattack, to prevent intended users from accessing a host system network resource
or online service. DDoS attacks food the target system with thousands or millions of er-
roneous or undesired requests, overwhelming it and its supporting resources.
The goal of a DDoS attack is always to food the system, although how this is accom-
plished can change. Three main types of DDoS attacks are listed below.

• Application layer attacks: Application layer DDoS attacks are designed to directly target
the programme, focusing on specifc bugs or issues and stop the application from provid-
ing content to the user. New attack tactics and vectors are developed by attackers for
use in a new generation of attacks. When the defence gets good at blocking these new
attacks, the attacker develops a new type of attack and continues this cycle.
• Protocol attacks: To deplete server resources, attackers target intermediate communica-
tion devices like load balancers, routing engines, servers, and frewalls. It can overpower
mitigations such as frewalls at the edge, resulting in service interruption and DDoS.
• Volumetric attacks: Volumetric DDoS assaults are made to food internal networks with
a large amount of malicious trafc, including centralized DDoS mitigation scrubbing
capabilities. These DDoS assaults try to use up all available bandwidth, either inside the
target network or service or between it and the rest of the Internet. Numerous subtypes
belong to one of the general categories mentioned above, yet have their distinctive traits.
Here is a detailed list of modern DDoS attack techniques.
• Other attacks include SYN Flood, TCP Flood, SYN-ACK Flood, Fragmented ACK
Flood, Session Flood, UDP Flood, UDP-LAG Flood, PORTMAP Flood, DNS Flood,
NTP Flood, CHARGEN Flood, SSDP Flood, SNMP Flood, HTTP Flood, etc. We’ll ex-
amine how these modern DDoS attacks afect r-physical systems in the next section.
Securing Cyber-Physical Systems Using AI 45

2.7.1.1 How Does DDoS Attack Affect CPS?

CPSs are those that can act autonomously and make judgements on their own. Some exam-
ples of CPS are Smart Power Grid, Railway Systems Motion Sensors, etc. Let us see how a
DDoS attack afects a CPS by looking into an example:

According to the Department of Energy’s Electric Emergency and Disturbance Report for
March 2019 a DDoS attack had disrupted electrical grid operations in two sizable U.S.
population centres: Salt Lake County in Utah and Los Angeles County in California. The
Department of Energy acknowledged that the attack only resulted in “interruptions” in
“electrical system operations” not any disruptions in electrical distribution or outages. In
this context, “operations” refers to any computer systems used within the utility includ-
ing those that run ofce applications or operational software and does not necessarily
refer to the transmission of electricity to consumers.

This incident occurred in the year 2019 when there was a power outage in the cities men-
tioned above. The attackers tried to stop the power by fooding the system operations. This
is a perfect example to tell that how a DDoS attack afects a CPS [10].

2.7.1.2 Understanding How to Prevent CPS from DDoS Attack Using AI

In this section, we are going to work on building a few ML models using Python for the
CICDDoS2019 data set [48].

2.7.1.2.1 ABOUT THE DATA SET

CICDDoS2019 [48] is an evaluation data set that contains BENIGN and the most up-to-
date Modern DDoS attacks. It is organized in a day-to-day format and includes the raw data
of network trafc and event logs per machine, which are exported to CSV fles for network
analysis. This data set has more than 80 trafc features, some of which are listed Table 2.2.
In this section, we are going to work on building a few ML models using Python.

2.7.1.2.2 IMPORTING-REQUIRED PYTHON LIBRARIES

Python libraries are blocks of code that contain built-in functions. These libraries provide
access to the necessary packages or modules that can be installed to complete specifc tasks.
A quick explanation of the libraries used in the framework is provided in this section.

(1) Pandas: By providing data operations and data structures, the Pandas’ library signif-
cantly aids in the study and manipulation of data, particularly time series and numerical
tables. On top of NumPy, the Pandas’ package was developed. It supports the efec-
tive implementation of a data frame. Series and data frames are the foundational data
structures on which Pandas is built. Data frames are a two-dimensional structure in the
form of a table with several columns, whereas series are a one-dimensional structure in
the form of a list of items. Row and column labels for homogeneous and heterogeneous
data types with or without missing data make up data frames. Pandas allow for the
transformation of data structures into data frame objects, handling of missing data, and
histogram or box plots.
46 Secure and Smart Cyber-Physical Systems

Table 2.2 Features Present in the CICDDoS2019 with Description

No. Feature Name Description

1 Flow duration Duration of the flow in microseconds

2 Flow duration Total packets in the forward direction
3 total Fwd Packet Total packets in the backward direction
4 total Length of Fwd Packet Minimum size of the packet in the forward direction
5 total Length of Bwd Packet Maximum size of the packet in the forward direction
6 Fwd Packet Length Min Mean size of the packet in the forward direction
7 Fwd Packet Length Max Standard deviation size of the packet in the forward
direction
8 Fwd Packet Length Mean Minimum size of the packet in the backward direction
9 Fwd Packet Length Std Maximum size of the packet in the backward direction
10 Bwd Packet Length Min Mean size of the packet in the backward direction
11 Bwd Packet Length Max Standard deviation size of the packet in the backward
direction
12 Active Min The minimum time a flow was active before becoming
idle
13 Active Mean Meantime a flow was active before becoming idle
14 Active Max The maximum time a flow was active before becoming
idle
15 Active Std Standard deviation time a flow was active before
becoming idle
16 Idle Min The minimum time a flow was idle before becoming
active
17 Idle Mean Meantime a flow was idle before becoming active
18 Idle Max The maximum time a flow was idle before becoming
active
19 Idle std Standard deviation time a flow was idle before becoming
active

(2) Scikit-learn: The collection of various classifcation, grouping, and regression algo-
rithms in the Scikit-learn package helps learning and decision-making. It is a Python
module built on top of the machine learning library SciPy. A widely used software for
Python-based data science applications is called Scikit-learn. It allows the handling
of data mining and machine learning tasks like classifcation, clustering, regression,
dimensionality reduction, and model selection and ofers a clear interface to a range
of machine learning methods. Scikit-learn substantially aids data scientists in carry-
ing out machine learning projects by incorporating efcient versions of several widely
used algorithms.
(3) Matplotlib: The general-purpose Graphical User Interface (GUI) toolkits are the foun-
dation of the object-oriented Application Programming Interface (API) which plays a
crucial role in embedding the plots into programmes. Data can be represented as two-
dimensional graphs and diagrams using Matplotlib, including scatter plots, histograms,
and graphs using non-Cartesian coordinates. It substantially facilitates data science
project visualization and works with a variety of operating systems and graphics back-
ends. In the feld of scientifc Python, Matplotlib is also known as the cross-platform
everything-to-everyone approach, with the beneft of supporting many output types
and backends.
Securing Cyber-Physical Systems Using AI 47

2.7.1.3 Methodology

Flood attacks include delivering massive volumes of empty or useless packets to the victim
system to block communication between the two machines and clog up the entire net-
work. The challenge with a DDoS attack is modelling or estimating the trafc on the target
network.
The suggested approach seeks to produce two forms of network trafc:

(1) Regular packets

(2) Attacker packets

The suggested system for modelling has four phases:-

(1) Data Pre-processing

(2) Detection model
(3) Classifcation stage
(4) Performance evaluation stage

2.7.1.4 Data Pre-processing

The data should be preprocessed to achieve faster training and testing speeds, higher ac-
curacy, etc., which typically involves steps such as encoding, normalization, and feature
reduction using PCA.
Tag encoding is the process of metamorphosing tags into a numeric form so that they may
be interpreted by machines. The operation of those tags can also be better determined by
machine learning algorithms. It is a signifcant-supervised learning pre-processing step for
the structured data set. The class “tag” is decoded for this case.
When the colourful characteristics (variables) are on a lower scale, machine learning al-
gorithms generally perform more or meet more snappily, thus normalizing the data before
training the machine learning models as its standard practice.
Also, normalization reduces the acuteness of the training process to the magnitude of the
characteristics. As a result, following training, the coefcients improve. Point scaling is the
process of rescaling features to make them more training-friendly.
Principal component analysis or PCA [3] is a fashion for reducing the number of confnes
in large data sets by condensing a large collection of variables into a lower set that retains
the majority of the large set’s information. Accuracy naturally sufers as a data set’s vari-
ables are reduced, but the answer to dimensional reduction is to trade a little accuracy for
simplicity. Machine learning algorithms can analyse data much more fast and easy with
lower data sets because there are smaller gratuitous factors to reuse.
Figure 2.5 shows the correlation plot with all the features present in the data set. These
features are sorted and named to prepare the predicted models.

2.7.1.5 Model

The two aspects of supervised classifcation are the development of the learning ap-
proach and the creation of predicted labels. These activities are performed using Scikit-
learn [7].
48 Secure and Smart Cyber-Physical Systems

2.7.1.5.1 MODELS SELECTION

In this work, four distinct classifcation techniques—Naive Bayes, Decision Tree, Random
Forest, and Logistic Regression are tested and trained.

(1) Naive Bayes—This classifer is built on Bayes’ Theorems on the presumption of event
independence. Statistics refers to two events as independent if the chance of one hap-
pening does not afect an efect on the other. For example consider 𝑃 (𝐵 | 𝐴) to be the
measure of the likelihood of any given occurrence. Let 𝑃 (𝐵) represent the probability
of 𝐵 and 𝑃 (𝐴) represent the probability of 𝐴; 𝑃 (𝐴 | 𝐵) represents the likelihood of
𝐴 given 𝐵.
P(B | A)P(A)
P(A | B)  (1)
P(B)
(2) Decision Tree—Decision tree classifes data depending on the values of the pertinent
attributes, starting at the root node. Every node represents a specifc feature and all of
its potential values. As it moves down from the root of the tree, the iterative method
evaluates the information learned for each characteristic in the training set. Informa-
tion gain is used to evaluate the level of selectivity imposed by the characteristics of the
target classes. With more information gained, the attribute’s value in categorizing each
observation rises. The root node is replaced by the characteristic that provides the most
information gain, and the programme continues to separate the data set by a selected
feature either to construct or create a node.
(3) Random Forest—Random Forest and other guided machine learning algorithms are
constantly used in retrogression and bracket problems. It builds decision trees from dif-
ferent samples using their normal for categorization and inviting votes for retrogression.
One of the most important features of the Random Forest Algorithm is its capacity to
handle data sets containing both statistical parameters as in vaticination and categorical
data as in bracket. It produces better results with regard to bracket problems.
(4) Logistic Regression—Analysis of scenarios where the dependent variable is binary
makes use of predictive analytic techniques like logistic regression most successful. Lo-
gistic regression is used to describe the data and also shows why a binary dependent
variable and various non-binary independent variables are correlated.

2.7.1.6 Training

During the training phase, training data is sent to the selected algorithms, so they can uti-
lize it to create machine learning models. As a result, the training set is used. At this point
in the process, the target attribute (class “Label”) must exist in the incoming data source.

Table 2.3 Table of Scikit-Learn Libraries

Model Scikit-Learn Classifiers

Naive Bayes sklearn.naive_bayes.GaussianNB

Decision Tree sklearn.tree.DecisionTreeClassifier
Random Forest sklearn.ensemble.RandomForestClassifier
Logistic Regression sklearn.linear_model.LogisticRegression
Securing Cyber-Physical Systems Using AI 49

Pattern recognition is used during the training phase to link the input characteristics with
the target property. Based on the patterns found, a model is developed. The DDoS at-
tack on the application layer dataset is used as the input data source for the training of
four algorithms in this study. The sort of network trafc such as an attack or about is the
target attribute. These are directly imported from the Scikit-learn library as depicted in
Table 2.3.

2.7.1.7 Testing

The models are evaluated using fctitious data after the conclusion of the modelling phase.
The unobserved data utilized at this time is the test set that was produced by the data split
(20%). Testing is carried out to assess a model’s capacity to represent data and its future
functionality. To ensure that the result of the test would only be used once, this study
wanted to make sure that any model alterations were made before testing. Performance
metrics used to evaluate the efectiveness of the DDoS datasets include accuracy precision
recall and F-measure. These are covered in the paragraph that follows.

2.7.1.8 Evaluation

Creating performance metrics is an essential step in analysing a model’s performance. Sev-

eral metrics are generated for this investigation. Below is a description of these [41].

(1) Confusion Matrix— A confusion matrix contains data on the current classifcation and
projected classifcation performed by a classifcation system or model. The matrix’s data
is regularly analysed to assess the efectiveness of these systems. Generally, every instance
that relates to but isn’t assigned to can have an entry in an x matrix. Ideally, all of-diago-
nals should be 0 to avoid categorization errors. It is feasible to pinpoint the precise faults
caused using the class confusion matrix. Table 2.4 shows the prediction table. Where:
• TP denotes the True Positive
• TN denotes the True Negative
• FP denotes the False Positive
• FN denotes the False Negative

Table 2.4 Prediction Table

Prediction

True Classification Yes No

Yes TP FN
No FP TN

(2) Accuracy—The machine learning model’s accuracy is a metric used to determine which
model is best at identifying patterns and correlations between variables in a dataset using
the input or training data. Depending on how well a model can generalize to “unseen” data,
the better estimates and insights it can produce will in turn bring more commercial value.
TP  TN
AC  (2)
TP  FN  FP  TP
50 Secure and Smart Cyber-Physical Systems

(3) Precision—Often accuracy alone is inadequate to determine a learning model’s ef-

ciency. Although accuracy can indicate whether a model has been trained correctly, it
does not ofer detailed information about the specifc application. Other performance
standards such as accuracy are consequently applied. Precision is the percentage of cor-
rectly classifed positives also known as true positives.
TP
P (3)
TP  FP
(4) Recall—Recall is another performance metric. Recall measures the number of true posi-
tives found or remembered. The fact that false positives or false negatives could have
harmful impacts in some situations makes it an extremely important statistic. For in-
stance, the potential of disruption to the network and its users will increase if a DDoS
attack type is used, since harmful network trafc will probably go unnoticed.
TP
P (4)
TP  FN
(5) F-measure—F-measure is a statistic indicator that combines recall and precision to calculate
the overall accuracy of a model. A model with a higher F-measure score detects threats ef-
fectively with few false alarms produced due to its low false positive and false negative rates.

TP
F  measure 
2
TP  FP (5)

These evaluation measures are loaded directly from Scikit-learn Metrics Library as shown
in Table 2.5.

2.7.2 Model Analysis

The examination used the following metrics: Recall accuracy precision and F-measure as
shown in Table 2.6. The experiment’s fndings indicate that 99% and 99% respectively of

Table 2.5 Measures

S. No Measure Scikit-learn Metrics

1 Confusion Matrix Sklearn.metrics.confusion_matrix

2 Accuracy Sklearn.metrics.accuracy_score
3 Precision Sklearn.metrics.precision_score
4 Recall Sklearn.metrics.recall_score
5 F—Measure Sklearn.metrics.f1_score

Table 2.6 Model Analysis

No Method Dataset Data Accuracy Precision Recall F-Measures

Availability

1 Random Forest CICDDoS2019 Yes 0.98 0.99 0.99 0.99

2 Naive Bayes CICDDoS2019 Yes 0.45 0.66 0.54 0.38
3 Logistic CICDDoS2019 Yes 0.98 0.99 0.98 0.99
Regression
4 Decision Tree CICDDoS2019 Yes 0.99 0.99 0.99 0.99
Securing Cyber-Physical Systems Using AI 51

the DT and RF algorithms provide the highest levels of accuracy. The precision recall and
F-measure results were all 99% for both DT and RF.

2.7.2.1 Pros and Cons of the Above ML Methods

(1) Naive Bayes:

(a) Pros: The forecasting of the test dataset’s class is rapid and easy. Additionally, it
excels at multi-class prediction. An NB classifer outperforms traditional algorithms
like logistic regression while requiring less training data when the premise of inde-
pendence is true.
(b) Cons: Conditional independence of the premise class may reduce accuracy. The
independence assumption may not hold for all attributes. Variables are practically
interdependent.
(2) Random Forest:
(a) Pros: It produces an output that is more accurate, dependable, and resistant to over-
ftting. It requires far fewer inputs and does not call for the feature selection process.
(b) Cons: Real-time applications requiring large datasets may fnd it impractical to use
RF because it generates many DTs.
(3) Logistic Regression:
(a) Pros: It is simpler to use and to interpret and practice with When the dataset is linearly
separated, it performs well and has good accuracy for many straightforward datasets.
(b) Cons: LR should be avoided if the number of observations is less than the number
of features, as overftting may result. A signifcant faw in LR is the assumption that
the dependent and independent variables are linearly related.

Figure 2.5 Model analysis results.

52 Secure and Smart Cyber-Physical Systems

(4) Decision Tree:

(a) Pros: Easy to use and straightforward.
(b) Cons: Larger storage; is needed. It requires complicated computation; only when
few DTs are utilized, it is simple to use.

2.8 Conclusion
The mutual penetration and integration of information space and physical space have directly
aided in the development of CPS-related theories and applications as science and technology
have advanced, and social production has improved. The CPS philosophy of “cooperative
design and efficient operation” separates it from the Internet of Things even though it shares
many characteristics with networked control systems, the latter being highly integrated and
intricately coordinated control systems. As a result of its distinctive technical benefits, CPS has
been extensively employed in important economic and social sectors, including smart manu-
facturing, smart transportation, telemedicine, power grids, and robotic systems. However,
several issues have also been found as CPS application technology developed. The addition
of the network layer forces CPS to address the physical layer’s random instability elements
in addition to the threat of hostile network layer assaults, which puts the system’s security in
grave jeopardy.
This chapter mainly investigates the security control and cross-layer architecture of CPS
under DoS attacks and looks at the impact of network assaults on the system from the
standpoints of control and communication. Active compensating methods with dynamic
output feedback control or passive control methods with state feedback are suggested for
continuous random DoS assaults. Additionally, a sliding mode control approach is recom-
mended, and the network layer is designed using game theory to account for attackers with
clever functions. Through the use of a cross-layer architecture, CPS’s security and stability
are effectively guaranteed against DoS assaults.
As the part of Discussion, we explicitly see that the model’s performance in relation to
the testing data is relatively high after applying machine learning techniques to the CICD-
DOS2019 dataset. This suggests that the model can be employed to foretell DDOS attacks.
As we can see, among the models Random Forest, Decision Tree, Naive Bayes, and Logistic
Regression, accuracy is the highest for Decision Tree. Since the patterns of DDOS attacks
can change over time, better pre-processing and techniques should be used to make better
predictions that would actually aid in controlling them like ensemble learning and deep
learning approaches, which would produce beneficial outcomes. Additional updating and
maintaining of the trained AI models are also required.

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Chapter 3

Toward Fast Reliable Intelligent

Industry 5.0—A Comprehensive Study
Manash Kumar Mondal, Sourav Banerjee, and Yudong Zhang

Chapter Contents
3.1 Introduction 56
3.1.1 Motivation 57
3.2 Industry 5.0 58
3.2.1 Industry 5.0 58
3.2.1.1 Human-Centric 59
3.2.1.2 Resilient 60
3.2.1.3 Sustainable 60
3.2.2 Needs of Industry 5.0 60
3.2.3 Features of Industry 5.0 60
3.2.3.1 Smart Manufacturing 60
3.2.3.2 Predictive Maintenance 61
3.2.3.3 Hyper Customization 61
3.2.3.4 Cyber Physical Cognitive Systems 62
3.2.4 Applications of Industry 5.0 62
3.2.4.1 Intelligent Healthcare Development 62
3.2.4.2 Cloud Manufacturing 62
3.2.4.3 Supply Chain Managements 63
3.3 5G Technology 64
3.3.1 Advantages of 5G 65
3.3.2 Disadvantages of 5G 67
3.4 6G Technology 68
3.4.1 Advantages of 6G 69
3.4.2 Disadvantages of 6G 70
3.4.3 Comparison of 5G and 6G 71
3.5 Cyber-Physical System 72
3.5.1 Defnition (NIST) 72
3.5.2 Diferent Applications of Smart CPS 73
3.6 Digital Trust 74
3.7 Conclusions 76
Bibliography 77

3.1 Introduction
The frst industrial revolution began in 1780 with the production of mechanical power
from various sources, which was followed by the use of electrical energy for assembly lines.

DOI: 10.1201/9781003376712-3
Toward Fast Reliable Intelligent Industry 5.0 57

The production industry has used information technology to automate tasks. For instance,
the fourth industrial revolution, subsequently referred to as CPS [18,47], used IoT and
the cloud to connect the virtual and physical space. Although the standard of Industry 4.0
transformed the manufacturing sector, process optimization overlooked human resources,
leading to unemployment. Pioneers in the sector are therefore anticipating the next revolu-
tion in which machines and human intelligence will work together to create superior solutions.
The fourth industrial revolution intended to transform manufacturing agents into cyber-
physical systems (CPSs) from comprehensive physical systems through the efective integra-
tion of business operations and production.
This entails using IoT to integrate every component of the supply chain for the indus-
trial sector, from suppliers to production lines to end users [24]. Industry 4.0 employs CPS
through the IoT network to connect with every entity. Because of this, a cloud environ-
ment is used to store a large amount of data for efcient processing. Although Industry 4.0
transformed the manufacturing sector, process optimization overlooked human resources,
distributed computing, Big data analytics, ambient intelligence, virtual reality, edge com-
puting, and cybersecurity [18,25]. With increasing mass manufacturing, Industry 4.0 has
decreased production, logistical, and quality control expenses. Industry 4.0 has reduced the
cost of manufacturing, albeit at the expense of human costs through process optimization.
This unintentionally pushes employment backward and will increase labor union resist-
ance, which will hinder Industry 4.0’s full adoption [14]. This problem is anticipated to be
resolved by Industry 5.0 with greater human involvement. The manufacturing sector is con-
centrating on the unfavorable efects of managing waste properly and lessening its efects on
the ecosystem in response to the quickening rate of environmental damage caused by Indus-
try 2.0. Nothing about Industry 4.0 protects the environment. The next industrial revolution
has thus been sparked by the necessity for a technological answer to deliver manufacturing
methods that are pollution-free [31,58]. By lowering waste production through the bio-econ-
omy, which creates a pollution-free surrounding, Industry 5.0 maintains the sustainability of
civilization. The industrial revolution (1.0 to 5.0) has been depicted in Figure 3.1.

3.1.1 Motivation

By combining many technologies, including artifcial intelligence (AI), the Internet of Things
(IoT), cloud computing, CPSs, and cognitive computing, the Industry 4.0 standard has com-
pletely transformed the industrial industry. The basic idea behind Industry 4.0 is to build
the manufacturing sector “smart” by connecting machines and creating equipment that can
communicate with one another and control one another throughout their lives [42,55,56].
Process automation is given top attention in Industry 4.0 to minimize human involvement in
the production process [27,43]. The aim of Industry 4.0 is to boost performance and produc-
tivity for all users by utilizing machine learning (ML) to provide intelligence across devices
and apps [6,11,23,62].
Industry 5.0 is now being envisioned as a way to combine powerful, clever, and precise
machinery with the distinctive creativity of human professionals. Many technical futurists
think that Industry 5.0 will give production one more human touch [41]. Industry 5.0 is
anticipated to bring together humans’ critical, cognitive thinking and highly accurate tech-
nology. Another signifcant addition of Industry 5.0 is mass personalization, which allows
clients to choose customized items based on their preferences and requirements. Industry 5.0
will enable adaptability between humans and robots, greatly boost industrial efciency, and
enable accountability for interaction and ongoing monitoring.
58 Secure and Smart Cyber-Physical Systems

Figure 3.1 Industrial revolutions, up to Industry 5.0.

While Industry 4.0 focused on mass production with minimal waste and increased efciency,
Industry 5.0 aspires to achieve mass-customized production with zero waste, minimal cost,
and ultimate precision [32,61]. The idea of Industry 5.0 has yet to fully develop, though. For
instance, the discussion of the numerous defnitions and views of top industry researchers and
academicians about the Industry 5.0 perception is covered in Section 3.2. In order to build an
intelligent society where humans conduct innovative, creative jobs and robots (cobots) handle
the rest, all key Industry 5.0 concepts emphasize the coexistence of humans and robots. In this
regard, the European Commission (EC) developed a futuristic prototype to supplement the
industry 5.0 vision with resilience, human-centeredness, and sustainable approaches [1,21,31].

3.2 Industry 5.0

3.2.1 Industry 5.0

Industry 5.0 is a concept that transcends the term “industry.” Every industry and organiza-
tion that come to mind are covered. This indicates that it has a far broader application than
Industry 4.0. As a result, we must adopt a comprehensive and universal viewpoint that ap-
plies to all industries when considering the strategic implications of Industry 5.0. Industry 5.0
is a proposed new phase in the evolution of industry that builds upon the foundation of
Industry 4.0. While Industry 4.0 is focused on using digital technologies to automate and
optimize industrial processes, Industry 5.0 takes a more holistic approach that emphasizes
human-centricity, collaboration, and sustainability.
Industry 5.0 envisions a future in which advanced technologies such as robotics, arti-
fcial intelligence, and the Internet of Things are used not just to improve efciency and
Toward Fast Reliable Intelligent Industry 5.0 59

productivity but also to enhance human creativity, problem-solving, and decision-making.

This means integrating the best of both human and machine intelligence to create more in-
novative and sustainable solutions.
One key aspect of Industry 5.0 is the use of “cobots,” or collaborative robots, that work
alongside humans to perform tasks that require human-like dexterity, fexibility, and prob-
lem-solving ability. Cobots can help to reduce physical strain on workers, increase ef-
ciency, and enable new levels of customization and personalization in industrial production.
Industry 5.0 also emphasizes the importance of sustainability and social responsibility,
with a focus on reducing waste, increasing resource efciency, and promoting ethical and
equitable practices. This means taking a more holistic approach to industrial design and pro-
duction and considering the broader social and environmental impacts of industrial activities.
Human-centrism, resilience, and sustainability are the three main pillars of Industry 5.0,
as the European Commission explains in Figure 3.2. All three have a big impact on corpo-
rate planning.

3.2.1.1 Human-Centric

According to the image, a human-centric strategy “promotes abilities, diversity, and em-
powerment.” The most signifcant change this implies is moving away from using people as
means (such as in the case of human resources) and moving toward using them as ends. Or,
to put it another way, there is a change in emphasis from organizations serving people to
individuals serving organizations. This is more extreme than it might initially appear to be.
Additionally, it fts in well with recent changes in the labor market.
Finding, serving, and retaining talent have become a considerably bigger task than dis-
covering, ofering, and retaining customers in several businesses and nations. If this trend
persists, the business plan must provide it with a legitimate home, and that’s what Indus-
try 5.0 aims to do. Today’s strategy is mostly focused on acquiring a competitive edge and
utilizing it to produce distinctive additional value for clients. The work of Michael Porter,
the most well-known design expert to date, is fundamentally infuenced by this mindset.

Figure 3.2 Three pillars of Industry 5.0.

60 Secure and Smart Cyber-Physical Systems

3.2.1.2 Resilient

A robust strategy is, in the words of the European Commission, “agile and resilient using
versatile and adaptable solutions.” Few would disagree that resilience is essential—today
and in the future in light of COVID-19, global supply constraints, and the Ukraine confict.
However, this transformation is more profound than it frst appears. While fexibility and
agility are currently higher on the corporate agenda, this does not automatically translate
into greater resilience. If resilience is to truly be one of the three main pillars of Industry 5.0,
then strategy’s main emphasis must shift from growth, proftability, and efectiveness to
building “anti-fragile” organizations that can anticipate, respond to, and learn the system-
atic way from any crisis order to ensure stable and long-term results.

3.2.1.3 Sustainable

With the many concerns we currently have over climate change, the concept of sustainabil-
ity hardly needs an introduction. A sustainable strategy “leads to action on sustainability
and respects planetary boundaries,” according to the European Commission. This suggests,
for instance, that organizations should focus on all 17 Sustainable Development Goals and
the 3 pillars of the Triple Bottom Line. The third pillar is also a major change, just like the
frst two. Corporate sustainability initiatives have thus far mostly been concentrated on
mitigating harm or engaging in green-washing but let’s leave that out of the conversation.
So it’s business as usual but with more responsibility.

3.2.2 Needs of Industry 5.0

Future industries must play a crucial role in providing solutions to pressing societal issues,
such as:

1) Protecting natural resources and the environment and combating climate change.
2) Adopting circular production models, developing and empowering ICT technologies,
and revising energy consumption regulations to ensure the efective use of natural as-
sets in the incident of external shocks, such as the COVID-19 pandemic (resiliency)
[46,48,60].
3) Hyper-connectivity in the digital age and developing digital skills for empowering indi-
viduals and promoting social stability (human-centric value). It is crucial that the ele-
ments of the Industry 5.0 vision achieve and make the 17 Sustainable Development
Goals (SDG) or Global Goals included in the United Nations’ Agenda 2030 possible [4].

3.2.3 Features of Industry 5.0

3.2.3.1 Smart Manufacturing

Sustainable manufacturing, which supports producers in carrying out growth strategies,
reduces pollution, and optimizes resource use throughout the development life cycle, is cur-
rently the most well-liked and cost-efective manufacturing strategy [45].
The environmentally friendly method used for industrial production, known as addi-
tive manufacturing, creates the product part layer by layer rather than as a monolithic
block, resulting in the development of lighter but more durable parts one at a time. On
the 3D objects, the material is added layer by layer. Intelligent additive manufactur-
ing uses computer vision and AI algorithms to increase the accuracy and improve the
Toward Fast Reliable Intelligent Industry 5.0 61

graphical description of product designs in 3D printing. For improved compositions, 5D

printing, a recent branch of additive manufacturing, is now used. The development of
smart manufacturing has been signifcantly bolstered by the current leading technologies
like AI, CPS, cloud computing, Big Data, 5G, IoT, DT, Fog computing, and EC. Intelli-
gent empowering technologies are also gaining popularity. The key benefts of the smart
manufacturing sector are productivity, proftability, and sustainability. Smart additive
manufacturing (SAM) has emerged as a technique in the smart manufacturing space over
the past ten years.

3.2.3.2 Predictive Maintenance

Industries are dealing with numerous difculties as the globalization of the economy pro-
gresses. This is causing the production facilities to transition to impending changes like
predictive maintenance (PdM). Manufacturers have been leveraging developing technology,
such as CPS techniques and sophisticated analytical methodologies, to increase productivity
and efciency [52]. Industry transparency refers to the capacity to identify and evaluate am-
biguities in order to estimate industrial capacity and opportunity. In essence, the majority of
industrial plans presumptively anticipate constant equipment availability. However, in the
actual industry, it never actually occurs. Industries are dealing with numerous difculties
as the globalization of the economy progresses. This is causing the production facilities to
transition to impending changes like predictive maintenance.
In order to gain transparency, manufacturing facilities should switch to predictive main-
tenance. Modern prediction tools must be used in this transformation so that the workforce
can make wise decisions. These tools convert data into information in a systematic manner
and indicate uncertainties. Utilizing intelligent equipment and intelligent sensor networks,
the Internet of Things (IoT) implementation ofers the fundamental framework for preven-
tive maintenance. Predictive maintenance’s fundamental objective is to provide equipment
and systems with the ability to be aware of themselves.

3.2.3.3 Hyper Customization

Aiming to link machines, building smart supply chains, encouraging the manufacture of
smart products, and separating labor from automated sectors are all aspects of Industry 4.0.
However, Industry 4.0 has been unable to keep up with the rising need for customization,
whereas Industry 5.0 uses hyper customization to do so. Hyper customization is a personal-
ized marketing strategy that uses real-time data and cutting-edge technology like artifcial
intelligence, machine learning, cognitive systems, and computer vision to ofer each cus-
tomer more specialized goods, services, and content. Robotics and human intelligence com-
bined allow for the mass customization of items by producers. To accomplish this, various
functional material variations are communicated with other staf members with the goal of
customizing the product with various variations for consumer choice.
Industry 4.0 is intended for massive production with minimal waste and the highest ef-
fciency, but Industry 5.0 wants to achieve mass customization at the lowest possible cost
with the highest level of precision. Industries can organize manufacturing processes to in-
corporate client requests and market changes thanks to the interaction of humans, robots,
and cognitive systems. The transformation to an agile supply chain and manufacturing
process is the frst stage in hyper-personalizing. Additionally, the production team, con-
sumer preferences, and human intervention are required. Additionally, the viability of hyper
customization is heavily reliant on how economically viable the generated items are [61].
62 Secure and Smart Cyber-Physical Systems

3.2.3.4 Cyber-Physical Cognitive Systems

CPS has gained popularity in recent years as a result of the development of technologies like
smart wearables, IoTs, cloud computing, fog and edge computing, and Big data analytics. The
manufacturing process has changed from using fully manual systems to using CPS as a result
of the fourth industrial revolution [30,57]. The IoT-enabled connection between CPSs serves
as the foundation for Industry 4.0. Huge amounts of efective, secure data sharing and storage
are made possible by cloud technology [12]. Additionally, cognitive techniques are used to
improve the performance of the system in a variety of applications, including intelligent sur-
veillance, industrial automation, smart grid, vehicular networks, and environment monitor-
ing. These applications are referred to as cyber-physical cognitive systems (CPCSs) [51,54].
The nodes of the CPCSs contain cognitive capacities like the ability to observe or study the
surroundings and take appropriate action.
In CPCSs, decision-making is mostly based on learning and knowledge. For human–
robot collaborative (HRC) production, the CPCS has been introduced. The HRC works
with a human and a robot to complete the assemblage of components in the manufactur-
ing sector. For this real-time collaboration project, machine–human cognitive integration is
modeled and used. The fourth industrial revolution’s advantages were constrained by the
ffth industrial revolution, which reinstates the use of human labor in production. Industry
5.0 is made possible by the ffth revolution, which makes it easier for skilled workers and
robots to collaborate to generate personalized goods and services [9].

3.2.4 Applications of Industry 5.0

3.2.4.1 Intelligent Healthcare Development

These days, medical professionals use machine learning (ML) models to aid in the diagnosis
of patients’ illnesses. This aids in increasing the accuracy of disease diagnosis and thus helps
patients save a great deal of time and money [5,13]. However, given the circumstances, this
is insufcient. Technology that can guarantee individualized patient care, such as monitor-
ing measurements of blood pressure and sugar levels, and provide patients with individual-
ized treatment with support from doctors is urgently needed. The advent of Industry 5.0 can
enable this. Smart watches, intelligent sensors, and other intelligent wearables can continu-
ously capture a patient’s healthcare data in real time and save this data in the cloud.
The medical state of the patients can then be determined using ML methods. These smart
gadgets are able to connect with one another, and in the event that a doctor is needed, they
can provide the doctors with the information of the patient’s present condition and alert
them to treat the patient. Doctors can use cobots to do surgery on patients by using robots
that can communicate with one another. These are just a few instances of how Industry 5.0
can transform the healthcare sector. This revolution facilitates the production of implants,
customized gadgets, etc. Corobots could take care of regular tasks through Industry 5.0,
such as routine exams currently carried out by doctors. Doctors can focus on higher-level
of employment in this fashion for the prescription of drugs to the patients.

3.2.4.2 Cloud Manufacturing

By incorporating cutting-edge technologies like cloud and EC, IoT, virtualization, and service-
oriented technologies, cloud manufacturing is an innovative technique to transform the con-
ventional manufacturing paradigm into an advanced manufacturing technique. Multinational
Toward Fast Reliable Intelligent Industry 5.0 63

stakeholders will work together in a cloud manufacturing process to run an efective and
afordable manufacturing process. Reliability, excellent quality, cost-efectiveness, and on-
demand capabilities are some of the characteristics that set cloud manufacturing apart. Ad-
ditionally, cloud manufacturing benefts the environment by removing the need for lengthy
raw material deliveries during the manufacturing process.
Cloud manufacturing enables designers to use manufacturing resources scattered across
many geographical zones while protecting their intellectual property, such as design fles for
manufacturing goods, by storing them in the cloud with strict access controls [3]. By doing
this, the designers are given the freedom to locate their manufacturing facilities nearer to
the raw materials as well as in nations where manufacturing is more afordable. Here, the
cloud is in charge of managing the operations of the manufacturing life cycle, including
service composition [29] and scheduling [19]. IoT sensors can be used to gather and evalu-
ate in the cloud the operating condition data of the manufacturing process [50]. The use of
cloud manufacturing as a service-oriented manufacturing framework was demonstrated by
Li et al. [26] and Tao et al. [49].
The potential business policies for cloud manufacturing, including the pay-as-you-go
business strategy, were described by Xu et al. [59]. Several energy-awareness-related re-
searches were done by researchers in cloud computing environments [33–36]. The upcom-
ing generation of cloud manufacturing systems, known as Industry 5.0, is anticipated to
support various and complicated requirements in the contexts of engineering, production,
and logistics. The development of EC features, 5G-based telecommunications networks,
and AI/ML technologies opens up new opportunities to signifcantly increase the capabili-
ties of future cloud manufacturing systems.

3.2.4.3 Supply Chain Managements

In order to fulfll demand and produce individualized and customized products more quickly,
companies can beneft from disruptive technologies that enable Industry 5.0, such as DT,
cobots, 5G and beyond, ML, IoT, and EC [28]. As mass customization is a core idea in
Industry 5.0, this aids supply chain management (SCM) in incorporating it into their manu-
facturing processes. The SCM, which consists of warehouses, inventory positions, assets,
and logistics, can be recreated digitally using DT. The DT includes all manufacturing sites,
suppliers, contract manufacturers, shipping channels, distribution centers, and client loca-
tions. From the design stage through construction and commissioning and on to operations,
DT provides assistance for the SCM during its full life cycle [37,22]. DT can sense real-world
data via IoT sensors by imitating real-time SCM systems. These data can be used by ML,
Big data, etc., to forecast the challenges encountered at various stages of SCM. Table 3.1
illustrates the paradigm shift from Industry 4.0 to Industry 5.0.

Table 3.1 Industry 4.0 to Industry 5.0 Paradigm Shift

Industry 4.0 Industry 5.0

Focus on equipment connectivity Focus on customer experience

Mass personalization Hyper customization
Smart supply chain Interactive product (experience-activated)
Smart products Interactive products
Remote workforce On-site workforce
64 Secure and Smart Cyber-Physical Systems

3.3 5G Technology
5G is the next generation of wireless connectivity, ofering a truly connected future. Industry
5.0 has been heralded as being one of the most important innovations in the industry. With 5G,
manufacturers can create more intelligent products that are online, ofine, mobile, or stationary.
The numerous access approaches in the existing networks are almost at a standstill and
require immediate improvement when the current 5G network is taken into account. At
least for the next 50 years, current technology like OFDMA will be functional. Further-
more, the wireless confguration that was changed from 1G to 4G does not need to be
changed. As an alternative, the user requirements could be satisfed by simply adding an
application or improving the basic network. The package providers will be prompted by
this to start planning for a 5G network as soon as 4G is put in place commercially [53]. A
signifcant shift in the approach to building the 5G wireless cellular architecture is required
to satisfy user requests and address the issues raised by the 5G system. Researchers’ broad
observations have revealed in [8] that the majority of wireless users spend about 80% of
their time indoors and approximately 20% of the time is spent outside.
In the recent wireless cellular framework, an outside base station (BS) located in the
center of a cell facilitates communication between mobile users whether they are inside or
outside. Signals must therefore pass through the walls of the inside in order for the inside
users to exchange information with the outside base station. This will result in massive pen-
etration loss, which decreases the spectrum efectiveness, data rate, and energy efciency of
wireless communications. To overcome this obstacle, a fresh idea or design approach for the
5G cellular architecture is to distinguish between external and internal confgurations [53].
The signal loss through the building’s walls will be marginally lessened using this method
of designing. Massive MIMO technology will be used to support this concept [44], where
a widely dispersed array of antennas with tens or hundreds of antenna units is deployed.
Massive MIMO systems have the advantage of using the benefts of a large array of antenna
devices in terms of enormous capacity improvements, whereas current MIMO systems only
use two or four antennas.
In order to develop or create a big massive MIMO network, the outer base stations will
frst be outftted with substantial antenna arrays, some of which are spread across the hex-
agonal cell and connected to the base station via optical fber cables, supported by massive
MIMO technology. Outside, mobile users are often equipped with a specifc number of
antenna units, but with collaboration, a sizable virtual antenna array may be built, which,
combined with base station antenna arrays, creates huge virtual MIMO linkages. To com-
municate with outdoor base stations using line-of-sight components, every building will
also have a vast array of external antennas built. For communication with inside users,
the massive antenna arrays are connected to the wireless access points inside the building
through cables. This will result in signifcant improvements to the cellular system’s energy
efciency, cell average throughput, high data rate, and spectrum efciency, albeit at the
expense of higher infrastructure establishment costs. With the implementation of such a
design, users inside buildings will only need to connect to or communicate with internal
wireless access points, while external buildings would continue to have larger antenna ar-
rays built [53]. Certain technologies, such as Wi-Fi, Small-Cell, Ultra-Wideband, and Mil-
limeter Wave Communications, are used for indoor communication [7]. However, higher
frequencies are being used by technologies like visible light communication and millimeter
wave communication frequently for cellular communications. Cloud and fog computing get
the beneft of 5g directly due to high data rate and lower latency time [38].
Toward Fast Reliable Intelligent Industry 5.0 65

However, it is not a good idea to employ these high-frequency waves for outdoor and long-
distance applications since they are quickly scattered by raindrops, gases, and the atmosphere.
They also do not penetrate dense materials well. However, due to their huge bandwidth, visi-
ble light and millimeter wave communications technologies can increase the transmission data
rate for indoor settings. Another strategy to address the issue of spectrum scarcity is the in-
troduction of additional spectrum that is not typically used for wireless communication. This
strategy is known as Cognitive Radio (CR) networks, which increase the spectrum utilization
of existing radio spectra [20]. The heterogeneous 5G cellular architecture necessitates the use
of macrocells, microcells, tiny cells, and relays. The idea of a mobile tiny cell is crucial to 5G
wireless. Mobile relay and tiny cell concepts are used to some extent in cellular networks [16].
It is being adopted to accommodate those with high levels of mobility who are riding in
cars and high-speed trains. While gigantic MIMO units made up of enormous antenna arrays
are deployed outside moving vehicles to interact with the base station, mobile small cells are
placed within moving vehicles to communicate with users inside those vehicles. The idea of
separating indoor and outdoor installations is supported by the fact that a mobile small cell
appears to users as a standard base station and that all of its associated users are seen as a
single unit to the base station. In order to take advantage of data rate services with high-fre-
quency signaling overhead, mobile small-cell users have a high data rate, as illustrated in [53].
The radio network and the network cloud are the only two logical levels in the architecture
of the 5G wireless cellular network. The radio network is made up of various types of parts
with various functions. The User plane entity (UPE) and Control plane entity (CPE) that per-
form higher-layer functions linked to the User and Control planes, respectively, make up the
network function virtualization (NFV) cloud. Resource pooling is one example of the special
network functionality as a service (XaaS) that will ofer services based on demand. The radio
network and network cloud are connected by XaaS. In [53] and [2], the architecture of the 5G
cellular network is described. It is equally crucial for the front-end and backhaul networks.
The general 5G cellular network design is presented in this research according to Figure 3.3. It
discusses the connections between many cutting-edge technologies, including massive MIMO
networks, cognitive radio networks, and mobile and static small-cell networks. The function
of the network function virtualization (NFV) cloud in the proposed architecture for the 5G
cellular network is also explained. This suggested 5G cellular network architecture also takes
into account the ideas of Device to Device (D2D) communication, small cell access points, and
the Internet of Things (IoT). Overall, the suggested 5G cellular network design might ofer a
solid foundation for the next generation of 5G standardized networks.

3.3.1 Advantages of 5G

High speeds: In comparison to 4G and 4G LTE, 5G operates more quickly on mobile phones
and other devices. Instead of taking minutes, it enables customers to download movies,
videos, and music in seconds. Organizations can use the network’s 20 Gbps speed for
services like automation and enhanced web conferencing. According to a recent poll,
customers who used 5G downloaded content in less than 23 hours per day.

Low latency: In comparison to 4G, 5G ofers lower latency, which will efectively enable
emerging applications like AI, IoT, and virtual reality. Additionally, it makes it simple for
mobile phone users to browse the web and open websites. Another beneft is that it pro-
vides a means to access the Internet whenever you need to fnd some crucial information.
66
Secure and Smart Cyber-Physical Systems
Figure 3.3 Architectural framework of 5G.
Toward Fast Reliable Intelligent Industry 5.0 67

Increased capacity: Up to 100 times more capacity than 4G is possible with 5G. It enables
businesses to transition between cellular and Wi-Fi wireless solutions, greatly enhancing
performance. In addition, it ofers highly efective ways to access the Internet.
More bandwidth: One of the key benefts of 5G is that it increases bandwidth, which will
aid in quick data transfer. Additionally, by choosing a 5G network, mobile phone con-
sumers can avail of a faster connection with greater bandwidth.
Powering innovation: Connecting with a wide variety of devices, such as drones and sen-
sors, requires the use of 5G technology. It ofers strategies for accelerating IoT adoption,
enabling businesses to increase productivity and do other things.
Less tower congestion: Accessing critical information may become difcult due to 4G cell-
phone networks’ frequent congestion. However, the improved speed and increased ca-
pacity of 5G networks enable consumers to bypass them.

3.3.2 Disadvantages of 5G

Expensive initial rollout costs: Because network operators would have to both upgrade their
current network infrastructures and construct new ones to fulfll the requirements of the
3GPP standard, developing and implementing 5G capabilities would be costly. In order to
upgrade and construct infrastructures, it is necessary to buy new hardware, obtain new li-
censes, integrate and advance complementary technologies like multiuser MIMO and mas-
sive MIMO as well as beamforming, and lease both public and private areas. Building and
expanding their ffth-generation network capabilities would take some time for developing
and undeveloped nations, as well as for rural areas like provinces because the entrance
barrier for local network operators is still high due to cost, expertise, and resource needs.
Not compatible with older devices: Newer generations of cellular network technologies
have various hardware requirements, just like the older versions did. To connect to a 5G
network, devices must have the required hardware. Fifth-generation networks will not be
supported by the majority of fagship smartphones from 2019 and earlier, as well as mid-
range to entry-level devices from 2020 and entry-level devices from 2021. For users to
beneft from 5G technology, they must purchase equipment that is capable of doing so.
Variations between mmWave and sub-6: The fact that the entire 5G standard is built on two
separate standards is another issue. In contrast to mmWave, sub-6 employs various tech-
nologies and operates on diferent principles. Additionally, while some devices only sup-
port the mmWave specifcation, others only support the sub-6 specifcation. The sub-6
5G standard covers the so-called C-Band 5G. To determine whether the gadgets they
intend to purchase are compliant with both or just one of the criteria, consumers would
need to read and comprehend the tiny print of those devices. There are fundamental dif-
ferences between various 5G networks and 5G gadgets. Given the variations in these two
specifcations, it is preferable to buy a device that supports both.
mmWave specifcation restrictions: In terms of bandwidth, latency, and data transmission speed,
mmWave 5G is superior to sub-6 5G. There is one problem, though. The mmWave specifca-
tion’s range is constrained because it calls for employing higher frequencies. To completely
cover a certain area, network operators would need to construct and place hundreds to
thousands of smaller cells. Users must also be within a block of a mmWave cell site and along
a line of sight in order to join a mmWave network. This specifcation’s restrictions make it
perfect for congested urban regions or specifed target locations like stadiums and airports.
Cybersecurity: One of the issues with 5G is cybersecurity since hacking will happen. The
increase in bandwidth makes it simple for thieves to grab the database. Additionally,
68 Secure and Smart Cyber-Physical Systems

the software it employs makes it subject to attacks. Attacks are quite likely when 5G
connects to more devices. As a result, organizations and corporations should invest in a
security operations center to safeguard their infrastructure.

3.4 6G Technology
6G technology is the next step in mobile communications for the Industry to upgrade its
systems and operations. To develop a fully functional 5G ecosystem, it is important that the
entire industry has a common standard that supports 5G standards, from the core network
to WANs and mobile operators. The frst-generation service node of 6G ensures that all
operators can start deploying 5G in real time. 6G technology will have a disruptive efect on
entire supply chains as it enables high-defnition, real-time, interactive, and virtual experi-
ences in an increasingly digital world through advanced communication technologies such
as Machine-to-Machine (M2M) and Remote Cellular Networks (RCNs).
In conjunction with a secure and automated orchestration architecture, 6G architecture
includes building blocks spanning important architectural domains of a communication
network, starting at the physical layer and moving up to the service layer. As shown in Fig-
ure 3.4, we defne and formulate architectural 6G building blocks. The Nokia Bell Labs 6G
architectural breakdown into building pieces consists of four key interconnected compo-
nents that ofer an open and distributed reference architecture. The “het-cloud” component
of the 6G architectural cloud transition efectively serves as the architecture’s infrastructure
platform and contains features such as an open, scalable, and agnostic run-time environ-
ment; data fow centricity; and hardware acceleration.

Figure 3.4 6G architectural framework.

Toward Fast Reliable Intelligent Industry 5.0 69

Figure 3.5 Six key technologies of 6G.

Information architecture, AI, and the subjects of RAN-CORE convergence, cell-free,

and mesh connectivity, as well as functional architecture, are all included in the “func-
tions” component. The advent of specialized networks and related performance char-
acteristics are a key transformational theme of the 6G era; architectural enablers such
as fexible of-load, extreme slicing, and subnetworks are demonstrated as parts of the
“specialized” building block. The “orchestration” element of the 6G architectural trans-
formation, which will ensure open service enabling an ecosystem play, domain resource
monetization as well as cognitive closed loop and automation, is important in terms of its
fnancial impact. Figure 3.5 shows six key technologies used in 6G

3.4.1 Advantages of 6G

6G technology has several advantages, and the advantages are discussed below.

Provides higher data rates: The 6G network’s ability to sustain larger data speeds is an ad-
ditional advantage. Remember that this form of connection will only be accessible in
frequencies utilizing the mmWave spectrum, just like 5G. Such high-frequency waves are
currently incompatible with the available devices. Very fast data rate (Tb/sec) and very
low latency (sub-ms) are features of 6G.
70 Secure and Smart Cyber-Physical Systems

Increases the number of mobile connections supported: The fact that 6G technology is in-
tended to handle more mobile connections than 5G capacity is one of its key advantages.
As a result, there will be less device interference, which will result in an improved service.
It is intended to handle more mobile connections than the approximately 10 × 105 ca-
pacity of 5G per km. Because, most of the indoor trafc is produced by mobile devices.
Furthermore, efective interior coverage has never truly been a goal of cellular networks’
design. By utilizing femtocells or distributed antenna systems (DASs), 6G overcomes
these obstacles.
Transforms the healthcare industry: Through surgeries and simulations in a real-world set-
ting, medical interns and students can learn more efectively. The key beneft of 6G
technology is that it will change the concept of healthcare for patients and medical pro-
fessionals. Imagine living in a time when you could quickly learn about your health
rather than having to wait for weeks. By enabling remote surgery and ensuring health-
care workfow optimization, 6G will transform the healthcare industry and break down
time and geographic limitations.
Separates frequencies: The control channels for the 6G standard are assigned a frequency
range of 8 to 12 GHz. It will feature separate frequencies and a frequency bandwidth of
up to 3.5 kHz. This indicates that the channels do not overlap. This makes it possible to
give room to various transmissions, which increases data speeds.
Utilizes terahertz (THz) frequencies: THz (Terahertz) frequencies are used in 6G. THz
waves are helpful for high-speed, short-range wireless communications because they
can readily absorb moisture from the air. THz provides a narrow-beam, better direc-
tivity, and secure transmission, which is made possible by its potent anti-interference
abilities. From 108 to 1,013 GHz, high wireless bandwidth (a few tens of GHz) can
enable higher Tb/sec transmission rates. THz waves are utilized in space communica-
tion to enable lossless transmission between satellites. In order to meet the needs for
urban coverage, beamforming and massive MIMO multiplexing gain assist in over-
coming rain attenuation and fading propagation. The extremely low photon energy of
THz waves (10−3 eV) allows for greater energy efciency. THz waves can be employed
for various unique communication methods since they can permeate materials with
minimal attenuation.
Visible lights: Visible lights used by 6G wireless take advantage of LED’s lighting and high-
speed data connection capabilities. Electromagnetic radiation (EM) cannot be generated
by visible light communication (VLC). As a result, it is immune to EM interference from
outside sources. VLC aids in enhancing network security as well.

3.4.2 Disadvantages of 6G

Cell-less architecture and multi-connectivity: Multi-connectivity and cell-less architecture

are used in 6G. Therefore, fawless scheduling is required for seamless mobility and integra-
tion of various networks (THz, VLC, mmWave, sub-6 GHz). The UE connects to the RAN
and not to a specifc cell in a cell-less architecture. Here, creating a new network architec-
ture is a difcult task.

THz (Terahertz) frequencies: The limitations of THz (terahertz) frequencies might be

thought of as limitations of 6G wireless technology since THz is used for some of its
communications. The term “terahertz frequency” refers to the electromagnetic (EM)
Toward Fast Reliable Intelligent Industry 5.0 71

wave spectrum between 0.1 and 10 THz with a wavelength of 30 to 3,000 micrometers.
THz waves are well suited for use between satellites and can be employed widely in
space communications. The THz signal’s sensitivity to shadows has a signifcant impact
on coverage. Additionally, THz frequencies with a lower frequency experience have a
higher free space fading. Ultra-large-scale antenna, which demands high bandwidth and
vast quantitative high resolution, is a signifcant problem in THz. Designing 6G devices
with low power and cheap cost involves signifcant processing power challenges.
Health-related consequences: Ongoing discussions surround the usage of 6G technology
and its potential for harm to people. For instance, exposure to high-frequency radiation
has been related to illnesses like autism, ADHD, PTSD, migraines, nausea, and blurred
vision due to OCD. Additionally, RF exposure from using a cell phone may cause cancer,
notwithstanding the fndings of other studies. The usage of cell phones over an extended
period of time, according to numerous scientists, may have an impact on some aspects
of human cells.
Visible light frequencies: Since visible light wavelengths are used in some of 6G’s commu-
nications, its disadvantages are also those of 6G wireless technology. The wavelength
range for visible light is 390–700 nm.
Energy consumption and efciency: A 6G system is required to manage a high number of
terminals and networking devices in an energy-efcient and cost-efective manner. Cir-
cuitry in network and terminal equipment as well as the design of the communication
protocol stack must be optimized to achieve this. To meet this need, energy-harvesting
strategies are employed.

3.4.3 Comparison of 5G and 6G

Within the next ten years, it is anticipated to witness the birth of a new 6G technology due
to the quick growth of ffth-generation (5G) applications and rising demand for even faster
communication networks. According to numerous sources, the 6G wireless network stand-
ard might appear around 2030. The severe technological limitations of 5G wireless networks
are therefore examined critically in this research, together with the projected difculties of

Table 3.2 Comparing 5G and 6G Specifications

Key Points 5G 6G

Operating bandwidth Up to 400 MHz for sub-6 Up to 400 MHz for sub-6 GHz
bands bands
Up to 3.25 GHz for mmWave Up to 3.25 GHz for mmWave band
bands Indicative value: 10–100 GHz for
THz bands
Carrier bandwidth 400 MHz To be defined
Peak data rate 200 Gbps ≥ 1Tbps
(Holographic, VR/AR, and tactile)
User experience rate 100 Mbps 1 Gbps
User plane latency 4 ms (eMBB) and 1 ms 25 µs to 1 ms
(uRLLC)
Mobility 500 km/h 1,000 km/h
Control plane latency 20 ms 20 ms
72 Secure and Smart Cyber-Physical Systems

6G communication networks. Table 3.2 highlights the comparison between 5G and 6G

technology.

3.5 Cyber-Physical System

3.5.1 Definition (NIST)

“CPS are complex systems of computational, physical, and human components integrated
to achieve some function over one or more networks.”
CPSs are intelligent systems with constructed networks of interconnected physical and
computational elements. It is widely acknowledged that CPS and related systems, including
the Industrial Internet and the Internet of Things (IoT), have enormous potential to en-
able novel applications and have an impact on a variety of economic sectors in the global
economy [15].
A cyber-physical system is a combination of physical, computational, and information
technologies to create new and dynamic systems. Industry 5.0 is a new paradigm that recog-
nizes that people, technology, and processes are all intertwined. The scope of CPS has been
explored in two articles: A case study on the city of Redondo Beach, California, where an
obstacle detection system was used as a demonstration for a county-wide (electronic logging
devices) ELD initiative; and a presentation on cooperative control concepts as applied in
Industry 4.0 research for controlling automated machinery.
In order to perform time-sensitive tasks with variable levels of contact with the envi-
ronment, including human involvement, CPSs integrate computation, communication,
sensing, and actuation with physical systems. Figure 3.6 displays a conceptual repre-
sentation of the CPS. This illustration highlights the possible interconnections between

Figure 3.6 CPS conceptual model.

Toward Fast Reliable Intelligent Industry 5.0 73

systems and devices in a system of systems (SoS) (such as a CPS infrastructure). A CPS
can be as straightforward as a single device, or it can be an SoS made up of several
systems made up of various devices or one or more cyber-physical devices that create a
plan.

3.5.2 Different Applications of Smart CPS

For CPSs to function, the cyber and physical must be combined, and they must be in-
terconnected. Typically, a CPS comprises sensing, processing, and actuation. Traditional
information technology (IT) is used in CPSs to process data as it moves from sensors to
computation. Traditional operational technology (OT) is also used in CPSs for actuation
and control functions. A particularly novel aspect of CPSs is the fusion of these OT and IT
worlds, along with the temporal limitations that go along with it.
An SoS could be a CPS. As a result, it may span several objectives as well as temporal and
data domains, necessitating techniques for translating between or accommodating various
domains. For instance, several time domains may refer to various time scales or have vari-
ous levels of granularity or accuracy.
CPSs can be used for purposes other than that for which they were originally intended.
For instance, a mobile trafc sensor might be created from a cell phone in a car, and equip-
ment failures could be identifed using data on energy use. The smart city is another applica-
tion of CPSs [40, 10].
Due to the open nature of the CPS composition, emergent behaviors are to be expected.
One of the main analysis issues is to comprehend a behavior that cannot be explained by
a single CPS component but rather results from the interplay of potentially numerous CPS
subsystems. For instance, a trafc jam is a negative emergent behavior, whereas the smart
grid’s optimal energy distribution, in which power suppliers and consumers collaborate, is
a desirable positive emergent impact [39].
CPSs’ potential impact on the physical world and its interconnectedness raise questions
regarding its reliability. Stressing security, privacy, safety, reliability, and resilience is more
urgently needed, along with corresponding assurance for widely used networked infrastruc-
tures and devices. For instance, publish and subscribe messages, certifcate authorities, type
and object registries, and other infrastructure-based components and aggregators in CPS
networks may be owned and operated by outside parties. This could lead to possible trust
problems.
To guarantee interoperability, manage evolution, and deal with emergent efects, CPSs
need a methodology. Many of the subsystems, particularly those in large-scale CPSs like
smart grid and smart city, are the responsibility of various manufacturers.
Smart CPSs have a wide range of applications in various domains. Here are some exam-
ples of diferent applications of smart CPSs:

Smart grid: CPSs can be used to optimize the generation, distribution, and consumption of
energy in smart grids. CPSs can monitor and control energy generation and consumption
in real time, helping to balance supply and demand.
74 Secure and Smart Cyber-Physical Systems

Smart transportation: CPSs can be used to optimize trafc fow, improve road safety, and
reduce congestion. CPSs can monitor trafc fow, control trafc signals, and provide real-
time information to drivers to avoid accidents and reduce travel time.
Smart healthcare: CPSs can be used to improve patient care by monitoring patients in real
time and providing timely interventions. CPSs can monitor vital signs, administer medi-
cation, and alert healthcare professionals in case of emergencies.
Smart manufacturing: CPSs can be used to optimize manufacturing processes by monitoring
and controlling production lines in real time. CPSs can track inventory levels, monitor
equipment performance, and predict maintenance needs to reduce downtime and im-
prove efciency.
Smart buildings: CPSs can be used to optimize energy consumption in buildings by
monitoring and controlling heating, cooling, and lighting systems. CPSs can adjust
the temperature and lighting based on occupancy and other factors to reduce energy
waste.
Smart agriculture: CPSs can be used to optimize crop production by monitoring and con-
trolling irrigation, fertilization, and pest control. CPSs can monitor soil moisture, tem-
perature, and nutrient levels to optimize crop growth and yield.
Smart City: CPSs can be used to optimize city services such as waste management, public
transportation, and emergency services. CPSs can monitor and control trafc fow, track
waste disposal, and provide real-time information to emergency services.

3.6 Digital Trust

The term “digital trust” refers to the combination of technical and organizational charac-
teristics of digital systems that make them less likely to cause physical harm or allow attacks
on the integrity, confdentiality, or availability of data or services.
As per the World Economic Forum: “Digital trust is individuals’ expectation that digital
technologies and services—and the organizations providing them—will protect all stake-
holders’ interests and uphold societal expectations and values.”
Digital trust, also known as digital reputation, is the confdence that people have in the
reliability and value of a website. It’s both an objective and subjective notion many websites
face every day. Digital trust is about a lack of provenance or the lack of certain attributes
that would signal to others whether something is trustworthy. Trust is the fip side of risk.
The more people are distrustful of a product, service, or company, the less likely they are to
engage with it. Today, we live in an increasingly digital landscape. Digital technology deliv-
ers on its promise of efciency, convenience, and convenience as well as growing concerns
about cybersecurity. But how widespread are these concerns? Does digital trust really exist?
We fnd that while most consumers do use online services in their daily lives, they are gen-
erally wary of them due to security and privacy concerns. The majority of these concerns
relate back to their own data privacy.
Trust is a complex phenomenon with many social, psychological, and economic di-
mensions. The term “trust” is used to capture a variety of related feelings, thoughts, and
judgments about the moral, social, and political role that people attach to other people
and entities. For example, trust can be both an individual’s subjective assessment of an-
other person’s reliability or performance as well as an objective measure of the extent to
which the recipient of the trust is responsive to the sender in terms of providing or not
Toward Fast Reliable Intelligent Industry 5.0 75

providing desired outcomes. It could also be distinguished from a belief based on evidence
or logical reasoning. The concept of trust is thus seen at diferent levels such as individual
(“I trust you”), group (“we all trust each other”), and culture (“everyone trusts their
government”).
Management and consumers have grown to rely on readily available, quick, and se-
cure mobile connectivity as a result of the growing digital delivery of government services.
However, as 5G networks link millions of users, Internet-of-things (IoT) gadgets, driverless
vehicles, and smart city services, the advantages of ubiquitous connectivity must be weighed
against the expanded attack surface that would be made possible. Governments must keep
up with the escalating security concerns if they want to build trust in these digitally deliv-
ered services.
Not simply over smartphones, 5G will enable new use cases, applications, and services.
Large-scale IoT sensor installations are supported, as are connections with extremely low
latency for automated systems, better coverage, and more bandwidth for several latest ap-
plications in transportation, healthcare, and public security, to mention a few.
Cyberattacks are also becoming more complex every day. Government networks are
frequently attacked by criminal gangs, disgruntled citizens, past and present employees,
nation-states, and actors with governmental sponsorship. Thankfully, the foundation of
software-defned networking and virtualization is one of the distinguishing characteristics
of 5G network design. This indicates that 5G networks are very fexible, scalable, and inte-
grated throughout. Most importantly, a lot of their tasks can be automated [52].
These networks are capable of changing to counter extremely sophisticated cyberattacks
against targets in the government. In comparison to earlier generations of mobile standards,

Figure 3.7 Digital trust framework.

76 Secure and Smart Cyber-Physical Systems

they ofer much higher levels of security, thanks to their greater data encryption and strin-
gent user authentication.
This is signifcant because hacker vulnerabilities usually use automation and dynamic
network response adaptation. Government networks need to be able to respond even more
quickly because ”dwell time,” or how long a hacker or an attack remains unnoticed, must
be reduced. It has been demonstrated that the use of software analytics, machine learning,
orchestration, and automation may cut dwell time by 80%. Figure 3.7 represents frame-
works of digital trust.

Goal of digital trust: The digital trust framework defnes shared goals or values that inform
the concept of digital trust, including:

• Security and reliability

• Accountability and oversight
• Inclusive, ethical, and responsible use

Dimensions: The framework also defnes dimensions against which the trustworthiness of
digital technologies can be operationalized and evaluated:

• Privacy
• Fairness
• Redressability
• Auditability
• Interoperability
• Transparency
• Safety
• Cybersecurity

3.7 Conclusions
In conclusion, the study provides valuable insights into the current state and future di-
rection of Industry 5.0. The survey results suggest that Industry 5.0 is expected to bring
signifcant benefts in terms of productivity, efciency, and quality, driven by advanced
technologies such as AI, IoT, and cloud computing. The survey highlights the importance
of fast and reliable connectivity, as well as the need for intelligent automation and data
analytics to enable real-time decision-making. The results also indicate that there is a strong
demand for Industry 5.0 solutions in various sectors, including manufacturing, healthcare,
transportation, and energy. However, the chapter also identifes several challenges that need
to be addressed for the successful implementation of Industry 5.0, including cyber-security,
data privacy, and the need for new skill sets and workforce training. The results of the study
suggest that the success of Industry 5.0 will depend on a collaborative efort by industry,
academia, and government.
Industry 5.0 will evolve into a leading industrial revolution in a few years. 5G and
6G technologies recreate a crucial role in Industry 5.0. These technologies accomplish
the communication demands of Industry 5.0. The cyber-physical system was introduced
Toward Fast Reliable Intelligent Industry 5.0 77

in Industrial 4.0, whereas it makes a major impact on Industry 5.0. In this chapter, we
highlight all the aspects of Industry 5.0. Additionally, the 5G and 6G technologies and
the cyber-physical system are conferred in the subsequent sections. This chapter furnishes
a brief idea regarding Industry 5.0 and how 5G and 6G technologies are utilized in CPSs.
Further, this chapter highlights digital trust in brief. This chapter will assist the research-
ers by introducing these emerging topics in the future research direction.
Overall, the chapter provides a comprehensive overview of the current trends and future
outlook for Industry 5.0, highlighting the need for continued research and development to
overcome the challenges and realize the full potential of this emerging paradigm.

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Chapter 4

Software Development for Medical

Devices
A Comprehensive Guide
Pravin Mundra, Uttam Ghosh, Sudip Barik, and Sourav Banerjee

Chapter Contents
4.1 Introduction 81
4.1.1 Types of Software for Medical Devices 83
4.1.1.1 Software as a Medical Device (SaMD) 83
4.1.2 Scope of Medical Device Software Development 83
4.1.3 Role and Signifcance of Medical Device Software in Healthcare 84
4.2 Background 86
4.3 Challenges in Software Development for Medical Devices 86
4.3.1 Regulatory Compliance and Approval Processes 86
4.3.2 Ensuring the Safety and Reliability of Software 88
4.3.3 Integration with Hardware and Existing Healthcare Systems 89
4.4 Software Development Life Cycle (SDLC) for Medical Devices 91
4.5 Regulatory Compliance and Standards 93
4.5.1 FDA Regulations for Medical Device Software (e.g., 21 CFR Part 820) 93
4.6 Best Practices in Software Development FOR Medical Devices 94
4.7 Software Verifcation and Validation 96
4.7.1 Validation in Real-World Clinical Settings 97
4.8 Cybersecurity and Data Privacy 97
4.9 Future Trends in Software Development for Medical Devices 99
4.10 Conclusion 99
Bibliography 100

4.1 Introduction
The Internet of Medical Things (IoMT) refers to the network of interconnected medical
devices and systems that collect and exchange health data in real time [9, 46]. The prolifera-
tion of IoMT devices has led to a surge in sensitive health data, including patient electronic
health records, diagnostics, treatment plans, and more. IoMT is evolving rapidly, driven
by emerging technologies that are transforming healthcare and medical practices. Artifcial
Intelligence (AI) and Machine Learning (ML) are revolutionizing IoMT by enabling predic-
tive analytics, disease diagnosis, and treatment optimization [8]. AI/ML algorithms can
analyze large datasets from the medical devices to identify trends, predict patient outcomes,
and personalize treatment plans [4, 39]. Edge computing in medical system can play an
important role for processing the vast amount of critical medical data locally in real time
and reducing the latency. Blockchain technology [25] can be applied to enhance the data
integrity, security, and patient privacy in medical systems. Moreover, 5G networks enable

DOI: 10.1201/9781003376712-4
82 Secure and Smart Cyber-Physical Systems

real-time monitoring, high-quality video consultations, and the rapid exchange of medical
data among devices, physicians, and patients [10].
In contemporary times, the integration of software has emerged as a fundamental compo-
nent within medical devices, ushering in a transformative era for the healthcare sector. This
infuence extends across a spectrum of applications, ranging from diagnostic instruments to
implantable devices, where software assumes a pivotal role in elevating both the functional-
ity and efectiveness of these medical tools.
Software as a Medical Device (SaMD) [17] is a software that performs a medical function
independently, without being an integral part of a physical medical device. SaMD encom-
passes a wide range of applications, including software that aids in the display, processing,
analysis, or evaluation of medical images. Additionally, it includes software that manages the
functionality of a connected medical device, like a pacemaker, and software that provides es-
sential parameters for the operation of diferent medical devices or software. SaMD is versa-
tile and can operate on various platforms, such as smartphones, computers, or cloud servers.
In Figure 4.1, we can observe various examples of medical devices commonly employed
within healthcare settings. These devices play pivotal roles in tasks such as diagnosing,
monitoring, and treating a variety of medical conditions [23].
Software-Driven Medical Devices (SdMDs) include hardware medical devices with sig-
nifcant software components such as Software in Medical Devices (SiMD). SiMD includes
software that helps to run a hardware medical device by powering its mechanics or produc-
ing a graphical interface. Some examples of SiMD [54] include:

• Software that controls the infation or defation of a blood pressure cuf

• Software that controls the delivery of insulin on an insulin pump
• Software that monitors the heart rate on an electrocardiogram (ECG) machine

This chapter will explore the various aspects of software development in medical devices,
including the challenges, regulations, and best practices involved in this specialized feld.

Figure 4.1 Examples of medical devices with integrated software.

Software Development for Medical Devices 83

4.1.1 Types of Software for Medical Devices

Before initiating a new project, it is necessary to properly identify the needs for your medical
device software development, as the scope and technology can vary greatly. Embedded cod-
ing and Software as a Medical Device (SaMD) are examples of this. The bulk of real-world
medical equipment startups and initiatives employ a mix of technologies. Let’s look at the
important areas of medical device software development [29].
Embedded Medical Systems and the Development of Embedded Medical Software: This do-
main encompasses the low-level programming of micro-components such as microcontrollers
and microchips that are combined with microprocessors and embedded memory. These com-
ponents are typically found within the inner workings of various healthcare devices [20]. Medi-
cal equipment that use embedded systems driven or confgured by embedded code include
pulse oximeters, electronic defbrillators, smart (bio)sensors, automated infusion pumps, glu-
cometers, electronic thermometers, electronic blood pressure sensors, a wide range of labora-
tory equipment, and medical imaging equipment such as X-ray, ECG, EEG, MRI, and CT.
Embedded programming plays an important role in healthcare equipment and biomedi-
cal applications because it regulates the operation of numerous electronic components and
allows medical devices to be integrated with nonspecifc or general-purpose software and
hardware. This integration may encompass PCs, EHRs, Wi-Fi, and other systems [5].
While some medical devices just require basic programming abilities for embedded sys-
tem development, some projects necessitate considerable knowledge of healthcare device
engineering. Programming and calibrating all of the embedded electronics in a large and
complex machine, such as a modern MRI tomograph, require signifcant skill.

4.1.1.1 Software as a Medical Device (SaMD)

Software as a Medical Device (SaMD) represents a transformative paradigm shift in the

feld of healthcare. SaMD refers to software applications intended for medical purposes, en-
compassing an extensive range of functions from diagnostics to treatment planning. What
distinguishes SaMD from conventional medical devices is its ability to operate indepen-
dently, without the need for additional hardware. This groundbreaking technology has the
potential to revolutionize patient care, ofering innovative solutions that enhance accuracy,
efciency, and accessibility within the healthcare ecosystem.
SaMD applications can perform diverse tasks, such as analyzing medical images, moni-
toring vital signs, and providing decision support to clinicians. These software solutions can
signifcantly expedite diagnoses, allowing healthcare professionals to make more informed
decisions swiftly. Moreover, SaMD’s adaptability and potential for remote operation have
facilitated the democratization of healthcare, enabling patients in remote or underserved
areas to access expert medical guidance and monitoring.
So, this burgeoning feld also presents challenges. Ensuring the safety, efcacy, and data se-
curity of SaMD is paramount. Regulatory bodies worldwide are actively engaged in developing
guidelines and standards to govern the development, validation, and deployment of SaMD. As
technology continues to advance, the synergy between software and medicine will undoubtedly
shape the future of healthcare, ofering new horizons for patient care and disease management.

4.1.2 Scope of Medical Device Software Development

The process of planning, producing, and deploying software solutions specifcally for medi-
cal devices used in healthcare settings is referred to as medical device software development.
84 Secure and Smart Cyber-Physical Systems

These gadgets cover a broad spectrum of technology, such as monitoring tools, treatment
systems, diagnostic equipment, and therapeutic software.
The main goal of developing software for medical devices is to improve patient care by
utilizing software skills to ofer advanced functions, increase accuracy, and facilitate bet-
ter healthcare results. It entails the creation of software programs that interact with the
hardware elements of medical apparatus to form an integrated system that aids medical
practitioners in the diagnostic, observation, and therapeutic processes.
The development of medical device software goes beyond conventional software develop-
ment techniques since it requires a thorough knowledge of the medical industry, regulatory
compliance, and the particular difculties and factors present in healthcare contexts. It cov-
ers the whole process of developing software, from gathering requirements to creating the
software architecture through coding, testing, validation, obtaining regulatory approval,
and continuous maintenance [15].
The scope of medical device software development covers a number of areas, including
the following:

Diagnostic Devices: Software applications that aid in the detection and diagnosis of medical
conditions, such as imaging software for radiology or pathology.
Monitoring Devices: Software solutions are used for continuous monitoring of vital signs,
patient data, and physiological parameters, such as remote patient monitoring systems
or wearable devices.
Treatment Systems: Software integrated with medical devices to deliver specifc treatments or
therapies, such as software-controlled infusion pumps or radiation-therapy-planning software.
Data Analysis and Decision Support: Software applications that analyze and interpret medi-
cal data and support healthcare professionals in making informed decisions and treat-
ment planning.
User Interfaces and Medical Visualization: Software components that provide intuitive and
user-friendly interfaces for healthcare professionals and patients, facilitating efcient in-
teraction with medical devices.
Connectivity and Interoperability: Software solutions that enable seamless integration and
communication among medical devices, hospital information systems, electronic health
records, and other healthcare infrastructure.

Due to the crucial nature of medical device software, it must be developed by regulatory
requirements, quality assurance procedures, and industry-specifc best practices. To ensure
the efcient and secure operation of medical devices and the provision of high-quality pa-
tient care, it is imperative to address the specifc difculties related to safety, dependability,
regulatory compliance, and data security [12].
The signifcance, difculties, life cycle, regulatory requirements, best practices, and data
privacy and security issues related to medical device software development will all be dis-
cussed in the parts that follow. To promote innovation, guarantee patient safety, and op-
timize healthcare results in the quickly developing feld of medical technology, developers,
healthcare practitioners, and regulatory agencies need to comprehend these factors.

4.1.3 Role and Significance of Medical Device Software in Healthcare

Modern healthcare systems depend heavily on medical device software, which has revolutionized
patient care, diagnosis, and treatment outcomes [16]. Its importance can be seen in several ways:
Software Development for Medical Devices 85

Enhanced functionality and accuracy: Software plays a vital role in enhancing the function-
ality and accuracy of medical devices. Through software, medical devices can perform
complex calculations, automate processes, and provide advanced features that were pre-
viously not possible. For example, the software can enable a precise control of medical
devices, allowing for accurate dosage delivery in drug administration or precise surgical
interventions. Software-driven algorithms can also enhance diagnostic device accuracy,
improving test results’ reliability and aiding in early detection and treatment [14].
Remote monitoring and connectivity: The software enables medical devices to establish con-
nectivity and facilitate remote monitoring of patients. This capability is especially valuable in
telemedicine and remote patient-monitoring scenarios. Through software, medical devices
can transmit data in real time to healthcare professionals or centralized systems, enabling
remote monitoring of vital signs, tracking patient progress, and facilitating timely interven-
tions. Remote monitoring and connectivity enhance patient convenience, reduce the need
for hospital visits, and improve access to healthcare in remote or underserved areas [21].
Real-time data analysis and decision support: Software in medical devices allows for real-
time data analysis and decision support. By processing and analyzing data collected
by medical devices, the software can provide valuable insights and support healthcare
professionals in making informed decisions [51]. Real-time data analysis helps detect
patterns, trends, and anomalies, enabling early intervention and personalized treatment
plans. Software algorithms can also provide decision support, such as suggesting optimal
treatment options or alerting healthcare professionals to critical situations, leading to
more efcient and efective healthcare delivery [30].
Improved patient outcomes and safety: The integration of software in medical devices con-
tributes to improved patient outcomes and safety. Software can aid in the prevention,
early detection, and management of medical conditions. For example, software-enabled
monitoring devices can detect irregularities in vital signs and alert healthcare profession-
als, enabling timely intervention and reducing the risk of adverse events. Additionally,
software-driven automation minimizes human errors in tasks like medication adminis-
tration or data recording. By enhancing patient outcomes and safety, software in medical
devices positively impacts healthcare quality and patient satisfaction [19, 22].
Operational efciency and workfow streamlining: Medical device software improves oper-
ational efciency in healthcare environments by automating procedures and streamlining
workfows. Data entry, documentation, and reporting tasks can all be automated, which
eases the administrative burden on medical staf. This increase in productivity enables
them to concentrate more on patient care, spend less time on mundane duties, and reduce
errors associated with manual data management [42].
Reduction of errors and adverse events: By minimizing errors and unfavorable outcomes, med-
ical device software improves patient safety. Automated systems can carry out error checks,
identify potential problems, and notify healthcare practitioners of any issues. The danger of
pharmaceutical errors is reduced by software-integrated devices that assure precise medicine
delivery, dosage computations, and protocol adherence. In addition, it is possible to include
software-driven safety systems to stop injury in dangerous circumstances [6].
Fostering innovation and advancements: Medical device software fosters innovation in
healthcare by enabling the development of new diagnostic and therapeutic techniques. It
allows for the integration of emerging technologies like artifcial intelligence (AI), machine
learning, the Internet of Things (IoT), and cloud computing. These advancements facilitate
the creation of smart devices, personalized medicine approaches, and real-time data analy-
sis, leading to improved patient outcomes and advancements in medical research [18].
86 Secure and Smart Cyber-Physical Systems

In summary, medical device software is an essential part of contemporary healthcare

systems, ofering important advantages such as enhanced patient care, precise diagnoses,
increased operational efciency, and innovation stimulation. It is essential to achieving im-
proved health outcomes for people and communities because of its involvement in changing
healthcare practices and advancing technology.

4.2 Background
With the introduction of digital technology in recent years, the healthcare sector has un-
dergone substantial development. Medical device software, for example, is critical in aid-
ing diagnoses, therapy, and patient care. Medical device software has become an essential
component of modern healthcare delivery, ranging from embedded software in medical
equipment to mobile applications and cloud-based platforms [34].
The vital role of medical device software resides in its ability to boost clinical results,
increase patient safety, expedite healthcare operations, and enable remote monitoring and
telemedicine. These software solutions help healthcare practitioners to collect, and analyze
patient data, giving them vital insights for accurate diagnosis, personalized therapies, and
continuous monitoring of patient’s health states. Furthermore, medical device software al-
lows for the seamless integration and interoperability of various healthcare systems, ena-
bling efcient information sharing and collaboration among healthcare practitioners [50].
Yet, developing medical device software is not without its difculties. The healthcare
industry’s unique characteristics, tight regulatory standards, the necessity for thorough test-
ing and validation, and the complexity of combining software with hardware components
all provide signifcant challenges. Furthermore, due to the sensitive nature of patient health
information and the increasing possibility of cybersecurity breaches, protecting data privacy
and security become critical.
To solve these issues, healthcare organizations and software developers must navigate a
complicated terrain that includes regulatory regulations, best practices, and data privacy
and security concerns. Compliance with regulatory standards, such as those established
by regulatory agencies such as the United States Food and Drug Administration (FDA)
[38] and international standards such as IEC 62304, guarantees that medical device soft-
ware meets quality and safety requirements. Best practices in software development, such
as adhering to certain processes, documentation, and traceability, aid in ensuring the stabil-
ity and efectiveness of medical device software. Furthermore, to protect against potential
breaches and unauthorized access, rigorous data protection measures and the incorporation
of strong security systems become necessary.

4.3 Challenges in Software Development for Medical Devices

Developing software for medical devices poses unique challenges that must be addressed to
ensure the safety, efectiveness, and quality of the devices. This section explores some of the
key challenges faced by software developers in the medical device industry [36].

4.3.1 Regulatory Compliance and Approval Processes

Adhering to regulatory standards and obtaining necessary approvals are critical aspects of
medical device software development. Regulatory bodies, such as the US Food and Drug
Software Development for Medical Devices 87

Administration (FDA), impose stringent requirements to ensure the safety, efectiveness,

and quality of medical devices. Navigating the complex regulatory landscape presents sig-
nifcant challenges that require dedicated eforts and expertise.
Medical device software developers must thoroughly understand the regulatory frame-
work and stay updated with evolving guidelines. The FDA, for example, classifes medical
device software into diferent categories based on risk levels, such as Class A, B, or C. Each
classifcation has specifc requirements for approval, including premarket notifcations, pre-
market approvals, or exemptions [37].
IEC 62304 categorizes medical device software based on the level of risk it poses to pa-
tients or users. The classifcation system is as follows:

• Class A: No potential for injury or harm to health.

• Class B: Possibility of nonserious injury.
• Class C: Possibility of serious injury or death.

This classifcation scheme is similar to ISO 14971 [28] Clauses 4.4, 5, and 6.1. In the case
of safety-critical software systems, they can be divided into individual items, with each item
running a diferent software element, each having its own safety classifcation. These items
can be further subdivided into additional software elements. The overall classifcation of the
software system is determined by the highest classifcation among all the software elements
it contains. For instance, if a software system comprises fve software elements, with four
classifed as Class A and one as Class C, the overall device would be classifed as Class C.
This concept is illustrated in Figure 4.2.
However, IEC 62304 [31] allows for the segregation of a specifc software item from the
overall software system. This means that the segregated software item can independently
receive a lower safety classifcation.
The process of regulatory compliance involves several stages throughout the software
development life cycle. From the initial design phase, developers need to consider regulatory
requirements, including risk management, documentation, and quality management sys-
tems. Robust documentation, including design specifcations, hazard analysis, and software
validation plans, is essential to demonstrate compliance.

Figure 4.2 Classification of software components within a comprehensive software system.

88 Secure and Smart Cyber-Physical Systems

Testing and validation are crucial steps in the approval process. Developers must conduct
comprehensive testing, including software verifcation and validation, to ensure that the
software meets predefned requirements and functions as intended. Validation involves veri-
fying that the software performs safely and efectively within its intended use.
Post-market surveillance is equally important. Developers must establish processes to
monitor and address any potential risks or issues that may arise after the software is re-
leased to the market. This includes collecting feedback, conducting post-market studies, and
promptly addressing any reported adverse events or complaints [11].
Achieving compliance requires collaboration among cross-functional teams, including
software engineers, regulatory experts, quality assurance personnel, and legal advisors. Es-
tablishing a clear regulatory strategy early in the development process is essential to stream-
line the approval process and avoid unnecessary delays.
Additionally, it is crucial to stay informed about changes in regulatory requirements and
evolving best practices. Regularly monitoring updates from regulatory bodies and partici-
pating in industry conferences, workshops, and forums can help developers stay ahead of
regulatory changes and ensure ongoing compliance.
Overcoming the challenges of regulatory compliance and approval processes requires a
comprehensive understanding of the regulations, meticulous planning, and proactive en-
gagement with regulatory authorities. By investing the necessary time, resources, and exper-
tise, developers can navigate the regulatory landscape and bring safe and compliant medical
device software to market.

4.3.2 Ensuring the Safety and Reliability of Software

Ensuring the safety and reliability of medical device software is of paramount importance in
healthcare. Patient safety heavily relies on the accurate and error-free functioning of software
that drives medical devices. A single software glitch or malfunction could have serious con-
sequences for patient health and well-being. Therefore, developers must take comprehensive
measures to mitigate risks and ensure the safety and reliability of medical device software [2].
One crucial aspect of achieving safety and reliability is implementing robust risk manage-
ment processes throughout the software development life cycle. This involves identifying
and assessing potential risks associated with the software, its interactions with hardware
components, and its impact on patient care. By conducting thorough risk assessments, de-
velopers can identify potential hazards and take necessary steps to mitigate or eliminate
them. Risk management also involves considering factors such as software complexity, po-
tential failure modes, and the severity of potential harm to patients [52].
Rigorous testing and quality assurance play a vital role in validating the safety and reli-
ability of medical device software. Various testing methodologies, including functional
testing, performance testing, and interoperability testing, should be employed to assess
the software’s behavior under diferent scenarios. Rigorous testing helps identify and
rectify software defects, ensures compliance with functional requirements, and verifes
that the software performs as intended. Additionally, conducting validation testing with
simulated or real-world data helps evaluate the accuracy and reliability of the software in
delivering desired outcomes [33].
Quality assurance measures should be implemented throughout the software develop-
ment process to maintain high standards of safety and reliability. This includes adhering
to industry best practices, following established software development methodologies, and
Software Development for Medical Devices 89

conducting comprehensive code reviews. Quality assurance also involves documenting soft-
ware development processes, maintaining traceability between requirements and design,
and establishing robust change control procedures [41].
To address vulnerabilities and potential security risks, medical device software develop-
ment should follow secure design and coding practices. This includes incorporating encryp-
tion techniques, secure authentication mechanisms, and secure communication protocols to
protect patient data and prevent unauthorized access. Ongoing vulnerability management
is essential to identify and address potential security vulnerabilities promptly, including
regular software updates, patch management, and security audits.
Collaboration with healthcare professionals, regulatory experts, and end users is crucial
in ensuring the safety and reliability of medical device software. By involving these stake-
holders throughout the development process, developers can gain valuable insights into the
specifc requirements, use cases, and potential risks associated with the software. Regular
communication, feedback loops, and user testing can help identify and address usability is-
sues, optimize workfows, and improve overall software performance and safety.

4.3.3 Integration with Hardware and Existing Healthcare Systems

Integration with hardware and existing healthcare systems is a critical aspect of medical
device software development. Medical devices often rely on the integration of software
with various hardware components, sensors, and actuators to perform their intended
functions. Additionally, seamless interoperability with existing healthcare systems, such
as EHRs or HIS, is essential for data exchange, communication, and streamlined work-
fows. However, achieving smooth integration poses several challenges that need to be
addressed [53].
One of the main challenges is the heterogeneity of hardware devices and systems used in
healthcare settings. Diferent medical devices may employ diferent communication proto-
cols, data formats, and interfaces. Integrating software with such diverse hardware com-
ponents requires careful consideration and adaptation. The software must be designed to
handle the specifc communication requirements of each device and ensure data compat-
ibility and integrity [43].
Another challenge arises from the complex nature of the existing healthcare systems.
These systems may have their own unique data structures, workfow processes, and security
protocols. Medical device software needs to align with these systems to exchange data accu-
rately and securely. Achieving interoperability often requires collaboration with healthcare
IT professionals who possess the knowledge of the existing infrastructure and can provide
guidance on integrating the software efectively [13].
To overcome integration challenges, collaboration with hardware engineers and sys-
tem integrators is crucial. Hardware engineers can provide insights into the technical
specifcations, interfaces, and communication protocols of the devices. They can assist in
designing software interfaces that facilitate seamless communication with the hardware
components.
System integrators, on the other hand, play a vital role in bridging the gap between the
software and the existing healthcare systems. They possess expertise in integrating diferent
software systems, managing data exchange, and ensuring compatibility across platforms. Col-
laborating with system integrators helps ensure that the medical device software aligns with
the established standards and workfows of the healthcare environment [1].
90 Secure and Smart Cyber-Physical Systems

A multidisciplinary approach involving software developers, hardware engineers, and

healthcare IT professionals is necessary to address the challenges of integration. It is es-
sential to establish clear communication channels, defne data exchange protocols, and
conduct rigorous testing to verify the compatibility and functionality of the integrated
system [57].
Moreover, keeping abreast of emerging standards and interoperability frameworks, such
as HL7 (Health Level Seven) or FHIR (Fast Healthcare Interoperability Resources), can
provide valuable guidance in designing software that seamlessly integrates with existing
healthcare systems.
By addressing the integration challenges, medical device software can efectively leverage
hardware capabilities and seamlessly communicate with healthcare systems, contributing to
improved patient care, streamlined workfows, and enhanced data exchange in the health-
care ecosystem.

Risk management: Managing risks associated with medical device software is crucial to
ensure patient safety. Identifying potential hazards, conducting risk assessments, imple-
menting risk mitigation strategies, and documenting the risk management process re-
quire expertise and rigorous analysis. Balancing the need for innovative functionalities
with the need for risk reduction presents an ongoing challenge for developers.
Verifcation and validation: Validating the performance and safety of medical device soft-
ware is a complex task. Rigorous testing, including unit testing, integration testing, and
system testing, must be conducted to verify that the software meets the specifed require-
ments and functions as intended. Validating the software’s efectiveness in real-world
clinical scenarios through clinical evaluations and user acceptance testing adds an ad-
ditional layer of complexity [47].
Interoperability and integration: Medical devices often need to interact and exchange data
with other devices and systems within the healthcare ecosystem. Ensuring seamless inter-
operability and integration is a challenge, as diferent devices may use diferent commu-
nication protocols or data formats. Developers must address compatibility issues, design
standardized interfaces, and ensure secure and reliable data exchange [3, 45].
Software complexity: Medical device software can be highly complex, incorporating ad-
vanced algorithms, machine learning, and artifcial intelligence capabilities. Manag-
ing the complexity of such software, while ensuring its reliability, maintainability, and
usability, requires specialized skills and expertise. Developers must implement robust
software engineering practices, maintain clean and modular code, and ensure efective
documentation to handle the complexity efectively [6].
Usability and user-centered design: Medical device software must be designed with the
end users in mind, including healthcare professionals, patients, and caregivers. Ensuring
usability and user-centered design is a challenge due to the diverse user base, varying
levels of technical expertise, and specifc user requirements. Incorporating user feedback,
conducting usability testing, and iteratively improving the software’s usability present
ongoing challenges throughout the development process.
Data security and privacy: With the increasing connectivity of medical devices, data secu-
rity and privacy are critical concerns. Protecting patient data from unauthorized access,
ensuring secure data transmission, and complying with data privacy regulations require
robust cybersecurity measures. Developers must implement encryption, authentication
mechanisms, vulnerability management, and secure coding practices to safeguard patient
information.
Software Development for Medical Devices 91

Software maintenance and updates: Medical device software requires ongoing maintenance
and periodic updates to address bugs, vulnerabilities, and evolving regulatory require-
ments. Ensuring seamless software updates without disrupting device functionality, man-
aging software confguration, and maintaining version control present challenges for
developers. Balancing the need for updates with minimizing disruption to healthcare
workfows and patient care is a continuous challenge.

Addressing these challenges requires collaboration among multidisciplinary teams, in-

cluding software developers, regulatory experts, clinical professionals, and quality assur-
ance personnel. Implementing best practices, leveraging industry standards, and staying
updated with the evolving regulatory landscape are crucial for successful software develop-
ment in the medical device industry.

4.4 Software Development Life Cycle (SDLC) for Medical Devices

The software development life cycle (SDLC) provides a structured framework for the de-
velopment of software in medical devices. It consists of a series of phases and activities that
guide the development process, as shown in Figure 4.3, ensuring adherence to regulatory
requirements, quality standards, and patient safety. The SDLC for medical devices typically
includes the following key stages:

Requirements gathering: In this initial phase, the requirements for the software are iden-
tifed and documented. This involves understanding the intended use of the device,

Figure 4.3 IEC 62304: Summary of medical device software development life cycle.
92 Secure and Smart Cyber-Physical Systems

user needs, functional requirements, and any regulatory or quality requirements that
must be met. Requirements gathering may involve interactions with stakeholders,
including healthcare professionals, patients, regulatory bodies, and quality assurance
teams.
Design and architecture: Once the requirements are established, the software design and
architecture are developed. This phase involves defning the overall system architecture,
including hardware–software interfaces, data fows, and module interactions. Design de-
cisions are made to ensure that the software meets the intended use, is scalable, maintain-
able, and compliant with relevant standards and regulations.
Implementation: In this phase, the software is developed on the basis of the design specif-
cations. It involves coding, unit testing, and integration of software modules. Best prac-
tices for coding, such as following coding standards, using appropriate programming
languages, and applying secure coding practices, are crucial to ensure the quality and
reliability of the software.
Verifcation and validation: The verifcation and validation phase aims to ensure that the
developed software meets the specifed requirements and performs reliably. Verifcation
involves activities such as unit testing, integration testing, and system testing to identify
and fx defects. Validation involves evaluating the software’s performance in real-world
scenarios, often through clinical evaluations and user acceptance testing, to ensure that
it functions safely and efectively.
Risk management: Throughout the SDLC, risk management is a critical component. Risk
assessment and analysis are performed to identify potential hazards associated with the
software and to develop risk mitigation strategies. Manufacturers must conduct a thor-
ough risk analysis, implement risk control measures, and document the risk management
process to demonstrate the safe operation of the software.
Documentation and traceability: Comprehensive documentation is essential at each stage
of the SDLC. This includes documenting the software requirements, design specifca-
tions, test plans, verifcation and validation activities, and risk management processes.
Traceability matrices are used to establish and maintain traceability among requirements,
design elements, test cases, and risk controls.
Release and maintenance: Once the software is deemed ready for deployment, it undergoes
a release process that includes confguration management, version control, and docu-
mentation of the software release. After deployment, ongoing maintenance is crucial to
address any software updates, bug fxes, or enhancements. Post-market surveillance and
vigilance processes ensure a continuous monitoring of the software’s performance and
safety.

Throughout the SDLC, adherence to regulatory requirements, quality standards,

and best practices is paramount. Manufacturers must comply with regulations from
regulatory bodies, such as the FDA, and adhere to international standards, such as
IEC 62304, which provide guidance for the software development process in medical
devices. Additionally, incorporating risk management practices, adhering to secure
coding principles, and following industry-recognized software development methodol-
ogies, such as Agile or Waterfall, contribute to the successful development of software
in medical devices.
Software Development for Medical Devices 93

Figure 4.4 A simple breakdown of ISO and IEC Standards for SaMD.

4.5 Regulatory Compliance and Standards

4.5.1 FDA Regulations for Medical Device Software (e.g., 21 CFR Part 820)

The U.S. Food and Drug Administration (FDA) provides regulatory oversight for medical
devices including software. Compliance with FDA regulations is crucial for the develop-
ment, testing, and marketing of medical device software in the United States. One important
regulation is 21 CFR Part 820, which outlines the Quality System Regulation (QSR) for
medical devices.
21 CFR Part 820 specifes requirements for the establishment and maintenance of a qual-
ity management system (QMS) by medical device manufacturers as shown in Figure 4.4.
It covers various aspects of the development process, including design controls, document
controls, device history records, complaint handling, and corrective and preventive actions.
Compliance with these regulations ensures that medical device software is developed and
manufactured in a controlled and quality-oriented manner.
The FDA also provides guidance documents specifc to medical device software such as
the “General Principles of Software Validation” and the “Content of Premarket Submis-
sions for Software Contained in Medical Devices.” These guidance documents provide rec-
ommendations and expectations for the validation, documentation, and risk management
of medical device software [44].
International Standards (e.g., IEC 62304, ISO 13485): International standards play a sig-
nifcant role in guiding the development of medical device software and ensuring global regu-
latory compliance. Two notable standards in this context are IEC 62304 and ISO 13485 [48].
94 Secure and Smart Cyber-Physical Systems

IEC 62304: This standard provides guidance on the software life cycle processes for
medical device software. It defnes activities and tasks at each stage of the software develop-
ment life cycle, including requirements specifcation, architectural design, implementation,
verifcation, and validation. Adhering to IEC 62304 ensures that medical device software is
developed following a systematic and controlled process, with a specifc emphasis on risk
management and documentation [35].
ISO 13485: This standard specifes the requirements for a comprehensive quality manage-
ment system for medical devices. It provides guidance on establishing, implementing, and
maintaining the QMS throughout the entire product life cycle. Compliance with ISO 13485
demonstrates the manufacturer’s commitment to quality and regulatory compliance in the
development, production, installation, and servicing of medical device software. These in-
ternational standards help harmonize practices and ensure consistency in the development
of medical device software across diferent regions. Adhering to these standards enhances
the safety, quality, and performance of the software and facilitates regulatory compliance
in various markets [55].
Risk Management Frameworks (e.g., ISO 14971): Risk management is a crucial aspect of
medical device software development, and ISO 14971 is a widely recognized standard for
managing risks associated with medical devices.
ISO 14971 provides guidance on establishing a risk management process throughout the
entire life cycle of a medical device, including its software components. The standard out-
lines a systematic approach to identify, analyze, evaluate, and control risks associated with
the device and its software. It emphasizes the importance of risk mitigation and ongoing
risk assessment to ensure the safety and efectiveness of the software.
Complying with ISO 14971 involves conducting a comprehensive risk analysis, assessing
the probability and severity of potential hazards, implementing risk control measures, and
monitoring the efectiveness of these measures. The standard also emphasizes the impor-
tance of maintaining a risk management fle that documents the risk management activities
and decisions throughout the development process.
By adopting risk management frameworks like ISO 14971, medical device software de-
velopers can systematically identify and address potential risks, enhance the safety and
reliability of the software, and meet regulatory requirements related to risk management.
These frameworks help ensure that potential risks are proactively managed, reducing the
likelihood of adverse events and promoting patient safety [55].

4.6 Best Practices in Software Development for Medical Devices

Developing software for medical devices requires adherence to best practices to ensure the
safety, efcacy, and quality of the devices. This section highlights some key best practices in
software development for medical devices:

Agile development methodology: Adopting an agile development methodology is benefcial

in the context of medical device software development. Agile methodologies, such as
Scrum or Kanban, promote iterative development, collaboration, and fexibility. They
allow for frequent feedback and adjustments, leading to faster delivery of high-quality
software. Agile practices enable teams to respond to changing requirements, incorporate
user feedback, and identify and resolve issues in a timely manner [40].
Software Development for Medical Devices 95

Software testing and validation: Robust testing and validation processes are essential to
ensure the reliability and safety of medical device software. This includes comprehen-
sive unit testing, integration testing, system testing, and validation in real-world clinical
settings. Rigorous testing helps identify and fx defects, ensure the software meets the
specifed requirements, and validate its performance and accuracy. The use of automated
testing frameworks and tools can expedite the testing process and improve efciency [40,
49].
Documentation and traceability: Comprehensive documentation is crucial throughout the
software development life cycle. This includes documenting software requirements, de-
sign specifcations, test plans, risk management processes, and any changes made during
the development process. Documentation facilitates transparency, reproducibility, and
compliance with regulatory requirements. Additionally, maintaining traceability matri-
ces helps establish and maintain traceability between requirements, design elements, test
cases, and risk controls [24].
Collaboration and cross-functional teams: Promoting collaboration among cross-functional
teams is essential for successful software development in medical devices. This includes
close collaboration between software developers, regulatory experts, clinical profession-
als, quality assurance personnel, and other stakeholders. Collaborative environments fos-
ter efective communication, knowledge sharing, and problem-solving. By involving all
relevant stakeholders throughout the development process, the resulting software aligns
with regulatory requirements, user needs, and quality standards [56].
Risk management: Risk management is a critical aspect of software development for medi-
cal devices. Manufacturers must conduct a thorough risk analysis, identify potential haz-
ards associated with the software, and implement risk control measures. It is important
to document the risk management process and maintain traceability between identifed
risks and implemented risk controls. Regularly reviewing and updating the risk manage-
ment documentation ensure that potential risks are addressed throughout the device’s
life cycle [26].
Usability and user-centered design: Considering usability and adopting a user-centered de-
sign approach are essential for medical device software. Understanding the needs, ca-
pabilities, and workfows of the end users, including healthcare professionals, patients,
and caregivers, helps design intuitive and user-friendly interfaces. Conducting usability
studies, gathering user feedback, and incorporating user-centered design principles con-
tribute to the development of software that is efcient, and efective, and enhances user
satisfaction [27].
Cybersecurity and data privacy: With the increasing connectivity of medical devices, ro-
bust cybersecurity measures and data privacy practices are crucial. Implementing secu-
rity controls, encryption mechanisms, access controls, and vulnerability management
processes helps protect against unauthorized access, data breaches, and cyber threats.
Adhering to data privacy regulations, such as the General Data Protection Regulation
(GDPR), ensures the proper handling and protection of patient data throughout the soft-
ware development process [32].
Post-market surveillance and maintenance: Post-market surveillance and ongoing mainte-
nance are important aspects of software development for medical devices. Establishing
processes for monitoring the performance, safety, and efectiveness of the software in
real-world settings allows for the timely identifcation and mitigation of any issues that
96 Secure and Smart Cyber-Physical Systems

may arise. Regular software updates, bug fxes, and enhancements should be carried out
to address potential vulnerabilities and ensure the software remains up-to-date [7].

By following these best practices, manufacturers can enhance the quality, reliability, and
safety of medical device software. Incorporating agile methodologies, rigorous testing, efective
documentation, and ongoing validation processes are essential steps in achieving these goals.

4.7 Software Verification and Validation

Software testing and validation play a crucial role in ensuring the reliability, safety, and efec-
tiveness of medical device software. Thorough testing and validation processes help identify
defects, assess compliance with regulatory requirements, and verify that the software func-
tions as intended. This section provides more details on the key aspects of software testing
and validation in the context of medical device software development [49].

Unit testing: Unit testing involves testing individual components or units of the software
to ensure they function correctly. Developers write test cases to verify the behavior of
specifc functions, modules, or classes. By isolating and testing individual units, defects
and errors can be identifed early in the development process. Unit testing ensures that
the building blocks of the software are reliable, enhancing the overall quality of the
fnal product.
Integration testing: Integration testing verifes the interaction and interoperability between
diferent components or modules of the software. It ensures that the integrated system
functions as expected and that data fows correctly between various modules. Integration
testing helps detect issues related to communication, data integrity, and dependencies
between diferent software components. By validating the integration, the overall perfor-
mance and functionality of the software can be ensured.

Figure 4.5 Software Verification and Validation (V&V) for medical devices.
Software Development for Medical Devices 97

System testing: System testing evaluates the entire medical device software system as a whole.
It focuses on validating the system’s compliance with functional and non-functional re-
quirements, including user interfaces, system behavior, and performance. System testing
involves executing test scenarios that simulate real-world usage conditions, ensuring that
the software operates as intended in diferent scenarios. By testing the system in a compre-
hensive manner, potential defects or shortcomings can be identifed and addressed.
Verifcation and validation testing: Verifcation and validation (V&V) testing is a comprehensive
testing process that ensures that the software meets the intended purpose and satisfes regula-
tory requirements, as shown in Figure 5.4. Verifcation testing involves assessing whether the
software has been developed according to the specifed requirements and design. Validation
testing, on the other hand, evaluates the software’s performance in real-world clinical settings
and verifes that it achieves the desired clinical outcomes. V&V testing provides evidence that
the software is ft for its intended purpose and meets the necessary quality standards.
Usability testing: Usability testing focuses on evaluating the user experience and the ease of
use of medical device software. It involves gathering feedback from users, such as health-
care professionals and patients, to assess the software’s intuitiveness, navigation, and
overall user satisfaction. Usability testing helps identify areas for improvement in terms
of user interface design, workfow efciency, and user satisfaction. Incorporating user
feedback through usability testing ensures that the software is user-friendly and meets
the needs of its intended users.

4.7.1 Validation in Real-World Clinical Settings

Validating the software in real-world clinical settings is a crucial step in ensuring its safety
and efectiveness. This involves testing the software with actual users, such as healthcare
professionals, in realistic healthcare environments. Real-world validation helps identify any
issues or challenges that may arise during actual usages, such as interoperability issues,
performance limitations, or usability concerns. By validating the software in real-world
scenarios, developers can refne and optimize its performance for practical clinical use.
By employing comprehensive software testing and validation processes, medical device
software developers can identify and address defects; ensure compliance with regulatory
requirements; and validate the software’s safety, reliability, and efectiveness. These test-
ing and validation eforts contribute to the overall quality and trustworthiness of medical
device software, ultimately enhancing patient safety and improving healthcare outcomes.

4.8 Cybersecurity and Data Privacy

Cybersecurity and data privacy are critical considerations in the development of medical
device software. As the healthcare industry becomes increasingly interconnected and reliant
on digital systems, protecting sensitive patient data and ensuring the security of medical
devices are of utmost importance. This section explores the key aspects of cybersecurity and
data privacy in medical device software development.

Security by design: Security should be an integral part of the software development pro-
cess, starting from the initial design phase. Adopting a security-by-design approach
involves identifying potential vulnerabilities, threat modeling, and incorporating secu-
rity controls into the software architecture. Developers need to follow industry best
98 Secure and Smart Cyber-Physical Systems

practices and coding standards that prioritize security. This includes using secure coding
frameworks; adhering to secure coding guidelines; and avoiding common vulnerabilities
such as bufer overfows, injection attacks, or insecure authentication mechanisms. By
adopting secure coding practices, developers can minimize the likelihood of software
vulnerabilities that could be exploited by malicious actors. This proactive approach
helps minimize security risks and ensures that security measures are implemented
throughout the development life cycle.
Threat modeling and risk assessment: Threat modeling involves identifying potential threats
and vulnerabilities that could compromise the security of medical device software. This
process helps prioritize security measures and allocate resources efectively. Conducting
a comprehensive risk assessment assists in identifying and assessing potential risks, their
impact, and the likelihood of occurrence. By understanding the specifc threats and risks
associated with the software, developers can implement targeted security measures to
mitigate vulnerabilities.
Secure communication and encryption: Medical device software often involves the transfer
of sensitive patient data, such as health records and diagnostic information. Ensuring
secure communication channels and encryption of data during transit is crucial. Imple-
menting robust encryption protocols, such as Transport Layer Security (TLS), helps pro-
tect data from unauthorized access or interception. Additionally, mechanisms like Public
Key Infrastructure (PKI) and digital signatures can enhance the integrity and authenticity
of transmitted data.
Access controls and user authentication: Implementing appropriate access controls and
user authentication mechanisms is vital to prevent unauthorized access to medical device
software. Strong authentication methods, such as two-factor authentication or biometric
authentication, can enhance user verifcation and limit access to authorized personnel.
Role-based access control (RBAC) can be employed to assign specifc privileges to difer-
ent user roles, ensuring that only authorized individuals can perform certain actions or
access sensitive data.
Vulnerability management and patching: Regular vulnerability assessments and patch
management are crucial to address security vulnerabilities and protect against emerg-
ing threats. Medical device software developers should actively monitor security vulner-
abilities, stay updated on security patches released by software and hardware vendors,
and promptly apply patches to address known vulnerabilities. Establishing a process for
ongoing vulnerability management and timely patch deployment helps mitigate the risk
of potential exploits.
Incident response and recovery: Developing an incident response plan is essential to ad-
dress security incidents efectively. This plan outlines the steps to be taken in the event
of a security breach, including containment, investigation, notifcation, and recovery.
Timely response and recovery measures help minimize the impact of security incidents
and facilitate the restoration of normal operations. Regular testing of the incident re-
sponse plan ensures its efectiveness and enables continuous improvement.
Compliance with regulatory requirements: Medical device software must comply with ap-
plicable regulatory requirements and standards, such as the FDA’s guidance on cyberse-
curity in medical devices or the European Union’s Medical Device Regulation (MDR).
Adhering to these regulations ensures that the software meets the necessary security and
privacy standards. Compliance with standards like ISO 27001 for information secu-
rity management systems and ISO 27799 for healthcare information security further
enhances the security posture of medical device software.
Software Development for Medical Devices 99

By incorporating robust cybersecurity and data privacy measures, medical device soft-
ware developers can protect sensitive patient data, prevent unauthorized access, and ensure
the safe and secure operation of medical devices. These measures not only safeguard patient
privacy but also contribute to maintaining the trust of healthcare providers and patients in
the digital healthcare ecosystem.

4.9 Future Trends in Software Development for Medical Devices

The feld of software development for medical devices is constantly evolving, driven by ad-
vancements in technology, regulatory requirements, and the need for improved patient care.
This section explores some of the future trends that are expected to shape the landscape of
software development for medical devices.

Artifcial intelligence and machine learning: Artifcial intelligence (AI) and machine learn-
ing (ML) have the potential to revolutionize medical device software development. These
technologies can enable devices to analyze complex data, identify patterns, and make
intelligent decisions in real time. AI and ML algorithms can be used for tasks such as im-
age recognition, diagnostics, predictive analytics, and personalized medicine. Integrating
AI and ML into medical device software can enhance accuracy, efciency, and patient
outcomes.
Internet of Medical Things (IoMT): The Internet of Medical Things (IoMT) refers to the
network of medical devices, sensors, and healthcare systems connected through the In-
ternet. IoMT enables real-time monitoring, data collection, and remote healthcare man-
agement. In the future, medical device software will need to support seamless integration
with IoMT ecosystems, ensuring secure and reliable data transfer, interoperability, and
remote device management capabilities.
User experience and human-centered design: User experience (UX) and human-centered
design (HCD) will play an increasingly signifcant role in the development of medical de-
vice software. Emphasizing the ease of use, intuitive interfaces, and workfows tailored to
healthcare professionals and patients will enhance adoption and usability. Incorporating
user feedback through iterative design processes and usability testing will be crucial for
creating software that meets the needs of end users.
Cloud computing and Big data analytics: Cloud computing and Big data analytics ofer op-
portunities for scalable storage, processing power, and advanced analytics capabilities.
Medical device software developers can leverage the cloud for data storage, data analy-
sis, and remote access to software and updates. Big data analytics can help derive mean-
ingful insights from large datasets, enabling personalized medicine, population health
management, and real-time monitoring.

These future trends will shape the landscape of software development for medical de-
vices, infuencing the design, functionality, and regulatory requirements of medical device
software. By embracing these trends, developers can create innovative solutions that im-
prove patient outcomes, enhance healthcare delivery, and drive advancements in the feld.

4.10 Conclusion
Throughout this chapter, we have explored various aspects of software development in
medical devices, including the importance of software in enhancing functionality, remote
100 Secure and Smart Cyber-Physical Systems

monitoring, real-time data analysis, and improving patient outcomes and safety. We have
also discussed the critical considerations such as regulatory compliance, risk management,
cybersecurity, and data privacy. Software development in the context of medical devices
demands adherence to stringent regulatory requirements and international standards such
as FDA regulations, IEC 62304, ISO 13485, and ISO 14971. Compliance with these stand-
ards ensures that the software is developed following systematic and controlled processes,
with a focus on risk management, quality assurance, and patient safety. We have also delved
into the challenges faced in software development for medical devices, including the com-
plexities of regulatory compliance, interoperability, usability, and cybersecurity. Address-
ing these challenges requires a multidisciplinary approach, involving collaboration between
software engineers, healthcare professionals, regulatory experts, and cybersecurity special-
ists. Furthermore, we discussed best practices in software development for medical devices,
emphasizing the importance of software testing and validation, regulatory compliance, risk
management, and cybersecurity. These best practices help ensure the development of high-
quality, safe, and reliable software that meets regulatory requirements, mitigates risks, and
maintains the privacy and security of patient data. Looking toward the future, we explored
the emerging trends in software development for medical devices, including advancements
in artifcial intelligence, machine learning, telemedicine, and interoperability. These trends
have the potential to revolutionize healthcare delivery, enabling more personalized and ef-
fcient patient care.
In conclusion, software development in medical devices continues to drive innovation
and improvement in the healthcare industry. With careful considerations of regulatory com-
pliance, risk management, cybersecurity, and data privacy, developers can create software
solutions that enhance patient care, improve outcomes, and contribute to the advancement
of healthcare technology. As technology continues to evolve, it is crucial to stay abreast of
new developments, standards, and regulations to ensure the continued success of software
development in the feld of medical devices.

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Chapter 5

6G Communication Technology for

Industry 5.0
Prospect, Opportunities, Security Issues, and
Future Directions

Priyanka Das, Sangram Ray, Dipanwita Sadhukhan, and

Mahesh Chandra Govil

Chapter Contents
5.1 Introduction 104
5.1.1 Evolution of IIoT 104
5.2 State-of-the-Art of IIoT 105
5.2.1 Feasible Developments of Industry 5.0 106
5.3 Transition From 1G to 6G for IIoT 108
5.3.1 Key Areas of 6G Communication 110
5.3.2 Key Technologies of 6G Communication 111
5.3.3 Case Studies Showing Advantages of 6G Communication 112
5.3.4 Amalgamation of 6G Communication with Industry 5.0 113
5.4 Conclusion 115
Acknowledgment 115
References 116

5.1 Introduction
Industry Internet of Things (IIoT) is a forethoughtful perception of the futuristic industrial
paradigm that focuses on systems’ resiliency and agility with the deployment of adaptable
and fexible technologies. IIoT is expected to support various industrial verticals such as
smart farming, healthcare, smart grids, and supply chain production ecosystems to leverage
huge production with customer-centric customization [1].
IIoT eventually has a huge economic impact that brings entirely new infrastructures to
our most vital and impactful societal systems. It puts emphasis on the communication be-
tween machines (M2M), the use of machine learning, and the handling of Big data, which
leads to improved reliability and efciency in industrial operations [2].
IIoT applications are a simple evolution of Internet of Things (IoT). Thus, IIoT shares some
security weaknesses with the IoT, including the integrity of CPS, the protection of data, the es-
tablishment of keys for system pairing, and the management of systems.

5.1.1 Evolution of IIoT

Before the evolution era of IIoT, agriculture and simple handicrafts were the signifcant
factors of the global economy and later as said “necessity is the mother of disruption,” the
transformation in the IIoT ecosystem took pace.
Industry 1.0 revolution started around 17th century from the period between 1760 to
1840 in which the industrial machines were powered by water, steam, etc. This stage was

DOI: 10.1201/9781003376712-5
6G Communication Technology for Industry 5.0 105

referred to as mechanization [3]. Henry Ford invented the assembly line with electricity in
1870, which led to the evolution of Industry 2.0 termed electrifcation. The fundamental con-
cept of Industry 2.0 was mass production [4]. Industry 3.0 marked a shift from traditional
mechanical methods to modern digital production processes along with partial automation.
In this generation, huge-sized computers with memory-programmable controllers were used
to make industrial plans, which resulted in a reduction of the need of human eforts. In the
year 2011, the world witnessed a drastic shift from Industry 3.0 toward Industry 4.0 termed
as digitization. The digital era encompasses the use of information and communication tech-
nologies to support remote production processes that are managed through a network of
connected devices [5, 6]. One of the major concerns of Industry 4.0 is IoT-driven CPS. The
entire evolution of IIoT is well depicted in Figure 5.1.
The revolution of Industry 5.0 involves the blending of artifcial intelligence with human
knowledge which is the driving force behind the development of this era. Industry 5.0 is
visualized as a way to improve the quality of production which allows the robot to handle
boring and repetitive tasks while human handles intelligent and critical thinking tasks [11].
The key defnitions of Industry 5.0 given by diferent authors are shown in Table 5.1.

5.2 State-of-the-Art of IIoT

In this section, the essential concepts—IIoT architecture, connectivity, and IIoT standardi-
zation are highlighted.
A. IIoT Architecture
IIoT architecture focuses on scalability, extensibility, fexibility, and interoperabil-
ity between diverse smart devices, which uses diferent technologies such as Artif-
cial Intelligence and Blockchain [12] The essential components of IIoT architecture
with its specifcations are shown in Figure 5.2.
B. IIoT Connectivity
The IIoT connectivity varies on the basis of the combination of edge architecture
and the backbone that is appropriate for a specifc situation. A primary goal is
to enable sharing of data and interoperability between closed subsystems. Neither
the fve-layer Internet model nor the seven-layer OSI model is adequate to take
into consideration the distributed traits of controllers, sensors, gateways, and other
components of IIoT [12]. Figure 5.3 mirrors the hourglass of the IIoT protocol
stack in which the upper layers allow “smart devices” to transmit “smart data.”
These layers are not only restricted to sharing relevant information but also provide
awareness to the intended users. Similarly, the lower layers are responsible for scal-
ability and fexibility requirements.

Figure 5.1 A prospective evolution of IIoT.

106 Secure and Smart Cyber-Physical Systems

Figure 5.2 IIoT architecture.

Table 5.1 Fundamental Definitions of Industry 5.0 Stated by Experts

Authors Definition

[7] The very first human-initiated industrial evolution is Industry 5.0, based on
6R principles which are Recognize, Reconsider, Reuse, Realize, Reduce, and
Recycle. It is a technique that aims to eliminate waste in a systematic manner
and manufactures good-quality custom items.
[8] Industry 5.0 is an amalgamation of human intelligence and the potentiality of
CPSs aimed at resolving the problem of labor shortage faced in Industry 4.0.
[9] Industry 5.0 is an amalgamation of human-intelligence and the potentiality of
CPSs to build cooperate factories.
[10] Industry 5.0 refers to a network of smaller factories where robots and humans
have a direct, seamless interaction.

C. IIoT Standardization
Standardization is a crucial step for a technology to be widespread. The process of
standardization faces numerous challenges. The standardization of 5G toward IIoT
has a crucial signifcance in Industry 5.0 but has various shortcomings with the trans-
formation of the industrial era. This comes under the umbrella of Ultra Reliable Low
Latency Communications (URLLC) that aims to provide 1 ms latency to grant a valid
transmission time interval (TTI) operation [13]. With the evolution of Industry 5.0,
6G communication came into the scenario which plays a crucial role to connect a va-
riety of IoT devices. 6G, an upgradation of 5G, emphasizes its ample amount of ben-
efts, for example—higher data transmission rate, high bandwidth and low latency.

5.2.1 Feasible Developments of Industry 5.0

The feasible development of IIoT has enabled new efciencies and capabilities within indus-
trial settings, leading to improved productivity, quality, and safety. Today, the IIoT system
is being used in a wide range of industrial applications which help organizations to improve
operational efciency, reduce costs, enhance product quality, etc. A few of the aspects that
are infuenced by the evolution of Industry 5.0 are discussed below:
6G Communication Technology for Industry 5.0 107

Figure 5.3 The hourglass-shaped IIoT protocol stack.

• Human Capital Development

The signifcant human capital development infuenced by Industry 5.0 focuses on
characteristics such as—Information, Internet, Internet of Things, and Innova-
tions. These characteristics contribute to human capital development in two ways,
namely:
i. Minimizing the quantity of employment assigned to human labor.
ii. Raising the need for a skilled labor force equipped with the necessary abilities
in emerging technologies.
Thus, the dominance of evolving Industry 5.0 has brought a revolution in human
capital development upon a wide range scope in the work environment with auto-
mation, digitization, technological aspects, etc.
• Changes in Business Strategies/Models
Businesses operating in Industry 5.0 adopt new strategies and business models that
can efectively leverage these new technologies while still retaining a human touch.
One way to achieve this is through a focus on customization and personalization.
With the rapid growth of technological change and increasing competition, compa-
nies must be able to adapt quickly to new trends and shifts in the market. Addition-
ally, businesses infuenced by Industry 5.0 also prioritize sustainability and social
responsibility in their operations.
• Education System
The integration of Industry 5.0 in the education system refers to the use of IIoT
technologies in educational settings such as—classrooms, laboratories, and online
learning environments. This involves Industry 5.0 technologies to enhance teaching
108 Secure and Smart Cyber-Physical Systems

and learning experiences, improve student outcomes, and prepare students for careers
in the feld of industrial automation and digital transformation. Some potential ap-
plications of Industry 5.0 in the education system include smart classrooms, virtual
laboratories, personalized learning experiences, and real-time monitoring of student
progress and performance.
• IoMT
Internet of Medical Things (IoMT) is a vital component of Industry 5.0, which fo-
cuses on combining the strengths of humans and machines to improve productivity
and create new value for the healthcare system. The benefts of IoMT in Industry 5.0
include improved patient outcomes, personalized treatment plans, etc.
• Financial Industry
Industry 5.0 has the potential to transform the fnancial industry with innovation,
improving efciency, and enhancing customer experiences. A signifcant aspect of In-
dustry 5.0 in the fnancial industry is the need for a greater emphasis on sustainability
and social responsibility. Further, Industry 5.0 can be applied in several ways in the
fnancial industry. For example, fnancial institutions can use advanced technologies
such as artifcial intelligence and machine learning to improve decision-making pro-
cesses and risk management [14].

5.3 Transition From 1G to 6G for IIoT

The paradigms of a diferent generation of communication technology are listed below.
Additionally, a detailed comparison of 1G to 6G communication technology is tabulated
in Table 5.2.

• 1G: Voice Calls

During the age of 1G communication technology, phones were heavy and bulky
in size. They had big antennas with huge batteries, and the network reception was
sketchy. The analog-system-based 1G wireless communication enabled the exchange

Table 5.2 Comparison between Different Generations of Communication Technology

Specifications 1G 2G 3G 4G 5G 6G

Year 1980–1990 1990–2000 2000–2010 2010–2020 2020–2030 2030–2040

Core network PSTN PSTN Packet N/W Internet IoT IoE
Services Voice Text Photos Video 3D VR/AR Tactil
OFDMA
Multiplexing FDMA FDMA, CDMA OFDMA OFDMA Smart
TDMA OFDMA
plus IM
Architecture SISO SISO SISO MIMO Massive Intelligent
MIMO Surface
Data transfer 2.4 Kb/sec 144 Kb/sec 2 Mb/sec 1 Gb/sec 34.6 Gb/ 100 Gb/
rate sec sec
Maximum 894 MHz 1900 MHz 2100 MHz 6 GHz 90 GHz 10 THz
frequency
6G Communication Technology for Industry 5.0 109

of information between two devices which were supported only with poor-quality
voice call features. One of the key challenges of 1G communication technology was
its fxed geographical area since it lacked roaming support by the network.
• 2G: Text
2G communication technology facilitated better quality of voice calls as compared
to 1G. The analog system based on 1G of wireless transmission was substituted by a
more sophisticated digital technology known as Global System for Mobile Communi-
cation (GSM). In addition, it also supported new services such as—Short/Multimedia
Message Service which is abbreviated as (SMS) and (MMS), respectively.
• 3G: Era of Applications
The 3G communication technology was introduced with high-speed Internet services,
laying the foundation for the development of smartphones equipped with a diverse
range of applications. It also fabricated the concept of online radio services, mobile
television, emails on phones, etc.
• 4G: Internet Calling
The incorporation of the LTE (Long-Term Evolution) system signifcantly improved
the data rate allowing synchronous transmission of both data and voice. VoLTE
(Voice over LTE) or Internet calling is one of the fundamental improvements of
the 4G communication network. It also facilitates Voice over Wi-Fi (VoWi-Fi) fea-
ture which allowed one to make voice calls in either low-network areas or even in
no-network-coverage area [15].
• 5G: IoT
5G technology is still in the process of being fully rolled out globally, and it will likely
take a few years for it to be widely available and adopted. As compared to all the
existing communication technologies, the advantage of recently launched 5G technol-
ogy is low latency with higher throughput features, which makes the network ideal
with automation features and connected ecosystem.
• 6G: IoE
The transition from 5G to 6G is not an immediate concern. It is expected that by the
year 2030, 6G will bring a drastic evolution in communication mediums as it will en-
able the newly introduced intelligent Internet of Everything (IoE) concept. Future 6G
is forecasted to bring high and sophisticated Quality of Service (QoS), for example,
holographic communication and virtual reality [16]. The concept of the IoE is mak-
ing progress in enhancing people’s lives by enhancing the IoT by creating connections
among individuals, processes, information, and devices. The advent of 6G technology
will make communication instantaneous with low latency, thereby creating a seamless
connection between the digital and physical world.

Although 5G communication can transform more data as compared to earlier commu-

nication technologies, one of the major faws of 5G communication is the higher frequency
bands of 5G which have shorter ranges; therefore, more cell towers are needed to be built
closer together. Thus, there is the necessity of upgradation from existing 5G to advance
6G communication technology. The key factors for moving from 5G to futuristic 6G are
mentioned below:
110 Secure and Smart Cyber-Physical Systems

• Wider Network Coverage

The network coverage is directly correlated to usability. Prevailing communication
technology (5G) provides a fair network coverage accessibility on the ground, but
the network infrastructure of existing communication technologies is not well-built
enough to provide network connectivity at high altitudes and under the deep sea.
Therefore, the futuristic 6G communication is expected to raise both—the need for
wider coverage area as well as usability. Moreover, 6G communication is presumed to
provide network connectivity at high altitudes as well as under the deep sea.
• Network Capability
The futuristic 6G communication technology is expected to be with a better network
capability than the existing 5G communication technology to support the need for
modernized services. The vital features from which the capability of a network can
be determined are resource management, throughput, efective usage of underlying
network architecture for modernized applications, etc.
• Service Provisioning
The process of setting up a specifc service for an end user is referred to as service pro-
visioning. 6G communication is expected to ofer a wide range of advanced services
to end users.

5.3.1 Key Areas of 6G Communication

The key areas in which 6G communication technology plays a vital role are described
below.
• Real-Time Intelligent Edge
The existing 5G communication technology supports autonomous driving, but ser-
vices such as self-awareness and self-adaption are not supported yet. To overcome
these shortcomings of 5G, 6G communication technology is introduced which ena-
bles AI-assisted services.
• Distributed Artifcial Intelligence
The futuristic 6G network is expected to support the revolutionary Internet of Eve-
rything (IoE), which will make the 6G communication technology capable enough to
take smart decisions of its own [17].
• 3D Intercoms
6G is predicted to be with an optimized network, and the design will make a smooth
shift from two dimension (2D) to three dimension (3D). 6G is expected to support
3D communication which will enable communication in heterogeneous scenarios such
as—Unmanned Aerial Vehicles (UAVs), satellites, and undersea communication. A 3D
intercom could facilitate these features with the exact time as well as location. Addition-
ally, resource management and characteristics such as mobility and routing also need
network optimization in 3D intercom [18].
• Intelligent Radio
The transceiver system could be separated in futuristic 6G while it was designed to-
gether in existing generations. Thus, it has the ability to self-update. Figure 5.4 illus-
trates the new logical state of 6G communication technology [19].
6G Communication Technology for Industry 5.0 111

Figure 5.4 New logical start of 6G.

5.3.2 Key Technologies of 6G Communication

In this subsection, the key technologies of 6G communication are discussed in detail and
depicted in Figure 5.5 for clear understanding.
A. Artifical Intelligence (AI)
Even though AI is incorporated in existing 5G network, it is regarded as the prime
feature of futuristic 6G communication technology. AI technologies are fragmented
into a physical layer which consists of network structure, architecture, and comput-
ing layer consisting of software-defned network, network function virtualization,
and edge/cloud computing [20].
B. Quantum Communication
Quantum communication is an aspiring technology in 6G technology. Quantum
communication provides security with crucial developments. It ofers explanations
and elevates communication which is unachievable through conventional commu-
nication techniques. However, it isn’t the only panacea for each security peril.
C. Blockchain
Blockchain is another prominent technology in 6G communication. Network de-
centralization, spectrum sharing, and distributed ledger technology are several uses
of Blockchain technology. Blockchain technology could overcome spectrum mo-
nopoly and low-spectrum utilization. Privacy issues of Blockchain are related to
authentication, communication, and access control [21].
112 Secure and Smart Cyber-Physical Systems

D. Visible Light Communication (VLC)

VLC uses visible light as a carrier for data transmission and can coexist with tra-
ditional radio-frequency (RF) communication systems. Hence, in order to address
the constantly expanding demand for wireless communication, VLC is an aspiring
technology. It has been deployed in indoor positioning systems and VANET. One
of the key advantages of VLC in 6G communication is its high data rate. This high
data rate can enable new applications, such as real-time streaming of ultra-high-
defnition videos and high-speed fle transfer.

5.3.3 Case Studies Showing Advantages of 6G Communication

In this subsection, a few signifcant services and use cases which show the advantages of
incorporating 6G communication technology are highlighted below:
• E-Healthcare
Technological developments such as holographic communication, AI, and Virtual/Aug-
mented Reality shall be available with the 6G network that will provide immense bene-
fts to the healthcare system. By allowing telemedicine to remove the restrictions of time
and distance, the futuristic 6G will optimize the e-healthcare’s functions and workfow.
However, ensuring the delivery of e-Health services will necessitate meeting demanding
QoS standards such as authentic communication and robustness in mobility.
• Smart Environment
The concept of a smart home/city aims to optimize various daily life processes and
increase the quality of life. The 6G network is expected to combine ICT and a large
number of IoT devices to further optimize processes like home security, waste man-
agement, transportation systems, trafc monitoring, and utilities-related operations.
The 5G network is a step in this direction. Still, its strict requirements like high con-
nection density, ultra-high reliability communications, tight security, and massive

Figure 5.5 Key technologies of 6G communication.

6G Communication Technology for Industry 5.0 113

data rates may limit the potential of these applications. Overall, a smart environment
is a critical goal of modern networks, and the 6G network is expected to provide even
greater optimization and efciency in daily life.
• Automation in Industry 5.0
The development of Industry 5.0 is a recent trend and with the arrival of the 6G
network, it is expected to reach new heights of automation and optimization. The
aim of Industry 5.0 is to reduce the dependency on human intervention in traditional
manufacturing and industrial processes, replacing it with automatic control systems,
communication networks, and CPSs. To achieve this goal, the 6G network must meet
strict key performance indicators (KPIs) such as high reliability levels, low latency,
and multiple connected links.

5.3.4 Amalgamation of 6G Communication with Industry 5.0

The amalgamation of 6G communication technology with Industry 5.0 is a hot topic. 6G

in Industry 5.0 can ofer more degree of freedom, a wireless link with more fexibility, and
enables a higher capability of data transfer rate.
• Prospect
The prospect for Industry 5.0 with 6G technology is stated as follows: Industry
5.0 is a recent shift in traditional production that makes use of smart technologies.
Technically, the focus is on utilizing widespread machine-to-machine (M2M) com-
munication with the support of Internet of Things (IoT) infrastructure and devices
to achieve automation. Industry 5.0 will allow machine components to use AI algo-
rithms to self-diagnose and predict possible future issues, preventing any failures.
In line with this, Industry 5.0 will also allow robots to make autonomous decisions
that signifcantly afect people's lives \cite{22}. Additionally, the core Industry 5.0
enablers include predictive maintenance of IoT devices such as smart sensors and
3D printers. The Cyber-Physical System (CPS) which allows for the connection is
the medium through which Industry 5.0 frst proposed the objective of the digital
mutation of manufacturing. Industry 5.0 is thought to be greatly facilitated by ef-
fective automation systems for asynchronous communication. In this context, 6G
is suggesting the usage of THz domains to yield the necessary QoS for intelligent
integrated systems.
• Opportunities
The opportunities or advantages of incorporating 6G into Industry 5.0 are listed
below [23]:
i. It provides super high-defnition (SHD) as well as extremely high-defnition
(EHD) video transmission that needs ultra-high throughput.
ii. It bears extremely low latency which can be up to 10 microseconds (ms).
iii. It ensures to drastically decrease the safety-related accidents in mining indus-
tries with the advanced sensing power and remote monitoring feature.
iv. It drastically increases the bounds of human activity such as space travel
and exploration of the deep sea by enabling efective space and underwater
transmissions.
114 Secure and Smart Cyber-Physical Systems

v. It facilitates advanced services such as hyper high-speed railway (HSR).

vi. It improves 5G applications such as autonomous vehicles.
vii. It provides enhanced mobile broadband communication, low latency as well
as high mobility and long-distance communication.
• Security Issues
Security as well as privacy are critical issues in 6G communication, and it is impera-
tive to ensure both security with privacy to enable the technologies discussed in ear-
lier sections. Access control, malicious activity detection, authentication, encryption,
etc. are a few of the security and privacy concerns with its applications in healthcare
(sensing devices), industrial automation, IoT applications, etc. As a result, it is cru-
cial to address the recent privacy and security concerns; or else, 6G won’t be able to
achieve its performance boom. These challenges are considered in relation to many
technologies, such as—blockchain, AI, and THz. Electromagnetic signatures are sug-
gested as a solution to the authentication issues in THz communication [24].
• Future Directions
For the successful deployment of 6G technology, a variety of technical issues need to
be addressed. A few of the signifcant security issues are mentioned below:
◦ Atmospheric Absorption and High-Level Propagation of THz
Although the THz frequency bands provide high throughput, it needs to address
its data transmission over long-distance devices [25]. This causes high propa-
gation loss because of the atmospheric absorption property. Hence, absorptive
efects are witnessed. To address this issue, a novel transceiver architecture is pro-
posed for the THz frequency bands with efectual antennas.
◦ Complexity in Resource Management for 3D Networking
The ability to build attractive 3D network diagrams for better knowledge is known
as 3D networking. It is one of the most potent succeeding networking features that
will be incorporated into 6G network communication. 3D networking has grown
vertically, enabling the development of novel management of resources, mobility
support, routing protocol, and channel-access techniques. The fusion of 3D network-
ing into 6G communication will ofer better network management and operations.
◦ Heterogeneous Hardware Constraints
A variety of heterogeneous devices, frequency bands, architectures, topologies,
and operating systems are expected to merge into the 6G network. MIMO tech-
nology, which has a more complicated architecture than 5G communication, will
be further incorporated into the advanced 6G [26]. Additionally, 6G will have to
adapt to sophisticated communication algorithms and protocols. However, hard-
ware operations may get more difcult with the incorporation of AI and machine
learning methods into 6G. Therefore, it’ll be extremely difcult to combine all of
the contrasting components into a singular platform [27].
◦ Spectrum and Interference Management
Spectrum-sharing strategies must be efective and creative because of the scarcity
of spectrum at higher frequencies and their interference issues. In order to maxi-
mize the Quality of Service (QoS) and to achieve optimal resource usage, efectual
6G Communication Technology for Industry 5.0 115

spectrum management strategies are essential. Researchers must address issues

related to spectrum management for contrasting networks and devices inside the
identical frequency range in order to efciently deploy 6G.
◦ High-Capacity Backhaul Network Connectivity
An efective backhaul connection is a key component of the network connectivity
solution. For remote locations, fnding the right backhaul design could be exceed-
ingly difcult. High-level density access networks are drastically diferent from
existing networks. These access networks which are common in 6G will have the
ability to deliver data at extremely high speed. The backhaul network will be es-
sential in the future for enabling extensive connectivity between core and access
networks. Such possibilities have a lot of potentialities that will support the evolv-
ing satellite constellations including SpaceX’s Starlink and OneWeb’s Telesat’s sys-
tems, but they are remarkably expensive in nature [26]. The advanced backhaul
network is necessary since optical fber and FSO networks are the more suitable
alternatives and have the ability to enhance their performance in a 6G network.
◦ Beam Management in THz Communications
High data rates may be supported by beamforming via sophisticated MIMO sys-
tems. The difculty in managing beams for high-frequency bands like the THz
band is due to the challenges posed by its propagation characteristics. Hence, to
deal with enhanced MIMO’s propagation characteristics of 6G, a successful beam
management system is essential to propose.

5.4 Conclusion
In this chapter, the prospects, opportunities, and future aspects upraised by the amalgama-
tion of 6G communication with Industry 5.0 are presented. 6G communication technology
has the potential to revolutionize Industry 5.0, enabling more advanced automation, data
analytics, and communication. However, it will still take time and signifcant investment
before 6G is widely adopted and implemented in the industry. According to the study, based
on current trends in 6G technology, in the future, 6G could have a great impact on Industry
5.0 with enhanced speed and precision of industrial robots, leading to more advanced auto-
mation. The combination of Industry 5.0 and 6G could bring about a new era of productiv-
ity, efciency, and innovation. However, there are several limitations that are needed to be
overcome before this can become a reality. A few of the prime limitations of 5G are: Security,
integration with existing technologies, investment and adoption, etc., which shall be taken
care of in 6G. Further, the proposed study put forward a few potential fndings of evolv-
ing concepts which include ultra-fast data transmission, massive connectivity, etc. Inversely,
there’s a downside to every upside, therefore, the proposed study sums up with a peculiar
view that the realization of amalgamation of 6G communication with Industry 5.0 may lead
to increased energy consumption, higher carbon emissions, etc., which are unfavorable for
humankind, and minimizing these can be considered as a future scope of the study.

Acknowledgment
The research work is supported by the Ministry of Education, the Government of India.
116 Secure and Smart Cyber-Physical Systems

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Chapter 6

Cyber-Physical System in AI-Enabled

Smart Healthcare System
Jyoti Srivastava and Sidheswar Routray

Chapter Contents
6.1 Introduction 118
6.2 CPS in AI enabled Smart Healthcare 120
6.2.1 Characteristics of CPS in AI Enabled SHS 120
6.2.2 Architectures of CPS in Smart Healthcare 122
6.2.3 Monitoring Medical Status Using CPS in Smart Healthcare 124
6.2.4 Cyber-Physical Systems Technologies in Smart Healthcare System 125
6.3 Big Data Analytics in CPS for Smart Healthcare System 126
6.4 Digital Security in CPS for Smart Healthcare System 128
6.5 Application of SHS in Real-Time Scenario 130
6.6 CPS in Smart Healthcare Challenges 130
6.7 Conclusion 131
References 132

6.1 Introduction
The last few years of the pandemic demanded a very strong as well as Smart Healthcare
System being able to monitor each and every patient efciently in order to handle the out-
break of rapidly increasing diseases [1]. Smart healthcare system enables patients as well
as doctors to monitor and access healthcare data from a remote location without physi-
cally visiting the hospital. This automation in healthcare can be provided using Artifcial-
Intelligence-based IoMT framework [2]. These wide developments and automation in
healthcare use CPSs to enhance the functionality of various physical and cyber medical
components. Cyber-Physical System acts as a developing technology that is exponentially
gaining demand every day in the research domain. Cyber-Physical System in SHS acts as
an interface between the cyber and physical world in order to enhance medical treatments
as shown in Figure 6.1. CPS is required to interconnect medical equipment (physical
world) for patient monitoring and medical data (cyber world) analysis which is stored in
the cloud [3].
CPS is an engineered system that is made up of continuously integrated computational
algorithms and physical components. Besides healthcare, CPS is having wide applications in
diferent domains like aerospace, civil infrastructure, energy, entertainment, manufacturing,
and transportation [4] as shown in Figure 6.2. Collaborating the concept of IoT (Internet
of Things) and IoS (Internet of Service) together with Cyber-Physical System brings the idea
of “Industrial Internet” that is evolved in the United States and the Germany innovation

DOI: 10.1201/9781003376712-6
AI-Enabled Smart Healthcare System 119

Figure 6.1 Cyber- physical system overview.

Figure 6.2 Cyber-physical system in different domains.

“Industry 4.0” [5]. CPS also plays an important role in transportation to enhance control-
lability, competency, and consistency of physical equipment involved in the maintainability
of transportation systems, e.g., vehicle accident prevention techniques and zero-net power
creation systems [6].
Industry Foundation Classes (IFCs) is the traditional schema for monitoring and control-
ling the structural health in civil infrastructure, and CPS here brings a further extension of
IFC with enhanced automation facilities [7]. Aerospace cyber-physical systems are made-
up of various intelligent equipment to collect, process, and communicate data with better
reliability, security, and efciency in order to accomplish advanced tasks and innovations
[8]. In order to store and process huge amounts of data generating everyday, cloud-based
120 Secure and Smart Cyber-Physical Systems

CPS can be used for incorporating Virtual Machines (VMs) for more energy conservation
and thereby better QoS [9]. Automotive Engineering also uses CPS to secure advanced au-
tomobile inventions like cyber cars with intelligent automotive control units like Electronic
Control Units (ECUs) [10].
Sighting the wide applications of CPS in diferent domains, we are motivated to incorporate
CPS in AI-enabled Smart Healthcare Systems to enhance the functionality of diferent physical
and cyber medical components that will help the society to be updated about their health pa-
rameters and also consult doctors remotely whenever required. It will also help to control the
spreading of harmful viruses due to regular hospital visits for each and every small problem.
The major contributions of this research work are as follows:

i. To evaluate multiple CPS-engaged Smart Healthcare Systems architecture.

ii. To portray various applications of CPSs in SHS and characterize various CPS applica-
tions in Smart Healthcare Systems.
iii. To discover various technologies that can be used in CPS to enhance the performance of
SHS.
iv. To compare various algorithms used for medical status monitoring utilizing CPS for SHS.
v. To plan various research challenges in CPS for SHS.

The rest of the chapter is organized as follows: Section 6.2 represents an overview of CPS
in Smart Healthcare Systems including diferent characteristics of CPS in SHS, mostly used
architectures of CPS in Smart Healthcare Systems, monitoring medical status using CPS in
Smart Healthcare, and discusses various technologies that can be used for CPS in SHS. Sec-
tion 6.3 explains various Big data analysis techniques in CPS for SHS. Section 6.4 shows
digital security techniques in CPS for SHS. Section 6.5 explains various research challenges
that can be encountered during the design of CPS in SHS.

6.2 CPS in AI-Enabled Smart Healthcare

CPS is composed of physical space and cyberspace where physical space includes various
sensors and actuators contemporarily, and cyberspace includes various algorithms to ana-
lyze and predict the medical data received from medical sensors as elaborated in Figure 6.3.
The bottommost layer, i.e., the sensing layer, collects data using various sensors from the
human body and then stores this data to the cloud using suitable network transmission me-
dium. Data from the cloud is then processed and analyzed in the cyberspace of CPS using
various smart tools and techniques. Now the analyzed data can be used for various predic-
tions and user-end experiences as shown in Figure 6.3.
Continuous work on CPS introduces various emerging technologies for pervasive sens-
ing. Due to these inventions in the last few months, CPS becomes an extremely popular
concept, where the original defnitions have been extended and new concepts have been
added. To understand the recent features and composition of CPS in this section, we will
elaborate on diferent features of CPS in AI-enabled Smart Healthcare.

6.2.1 Characteristics of CPS in AI-Enabled SHS

Besides the cyber world, CPS is also composed of diferent physical components rang-
ing from minor smart equipment like sensors or actuators to large equipment that can be
controlled by smart devices (like smartphones). Depending on the working situations of
AI-Enabled Smart Healthcare System 121

Figure 6.3 Cyber-physical system in Smart Healthcare System.

diferent equipment involved within CPS, the overall health of CPS can be defned, which
is divided into four states, namely, critical, healthy, unhealthy, and nonworking [11]. The
healthy state shows that the task is completed on time, the unhealthy state shows that
the parameters are within the threshold value, the critical state represents failures within the
system beyond a critical limit, and nonworking state shows faults and failures. Input and
output to these physical devices can be of diferent formats, and they can be structured or
unstructured; hence interfaces are required to convert these data into a fxed format that
will be widely accepted [12]. CPS in AI-enabled Smart Healthcare Systems can be catego-
rized among various levels depending on the requirement and utilization of these medical
data representing diferent characteristics of CPS in Smart Healthcare.

• Unit-level CPS: This is the basic level of CPS in Smart Healthcare and used to monitor and
control the health parameters of various patients admitted in diferent sections of the hos-
pital. Continuous monitoring of the patient’s physiological condition (like heart rate, blood
pressure, body temperature) is required at the unit level, and then these healthcare data
are transmitted to diferent smart systems for analysis and managing diferent sensors and
actuators linked with the patient. Here, the healthcare staf also plays an important role to
support and inform the experts about immediate patient treatment when required [1].
• Integration-level CPS: In this stage, various hospitals collaborate with smart homes for
delivering healthcare services to various patients remotely. It can later integrate with
smart ambulances for continuous monitoring and making necessary emergency arrange-
ments at hospitals for transferring risky patients to hospitals whenever required [1].
• System-level CPS: At this stage, diferent autonomous systems support CPS in Smart
healthcare thereby forming Healthcare Cyber-Physical System in Smart City. Smart hos-
pitals, smart homes, smart ambulances, etc., will form a healthcare ecosystem providing
rich, professional, and personalized healthcare services to patients [1].
• Acceptance-level CPS: At this stage, diferent researchers, engineers, academicians, scien-
tists, and health experts collaborate to make an efective SHS based on diferent policies
and standards [1].
• Evolutionary-level CPS: This stage is the ideal future CPS in Smart Healthcare having
advanced properties like self-adaptability and self-manageability [1].
122 Secure and Smart Cyber-Physical Systems

6.2.2 Architectures of CPS in Smart Healthcare

In the Smart Healthcare System, CPS works as an embedded system of healthcare equip-
ment and autonomous network systems to detect and prevent various highly sensitive dis-
eases such as COVID-19 as explained in Figure 6.4.
Figure 6.5 shows another three-layered architecture for CPS in the healthcare sector that
is proposed by Bordel et al. [14]. In this architecture, the physical layer is composed of vari-
ous physical sensing equipment whose working performances are to be measured, the mid-
dle layer is formed of diferent controlling hardware components, and the software layer is
composed of all analysis techniques.
Fatima et al. [15] explained a general architecture that elaborates various architectural
practices for IoT and CPS as shown in Figure 6.6; the interoperability among these two
felds indicating similar processes like data preprocessing, element analysis, etc.; and the
transformation that can be performed from IoT to CPS and vice versa.
Zhan et al. [16] again proposed a three-layered architecture where the bottommost layer
is the data collection layer which is composed of diferent nodes and adapters that can be
used to provide a combined interface for collecting diverse data from diferent hospitals,
individual users, or from the Internet. Adapters here can be used to preprocess the col-
lected raw data having diferent structures and formats before transmitting it to the data
management layer. The next layer is the data management layer which is mainly composed
of two modules: The DFS module (Distributed File Storage module) and the DPC module
(Distributed Parallel Computing module) supported through various Big data techniques
for enhancing data storage and processing capabilities of the system. Now, the topmost

Figure 6.4 Medical cyber-physical system architecture [13].

AI-Enabled Smart Healthcare System 123

Figure 6.5 Architecture of CPS in pervasive sensing [14].

Figure 6.6 Architectural dataflow indicating same and different processes between CPS and IoT [15].
124 Secure and Smart Cyber-Physical Systems

layer is the Application Service layer which enables various user-centric APIs to show the
basic data analysis results. It will help to provide general user-adaptable and specialized
healthcare services.

6.2.3 Monitoring Medical Status Using CPS in Smart Healthcare

Time is the most important factor to check the reliability and performance of Cyber-
Physical System in Smart healthcare. Minor delays of milliseconds in the treatment of a
patient can result in a risky or critical situation; hence, it will thereby reduce the efciency
and reliability of the system. CPS is used for continuous monitoring and control capabili-
ties and thereby introduces a new term known as Health Monitoring Status (HMS). HMS
can be used for a double purpose: To monitor the condition of each physical component of
CPS and to perform a proactive approach regarding the feasibility of CPS components [1].
Monitoring the medical status of patients is very important mainly after a surgery or even
for the routine activity of risky patients. Amin et al. [17] discusses various CPS solutions
designed for e-diagnostics and monitoring high-risk pregnancy, elderly people, and edema
patients as shown in Table 6.1.

Table 6.1 CPS Solutions for Health Monitoring

Sr. No Study Model Features Functionality

1 Suzuki et al. [20] - Wireless multipurpose sensors - Estimated timings can be

in surroundings measured for medicine intake
- Patients position detection - Medicine incorrect intake
using fuzzy inference dosage detection
- Various pill box sensors - Patient monitoring
- Web interface
2 Wu et al. [18] - Standard agitation semantics - Automation in notification
- Decision graph for analysis frequency calculation
- Drug package scanning through - Reminder notification for
RFID tags medication
- Detection of various patient
activities
- Keeping track of medicine
consumption
3 Varshney [19] - Wearable sensors - Monitoring of patient’s health
- Patient behavior monitoring - Reminder for medication-
related stuff
4 Ishak et al. - Web-based database - Automatic detection and
[21] management monitoring of medicine intake
- Smart medicine cabinet linked
with microcontroller
5 Chen et al. - Wearable wrist band sensors - Patient’s motion detection
[22]
6 Kalantarian et al. - Piezoelectric sensors attached - Automatic pills’ intake
[23, 24] in Smart necklace detection
- Wearable sensors in wrist - Different swallow’s
bands classification and their display
- Ultra low-power consuming - Patient movement detection
Bluetooth protocol for
android application
- Bayesian networks
AI-Enabled Smart Healthcare System 125

6.2.4 Cyber-Physical Systems Technologies in Smart Healthcare System

Building a cyberinfrastructure having automation requires CPS to integrate with various

advanced technologies in order to enhance performance. These technologies include Digi-
tal Twin, IoT, Blockchain, AI and ML, cloud computing etc., as explained in Table 6.2.

Table 6.2 CPS Technologies in SHS

Sr. No. Technology Study Application Areas Application in SHS

1 IoT Verma [1] - Aerospace technology - Machine to machine

Wang et al. [4] - Control theory communication
Maleh et al. [8] - Interoperability and - Intrusion detection
Bordel et al. [14] transformation with - Pervasive sensing
Fatima et al. [15] CPS - Data integrity
Amin et al. [17] - Smart homes - Confidentiality
2 Digital Khan et al. [25] - Data management - Medical data analysis
Twin Liu et al. [26] - Industrial manufacturing and prediction
Verma [1] - Precision analysis - Elderly care
- Cloud data monitoring - Real-time
supervision
- Resource graph
creation
3 Robotics Terashima et al. [27] - Automotive - Health monitoring
Khan et al. [28] - Engineering - Medication
D’Auria et al. [29] - Smart homes adherence
Munir et al. [10] - Manufacturing task in - Patient care
Verma [1] Industry 4.0 - Surgery assistance
- Surveillance robots for
security and safety
4 AI and ML Maleh et al. [8] - Aerospace technology - Task automation
Wu et al. [18] - Context-Aware Smart - Prediction
Srivastava et al. [2] System Analysis
Wang et al. [33] - Mobility awareness in - Decision-making
Verma [1] smart transportation - Intrusion detection
- Medical engineering - Medication
adherence
- Diagnosis
5 BlockchainNguyen et al. [30] - Security in smart homes - Security
Gupta et al. [31] - Robustness in CPS - Privacy
Dedeoglu et al. [32] - Permission and access - Authentication
Verma [1] control management - Encryption
6 Cloud Qi et al. [9] - QoS - Resource control
Computing Zhang et al. [16] - Energy conservation and allocation
Gupta et al. [31] - Virtual machine - Easy access and
Verma [1] scheduling sharing of electronic
- Industry 4.0 standards health record.
for cloud as service, - Distributed ledger
control as a service, for communication
machinery as a service,
etc.
7 Big Data Zhang et al. [16] - Data Storage - Service-oriented
Analytics Wang et al. [33] - Distributed systems architecture
Verma [1] - Smart transportation - Heterogenous data
- Medical engineering management
- Reduce medical cost
- Personalized medical
services
126 Secure and Smart Cyber-Physical Systems

In Smart Healthcare Systems, Digital Twin is basically a simulation model that provides
virtual resources in cyberspace to plan, control, and coordinate according to the digital
information received from the resources [25]. IoT can be helpful for machine-to-machine
(M2M) communication using wireless communication, Bluetooth, radio communication
etc., that is forwarded to cloud or remote servers for further controlling and analysis via AI
and ML prediction algorithms [1]. In CPS for Smart healthcare diferent medical devices,
M2M communication within diverse sensors continuously collects huge data that can be
in diferent formats so it needs to be processed, stored, and analyzed for receiving medical
information, and this is the situation where Big Data Analytics comes into its role [33].
CPS for Smart Healthcare can use cloud computing to digitally store the Electronic Health
Records (EHR) at the cloud server in an encrypted format to enable easy sharing and ac-
cess among various entities like patients, doctors, hospital staf, and insurance companies
[9]. Besides storing encrypted data, Industry 4.0 standards introduce various advance ser-
vice models for cloud manufacturing as explained in Table 6.2 [31]. Robots are basically
autonomous machines that can perform assigned tasks with proper accuracy [27]. In CPS
for Smart Healthcare Systems, medical robots can be used for assisting in patient care and
surgery. Industrial robots can be used for manufacturing tasks and surveillance [28]. Block-
chain technology helps in providing a decentralized and distributed database platform for
secured and authenticated access to EHR maintained by cloud servers [31].

6.3 Big Data Analytics in CPS for Smart Healthcare System

Recent advancements in healthcare technologies envision automation in the cyber as well
as physical world of Smart Healthcare Systems, but these advancements result in an ex-
ponential increase of healthcare data which is raising problems against the storage, han-
dling, and processing of these huge datasets. SHS deals with diferent kinds of devices that
are continuously generating data in diferent formats and accordingly require diferent
storage schemes and formats and thereby introducing Big data problems. Big data analyt-
ics will be benefcial in reducing medical costs and also ensures personalized experiences
as shown in Table 6.3. Zhang et al. [16] introduced a patient-centric healthcare CPS for
advanced applications and services which is named Health-CPS that is managed by cloud
and Big data techniques for better convenience. Sarosh et al. [35] introduces a crypto-
system using the logistic equation, Hyperchaotic equation, and Deoxyribonucleic Acid
(DNA) encoding for maintaining the overall security of the system and uses a lossless
Computational Secret Image Sharing (CSIS) technique to convert encrypted image into
shares for distributed storage of Big data on multiple servers. Syed et al. [36] proposed a
smart healthcare framework that predicts around 12 physical activities with 97.1% accu-
racy that will help to monitor human motion, especially for elderly people using IoMT and
an intelligent machine learning algorithm. Figure 6.8 depicts the classifer performance in
terms of data precision and recall evaluation when the person is performing various phys-
ical activities. Bansal et al. [37] combined the concepts of nanomaterial, IoT, and Big data
for Electrocardiogram (ECG) monitoring to enhance system properties like conductivity,
toxicity, electrical properties, reduced cost, and integration complexities. Here, Big data
analytics is used for ECG data analysis, decision-making, and extracting useful informa-
tion via algorithms and intelligent storage. Manogaran et al. [38] proposes a new archi-
tecture that is capable of processing and storing large scalable sensor data (Big data) for
SHS and will be capable of predicting heart diseases. Figure 6.7 shows the performance
AI-Enabled Smart Healthcare System 127

Table 6.3 Big Data Analytics in CPS for SHS

Sr. No Study Model Techniques and Features Functionality

1 Zhang et al. [16] - CPS - Patient-centric

- Distributed storage Healthcare applications
- Parallel computing and services
- Cloud computing - Better conveniency
2 Sarosh et al. [35] - logistic equation - Security framework
- Hyperchaotic equation - Distributed storage
- Deoxyribonucleic acid - Cloud-based
- Computational Secret image cryptosystem
sharing - Strong key sensitivity
3 Syed et al. [36] - Parallel computing - Patient’s activity
- Hadoop MapReduce monitoring specially for
techniques elderly people
- Multinomial naïve bayes - High scalability
classifier - Overall accuracy 97.1 %
4 Bansal et al. [37] - Nanoelectronics - Patient ECG monitoring
- IoT - Remote access by
- Big data doctors
- Helpful in dealing with
emergency situations
5 Manogaran et al. [38] - Meta-Fog redirection - Key management and
(Apache Pig, Apache HBase) security services
- Grouping and choosing - Predict heart diseases
architecture (Data - Secure fog to cloud
categorization function) integration

105

100

85
Precision %
80 Recall %
75

Figure 6.7 Classifier performance evaluation for various physical activities using precision and
recall evaluation [36].
128 Secure and Smart Cyber-Physical Systems

6
RMSE
5
MAPE
4 MSD
3

0
MR SGD-LR SVM RF

Figure 6.8 Performance comparison of stochastic gradient descent algorithm with Logistic Re-
gression (SGD-LR), Multiple Regression (MR), Support Vector Machine (SVM), and
Random Forest (RF) [38].

comparison of the proposed algorithm with various other Big data techniques, namely
Multiple Regression (MR), Support Vector Machine (SVM), and Random Forest (RF).
The proposed architecture is basically composed of two main subsystems, first Meta-Fog
redirection that uses Big data techniques like Apache Pig and Apache HBase for collection
and storage of the collected sensor data, and second Grouping and Choosing architecture
for providing category-wise management and security services [44, 45].

6.4 Digital Security in CPS for Smart Healthcare System

CPS in Smart healthcare systems is emerging as an advanced patient-centric model that
enables real-time healthcare data collection using various types of machinery equipped
with smart sensors, encrypted data aggregation at mobile devices, and then transmitting
this encrypted data to the cloud for storage and accessibility. Here, digital security of this
healthcare data becomes a very challenging problem, and to solve such problems, few
security techniques have been discussed in Table 6.4. To address the authentication of le-
gitimate patient-wearable devices with secured data transmission, Adil et al. [39] proposed
a crossbreed lightweight supervised machine learning (SML) decentralized authentication
technique pursued by CPBE&D (cryptographic parameter-based encryption and decryp-
tion) scheme. Most of the current secured healthcare systems with the highest security are
unable to maintain their efficiency under resource-constrained systems, and to deal with
that situation, Kumar et al. [40] proposed a balanced, secured, and lightweight smart
healthcare CPS that preserves the system privacy and maintains patient data integrity on
the cloud with public data verifiability utilizing least communication and computation
cost. To enhance the responsiveness of SHS, Ramasamy et al. [41] proposed an AI-enabled
IOT-CPS algorithm which is having two sub-algorithms, namely, the disease classification
AI-Enabled Smart Healthcare System 129

Table 6.4 Digital Security Techniques in CPS for SHS

Sr. No Model Techniques and Features Model Techniques and Features Functionality

1 Adil et al. [39] - Supervised Machine - Validation of legal patient

Learning (SML) wearable devices
- Cryptographic - Decentralized
Parameter-Based Authentication
Encryption and - Secure data transmission
Decryption (CPBE&D)
2 Kumar et al. [40] - Secure and lightweight - Secured against chosen
smart healthcare CPS ciphertext attack
- Secured against chosen
message attack
- Least communication and
computation to achieve
efficiency
- Preserves system privacy
- Healthcare data integrity
on cloud
3 Ramasamy et al. [41] - Disease classification - High accuracy
algorithm - Precise result
- Disease prediction - Automated fall detection
algorithm system
- AI–enabled IoT–CPS - Low computation time
algorithm
4 Challa et al. [42] - Burrows–Abadi–Needham - Authentication between
logic (BAN logic) cloud server and user
- Automated Validation - Authentication between
of Internet Security cloud and smart meter
Protocols and
Applications (AVISPA)
5 Yang et al. [43] - Lightweight Sharable - End-to-end patient’s data
and Traceable (LiST) encryption
algorithm - Efficient keyword search
- Pairing based system
cryptography - Supports tracing of traitors
- Allows on-demand user
revocation

algorithm to achieve high accuracy and precision in identifying the disease within mini-
mum time and disease prediction algorithm for fall prediction of elderly patients. Challa
et al. [42] proposed Burrows–Abadi–Needham logic (BAN logic) for providing authentica-
tion between a cloud server and a user followed by Automated Validation of Internet Secu-
rity Protocols and Applications (AVISPA) tool to ensure authentication between the cloud
server and smart meter. Figure 6.9 compares the total computation overhead of proposed
algorithm with various other schemes like Remote User Authentication (RUA), Mutual
Authentication Scheme (MAS), Ad-hoc Authentication Scheme (AAS), and Lightweight
Authentication Protocol for IoT (LAP-IoT). For providing efcient and scalable sharing
of encrypted data, Yang et al. [43] proposed a LiST (lightweight Sharable and Traceable)
highly secured mobile health system that ensures end-to-end encryption of patient data for
a mobile device to. the end user. This system also provides on-demand user abrogation,
supports traitors’ tracing and fne-grained control in data access, and enables efcient
keyword search.
130 Secure and Smart Cyber-Physical Systems

0.8
0.7
0.6
0.5 Smart equipment overhead(s)
0.4
Cloud Server Overhead(s)
0.3
Total Overhead(s)
0.2
0.1
0
AKAS RUA MAS AAS LAP-IoT

Figure 6.9 Performance comparison in terms of total computation overhead for Authenticate
KeyAgreement Scheme (AKAS), Remote User Authentication (RUA), Mutual Authen-
tication Scheme (MAS), Ad-hoc Authentication Scheme (AAS), and Lightweight Au-
thentication Protocol for IoT (LAP-IoT) [42].

6.5 Application of SHS in Real-Time Scenario

CPS in Smart Healthcare Systems has various applications among which Joshi et al. [46] pro-
posed a system used for monitoring diabetes levels among diferent COVID patients. As phys-
ical visits to such patients are prohibited, this technology helps the doctor and the patients
to examine the periodic glucose level among COVID-19 patients under medication.Tiwari
et al. [47] proposed a system that uses a plethysmography technique for pulse rate detection
and digitally displays the results that make it a real-time health monitoring device. Here, the
fow-based cardiac output can be calculated using fnger blood fow examination with mobile
light and cameras, which is proven comparatively safe for patients. Uddin [48] proposed a
system that allows users to check their heart rate by just looking into the phone without thor-
ough checking via hand. This system is the next step toward SHS, but it requires continuous
heart monitoring as all the controlling of the cardiovascular disease sensing system is handled
through smartphones. Malla et al. [49] proposed a microwave imaging-based technique to
investigate and safely detect breast tumor among various patients. Soundararajan et al. [50]
used BSN (body sensor network) to analyze symptoms of Parkinson’s disease, and the early
result displayed will help the doctor to take immediate action wherever required. It will be
benefcial for the patients as well, as they can take preliminary actions if the disease is at an
initial stage. Balasundaram et al. [51] proposed IoT-based SHS for efcient health monitoring
and symptom diagnosis of patients in the emergency care unit. Sathish Kumar et al. [52] pro-
posed an automated system that will automatically detect bone fractures in the human body
with the help of extensively deep evaluation and experimental analysis on various available
X-ray images.

6.6 CPS in Smart Healthcare Challenges

CPS in Smart Healthcare Systems brings various automation facilities with the help of vari-
ous CPS technologies like Artifcial Intelligence, Blockchain, Big data, and cloud comput-
ing. Despite such advance technologies, there are numerous challenges that developers and
AI-Enabled Smart Healthcare System 131

designers of cyber-physical systems still face during the implementation of a precise and
accurate CPS in the healthcare sector, and a few of them are discussed below.

• Instant Requirement and Time Management: Data in cyber-physical system travels

through various levels to reach up to the end user, and all these transmissions generally
sufer from various real-world problems like packet loss, transmission delay, and net-
work jitter, which lead to the meantime unavailability of CPS [34]. As we know, Smart
Healthcare System deals with very sensitive patients and their instant requirements,
thereby delays in taking action by caretakers due to CPS failure can adversely afect the
patient’s health. Incorporating such kind of real-world data with a patient medical his-
tory including complete feld knowledge is the most challenging task of CPS, but it is the
most required task for a smart health monitoring system.
• Continuous Components’ Coordination: CPS architecture incorporates various compo-
nents within diferent layers: Physical layer includes various sensors and actuators, the
network layer includes various gateways and hubs, and the cyber layer includes process-
ing and analysis techniques etc., and all these layers and components need continuous
coordination and communication to accomplish the overall system task [12]. This is the
most challenging task for CPS as diferent components can have diferent computational
capabilities in terms of energy, efciency, accuracy, precision etc., and this constraint
leads to inconsistent information for treatment, signal distortion due to the close proxim-
ity, and various other such problems.
• Data Diversity: Data in Cyber-Physical System can be generated either from the physical
resources or the cyber resources which are having completely diverse environments and
data formats that need to be maintained and processed in a common platform to give
the required information to the end user. Besides that, there is an exponential increase
in the generation of these kinds of data, which again creates maintenance and manage-
ment problems [33]. Though cloud computing and Big data techniques solved many
such problems, security constraints of CPS again raise a big question about these tech-
niques. Hence, diverse data management for CPS in the Smart healthcare system must be
implemented in such a way that the patient information privacy scheme should not get
violated.
• Dynamic Aspects of CPS: Dynamic aspects of a cyber-physical system aim for a system
that must have a simple, collaborative, and friendly user interface so that diferent users
can easily relate with the system and can easily communicate within internal healthcare
units as per the real-time change in patients’ medical status. The system should also pro-
vide e-learning techniques for the Smart healthcare system that include actions that are
to be taken in diferent medical situations. Now the problem arises when such facilities
degrade system efectiveness in terms of various parameters like energy, efciency, accu-
racy, and security [13]. Therefore, a balanced UI must be developed that maintains both
system performance and user comfortability.

6.7 Conclusion
CPS includes the physical as well as the cyber components of a system where physical
components include various equipment with inbuilt sensors for data collection, and cyber
components include various data-handling schemes that enhance the overall performance
of the system with various automation techniques. CPS works within diferent domains like
132 Secure and Smart Cyber-Physical Systems

manufacturing, civil engineering, and aerospace. CPS plays an important role in the Smart
Healthcare System in terms of enhanced security, efciency, and accuracy from the system.
CPS utilizes various high-performance technologies like cloud computing, Big data, and
robotics for the betterment of the system performance. Big data analytics enables the pro-
cessing and handling of the rapidly increasing healthcare dataset generated from diferent
components of CPS having heterogeneous formats and environments, ensuring a personal-
ized experience with reduced medical costs. This work will help an individual to discover
diferent CPS characteristics and applications in various domains, technologies working
with CPS, Big data analytics with CPS, digital security in CPS, and the research challenges
in real-time implementation of CPS in Smart Healthcare Systems.

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Chapter 7

Service-Oriented Distributed
Architecture for Sustainable Secure
Smart City
Sourav Banerjee, Sudip Barik, Arijit Sil, and Jerry Chun-Wei Lin

Chapter Contents
7.1 Introduction 135
7.2 Background 140
7.3 Related Work 141
7.4 Key Challenges 144
7.5 Proposed Architecture 145
7.5.1 Preliminaries 147
7.5.2 Data Management 147
7.6 Proposed Model and Challenges 148
7.7 Conclusion and Future Direction 149
Bibliography 150

7.1 Introduction
Smart cities and urban computing are exciting research areas full of new challenges and op-
portunities. A large urban area can be called a smart city if various services and operations
such as governance, healthcare, education, fuel, and energy distribution are supported by an
ICT infrastructure that ensures greater efciency and simpler operations. Prominent exam-
ples of such services include intelligent trafc monitoring, efcient and sustainable distribu-
tion of various energy needs (electricity, gas, fuel, etc.), ICT-enabled public transportation,
sensor-based pollution monitoring and control systems, online services for individual citi-
zens (e.g. buying a new car or property, applying for a passport or driver’s license, reporting
a crime, and seeking health services), etc. All of these services need to be integrated into an
architectural model to facilitate the daily lives of individuals. The design should also ensure
that everyone benefts from the system regardless of their ICT capabilities. With the launch
of the iPhone and Android handsets, substantial changes were made to both the business
models and the technological infrastructures on online platforms, serving as precursors to
this progression. Additionally, ICT industry-specifc equipment and solutions now need to
communicate with telecommunications networks. Meanwhile, telecom companies want to
provide more cutting-edge business solutions than they provide at the moment. Thus, it
seems sensible that as new business models are put forth, existing system architectures will
change to match those models. The business models proposed for smart cities are no excep-
tion: By defnition, they imply an evolution of the value chain as well as the related system
architecture that underpins both of these businesses. Table 7.1 demonstrates the impact of
Smart City Business Models [41]. The vast majority of Smart City Business Models fall into
one of several types, as shown Below [41].

DOI: 10.1201/ 9781003376712-7

136 Secure and Smart Cyber-Physical Systems

Table 7.1 Impact of Smart City Business Models

Class Example Technological Significance

Environmental enhancement Smart metres, smart grid, air New network-connected

quality monitoring gadgets
Economic growth Green growth initiatives, Data aggregation, open data
incubators, and smart
education
Cost effectiveness Removing data silos across Open data, cloud computing
government agencies
Safety Detecting firemen and New devices, new data
adjusting transport to avoid sources, data aggregation,
a collision and open data are all being
introduced
The standard of living Data-driven feedback loops in Data collection and
urban planning information management
Citizens who are linked Apps for transport for a Privacy, data aggregation, and
”connected commute” open data
Innovative business models Using smartphone data Data aggregation, privacy,
from throughout a city to open data, and data
generate new advertising provenance
and revenue streams for
local businesses

Categories of Smart City Business Models:

• Public–Private Partnerships (PPPs): This model involves collaboration between local gov-
ernments and private companies to develop and implement smart city solutions. The
public sector provides the regulatory framework, while the private sector invests in the
technology and infrastructure needed to make the city “smart.”
• Software as a Service (SaaS): Here, smart city solutions are provided to customers on a
subscription basis. The SaaS provider is responsible for developing and maintaining the
software, while the customer pays a fee to use it.
• Infrastructure as a Service (IaaS): In this model, the smart city infrastructure is provided
as a service, similar to cloud computing. The IaaS provider is responsible for building
and maintaining the infrastructure, while the city pays a fee to use it.
• Build–Operate–Transfer: In this model, a private company builds and operates the smart
city infrastructure for a set period, typically 20–30 years. After this time, ownership is
transferred to the government.
• Joint Ventures: A joint venture involves a partnership between the government and pri-
vate companies, with both parties sharing risks and rewards. This model is often used for
large-scale projects that require signifcant investment.
• Service Contracts: In this model, the government contracts with private companies to
provide specifc smart city services, such as waste management, transportation, or energy
management.
• User Pays: The user pays model involves charging users for the use of smart city services,
such as toll roads, parking, or public transportation. This model can help to generate
revenue and encourage more sustainable use of resources.
Service-Oriented Distributed Architecture 137

• Outsourcing: In an outsourcing model, the government outsources the operation and

maintenance of smart city infrastructure to private companies, which are responsible for
ensuring its efcient functioning.
• Data Monetization: This model involves collecting data from sensors and other sources
throughout the city and then selling that data to other businesses or organizations. This
can include information about trafc patterns, air quality, energy consumption, and
other topics.
• Value-Added Services: This model involves ofering additional services on top of the
smart city infrastructure, such as maintenance and repair, consulting, or other services
that can help customers get the most out of their smart city solutions.
• Smart City Platforms: This model involves building a platform that integrates diferent
smart city technologies and services, allowing customers to access multiple solutions
from a single provider.

The main motivation for building a smart city is to use the innovations of the digital and
information technology revolution to support the daily operations of a metropolis. This
also facilitates the adoption of an information society that continuously gathers informa-
tion from various sources (sensors, citizens, government agencies, social media, etc.) to bet-
ter understand and serve various stakeholders, paving the way for sustainable development
in the long run. Most importantly, smart city progress leads to a citizen-centric approach to
public administration that can eliminate corruption and free citizens from the stranglehold
of bureaucracy [1,6,13,14,17].
Over the years, various aspects of building smart cities have been extensively studied by
researchers, and many have developed various defnitions, frameworks, and solutions for
smart cities [12,18,23,25,42]. The goal is to identify and solve problems that arise in an
urban space with the increasing complexity of urban operations and the growing popula-
tion by taking advantage of recent advances in information and communication technology
(Figure 7.1). Waste management, smart distribution of scarce and limited resources, envi-
ronmental degradation, healthcare system, trafc congestion, and reconstruction and reuse
of obsolete infrastructure are some of the fundamental problems faced by cities around the
world [10,15,30].

Figure 7.1 Smart cities initiatives.

138 Secure and Smart Cyber-Physical Systems

Therefore, smart city today can be visualised as a massive information system consist-
ing of multiple subsystems that efectively cooperate in collecting, storing, retrieving, and
visualising data and enable citizens to access relevant information on demand using modern
network and communication mediums as depicted in Figure 7.2. There are some challenges
along the way to achieving these goals. Establishing adequate physical infrastructure and
secure and intelligent data processing and fnally creating appropriate interfaces for citizens
to adopt smart city services are some of the obstacles that need to be overcome. For example
implementing a smart transportation and trafc management system holds tremendous po-
tential for improving trafc conditions and road safety in a city, but the system may require
new types of networks to enable communication between vehicles. The implementation of
intelligent trafc management requires extensive infrastructure throughout the city, and
special care must be taken to ensure the security and privacy of the data collected and used.
Banerjee et al. [11] survey the possibilities of how automated vehicles can be embedded into
the trafc management system to bring about the next range of revolution in the transport
system. In [29] to determine an efective way, the images captured as sequence from a cam-
era are analysed using edge detection algorithm, object counting tool, and queue length
determination. Following that, the number of vehicles at the intersection is assessed, and
the fow of trafc is efectively controlled. Radio Frequency Identifcation (RFID), a brand-
new technology that can be combined with the current signalling system to provide intel-
ligent real-time trafc control, is introduced in [38]. In [53], the suggested method fnds the
vehicle candidates from the foreground image during vehicle detection, solving issues like
headlight efects. Vehicles are tracked using the tracking technique over a series of frames.
Finally, the tracking capabilities are improved by using a mechanism that makes up for er-
ror cases in busy environments.

Figure 7.2 Smart city as information system.

Service-Oriented Distributed Architecture 139

Similarly, Ghosh et al. in [44] analyse security, privacy, and efcient information man-
agement in a healthcare system backed by IOT as the sector is vulnerable to cybersecurity
threats. Finally, event-driven architecture (EDA) is mentioned in [10], although it has yet
to be implemented. Table 7.2 demonstrates that architecture is independent of the smart
city organisation [public organisation, state-owned enterprise (SOE), project coalition, or
private company], as multi-tier architecture is observed in a variety of situations that follow
alternative organisational forms [7]. Layer selection in multi-tier architectures, on the other
hand, is unafected by ICT smart city selection (e.g. Trikala is a digital city and Kyoto is an
online city).
In order to efectively solve the difculties of an information management system specif-
cally created for smart cities, this chapter suggests a new paradigm. The following are the
prerequisites for creating a smart city:

• Establishing a strong network and sensor systems to enable continuous monitoring and
thorough real-world data collection.
• Efective methods for processing, retrieving, and storing data.
• Making it possible for data to be used by a variety of applications.

This will eventually convert the theory of a smart city to a reality. The system must also
meet additional criteria for scalability and security, which are all important cosiderations.

Table 7.2 Preferred Architectures in Various Examined Cases

Case Findings

Architecture Organisation

European Smart Urban Intelligence Project (various European cities)

Cities Measurement System
Two cities in the SOA Two cities in the Netherlands
Netherlands
Fifty Two cities n-tier architecture (four Public organizations [i.e. Gdansk (Poland),
layers): Masdar (UAE)]
Network, content, Public–private partnership (PPP) [i.e.
intelligence, services Amsterdam (the Netherlands)]
Private Companies [Malaga (Spain), New
Songdo (Korea)]
Helsinki, Kyoto n-Tier architecture (three State-Owned-Enterprise (SOE) run by the
layers): municipality
Information, interface,
interaction
Dubai n-Tier architecture (three Public organisation (government)
layers):
Infrastructure, data,
application
Trikala, Greece n-Tier architecture (six State-Owned-Enterprise (SOE) run by the
layers): municipality
Data, infrastructure,
interconnection, business,
service and user
140 Secure and Smart Cyber-Physical Systems

Given the size of a modern metropolis and the rate of urbanization, these difculties are
exacerbated in real life.
In light of these difculties, our study suggests a high-end architecture based on the efec-
tive distribution and storage of urban data to ease the operation of smart cities. The model
is based on hierarchical and service-oriented storage of data that facilitates data visualiza-
tion and decision-making. While the hierarchical model introduces data redundancy, it also
efectively reduces network latency. Service-oriented distribution of data also enables im-
proved data security and privacy. Third-party applications can access appropriate service-
related datasets to provide services with enriched functionality and useful information to
end users. The main contributions of this chapter are as follows:

1. Highlight key challenges in smart city implementation.

2. Propose a service-oriented architecture for smart city management in order to address
these key challenges.
3. Provide an open yet secure data model to encourage third-party application development.

7.2 Background
In recent years, the concept of a smart city has grown in popularity as a means of addressing
the issues of urbanisation and the need for sustainable development. A smart city is one that
uses new technologies to optimise its functioning, increase its people’ quality of life, and
lessen its environmental efect. A smart city accomplishes this by utilising a variety of sys-
tems and devices that collect and analyse data to provide insights into urban activities [50].
So, as the number of devices and systems in a smart city grows, so does the complexity of
managing them. Moreover, ensuring the security of these systems and protecting the privacy
of citizens’ data have become a major concern. Therefore, designing efective and sustain-
able architecture for a smart city is critical to its success.
Service-Oriented Architecture (SOA) [19,35,54] is a well-established architectural style
that has been widely used in the design of large-scale distributed systems. SOA promotes
the creation of modular and reusable software components that can be combined to create
complex systems. By adopting an SOA-based approach, a smart city can create a fexible
and adaptable architecture style that can evolve over time as new technologies emerge.
In addition to being service-oriented, smart city architecture should also be distributed. A
distributed architecture allows for the decentralisation of data processing and reduces the
risk of system failure or downtime. Furthermore, a distributed architecture enables the use
of edge computing and the deployment of sensors and devices closer to the source of data,
thus reducing latency and improving the accuracy of data analysis.

Sustainability: Sustainability [24,48,55] is a crucial component of any smart city initia-

tive. The proposed architecture incorporates sustainability principles by leveraging dis-
tributed computing and service-oriented architecture principles. By distributing services
across multiple nodes, the architecture reduces energy consumption and increases fault
tolerance. Furthermore, the architecture encourages the use of renewable energy sources
like solar and wind power.
Security: Security [46,47,57] is also a crucial component of any smart city initiative. The pro-
posed architecture incorporates security principles by using distributed computing and
service-oriented architecture principles. By distributing services across multiple nodes, the
Service-Oriented Distributed Architecture 141

architecture reduces the impact of security breaches. In addition, the architecture uses secure
communication protocols such as SSL/TLS to ensure the confdentiality and integrity of data.

7.3 Related Work

Since there are very diferent defnitions of a smart city in the literature, researchers have
developed various smart city architectures that focus on criteria such as technology, data
fow, and interaction with stakeholders.
Information and communication technology (ICT) will spread from the desktop PC out
into the real world and become pervasive, according to Wright in [45]. This vision is simi-
lar to that described by Weiser [52] and others [9,21,56]. The authors of [28] argue that
as computer and network technology improve, digital cities will also undergo change. No
digital city can continue to exist in its existing form. In order to grasp these digital cities’
present situation and potential, various studies examine them. Komninos [33] proposed
architecture from a technological point of view in Figure 7.3. They divided the architecture
into three diferent layers as shown in Figure 7.3. The lowest layer, the information storage
layer, is responsible for capturing and storing digital content. The application layer above
it provides all the services needed to interpret and organise digital data. The top layer is the
user interface, which makes data accessible to end users via various web applications using
diferent digital tools. [34] provides a terminological foundation for treating a digital city
as a self-organizing meaning-producing system intended to aid social or spatial navigation.
Kryssanov et al. examine the concept of a digital city from a semiotic standpoint.
From the standpoint of user–system interaction, Al-Hader et al. [2] developed a fve-level
pyramid framework for smart cities (Figure 7.4). The lowest level is the smart infrastruc-
ture layer, which consists of sensor networks, various natural resources, communication
networks, etc. The layer above is the intelligent data layer, which contains various types
of spatial relational databases and data stores. The third layer is for providing various

Figure 7.3 Three-layer smart city structure from technology perspective.

142 Secure and Smart Cyber-Physical Systems

Figure 7.4 Five-level pyramid structure from user–system interaction perspective.

management systems for smart cities. Above it is the standard user interface layer, which
contains the user interaction tools. The smart city layer is on top, and it unifes and stream-
lines interaction with the previous four layers.
Anthopoulos and Fitsilis have presented [4] a fve-layer smart city architecture that seeks
to integrate the physical and conceptual parts of such a system. The stakeholder layer iden-
tifes the various system users. The service layer explains how data and information are
distributed to stakeholders. The business layer focuses on the rules and procedures that will
control how a smart city operates. The infrastructure layer consists of the basic network
and communication devices required for the system, while the data layer is responsible
for defning the means and ways to manage data. According to research in [22], cities and
face-to-face contacts may be supplemented by telecommunications or at the very least, they
aren’t a powerful alternative for them.
The authors of [5] describe the development process for Trikala, Greece’s digital city
(e-Trikala), as well as the digital city’s contribution to e-Government. The methodology
shows the methods used to develop an e-Government environment in the digital city
that ofers more than just service administration. The approach incorporates difculties
related to participatory design, although other related factors are also examined. The
authors of [8] ofer a development model of municipal Enterprise Architecture using data
from a number of signifcant e-Government strategies and their enterprise architectures
(Figure 7.5). The confguration and appropriation of new socio-technical constituencies
are examined and afterwards interpreted in terms of social learning, according to the
authors of [50]. According to Filipponi et al., smart cities are divided into two categories:
Knowledge Processors (KPs) and Semantic Information Brokers (SIBs) [20]. SIB is where
information is saved. Once the KP is linked to the SIB, operations are initiated via the
Service-Oriented Distributed Architecture 143

Figure 7.5 A logical view of common central e-government system.

Smart Space Access Protocol (SSAP). Through SSAP, KP manages all of the diferent user
sessions. Harrison et al. [27], on the other hand, proposed a framework using infrastruc-
ture and stakeholders to collect the necessary information about the evolving behaviour
of a smart city. In addition, Lugaric et al. [37] proposed a smart city architecture that
consists of three parts: the physical network, the communication devices, and the data
fow. To improve the reliability of smart city IoT devices, Ghosh et al. [39] build a dy-
namic correlation between nodes in a single cluster based on their statistical behaviour
when performing smart communication in Cognitive Radio Sensor Networks. Chourabi
et al. [17] proposed a framework that attempts to understand a smart city by identifying
external and internal categories of factors that act as infuencers. External factors include
governments, people, various other communities, natural resources, physical infrastruc-
ture, and the economy. Internal factors include technologies, rules, and related policies.
In [38], Banerjee et al. propose an energy-efcient cloud computing mechanism through
VM selection that is specifcally designed for an environment where large-scale virtualized
data centres need to communicate via the cloud and facilitate service-oriented computing.
From the above discussion, it is clear that recent advances in Big data management and
information technology will play a critical role in the development of future smart cities.
Taking these factors into account, this chapter proposes a distributed, service-oriented
smart city architecture that (i) allows a free yet secure fow of usable data and information
between diferent modules, (ii) is highly fexible to adapt to rapidly evolving technologies,
and (iii) follows an open data model that enables an interface for data sharing with third-
party developers and agencies.
144 Secure and Smart Cyber-Physical Systems

7.4 Key Challenges

A smart city can be thought of as a vast information system made up of multiple informa-
tion subsystems that are primarily based on information and communication technolo-
gies. Recent advancements in cloud computing, the Internet of Things, the Semantic Web,
and Big data analytics ofer an infrastructure base and successful smart city development
solutions. Innovative ICT technology deployment can vastly boost the potential of smart
city services, which can beneft inhabitants. However, when all of these technologies are
combined in complex smart city architecture, some inherent challenges arise that must be
addressed, which are mentioned here.

ICT Infrastructure: Developing and deploying the necessary ICT infrastructure in all des-
ignated locations in a city remain a major obstacle. The lack of a fast and stable Internet
connection throughout the city is one of the biggest challenges. The infrastructures already
in place are not scalable, which is another challenge. Before a smart city initiative can be
implemented, a reliable, scalable, and high-quality infrastructure must be installed [40].
Security and Privacy: As we move towards a smart city, citizens carrying sophisticated
handheld devices must provide personal data to smart city services [43]. For example
to know trafc conditions, a person must share his or her current location with a trafc
management system. Meeting the necessary security requirements for processing a huge
amount of private and sensitive data is a fundamental challenge in any smart city archi-
tecture. Sensitive data is always vulnerable to attacks by hackers, viruses, worms, and
Trojans, and if compromised, it can lead to a total disruption of the system, resulting in
large losses. The system must be carefully protected at every step of the collection, stor-
age, and retrieval of private, confdential data, not only to make data available but also
to build stakeholder confdence in the use of the services.
Big Data Management: A huge amount of data will always be generated by all smart city
systems [3]. The data can be generated in both structured and unstructured formats.
In order to handle this huge amount of data, efcient data management is an essential
requirement. Continuously collecting, storing, and retrieving data generated by a huge
number of smart city sensors are indeed formidable challenges. For example, the sensor
data from all vehicles operating in a city at GPS can be used to predict trafc fow, but it
requires an efcient handling of the enormous amount of data [31,32,51].
Financial Cost: Since a smart city requires enormous IT infrastructure, the fnancial cost of
setting things up is enormous [26]. To run this system efciently, millions of sensors, net-
work devices, and computers will be needed. There will also be a high cost to employing
IT professionals and maintenance staf. Maintaining the fow of operations and regularly
updating the systems will be necessary, for which separate budgetary resources will need
to be allocated. Maintaining the required level of efciency and ensuring security/privacy
will incur additional overhead costs.
Interoperability: Smart city architecture provides a heterogeneous environment where diferent
categories of applications, devices, and platforms must communicate seamlessly. The network
devices and connectivity required for smart trafc management are diferent from the type of
networking used for short-range wireless communications. Integrating the existing applica-
tions and network infrastructures into smart city architecture is a major challenge [16].
Efciency, Availability, and Scalability: Smart city systems are mission-critical and require
a high availability rate. As a system grows in size and complexity, its availability becomes
critical. A smart city, which is currently a massive and complicated system, will ex-
pand by leaps and bounds as it is deployed. With vast volumes of data fowing in all
Service-Oriented Distributed Architecture 145

the time, assuring data availability, scalability, and efciency remains a vital concern.
A smart city provides benefts such as performance optimisation, interoperability, efec-
tive planning, and fast response to service demands. In times of crisis, for example, all
civilian agencies should be able to collaborate to respond to an emergency.

A smart city appears to be the appropriate solution to the majority of the difculties caused
by rapid urbanisation and population increase. However, research has identifed challenges
due to inequity, the digital divide, and residents’ diverse cultural habits. The proposed ar-
chitecture addresses the technological aspects of smart city deployment.

7.5 Proposed Architecture

Figure 7.6 shows the diferent layers in smart city architecture. From the centre to the pe-
riphery, these layers are the physical infrastructure layer (PI), the central data management
and knowledge processing layer (CDM&KP), the service layer, and the application layer.
The physical infrastructure in the form of communication and network devices is the core
layer of the proposed architecture. All other layers depend on it, and this layer physically
connects our architecture to the real world. This layer consists of high-speed wired and wire-
less communication devices, sensors, actuators, routers, gateways, and all other necessary
hardware devices. Initially, this layer receives all data collected in the PI layer. The data can
be in either a structured or unstructured format. This layer is then responsible for efectively
classifying, processing, and analysing the raw data, followed by storing the relevant data in
a central repository from which the data can be easily retrieved. Efective data management
is thus one of the main tasks performed here. Another important task of this layer is to re-
spond to service requests coming from a higher layer. Sometimes, it also forwards a service
request in the form of a command to the PI layer to possibly recalibrate or reorganise some
of the physical devices. This layer is sort of the core of the entire architecture and controls

Figure 7.6 Smart city systems.

146 Secure and Smart Cyber-Physical Systems

the fow of data and service requests that come in as needed. The service layer facilitates the
development of strategic links between diferent departments of public and private organi-
sations responsible for the operation of various services related to urban life. Typically, all
of these departments operate in isolation with little or no coordination between them. This
is problematic because it hinders efective response and service in diferent circumstances.
The departments responsible for a particular service essentially use all their resources (ICT
or otherwise) to gather information relevant to their work. This leads to many problems
and delays in processing service requests. It is very tedious for citizens to get a response to
a service request that involves diferent departments. Even in disaster management, where
rapid response is an absolute priority, a lack of coordination between diferent units can
severely hamper the efectiveness of the response.
The architecture focuses on data sharing to enable mutual coordination between diferent
sectors. It also ofers open data services to third parties who wish to use the information
required to provide a service. This approach even allows cross-platform applications to
use real-time collected data from diferent sectors for decision-making, which can lead to
shorter response times and efectively increase the overall efciency of city services. By con-
tinuously sharing information from diferent domains, service providers can gain insights
into existing problems or even predict impending problems to take countermeasures before
the problem escalates or occurs.
Similarly, the availability of real-time data across diferent domains enables efcient re-
source management, allowing efective coordination and sharing of information, and the
response to an event or service request is efective and almost instantaneous.

Figure 7.7 Holistic view of proposed architecture.

Service-Oriented Distributed Architecture 147

Figure 7.7 shows a holistic view of our proposed architecture. The architecture is designed
as a system of subsystems, with each subsystem fully integrated and connected to other sub-
systems through the CDMS&KP layer. The CDMS&KP enables data sharing between dif-
ferent services operating at the service level. A subsystem can share information and insights
through CDMS&KP while benefting from cross-domain knowledge and services accessible
through the architecture. CDMS&KP acts as an integration point for information fow in
diferent directions. In addition, CDMS&KP can also use the data and information fowing
through it to make decisions in real-time.

7.5.1 Preliminaries

The traditional city is divided into diferent zones of administration. Each zone admin-
istration is responsible for providing services in that area through a local ofce that
manages the records for that area. Therefore, the proposed architecture is also based
on such a scenario. Each subsystem is responsible for a specifc service and collects data
from the zone sites, where the data is managed in the cloud of the local data centre. For
electricity management, the system maintains a number of cloud data centres through-
out the city, each of which stores its local data. Similar facilities can be implemented
for water management, waste management, gas supply management, etc. Given the
complexity and challenges at the technical and social levels, a smart city can only be
developed in a phase-wise manner. By facilitating zone-level services, this architecture
enables the gradual and ever-expanding deployment of smart city services. Each zone is
considered an autonomous system consisting of a local data centre, network facilities,
and any other related infrastructure capable of collecting, storing, retrieving, and pro-
cessing data. Zonal systems can also interoperate via web services to provide cross-zone
services.

7.5.2 Data Management

Figure 7.8 depicts a city’s electricity management system. Zone A stores data collected by
sensors and other devices in a local relational database. Zone A data centres provide ser-
vices to zone A clients. Because of its established ACID property and query optimisation
capability, a relational database is selected. A fast and reliable network connects all zonal
data centres to the central data centre. Data from all zonal data centres is consolidated in
a centralised data management facility. The volume of data created across all zones will be
enormous. To deal with the enormity and complexity of the acquired data, sophisticated Big
data management solutions must be in place.

Service-Oriented Architecture: The smart city architecture described in this study is es-
sentially a large-scale distributed system that adheres to the decentralisation principle.
To enable interoperability, modularity, software reuse, and application integration, the
system must leverage open standards like XML, WSDL, SOAP, and UDDI across multi-
ple platforms, heterogeneous networks, and a range of service requirements. Water and
waste management services provided by another application can thus be used by the
disaster management application via smooth interoperability.
Open Data Model: Since any data centre will generate a huge amount of data, it is only pru-
dent to make that data available to anyone who is interested. Therefore, the architecture
follows an open data model that allows researchers, app developers, and private agencies
148 Secure and Smart Cyber-Physical Systems

Figure 7.8 Electricity management system for a city.

to access the central repository through a revenue-based system in a selective manner after
ensuring privacy and data security. This allows researchers and app developers not only to
gain new insights into city operations but also to develop new apps to better serve citizens.

7.6 Proposed Model and Challenges

In this section, we list all the challenges in a smart city identifed here and the corresponding
solutions ofered by the proposed model. The infrastructure of a smart city is characterised by
the heterogeneity of networks, applications, and platforms. It also requires the construction of
extensive infrastructure in the form of sensors, wireless and wired networks, communication
devices, etc. Since the architecture is based on zonal partitioning of infrastructure and public ser-
vices, the entire infrastructure does not need to be operational at all times. Newer and advanced
services can be easily integrated into this infrastructure. The open data model allows data to
be managed and shared among diferent categories of customers. This is especially benefcial
as the transition to new technologies and smarter cities will increase the amount of data to be
processed, managed, and analysed many times over, as this mission-critical system requires high
data availability and can tolerate shorter downtimes. The architecture is fexible enough to grow
horizontally to accommodate newer services while growing vertically to provide an improved
quality of service in each zone. In the proposed model, each public service operates its zonal
centre. Although they operate independently, they sometimes exchange information through
message passing. We propose the implementation of end-to-end encryption standards to ensure
the integrity and security of messages. Since the system operates on a zone-by-zone basis, an
attack on one of the units/data centres cannot possibly bring down the entire building. The
model also encourages obtaining necessary permissions from the clients before releasing data
to various web services. The model also facilitates the efcient distribution of resources in real
Service-Oriented Distributed Architecture 149

time by enabling instant collaboration between diferent departments. This approach improves
the processing and sharing of real-time data for planning the efcient distribution of resources.
Following is a discussion of how the proposed model addresses key challenges:

ICT Infrastructure: A zone-by-zone implementation means that not all infrastructure needs
to be brought online at the same time. The model supports a phased rollout of smart city
services. Nevertheless, the model still requires adequate infrastructure on the way to a
smart city.
Security and Privacy: The model provides data as part of various web services it ofers.
To ensure the security of the data, it uses the standard of end-to-end encryption at the
message level. The model also collects private and sensitive data from its users. It shares
private information only after obtaining the necessary consent from the user. Data is
shared only with authenticated agencies in accordance with the rules and regulations set
by the relevant authority.
Big Data Management: Zone-wise distribution of data helps with efective collection, stor-
age, and analysis. Each public service department stores data collected in a given area in
a zonal data centre. As a result, decisions and services that afect a particular zone do not
have to be routed through central data storage. If a service needs to be provided at the
city level, the zonal data centres can always share the information with the central data
repository, where it can be further processed to fnd a solution.
Cost: The initial cost of installing all the ICT infrastructure and setting up zonal data cen-
tres along with a centralised data repository may seem very expensive, but in the long
run, the efciency and ease of use built into a smart city architecture will tilt the balance
in its favour by increasing the speed and efciency of public services and reducing costs
for users.
Interoperability: The model provides a service-oriented architecture in which data and in-
formation are available through web services. This approach makes data available to
diferent clients. Web services seamlessly integrate diferent applications, regardless of
the underlying platform.
Efciency, availability, and scalability: The smart city architecture proposed here eliminates
the need for many manual operations in city administration. The division of the city into
self-sufcient operational zones results in the separation of daily activities. Automation
also provides greater efciency and shorter response times.

Because the system is divided into separate operational zones, the unavailability of services
in a particular zone for any reason does not afect the entire system. Since most data is also
replicated in a central repository, a failed data service can be quickly restored using the
central data centre.
The system supports the easy introduction and integration of new services. It also ena-
bles the replacement of old services with new ones. Even trusted third parties can use data
through web services to fnd solutions to the city’s problems. This horizontal growth cycle
is one of the unique features of the architecture. In addition, each zonal entity can improve
its services and expand its resources as needed, which also enables vertical growth.

7.7 Conclusion and Future Direction

This chapter presents a distributed service-oriented architecture for smart cities. The archi-
tecture mainly identifes and addresses the technical aspects of a smart city. The model uses
150 Secure and Smart Cyber-Physical Systems

a hierarchical approach to data management and knowledge processing, which facilitates

information fow and availability. The distributed nature of the system enables the decen-
tralisation of data and services, improving efciency, availability, and reliability at the zone
level. The service-oriented nature of the proposed architecture adapts well to the heteroge-
neity of a modern metropolitan environment. The open data model is important to encour-
age third-party developers and researchers to access the necessary information of the system
and develop innovative services that can improve city life. In the future, the challenges as-
sociated with cities in specifc geographic areas (e.g. a Hill Station) can be identifed, and the
capabilities of the current architecture to deal with such unique conditions can be explored.

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Chapter 8

A Comprehensive Security Risk

Analysis of Cliff Edge on Cyber-Physical
Systems
Koustav Kumar Mondal, Asmita Biswas, and Deepsubhra
Guha Roy

Chapter Contents
8.1 Introduction 153
8.2 Background of CPS 154
8.2.1 CPS Layers and Components 154
8.2.1.1 CPS Layers 155
8.2.1.2 CPS Components 156
8.2.2 CPS Model Types 158
8.3 Cyber-Physical System Attacks and Vulnerabilities 159
8.3.1 Cyber-Physical System Attacks 159
8.3.1.1 Physical Attacks 159
8.3.1.2 Cyberattacks 161
8.3.2 Cyber-Physical System Vulnerabilities 164
8.3.2.1 Cyber Vulnerabilities 165
8.3.2.2 Physical Vulnerabilities 166
8.4 Characteristics of Adversaries 166
8.5 Failure of CPS 167
8.6 Recommendation for CPS 168
8.7 Present Work and Future Research Direction 172
8.8 Conclusion 173
References 173

8.1 Introduction
To create the physical world function appropriately and more straightforwardly, the Cyber-
Physical System (CPS) attempts to track physical systems’ activity and enable actions to
alter their behavior. A cyber-physical arrangement (CPS) normally consists of a pair of fun-
damental parts, a physical mechanism, and cyber conformity. The motive state is usually
tracked or managed via a specifc cyber device, a networked arrangement of many small
devices with (often wireless) capability for sensing, computation, and communication. A
spontaneous occurrence (e.g., an inoperative volcano) and a human-made dynamic struc-
ture (e.g., an operational room), rather a more confused mixture of those two may be the
dynamic mechanism involved. As the physical and virtual systems’ link grows, the physical
systems become more and more vulnerable to computer system security vulnerabilities. For
instance, several hackers have hacked into the U.S. Federal Aviation Agency’s air trafc con-
trol expedition networks in many incidents in contemporary ages, according to an Inspector

DOI: 10.1201/9781003376712-8
154 Secure and Smart Cyber-Physical Systems

General’s research proposed to the FAA in 2009 (Mills, 2009). Any hacker can now even
hack specifc medical devices with wireless communications embedded in the human body.
A CIA report (O’Connell, 2008) shows that hackers have breached energy grids in many
neighborhoods just outside of the United States and triggered a power failure that involved
several towns in at least one instance. Within 2010, the antagonists exhibited a software
intermediary summoned CarShark (Koscher et al., 2010) that could remotely disable a car
engine, switch of individual brakes so that the car does not stop, and create tools by track-
ing messages among the electronic control units (ECUs) and injecting fake datagrams to
send out strikes and provide false readings. Hackers have formulated a virus 2023 that can
efectively target the Siemens plant-control arrangement.
The bulk of cybersecurity event datasets are confdential, usually combined with the addi-
tional caveat that they are either kept hidden or just exchanged within acutely technological
circles as bugs are identifed. Consequently, there is an incentive provided before and after
the vulnerable discovery stage for presumably silent zero-day penetration by ofenders who
may be highly competent. Therefore, it can be argued that the emphasis is not directly on the
existence and substance of an exploit but on how it is capable of weaving between computer
security systems to accomplish the ultimate purpose of exploitation. In reality, redemption
vulnerabilities are located in even deeper cyber-physical regularities, such as electrical energy
systems, conveyance infrastructure, and healthcare regularities. Researchers are beginning to
think about CPS stability. If we have more intelligent and highly knowledgeable cyber-physical
networks, these systems’ potential faws should be carefully considered. In reality, security is
a relatively recent environment for CPSs and more research needs to be done within this feld.
Similar to any other emerging area, the greatest initiative appears to concentrate on map-
ping clarifcations from subsisting contexts, previously mentioned as sensor networks that be-
stow networked activities and low-ability features among CPS (Roy et al., 2018a). Typically,
though, these resolutions have yet to be established to address CPSc. As an illustration, the
gas department’s cyber-physical machine would communicate with the one that controls the
wounded individual’s well-being to accomplish the rescue operation, imagining an example of
gas leakage in a bright house. These applications are, under normal circumstances, separate.
Nevertheless, all these applications need to collaborate and exchange resources to achieve the
same purpose if there is an incident. For interoperation between heterogeneous systems, con-
ventional safe communication solutions are not planned. Cyber-physical networks guarantee
that the device is always protected when communicating with another system is a fundamental
challenge. Some modern CPS security challenges need to be discussed as well.
In this chapter, we frst discuss the background of CPS, which consists of CPS layers and
components and CPS model type; second, the faws, attacking models, and forms of adver-
saries are identifed. After that, we also discuss some recommendations and failures in CPS.

8.2 Background of CPS

We introduce the CPS structure—its key panels, modules, including the main models of the
CPS in this section.

8.2.1 CPS Layers and Components

The CPS device design consists of various courses and modules that depend on diverse com-
munication etiquette and technology to interact across multiple courses.
Cliff Edge on Cyber-Physical Systems 155

8.2.1.1 CPS Layers

Each design of the CPS consists of three fundamental courses—a specifc course of vision,
the course of transmission, furthermore the course of operation, as manifested and defned
in Figure 8.1. A specifc study (Ashibani and Mahmoud, 2017) is a foundation for review-
ing the diferent CPS course protection problems.

• Perception Layer: It is often referred to since unless every layer of identifcation or the
course of sense. This involves cameras, actuators, aggregators, tags for Radio Frequency
Identifcation (RFID), Global Positioning System (GPS), and many other devices. To
track, monitor, and analyze the physical environment, these instruments capture real-
time data. Examples of such collected data include vibrational and visual signals, as
well as data related to electrical usage, heat, position, chemistry, and biology, depending
on the sensor type. Once collected, this data is then processed through treatment pan-
els, allowing sensors to analyze real-time data within large regional interface specialties.
Besides, actuator securing relies on ofcial authorizations to assure that all input plus
command groups remain error-free and safeguarded. In general, increasing the degree
of protection includes applying a framework of end-to-end encryption on each course.
Heavyweight reckonings and high-retention specifcations will then be set in place. There
is a need for reliable and lightweight protection protocols to be built in this context, tak-
ing into account the capacities of the equipment and safety specifcations.
• Transmission Layer: This is the second layer of CPS, which is additionally assigned
as the course of transport or the network layer. Layer as mentioned earlier, reciproca-
tions furthermore prepare knowledge among the levels of interpretation and imple-
mentation. Managing Local Area Networks’ (LANs’) further networking standards,
including Bluetooth, 4G, 5G, InfraRed (IR), ZigBee, Wi-Fi, LTE, diferent innova-
tions onward, data transfer, and interaction are accomplished across the Internet.
Notwithstanding the reason mentioned above, separate protocols, such as Internet
Protocol version 6 (IPv6)(Wu and Lu, 2010), imply profciency to manage the growth
during the particular number of machines connecting to the Internet. The course, as

Figure 8.1 Cyber-physical system layers.

156 Secure and Smart Cyber-Physical Systems

mentioned above, guarantees information routing and communication via fog foun-
dation services, networking modules, swapping and Internet gateways, frewalls, and
Intrusion Detection/Prevention Mechanisms (IDS/IPS) (Sommestad et al., 2010). To
bypass interruptions and vicious muggings, including ransomware, spiteful crypto-
gram injection, Denial of Service/Distributed Denial of Service (DoS/DDoS), eaves-
dropping, and furthermore, unlawful admittance initiatives, it is important to ensure
their delivery until outsourcing data content (Weiss, 2010). This poses a provocation,
principally concerning resource-constrained machines, owing to the overhead com-
manded in phases of the processor and energy sources demanded. Overhead includes
both computational demands on the processor and the energy resources required.
• Application Layer: This signifes a single layer that is threefold, moreover, and social.
This layer devises some transmission layer information and furthermore carries out the
physical device’s instructions, including those of the sensors and actuators. This is ac-
complished by the application of complicated decision-making algorithms concentrated
on aggregated information (Saqib et al., 2015). Besides, before evaluating the correctly
invoked automatic behavior, this layer receives and processes knowledge from the per-
ception layer (Khan et al., 2012). Algorithms for cloud storage, middleware, and infor-
mation tunneling are utilized to handle this layer’s data. Protecting and retaining privacy
involve protecting the leakage of sensitive knowledge. Anonymization, information
masking (camoufage) (Roy et al., 2019a), and isolation protection, including hidden
distribution, are among the most well-known protective methods. Besides, this layer of-
ten includes a substantial multifactor authentication classifcation to avoid unauthorized
admittance and privilege intensifcation. The scale of the data produced has become a
big concern because of the rise in Internet-connected devices (Kumar and Patel, 2014).
Thus, securing large data calls for appropriate encryption strategies to handle vast data
volumes in a timely and reliable manner.

8.2.1.2 CPS Components

For sensing erudition (Gries et al., 2017) concerning monitoring signals, CPS compo-
nents are used (Figure 8.2). CPS components are divided in this respect into a couple
of infuential classes: Sensing Components (SC), which handle and sense erudition, and
Controlling Components (CC), which track and regulate beacons.

• Sensing Components: The sensors remain essentially positioned in the perception layer
and furthermore serve the purpose concerning sensors to collect and transmit informa-
tion upon aggregators. This information is then assigned for further analysis to some
actuators to obtain a reliable strategic thinking. These main protective-service-detecting
components are listed below.
○ Sensors: To determine the quality of the data gathered, meaningful data is collected
and reported following a correlation method called “calibration.” Sensing knowledge
is important since the options can focus on the interpretation of this information.
○ Aggregators: The statistics obtained from sensors is mainly analyzed at the transmis-
sion layer (i.e., routers, sockets, and access points) until the subsequent decision is
issued (s). In reality, the aggregation of data is analyzed, and the results are gathered
for a given goal, where this information is collected and presented after a statistical
Cliff Edge on Cyber-Physical Systems 157

Figure 8.2 Infrastructure of cyber-physical system.

review. Online Analytical Processing (OLAP) is a main cluster formation method used
as an online knowledge production reporting method.
○ Actuators: To render the details available to the external world based on the judg-
ments taken by the aggregators, the implementation layer is located. Because actua-
tors are highly dependent on certain network devices, any operation executed by the
CPS is focused on a previous data aggregation sequence (Roy et al., 2019b). Following
the defnitions, actuators often process electrical signals as an input, generating physi-
cal behavior as an output.
• Controlling Components: To attain greater precision and security degrees from disruptive
attacks or collisions, primarily signal blasting, noise, and intrusion, they imply managing
beacons and operating an absolute position in beacon administration, tracking, and su-
perintendence. As a consequence, it has become indispensable to focus on Programmable
Logic Controllers (PLCs) and Distributed Control System (DCSs) onward including their
elements [i.e., Programmable Automation Controller (PAC) (Mazur et al., 2012), Opera-
tional Technology/Information Technology (OT/IT) (Morelli et al., 2019), Control Loop/
Server (Vogel and Zack, 2006), and Human Machine Interface (HMI)/Graphical User
Interface (GUI) (Ardanza et al., 2019)]. First, we mention the numerous forms of control
systems in use inside CPS structures.
• Programmable Logic Controllers (PLCs): Primarily conceived to substitute wired DPDT
and SPDT relays, they are called the research-automated computers that monitor the
158 Secure and Smart Cyber-Physical Systems

production processes, including the output of robotic systems and/or the handling of
fault diagnosis, thereby achieving greater fexibility and resilience.
• Distributed Control Systems (DCSs): Computer-controlled management systems are vir-
tual instrumentation systems that enable the deployment of decentralized controllers
within the system utilizing formal authority from a central operator. There is improve-
ment in DCSs’ reliability due to the item and management phase, while its implemen-
tation cost has decreased. DCS may be equivalent to Supervisory Control and Data
Acquisition (SCADA) schemes in certain situations.
• Remote Terminal Units (RTUs): These are electronic devices which are powered by a
microprocessor, such as that of the Master Terminal Unit (MTU) (Stoufer et al., 2011)
or “Remote Telemetry Uni.”(Roy et al., 2019c). They do not endorse any feedback loop
and control algorithm, unlike the PLC(s). Therefore, they are more suited for wireless
interactions in larger regional telemetry regions. The key role of the RTUs is to use a
supervisory messaging framework to communicate SCADA to the specifc object(s) that
govern(s) these artifacts via the transmission of sensor information by the system.

In fact, a tiny computer-controlled “artifcial brain” [Central Processing Unit (CPU)] is used
by both RTUs and PLCs to process diferent components from smart sensors and pumping
devices; thus, the usage of IEDs (Intelligent Electronic Devices) to relay streams of data or,
in the event of an attack, causes an alarm. Concerning the interaction between instruments
and levels, it must be said that sensing instruments are implemented predominantly at the
layers of interpretation and propagation. In contrast, the regulating modules are installed
at the level of operation.

8.2.2 CPS Model Types

It is possible to classify CPS models into three major types:

• Timed-Actor CPS: In comparison to nonfactors focused on efciency and timing, this

model helps with the efective aspects centered on action and correctness. A (Geilen
et al., 2011), a principle was implemented with a practical and traditional convergence
that limits some collection of activities and increases efciency by reducing sophistica-
tion. The primary emphasis is on the optimization focused on the concept of “earlier-
the-better” as it allows the opportunity to recognize probabilistic abstract concepts of
semi systems. As is experienced, such time-deterministic frameworks imply undersized
susceptibility over problems with phase bang, making it easier to extract analytical
bounds.
• Event-Based CPS: In these models, before another sensor decision is being made, an
occurrence necessity does sense moreover observed with the right CPS components.
However, based on the nondeterministic device delay induced by the numerous CPS
behaviors, namely sensing, actuating, communicating, and computation, the individual
part-timing constraints difer. Hu et al. (2016a) suggested that season limits may occur
controlled by utilizing an event-based method that uses CPS activities to ensure the de-
vice’s coordination, calculation, and control processes. This makes it possible for the CPS
to become more relevant and more efective for spatiotemporal knowledge.
• Lattice-Based Event Model: In Tan et al. (2010), together with local and global event at-
tributes, CPS events are portrayed as per the type of event. If these events are mixed, they
Cliff Edge on Cyber-Physical Systems 159

may be used to describe any event’s spatiotemporal property while additionally defning
all those elements that a particular conclusion has identifed.
• Hybrid-Based CPS Model: Hybrid CPS schemes remain complex structures consisting of
two diferent types of interactive processes—a persistent state (physical functional networks)
and a discrete state (discrete computer systems). The reaction of isolated transient events
defned by neural networks and the complex action represented by the equation(s) of dif-
ferential/diference depend on growth and evolution. Unlike diferent CPS variants, hybrid
CPS is integrated through an interface, rendering it susceptible to procrastination. Also, no
hierarchical simulation is supported by hybrid CPS frameworks, and they are not appropri-
ate for the modeling of linear models. The simulation problems of hybrid systems caused
by CPS have been addressed (Roy et al., 2016). In reality, Kumar et al. (2012) discussed
and solved CPS device network latency problems using real-time hybrid authentication. In
contrast, Tidwell et al. introduced a customizable actual hybrid structural test for it. Finally,
Jianhui (2011) proposed an event-driven control of CPS focused on hybrid automatons.

8.3 Cyber-Physical System Attacks and Vulnerabilities

Protection services also weren’t built into CPS networks by default, compared to other com-
munication networks, leaving room for criminals to manipulate numerous bugs and risks to
initiate security breaches. The aforementioned is additionally attributable to just individual
independent existence of CPS designs, as all use multiple technologies and protocols to
work in separate IoT domains and interact.

8.3.1 Cyber-Physical System Attacks

The numerous types of threats that threaten the various facets of CPS networks, particularly
cyber and physical ones, are presented in subsequent subsections.

8.3.1.1 Physical Attacks

In previous years, direct attacks have been more successful, in particular toward industrial-
ized CPSs. Most of these assaults have already been responded to. Nonetheless, this essay
presents a wider variety of forms of material intervention:

• Infected Items: Aforementioned group covers infected CDs, USBs, computers, also
drives, and before-mentioned while individual Stuxnet worm, which, when embedded
within a cyber-physical computer, piles up on clandestine malware comprising malicious
programs.
• Abuse of Privilege: If rogue or dissatisfed staf obtain access to the CPS domain’s server
rooms and implementation zones, they are committing abuse of privilege attack. This
can help them implant a rogue USB for exploitation or catch sensitive details by running
harmful security software or as a keystroke.
• Wire Cuts/Taps/Dialing: Since the contact lines of certain cyber-physical headquarters
(HQs), including telephony and Wi-Fi, are already physically observable, attackers may
break the cables or wiretap them to decrypt the individual transmitted data.
• False Identity: As perpetrators try to portray themselves as legitimate workers, this as-
sault happens with ample expertise to deceive others. To achieve easy access and greater
160 Secure and Smart Cyber-Physical Systems

contact with other staf, they mostly serve as cleaners. The Maroochy Water Leak in
Australia in 2000 (Slay and Miller, 2007) is an outstanding illustration of this.
• Stalkers: These would be typically legitimate workers who behave curiously (with sinis-
ter intent) by peering over the heads of CPS supervisors and designers to gain their trust
to coerce or ofer them positions in additional CPS organizations.
• Surveillance of CCTV Camera Images: This involves intercepting videos from closed-circuit
news cameras that are used to protect access and important aspects within CPS zones. For
carrying out a physical attack to be undetected, the aforementioned can conspire by collaps-
ing camera beacons, condensing transmission cables, removing the video, obtaining admit-
tance over some cloud handle and surveillance division, and so on.
• Key-Card Hijacking: This entails copying valid cards taken from workers or generating
authentic lookalike counterparts to achieve full/partial admittance and breach specifc
feld of the CPS.
• Physical Breach: this assault involves the procurement of unauthorized physical entry to
the infrastructure, specifcally by a physical breach, such as the 2011 Springfeld Pumping
Station case (Fillatre et al., 2017); a loophole, such as the 2013 Georgia Water Treatment
Plant case (Credeur, 2013); or a security breach exploited, such as the 2012 Canadian
Telvent Company case. This enables an intruder to disrupt and shut down CPS equip-
ment and network-connected production networks, resulting in a lack of accessibility and
efciency.
• Malicious Third-Party Information Provider: A particular primary aim of the aforemen-
tioned assault transpires to threaten the organization’s CPS by breaching specifc legal
software “Industrial Control Systems,” a before-mentioned essentially individual 2008
shutdown concerning a particular Georgia Nuclear Power Plant. This involved swapping
legal fles in their libraries with software intended to include remote access capability to
monitor or exploit a device.
• Misuse of Privilege: Acts usually accompanied by insiders, practically “whistle-blowers,”
to carry out or aid in the implementation of a (cyber)-attack from inside. These high
privileges ofer them the power to carry out these threats by disclosing useful information
regarding the faws and shortcomings in CPS programs. This exploitation of authority
will come in several shapes and sizes.
○ Physical Tampering: This includes obtaining unauthorized or spoofng-approved en-
try through confned felds to disrupt CPS arrangements and equipment, alter their
operating convention, insert malicious information, or appropriate sensitive reports.
○ Unauthorized Actions: These are focused on conducting suspicious functions, such
as opening/closing pumping stations, increasing/decreasing power voltage, opening
closed ports, interfering with an external agency, redirecting network trafc, or leak-
ing information.
• Social Engineering: It may demand several manipulative manners as before-mentioned
essentially invert architecture (impersonating the tech-savvy), baiting (selling disrup-
tive USBs or software), tailgating (following approved staf), or arranging quid pro quo
(impersonating technical support teams) and, furthermore, remains focused upon the
science of exploiting individuals (psychologically rather than emotionally) to disclose
sensitive erudition through infuencing their emotions.

Hackers have lately shifted their focus to CPS networks for espionage, infltration, warfare,
terrorism, and service stealing (Mahato et al., 2021), especially cyber-warfare (Ray, 2020),
Cliff Edge on Cyber-Physical Systems 161

cybercrimes (Choraś et al., 2016), and (cyber)-terrorism (Haimes, 2002) in, countries like Leb-
anon (Barakat, 2019). (cyber)-sabotage (Alenius and Warren, 2012) (for example, cyber intru-
sions toward Estonia in 2007 (Kaeo, 2007) moreover Georgia in 2008 (Donovan Jr, 2009)),
about (cyber)-espionage (Yeboah-Ofori et al., 2019). The lack of (cyber)-security exposed a
major problem among potentially catastrophic implications, especially in the United States.

8.3.1.2 Cyberattacks

There has been a spike in the specifc number of cyber intrusions against CPS and IoCPT
in recent years, with rather signifcant implications. CPS is particularly vulnerable to mali-
cious SQL injection attacks (Francillon and Castelluccia, 2008) and script attacks (Roemer
et al., 2012), simultaneously including false declaration intrusion ofenses (Alemzadeh et
al., 2016), zero-control info strikes (Hu et al., 2016b), and furthermore ultimately Control-
Flow Attestation (C-FLAT) interventions, as per existing research carried out by Abera et al.
(2016). As seen in Table 8.1, such assaults might lead to a complete blackout striking CPS
industrial equipment and systems.

• Eavesdropping: Eavesdropping happens when nonsecure CPS web transactions are

detected to access confdential details (passwords, usernames, instead of unspecifed
separate CPS knowledge). Eavesdropping may include any of the following methods:
receptive by monitoring the transmission of CPS network messages, and, furthermore,
dynamic by examining, searching, or tampering with some communication, pretending
to obtain a valid source.
• Cross-Site Scripting (XSS): Happens meanwhile third-party network tools are utilized to
insert malicious Coding Script inside a website’s database, causing malicious scripts to

Table 8.1 Real-Time CPS Attack

Country Target Attack Name Type Date Motives

The USA Ohio Nuke Plant Slammer Worm Malware-DoS January 25, Criminal
Network 2003
The USA Georgia Nuclear Installed Undefined March 7, 2008 Unclear
Power Plant Software Software
Shutdown Update
The USA Springfield Pumping Backdoor Unauthorized November 8, Criminal
Station Access 2011
Iran Iranian nuclear Stuxnet Worm November, Political
facilities 2007
Iran Power plant and Stuxnet-2 Worm December 25, Political
other industrie 2012
Saudi Saudi infrastructure Shamoon-1 Malware August 15–17, Religion-
Arabia in the energy 2012 Political
industry
Qatar Qatar’s RasGas Shamoon Malware August 30, Political
2012
Australia Maroochy Water Remote Access Unauthorized March, 2000 Criminal
Breach Access
Canada Telvent Company Security Breach Exploited September 10, Criminal
Vulnerability 2012
162 Secure and Smart Cyber-Physical Systems

run in the intended suferer mesh browser (typically a targeted CPS programmer, con-
structor, or worker). XSS will hijack a victim’s session and, in certain situations, register
keystrokes and obtain remote access to their computer.
• SQL Injection: SQLi is a weakness that enables hackers to read and/or change sensitive
data on CPS database-driven websites, as well as to conduct administrative tasks like
database shutdown, particularly while CPS policies remain nevertheless utilizing SQL
concerning information management.
• Password Cracking: This includes attempt to break the passwords of CPS users (primar-
ily designers and administrators) utilizing brute force, dictionary (Narayanan and Shma-
tikov, 2005) (mitigated through key shift), rainbow table (Papantonakis et al., 2013),
birthdays (mitigated via hashing), or online/ofine password presuming interventions to
obtain entry into individual identifcation database, or the incoming/outgoing transac-
tions. As a consequence, it’s necessary to stop more intensifcation.
• Phishing: This is accomplished in several ways, as before-mentioned in the forms of email
phishing, vishing, spear-phishing or whaling, targeted at any complete CPS customer[such
as programmers, experts, executives, Chief Executive Ofcers (CEOs), Chief Operating
Ofcers (COOs), furthermore Chief Financial Ofcers (CFOs)], by imitating company
peers or service providers.
• Replay: This involves impersonating ICSs, RTUs, and PLCs to intercept transmitted/re-
ceived packets between them to trigger impediments that can impact CPSs’ present-time
regulations plus availability. These intercepted packets might, in certain circumstances,
be changed, which would signifcantly disrupt regular processes.
• DoS/DDoS: DoS attacks exploit the infrastructure of the cyber-physical framework and
moreover are initiated by a great range concerning computers that are locally compro-
mised. DDoS attacks are normally carried out by Botnets, which use many infected com-
puters to initiate a DDoS assault simultaneously from multiple geological positions. DoS
interventions can gain various modes [i.e., blackhole (Al-Shurman et al., 2004), tear-
drop], whereas DDoS can reap signifcant subsequent patterns, both of which threaten
CPS structures [i.e., ping-of-death, smurf (Kumar, 2007), including Black Energy se-
quence (BE-1, BE-2, and BE-3 (Khan et al., 2016)].
○ TCP SYN Flood: This takes advantage of the TCP handshake mechanism by sub-
mitting requests to the server continuously without answering, forcing the server to
reserve a room in expectation of an answer (Roy et al., 2018b). This results in an
overload of the bufer, which creates the cyber-physical machine to fail.
• Malicious Third-Party: This involves malware that remotely attacks information-
gathering networks and breaches them, specifcally through utilizing botnets, Trojans,
or worms to penetrate erudition via a CPS-encrypted tunnel of a constitutional device
(i.e., PLC, ICS, or RTU) to a botnet Command-and-Control server through the use of a
trustworthy third party within the mask. As a consequence, CPSs (Antonioli et al., 2018)
and AMIs (Sgouras et al., 2017) are being attacked.
• Watering-Hole Attack: The intruder looks for some faws in cyber-physical protection.
Once a loophole has been found, a “watering leak” will be set up on the selected CPS
website, where ransomware will be distributed by abusing the intended CPS framework,
primarily via backdoors, rootkits, or zero-day exploits.
• Malware: Malware denotes ways to hack CPS machines to capture or drip data, dam-
age appliances, or circumvent admittance command arrangements. This malware may
Cliff Edge on Cyber-Physical Systems 163

necessitate several diferent types of assault, but the most popular ones that threaten CPS
are concisely described and conferred below.
○ Botnets: Aforementioned entails manipulating the faws of CPS machines to trans-
form them into bots or zombies, specifcally to carry out DDoS assaults that are barely
traceable [i.e., Ramnit (2015) (De Carli et al., 2017), Mirai (2016)(Kolias et al., 2017),
Smominru botnet (2017) (De Carli et al., 2017), Mootbot (2020) (Seering et al.,
2018), Wild-Pressure furthermore VictoryGate (2020)].
○ Trojan: Trojan implies a malicious mask that looks genuine but fools users into install-
ing that. The Trojan infects the computer when it is downloaded and provides indirect
admittance to withdraw data credentials including track user actions. Turla (2008),
MiniPanzer/MegaPanzer (2009) (Scott and Chen, 2013), Ghost RAT (2009)(Boina-
pally et al., 2017), Shylock (2011)(Murdoch and Leaver, 2015), Corefood (2011)(Hen-
draningrat et al., 2013), DarkCornet (2012) (Farinholt et al., 2017), MEMZ (2016),
Tiny-Banker (2016) (Gostev et al., 2016), Banking.BR Android, and Botnet (2020) are
examples of Remote Access Trojans that can transform a computer into a bot.
○ Virus: It may reproduce and propagate to other machines with the aid of humans or
nonhumans. Viruses infect CPS computers and steal knowledge by linking themselves
to other executable codes and programs.
○ Worms: These propagate by leveraging OS vulnerabilities to damage owner webs by
bringing payloads to withdraw, alter, or erase info or overwhelm web-servers [aside
from Stuxnet, Flame, and Duqu, e.g., Code Red/Code Red II (2001) (Cowie et al.,
2001), Nimda (2001) (Machie et al., 2001), Triton (2017) (Di Pinto et al., 2018)].
○ Rootkit: Rootkit means to enter or manipulate a device remotely and covertly to
achieve records, strip data by altering machine settings (i.e., Moonlight Maze (1999),
and introduce Blackhole exploit kit (2012).
○ Polymorphic Malware: the identifable entity shifts repeatedly and regularly to prevent
getting identifed and enhances indistinctness toward every pattern-matching identif-
cation method.
○ Spyware: Spyware is a harmful program remotely mounted on a computer for surveil-
lance purposes having an outwardly exceptional understanding of the consumer or
consent (e.g., surveillance, reconnaissance, or scanning). In reality, they [(ProjectSau-
ron (2011) (Adams et al., 2020), Dark Caracal (2012), Red October (2013) (Chavez
et al., 2015), Warrior Pride (2014)(Marquis-Boire et al., 2015), Fin-Fisher (2014),
furthermoreCOVID-19 spyware) may be used for potential cyberattacks.
○ Ransomware: Ransomware signifes a spiteful malware that utilizes CPS vulnerabili-
ties to retain and encrypt CPS data as a hostage, targeting oil refneries, power grids,
industrial plants, and medicinal stations, also encrypting complete data reinforce-
ments before a ransom is charged. Siskey (2016), SamSam (2016), Locky (2016), Jig-
saw (2016), Hitler-Ransomware (2016), WannaCry (2017), Petya (2017), Bad-Rabbit
(2017), Maze (2019), and Ekans (2020) ransomware are only a few cases.
• Side-Channel: This is focused on data gathered of individual CPS devices, as before-
mentionedfor measuring information and energy usage, including electromagnetic losses
that can be manipulated.

In fact, as early as the 1980s, Do et al. provided a far more thorough explanation of the
attack (Fillatre et al., 2017). On the other hand, this chapter attempts to characterize these
164 Secure and Smart Cyber-Physical Systems

attacks’ frequency as early as 2000, focusing on several reasons including, though not lim-
ited to, national, social, and criminal intentions.

8.3.2 Cyber-Physical System Vulnerabilities

A weakness is a software weakness that can be used for the intent of manufacturing re-
connaissance (reconnaissance preferentially into efective interventions). Each vulnerability
evaluation thus entails defning and assessing the available vulnerabilities of the CPS while
at the same time identifying efective improvement plus precautionary steps to minimize,
alleviate, and instead likewise remove the unspecifed vulnerability. There exist three major
categories of CPS vulnerabilities:

• Network Vulnerabilities: They involve shortcomings in preventive protection mecha-

nisms, as well as breaching transparent wired/wireless contact and links, such as man-
in-the-middle, eavesdropping, replay, snifng, spoofng, communication-stack (network/
transport/application layer) attacks (Zhu et al., 2011), backdoors (Nash, 2005), DoS/
DDoS, and packet manipulation attacks (Amin et al., 2013).
• Platform Vulnerabilities: They involve vulnerabilities in device, applications, setup, and
databases.
• Management Vulnerabilities: The absence of security protocols, processes, and practices
are examples of management vulnerabilities.

Vulnerabilities exist regardless of several causes. There are, however, three primary triggers
of vulnerability as explained here:

• Assumption and Isolation: In most CPS designs, they are focused on the trend of “defense
through anonymity.” Consequently, the emphasis here is on developing a dependable
and stable framework but still considering the deployment of required security facilities
without implying that networks are entirely disconnected from the outside world.
• Increasing Connectivity: As the network grows more connected, the attack surface be-
comes greater. Manufacturers have developed CPSs by introducing open networks and
open wireless applications, as CPS devices have become more linked in recent years. Up
until 2001, the bulk of ICS assaults were focused on internal attacks. This was before the
Internet, which changed the concept of threats from the outer world.
• Heterogeneity: CPS solutions contain heterogeneous modules from third parties com-
bined to construct CPS implementations. Consequently, CPS has developed into a multi-
vendor scheme, with separate protection weaknesses for each product.
• USB Usage: Aforementioned stands a big trigger concerning vulnerabilities in CPS, be-
fore-mentioned since the particular matter concerning this Stuxnet strike against Iranian
energy plants, as unique USB is within specifc malware. The malware spread through
many computers after it was plugged in due to manipulation and duplication.
• Poor Practice: This is mainly due to bad coding/weak abilities, which allow the code to
perform endless loops or becoming too simple to be changed by an intruder.
• Spying: CPS networks are often susceptible to spying/surveillance assaults, which are car-
ried out mostly by the use of spyware (malware) forms that obtain enigmatic admittance
and furthermore stay undetected for extended periods, among the particular primary
purposes of eavesdropping, stealing, and collecting sensitive data including knowledge.
• Homogeneity: Related forms of cyber-physical networks enduring specifc similar
faws that can impact any of the equipment in their proximity until activated, a prime
Cliff Edge on Cyber-Physical Systems 165

illustration being the Stuxnet worm assault upon Iranian nuclear energy plants (Iasiello,
2013).
• Suspicious Employees: Through undermining moreover changing specifc code writing,
or through allowing distant entrance to hackers via specifc availability regarding secured
ports or obstructing an infected USB device, suspicious employees may deliberately or
unintentionally damage or hurt CPS computers.

CPS weaknesses may also be of three kinds, namely electronic, human, furthermore mean-
while fused, all occur in any physical, cyber hazard.

8.3.2.1 Cyber Vulnerabilities

ICS implementations are vulnerable to security breaches considering that ICS depends mas-
sively upon public criterion etiquettes, including the Inter-Control Center Communications Pro-
tocol (ICCP) (Gungor et al., 2011) and also the Transmission Control Protocol/Internet
Protocol (TCP/IP). In reality, ICCP experiences some crucial vulnerability to bufer surplus-
age (Zhu et al., 2011) and lacks fundamental protection measures. In reality, the Remote
Procedure Call (RPC) protocol and ICSs are susceptible to diferent types of attack, including
Stuxnet (1 and 2) (Karnouskos, 2011) and Duqu malware (1.0, 1.5, and 2.0) (Bencs´ath et al.,
2012), Gauss malware (Bencs´ath et al., 2012), plus RED October malware (Chavez
et al., 2015), as well as Shamoon malware (1, 2, and 3) (Dehlawi and Abokhodair, 2013).
Interception, snifng, eavesdropping, wiretapping, wardialing also wardriving attacks (Fran-
cia III et al., 2012) and furthermore, meet-in-the-middle attacks are all feasible with
open/non-secure wired/wireless communications like Ethernet. Wireless short-range com-
munications are often sensitive, as insiders may intercept, evaluate, harm, erase, or even
exploit them. Besides, if not safe, employees’ linked tools to the ICS transpacifc interface
are susceptible to the botnet, indirect admittance Trojan, and furthermore rootkit interven-
tions. Their devices are managed remotely by an attacker. Eavesdropping, replay assaults,
and unintended connection attacks are all feasible for long-range wireless communications.
However, SQL injection endures greatest signifcant web-related weakness. By inserting a
malicious code that proceeds to operate indefnitely until executed without the user’s aware-
ness, attackers may enter any application database without authorization.
Since certain medicinal tools rely tediously upon radio transmissions, all are susceptible
to a range of radio interventions such as jamming, alteration, and furthermore, replay due
to a defciency concerning encryption. Furthermore, GPS moreover particular machine mi-
crophones are already being used as a monitoring mechanism, enabling the target’s position
to be calculated or in-car conversations to be overheard by eavesdropping.
In contrast, ICS relies upon the Modbus plus DNP3 protocols to track sensors and actuators
and command them. According to Humayed et al. (2017), the Modbus protocol lacks simple
protection mechanisms before-mentioned such as encryption, authentication, including author-
ization. The aforementioned becomes rendered it vulnerable to eavesdropping, wiretapping,
and port-scan, with the possibility of spoofng the controller by fake insertion of information.
The DNP3 protocol is often vulnerable to the same bugs and threats, with the Cyclic Redun-
dancy Review (CRC) integration essentially a probity measure being one of the key distinctions.
Besides, Windows Server is susceptible to remote code execution, with further assaults being
achieved in every running operating device by manipulating bufer overfow vulnerabilities (OS).
Furthermore, since smart grid power system architecture is built on the same protocols as
ICS, Modbus, and DNP3, it is subject to the same bugs as ICS, Modbus, and DNP3. Con-
sequently, the IEC 61850 etiquette was adopted in substation interfaces, which historically
166 Secure and Smart Cyber-Physical Systems

ignored protection features and were susceptible to eavesdropping therefore, culminating

in attacks of interference or attacks of fake knowledge injection (Wang and Lu, 2013).
Santamarta et al. reviewed specifc convenient smart meter documentation and inhabited a
“factory login” reckoning to execute simple arrangements. The aforementioned allows the
customer total leverage covering an intelligent meter, resulting in energy outages, incorrect
judgments, and smart meters targeting the same network. Furthermore, multiple computers
are susceptible to battery-draining attacks (Rushanan et al., 2014).
Gollakota et al.(2011) and Halperin et al. (2008) manipulated specifc Implantable
Cardioverter Defbrillator (ICD) by injection assaults. The inventors have additionally
demonstrated that intelligent cars are susceptible to multiple forms of assault. Another
weakness was found by Radclife with Continuous Glucose Monitoring (CGM) sensors
becoming defenseless to replay assaults. The CGM unit had been spoofed amidst inac-
curate preferences being injected. The aforementioned is attributed to a specifc point
that when smart cars were built, security concerns were not considered. In fact, the
protocol of the Controller Area Network (CAN) sufers from several vulnerabilities,
which could rise while aggression against intelligent cars is exploited. A DoS assault
would be more probable as a consequence of this. Because of the absence of security, a
Tire-Pressure Monitoring Device (TPMS) is often vulnerable to eavesdropping as well as
spoofng. Also, it is possible to explicitly manipulate Adaptive Cruise Control (ACC),
which regulates replacement regarding the CAN system. A well-equipped intruder is
capable of interrupting the activities of ACC sensors by introducing turbulence or spoof-
ing. Consequently, you can monitor the vehicle by slowing it down, speeding it up, or
even crashing it.

8.3.2.2 Physical Vulnerabilities

Tangible tampering may trigger data in cyber-physical segments to be corrupted. In real-

ity, it is physical attacks that had a cyber efect. Due to the inadequate physical protection
ofered for these components, ICS components’ physical visibility is regarded as a vulner-
ability. As a consequence, they’re susceptible to physical tampering, change, adjustment,
and even sabotage. CPS area systems (i.e., smart grids, power grids, supply chains, etc.) are
subject to signifcant related ICS faws when exposed without physical protection to a vast
range of physical elements, rendering them liable for physical damage. As a consequence,
Mo et al. emphasized identifcation and preventive solutions in their paper. Humayed et al.
suggested (2017) that medicinal tools are susceptible to dynamic entry, accompanied by
a signifcant risk regarding downloading malware inside them or constantly altering the
system’s settings, compromising the welfare of the user. Besides, dynamic admittance to any
medicinal system is often a risk since the serial number of the device may be retrieved by an
intruder to conduct targeted interventions.
Essentially mentioned earlier, CPS arrangements endure diferent faws, rendering them
vulnerable to varying standards of assault.

8.4 Characteristics of Adversaries

This section explains many key forms of future adversaries:

• Experienced hackers are advanced programmers having special expertise to recognize

complex bugs in current applications furthermore produce operating exploit codes.
Cliff Edge on Cyber-Physical Systems 167

• Dissatisfed insiders having spiteful intention do not necessarily have a great under-
standing of cyber intrusion expertise, and their information of the game operation
additionally empowers them to acquire unrestricted admittance to overthrow the con-
formity or to appropriate system data, which are known to be the key source of cyber-
crime and sabotage; workers, contractors, or business associates may be the types of
insiders.
• The ransom will be the prime motive for a criminal organization conducting an assault
on a cyber-physical infrastructure (O’Connell, 2008).
• Many terrorists want higher-impact objectives in a single nation, before-mentioned es-
sentially aero orderliness or energy network systems, and all could acquire the particular
capability to pull these vital cyber-physical installations down. Also, by employing highly
trained coders, hiring control device developers, and bribing insiders, they can presum-
ably attempt to accomplish the target (Wan et al., 2010).

The CPS defenders should follow the necessary policies or tactics to react to the threat
based on adversaries’ types. Furthermore, to develop hazard models, researchers may ob-
tain a deeper comprehension of foe features and the potential to predict an adversary.

8.5 Failure of CPS

It is necessary to illustrate the key failures experienced by CP systems, considering the
various risks, interventions, and vulnerabilities that a specifc CPS feld experiences. These
errors may be small (causing just minor damage) or severe (causing serious damage) (se-
vere damage). More knowledge is available in Avizienis et al. (2004), as they ofered a
properly established plus thorough description.

• Content Loss: This indicates that each content concerning specifc information transmit-
ted is unreliable, occurring in the failure of the functional structure. The lack of content
may imply both numerical or non numerical mode (i.e., alphabets, graphics, sounds, or
colors).
• Timing Failure: This indicates that specifc timing (transmission/receipt) of the process-
ing of information is postponed or disrupted (collected/transmitted too short-stemmed or
exceedingly belated). The aforementioned will change the specifc methods of decision-
making and could create difculties with data administration.
• Sensors Failure: This suggests that specifc sensors imply no long-drawn working cor-
rectly, presenting a signifcant challenge to decision-making owing to incorrect input or
forcing the CPS device to a standstill. In 2005, at the Taum Sauk Hydroelectric Power
Station, a related event occurred.
• Silent Failure: This happens in a distributed device where there is no communication sent
or received.
• Babbling Failure: This happens as the data is provided, allowing the device to crash and
work in a babbling fashion.
• Budget Failure: This happens where the signifcant expense of installing a cyber-physical
device reaches the resources allocated ere the system is checked. This is largely attributed
to a lack of preparation.
• Schedule failure: This happens when due to more upgrades, further tests, or insufciency
for customer requirements, the schedule provided for preparing, testing, and reviewing a
specifed CPS is not met.
168 Secure and Smart Cyber-Physical Systems

• Application Failure: This happens where the service interface propagates an error and
impacts its decision-making capacity or/and usual output quality. This failure will result
in a partial or total failure of the CPS device, which can be temporary or permanent.
• Consistent/Inconsistent Failures: A consistent failure arises when all CPS customers view
a specifed service identically. If all CPS customers interpret an erroneous service difer-
ently (i.e., Bohrbugs, Mandelbugs, Heisenbugs, and Byzantine defeats), this is referred to
as an incomplete failure.

8.6 Recommendation for CPS

Various monitoring mechanisms should be enforced and strengthened to increase defense
against various risks and assaults. This involves, among others:

• Prioritization and Classifcation: Prioritization and classifcation of sensitive CPS ele-

ments and properties before evaluating, handling, and reviewing threats to ensure
adequate expenditure on the right protection initiatives (basic, normal, or advanced)
concerning their costs versus the probability of an incident happening and its efects.
• Careful Financial Preparation and Management: To safeguard critical/non critical CPS
properties and materials, they must be carried out for feasible expenditure and required
costs/resources.
• Lightweight Dynamic Key-Based Cryptographic Algorithms: Certain methods may con-
tinue to be utilized to maintain a range of security resources, including message secrecy,
uprightness, and authentication, both of which transpire needed throughout protected
CPS interactions. The aforementioned can imply accomplished through utilizing the lat-
est contemporaries regarding cryptographic algorithms outlined inside the following sec-
tions (Roy et al., 2018c). The value of these strategies is that they will strike a reasonable
compromise between the degree of protection and efciency. Since a dynamic key is used
per post, the strength against attacks has been demonstrated (preferentially an assem-
blage of information, depending on utilization compulsions also specifcations). Besides,
to generate a collection of cryptographic primitives and to change cryptographic primi-
tives, the aforementioned changing key is utilized. As a consequence of the various cryp-
tographic primitives used, the unconventional ciphertext may be produced for specifc
identical plaintext. However, these algorithms’ reliability is illustrated because they only
need one round of iteration and employ basic operations while preventing difusion. The
latest contemporaries regarding certain cryptographic algorithms decrease signifcant la-
tency, energy, moreover aloft processing needed, allowing CPS tools to manage their key
functionalities better.
• Defning Privileges: Aforementioned can act known essentially individual various efec-
tive admittance management strategy that grants permits furthermore exemptions based
about specifc roles/tasks/attributes of the users meanwhile this appears toward locating
CPS and when fnishing the job or on leave of the employee, withdrawing certain access
rights. The usage of the least privilege strategy comes under this as well. The privilege
concept could then be focused on the Attribute-Based Access Control (ABAC) frame-
work, where access permissions are specifed by policies coupled with attributes. It’s
worth remembering that ABAC allows access control judgments dependent on attribute
values’ Boolean conditions. It ofers a high degree of granularity required to render the
access scheme for CPS control more reliable.
Cliff Edge on Cyber-Physical Systems 169

• Powerful Multi-factor Authentication Entity: Sadly, entity authentication systems focused

upon each individual authentication determinant imply being nonadequately immune
to authentication assaults, which imply exponentially enhancing severe efects. Each en-
tity authentication mechanism is the primary route of protection under each conformity,
and essentially any actual authentication assault will contribute to an attack on secrecy,
credibility, plus availability. The principle of multi-factor authentication has recently been
adopted by incorporating two or more further factors: 1) “you are” involving system
fngerprint, user fngerprint, guidance geometry, iris scan, retina scan, etc., and 2) “you
have” involving cryptographic keys to improve its robustness toward authentication in-
terventions before-mentioned essentially those mentioned in (Melki et al., 2019). In ad-
dition to the usage of geographical positions, this mechanism should be an important
prerequisite for CPS programs. These solutions beneft from reducing false negatives and
complicating authentication attacks by compromising several variables rather than only
one. This also restricts access to designated agencies and employees (devices/users) only.
• Solid Password and Complex Hashing Process: Passwords are called the authentication
element for “you know.” However, it is necessary to enforce multiple assaults, before-
mentioned in terms of rainbow and hash table advances. To avoid them from happen-
ing, passwords' obligation continue to be re-hashed including a unique dynamic Nonce
concerning a particular individual after a periodic interval. Furthermore, a stable cryp-
tographic hash function, before-mentioned being SHA-3 or SHA-2, should be used (var-
iant 512). Birthday attacks are avoided, furthermore, rainbow/hash table attacks are
minimized.
• Safe and Secured Audit: This can be achieved with the aid of an audit manager frame-
work that gathers and preserves logs in a distributed system. A potential approach that
can be implemented in this sense has recently been proposed (Noura et al., 2020). This
restricts any insider efort toward a cyber-physical structure and to track them back, and
it protects the digital records of internal and external threats.
• Enhanced Non-Cryptographic Solutions: Though these, expect mutated IDS/IPS or AI-
based IDS/IPS systems (using Machine Learning algorithms), coupled by sophisticated
frewalls (i.e., Device as well as Next-Generation Firewalls) and customizable honeypots,
to avoid any possible vulnerability-based protection breach. This can be accomplished
by the usage of lightweight IDS/IPS moreover anomalybased individuals in particular.
In particular, the anomaly detection algorithm can be chosen according to specifc CPS'
limitations, which may obtain analytical restricted devices instead of those that are based
upon computer algorithms, as before-mentioned essentially random forests, for strong
CPS tools. Approaching particular hand, signature-based techniques should be contin-
ued through a unique Gateway (GW), wherever total web transfer can be transpired and
evaluated.
• Safe and Checked Backups: Theses remain important to ensure specifc availability of
CPS data and prevent information elimination either modifcation through securing
robustness toward DoS/DDoS including Ransomware strikes, remarkably since before-
mentioned interventions may direct to complete blackouts while within the specifc fact
regarding the US. These can be achieved with the aid of lightweight data security strate-
gies like those mentioned in Noura et al. (2019).
• Forensic Eforts: It is necessary to recover the traces of any assault that happens. It is
therefore important to incorporate modern solutions to anti-forensic strategies to retain
some digital proof (Noura et al., 2020). This is achieved by retrieving records including
170 Secure and Smart Cyber-Physical Systems

tracking channels plus device actions, efectively restricting multiple reconnoitering en-
deavors. Nevertheless, those fresh advanced forensic instruments remain compatible with
the software/hardware of numerous CPSs, particularly resource-constrained machines,
and moreover, necessity likewise remains immune to anti-forensic trials.
• Enhanced Approach to Incidents: This requires the capacity to recognize, warn, and react
to a specifc event. To minimize threats, proposals for event response and investigation
can be enforced. This ofers defense against accidental technological and organizational
failures (power loss, blackout) through contingency arrangements, and against malicious
failures (cyber initiatives), by teams of CERT (Computer Emergency Response) and
CSIRT (Computer Security Incident Response), including IRCF (Incident Response and
Computer Forensics). Essentially to maintain an improved and productive cyber, physi-
cal, and device ecosystem with safe computing and communications, CPS experts plus
designers undertake additional training and practice.
• Real-Time Monitoring: Utilizing advanced forensics or non-forensic software and tech-
niques to operate real-time applications is vital to avoiding any cyber-physical device
malfunction, whether unintentional or not. This helps CPSs' actions to be continuously
tested and tracked and, thus, identify unspecifed cyber threat endeavors under their im-
mature platforms.
• Security Check: Staf monitoring necessity imply carried out ere including throughout
specifc work for each employee to remove moreover accommodate unspecifed potential
efort by a whistle-blower. Accordingly, it is strongly advisable to sign agreements such
as the Non-Disclosure Agreement (NDA), the Confdentiality Agreement (CA), the Con-
fdential Disclosure Agreement (CDA), the Proprietary Knowledge Agreement (PIA), or
the Privacy Agreement (SA). These security checks are particularly relevant in vulnerable
areas like nuclear power plants.
• Periodic Employee Training: This requires periodic ICS and PLC employee sensitivity
training about the best practices of data protection depending on their degree and experi-
ence and the potential to spot any unusual action or operation. Employees must also be
educated on a range of technology risks and poor behaviors, such as stopping download-
ing any app upgrades, avoiding social engineering and phishing attempts, and preserving
transparency in the event of misconduct.
• Daily Pen Monitoring and Vulnerability Assessment: This must be conducted on a rou-
tine basis to implement device auditing, identify intimidations, including resolving them
in real-time until all are detected furthermore misused via an intruder beneath zero-days
misuse statuses.
• Periodic Risk Evaluation: The potential and efect regarding a profered danger upon a
critical/noncritical cyber-physical framework based upon a qualitative/quantitative dan-
ger assessment and a Cost–Beneft Analysis (CBA) must both be enforced to study and
identify the danger based upon an adequate/non-adequate mode, including minimizing
this soon while practicable.
• Up-to-Date Devices: Cyber-physical policies necessarily remain up-to-date in the areas
of applications, frmware, including hardware by implementing checks and upgrades
daily. Furthermore, such structures must be safe at various stages of deployment (lay-
ered protection), including the signifcant potential to alleviate and furthermore react to
an intervention to minimize its efect including avoiding additional intensifcation and
furthermore harm. Also, to avoid any payload injection, USB ports obligation signify
corporally including inevitably disabled. The actions and behavior of PLC devices must
Cliff Edge on Cyber-Physical Systems 171

be continuously checked concerning unspecifed questionable behavior (Serhane et al.,

2018).
• AI Encryption Solutions: In IDS/IPS aberration identifcation mechanisms or in “you
are” or ”you do” object authentication schemes, artifcial intelligence is used. AI has
immediately been seen essentially as a game-changing approach toward a range of cyber-
physical strikes targeting CPS networks, computers, and, moreover, features of contact.
Given the experience and resources needed to train an AI device, the accuracy of iden-
tifcation and avoidance is superior to human intervention. CPSs can be rendered to be
more stable, resilient, and immune to cyber-physical attacks by recent developments in
machine learning, furthermore unexpectedly in DL.
• Defense In-Depth: Most current technologies have a defense against a particular feature
of attack or a necessity for security. Instead, a multipurpose security approach is needed
for each CPS operating layer (perception, transmission, and application). For example,
ISO 26262 and IEC 61508/Edition2, the two most accepted international requirements
for practical protection in the automobile industry, should be valued and implemented.
This guarantees a stable CPS deployment focused on technical protection, which requires
the Protection Integrity Standard (SIL) basics, which in twist depend proceeding each
Likelihood regarding Failure on Demand (PoFoD) moreover specifc Risk Mitigation
Factor (RMF) to maintain a far innumerable reliable moreover efective Danger and Risk
Analysis (RA), primarily in those Electronic Control Units (ECU).
• CPS Protection and Privacy Life Cycle: Ultimately, our chapter provides a combined
life cycle of Organizational and Practical Safety/Security (OPSS) to summarize this task,
ensuring a good and secure CPS task. This system is based on the ISO 26262 and IEC
61508/Edition2 etiquette and their guide to maintaining CPS functional safety and pro-
tection. The system is composed of six major stages:
○ Step 1: Designing a strategy to build a CPS framework in compliance with the appro-
priate budget and associated costs by implementing a well-defned timetable. It often
requires the help of various individuals (people in business, mechanics, managers, etc.)
including non human capital (vehicles, machines, etc.).
○ Step 2: Step 2 necessitates a detailed risk and threat review, which involves adequate
risk assessment and asset recognition, as well as the reciprocal interaction among a
particular couple, to maintain correct decision-making on specifc execution regarding
specifcally required protection countermeasures.
○ Step 3: Elaborates the necessary specifcations for practical protection, security, and
durability along with the main elements that are important to minimize danger and,
in the event of their occurrence, to reduce their chance and efects.
○ Step 4: In terms of the newly implemented practical protection, protection, and reli-
ability steps, the performance of CPS is assessed in an organizational manner in which
performance monitoring and review would be carried out to ensure proper/mutual
security output, protection enforcement, and reliability-performance contracts-ofs.
○ Step 5: The cyber-physical device is checked and validated until the performance is
measured to fnd any residual software/hardware error, protection gap, or performance
problem and implement the expected alterations that were being commissioned. If the
specifc trial is inefective, the specifc method restarts repeatedly to assess when the
concern necessitated position. If efective, before being ofcially deployed, the CPS
would head for further commissioning.
172 Secure and Smart Cyber-Physical Systems

○ Step 6: The implemented CPS device will undergo a trial phase after satisfactory tests
to ascertain its operating state, thus tracking its actions and efciency before being
completely operational.

8.7 Present Work and Future Research Direction

CPSs are gradually being embraced (installed) and applied in new sectors by various vehicle
businesses. This implies that future CPSs will confront a growth in functional and extra-
functional needs. Condition monitoring and growing CPS automation capabilities are ex-
amples of functional needs. Safety, cyber security, and ecological responsibility are examples
of extra-functional criteria. Many emerging CPS solutions are inherently inter-connected
in nature (the capacity to access or communicate information to various security domains
seamlessly). For example, autonomous autos that use robotics technology and telecom net-
works for smart devices both present signifcant prospects and problems. Technological ad-
vancements enable new sorts of coordination and interaction in CPS in the following areas:

• Physical, integrated, networked, and systems engineering are examples of technological

domains; consider cloud and edge computing.
• Intelligent transportation systems (vehicular and infrastructures integration) are exam-
ples of stand-alone systems.
• Full cycle stages, in general, make data accessible throughout the life span and allow
software updates. These are DevOps (Development–Operations integration) ideas re-
lated to continuous software development, integration, and deployment with input from
operational systems.

CPS is rapidly emerging because of increased levels of automation and intelligence, espe-
cially data analytics. These qualities Increased levels of automation, Intelligence, and data
analytics are determined through artifcial intelligence approaches such as machine learn-
ing. According to a report from the National Science and Technology Council in the United
States (Cowie et al., 2001), AI and data analytics potential are viewed as game changers.
Context awareness is critical for new sorts of AI-based CPSs, particularly the capacity to
identify which entities are now present in the relatively close and deduce their intentions.
The advancement of AI technology across a variety of application sectors is expected to
generate higher degrees of automation. Because of their potential to address social concerns
and create cash, future CPSs will be assigned more complex jobs in open environments. To
counteract conventional manufacturing uses, extremely sophisticated technologies are being
applied and disseminated across the society—for example, self-driving automobiles on pub-
lic highways with no human involvement and robot–human collaboration systems.
Smart CPS is in charge of dynamic changes in the environment (e.g., highly change-
able trafc situations that alter fast in response to changing human behaviors and CPS
infrastructures). It typically indicates that not all operational circumstances are known a
priori (at the time of system creation), as shown in the example by Branquinho (2018).
The broader implications include that open CPS faces a variety of current and new types
of uncertainty, including largely unknown surroundings, weaknesses in safety and assaults
(predict attack by establishing “attacker models”), and altering CPS itself (due to partial
failures). Uncertainty can apply to features of a CPS as well as to all stages of the life cycle.
Cliff Edge on Cyber-Physical Systems 173

It is obvious that the potential qualities of future CPSs would necessitate new methods of
thinking about system-level attributes and composability.

8.8 Conclusion
CPS technologies are essential parts of Enterprise v4.0, and by combining the real and cyber
environments, they are now explaining how people communicate with the either external sur-
roundings. The aim of introducing CPS programs, whether inside or outside of IoT (IoCPT),
is to increase the standard of goods and systems’ availability and functionality. On the other
hand, CPSs are plagued by a bunch of protection and data issues that jeopardize their depend-
ability, protection, and performance, as well as obstructing their widespread adoption.
This chapter looks at the past of the CPSs and the security risks and vulnerabilities in
cyber-physical structures and the guidelines for current CPS security models. We hope that
these problems and concerns can provide ample impetus for potential discussions and study
interests in CPS protection aspects.
In this chapter, we discussed the protection threats including concerns in a cyber-physical
system. We divided this book chapter into three parts; in the first part, we discussed the
background of the CPSs. After that, we recognized the reasonable vulnerabilities, attack
arguments, opponent features, and an assemblage of provocations that necessitate being
inscribed. We furthermore discussed some recommendations and failures in CPSs.

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Chapter 9

Securing Financial Services with

Federated Learning and Blockchain
Pushpita Chatterjee, Debashis Das, and Danda B. Rawat

Chapter Contents
9.1 Introduction 178
9.1.1 Motivation 180
9.2 Financial Services Use Cases 181
9.3 Vulnerabilities, Threats, and Risks in Financial Services 185
9.3.1 Vulnerabilities 185
9.3.2 Threats 188
9.3.3 Risks 190
9.4 Blockchain for Financial Services and Banking Industries 191
9.4.1 Addressable Challenges in Financial Services 192
9.4.2 Blockchain in Financial Services 195
9.4.3 Benefts of Blockchain in Finance 196
9.5 Blockchain-Enabled Federated Learning for Financial Services 197
9.5.1 Federated Learning 197
9.5.2 Blockchain-Enabled FL for Financial Services 197
9.6 Future Scopes 201
9.7 Conclusion 203
Bibliography 203

9.1 Introduction
Financial services are crucial for economic growth as they facilitate economic activities by
providing individuals, businesses, and governments with the necessary tools and resources
to manage money. These services mobilize savings and investments, enabling the fow of
funds between borrowers and lenders and supporting businesses to invest, expand, and
create jobs. Financial services promote fnancial inclusion by providing access to credit and
banking services, empowering individuals to manage their fnances efectively. In the digital
world, fnancial services play a vital role in driving economic development and ensuring the
efcient allocation of resources.
Financial institutions handle sensitive customer information, such as bank account de-
tails, social security numbers, and transaction histories. Ensuring the security of this infor-
mation is crucial to protect customers from identity theft, fraud, and unauthorized access to
their funds [71]. Robust security measures, including encryption, frewalls, and access con-
trols, are essential to safeguard customer data. The fnancial industry is a prime target for
fraudsters and cybercriminals due to the potential fnancial gains involved. Cybercriminals

DOI: 10.1201/9781003376712-9
Federated Learning and Blockchain 179

have the ability to target a wide range of businesses, and their selection process depends on
the potential fnancial gain or the magnitude of impact that a particular target may ofer
[63]. Hackers may attempt to breach systems, steal sensitive information, or launch cyber-
attacks to disrupt services or gain unauthorized access to accounts.
Security is crucial for fnancial services to protect customer information, prevent fraud
and cyberattacks, maintain trust and reputation, and comply with regulatory requirements.
Robust security measures are necessary to ensure the integrity, confdentiality, and avail-
ability of fnancial systems and data. Security breaches in the fnancial services sector can
have severe consequences for both the institution and its customers. A security breach can
damage the reputation of a fnancial institution, erode customer trust, and lead to fnancial
losses [13]. Implementing strong security measures, such as multi factor authentication, in-
trusion detection systems, and regular security audits, can prevent such threats and protect
fnancial systems.
Blockchain technology [27], known for its decentralized and immutable nature, can pro-
vide secure and transparent transactions in fnancial services [78]. It enables the creation
of tamper-proof, distributed ledgers that record and validate transactions, eliminating the
need for intermediaries and reducing the risk of fraud. Figure 9.1 shows that the use of
Blockchain in fnancial sectors is greater than in other sectors [60]. By the end of the year
2028, it is anticipated that the value of the fnancial Blockchain industry will have increased
to 36.04 billion dollars [20]. Blockchain can facilitate faster and more efcient cross-border
payments, streamline trade fnance processes, and improve the transparency and traceability

Figure 9.1 Usage of Blockchain in financial sectors rather than other sectors [60].
180 Secure and Smart Cyber-Physical Systems

of supply chain fnancing. Federated learning, on the other hand, is a privacy-preserving ap-
proach to machine learning that allows multiple entities to collaboratively train a shared
model without sharing their raw data. In the context of fnancial services, federated learning
can enable banks and fnancial institutions to collectively improve their risk models, fraud
detection algorithms, and customer analytics without compromising the privacy of sensitive
customer data [14].
The combination of Blockchain and federated learning can further enhance fnancial ser-
vices by providing secure and privacy-preserving data sharing and collaboration. For example,
Blockchain can be used to create a decentralized marketplace where fnancial institutions can
securely exchange data or model updates for collaborative analysis. Federated learning can en-
sure that the actual data remains local to the participating institutions while sharing aggregated
model updates for mutual beneft. Combining these has the potential to improve federated
learning’s transparency, trustworthiness, and, most importantly, decentralization [7].

9.1.1 Motivation

The fnancial sector has benefted from several technological improvements and integra-
tions. It still works in a centralized way, with fnancial institutions and governments at the
center of the model. It has caused a lot of changes in how companies are set up and how
they do business, which have given the fnancial technology sector a huge chance. Because
of this, both new businesses and companies that have been around for a while and focus on
making fnancial applications are interested in fnding out if Blockchain is necessary for f-
nancial services or not. According to Figure 9.2, the use of Blockchain in fnancial services
is greater than in other sectors. A common factor that contributes to the complexity of

Figure 9.2 Expected Blockchain usage in ten years [21].

Federated Learning and Blockchain 181

risk is the fact that it is impossible to completely remove or guard against all risks, regard-
less of how sophisticated your systems are. This is where the process of risk management
comes in. Risk management is a regular, ongoing process in which the right professionals
look at risks from time to time to reduce the chances that certain threats will come true.
Companies that provide fnancial services in today’s market not only have a hard time lur-
ing in new clients, but they also have a hard time doing the same with prospective work-
ers. It may be hard to fnd the right people to fll new positions in information technology
(IT) because of several factors, the most important of which is that millennials don’t like
long-term jobs. The provision of essential fnancial services is essential to the operation of
any economy. Without them, those who have money to save may have difculty locating
others who need to borrow money, and vice versa. Without fnancial services, people might
not buy as many goods or services because they would be so worried about saving money
to protect themselves from possible losses.

Contribution of the Work: This chapter gives an overview of how Blockchain and feder-
ated learning are used in the fnancial services industry. The goal of this research is to
look at the benefts of Blockchain and FL to get useful information that can be used to
improve external statistics and make policy decisions in the fnancial sector. This chapter
talks about and analyzes how fnancial activities face weaknesses and problems. Besides,
it is discussed how fnancial services can be used and organized using decentralized tech-
nology. However, the main contribution of this chapter is presented as follows:

• We give an overview of fnancial services by talking about how important they are and
showing how they can be used in diferent situations.
• We provide recent fnancial services vulnerabilities and related threats that have oc-
curred. Possible risks in fnancial services are also discussed in this chapter.
• We demonstrate a few problems that exist in fnancial services and how Blockchain can be
used to solve them. The benefts of Blockchain in this sector are also discussed in detail.
• We present several Blockchains and federated learning applications in diferent felds.
Parallelly, we give some ideas for how Blockchain and FL can be used in fnancial ser-
vices and explain what these technologies signify.

The remainder of this chapter is organized as follows. Figure 9.3 shows the overall road-
map of this chapter. Section 9.2 gives the existing use cases of fnancial services. In Sec-
tion 9.3, existing vulnerabilities, threats, and risks in fnancial services are provided in
detail. Section 9.4 depicts the usage of Blockchain in fnancial services. Applications of
Blockchain and federated learning in fnancial services are stated in Section 9.5. Section
9.6 introduces some future research aspects in fnancial services. Finally, the chapter is
concluded in Section 9.7.

9.2 Financial Services Use Cases

The Banking, Financial Services, and Insurance (BFSI) [66] sector is the most vulnerable
to uncertainty because it depends on global trends, changing laws, and customer demo-
graphics. It is a metric that has a great deal of signifcance for any sector, particularly
the BFSI sector. Customers often give their banks and insurance companies their most
private information, like information about their health or fnances. It could have con-
sequences for both the bank and the insurance company. Data and analytics are being
182 Secure and Smart Cyber-Physical Systems

Figure 9.3 Roadmap of the survey.

used by the most important institutions in this feld to change the rules of the game. They
are gathering additional information from sources such as telecom providers, merchants,
and social media to improve the knowledge that they already have about their custom-
ers. Because they have such a comprehensive perspective on their consumers, they are in
Federated Learning and Blockchain 183

a position to increase revenue, reduce risk, cut opportunity costs, and improve opera-
tional efciency.

Sales and Revenue Analysis: Examining the operating procedures assists fnancial institu-
tions in lowering their continuing expenses. If you know the sales trends for a certain
consumer, you may be able to make things easier to repeat. Sales is a key activity, and
having Business Intelligence (BI) tools may aid in defning benchmarks like the number
of net new customers and the lucrative sector among current customers. These are just
two examples of how having these tools can be benefcial.
Sales Performance Analysis: The report is all-encompassing and includes data on employee
productivity. Any employee who works with customers, like salespeople, account man-
agers, and tellers, can beneft from the information it can give because it can help them
fnd ways to improve and, in the end, give better service to their customers. This evalua-
tion could be used to check the viability of new fnancial products or services and make
strategic changes that are in line with the institution’s long-term goals.
Branch/Online Sales Analysis: It may assist fnancial institutions in formulating the most
efective channel strategy. Multiple channels are now available for customers to use
when communicating with their banks. Their trips through these channels are very com-
plicated. They often start in one channel, go through diferent stages of the process in
another channel, and then end up in a diferent channel. By collecting real-time data and
using analytics to learn more about the buyer’s journey, fnancial institutions may be able
to use this to give customers a truly seamless multichannel experience. In addition to this,
it assists them in maintaining an awareness of their rivals.
Lending, Payment, and Transaction Analysis: Banks can use their customers’ transac-
tion history to recommend products and services that are relevant to those customers.
It leads to improved conversion rates as well as increased levels of client satisfaction.
The following information about customers may be analyzed more efectively with
the use of banking analytics: Existing clients of a bank can ask to look at their trans-
action history, which could include information about deposits, withdrawals, or pay-
ments. Bankers can help their customers take advantage of good deals on their credit
or debit cards or other new fnancial products by getting to know how they spend
their money and encouraging them to do so. Using this information to send timely
spending alerts and payment reminders can improve the customer experience. It can
be done to improve the customer experience. By looking at their clients’ transaction
histories and looking for patterns, banks can fnd transactions that might be fraudu-
lent and take steps to stop them. Analytics for banking include data-driven methods
like digital credit evaluation, improved early-warning systems, next-generation stress
testing, and analytics for collecting debt. These techniques are used to protect clients
against fraud at fnancial institutions.
Credit Risk and Exposure Analysis: An analysis of a client’s credit risk and exposure might
shed light on whether or not a customer has a history of defaulting on their payments in
the past. These consumers’ credit profles highlight their assets and customer behavioral
data, such as past-due bills, loans or borrowings, and earnings, that may be used to cal-
culate each customer’s credit score.
Market and Portfolio Analysis: It is highly important to do market and portfolio research
to recruit new clients and keep the ones you already have. An analytics system could look
at a client’s current portfolio to suggest new investment options to the client and help the
client’s portfolio managers keep a steady return. Again, doing a market study is of the
184 Secure and Smart Cyber-Physical Systems

utmost importance when it comes to building a portfolio that will be successful regard-
less of the state of the economy.
Liquidity Risk Management: Every single banking procedure has the potential to be-
come more efcient and streamlined. Using advanced analytics, fnancial institutions
may be able to do things like answer questions from regulators faster and more ac-
curately and give teams more information. It helps with decision-making that is aug-
mented by analytics. The compliance and regulatory standards that banks must meet
are quite severe. This has a big efect on how poor the impairment risk they face is.
Know-your-customer (KYC) analysis is vital, not only to achieve compliance with the
legal requirements but also as a method of mitigating risk. Anti-money laundering
(AML) analysts can more efectively detect and monitor problematic account holders
with the use of these BI technologies.
Analyzing and Planning Finances: Finance is the core of every company, just as it is with
every other kind of organization. In the case of banks, this issue is even more important
because bank employees are responsible not only for running the day-to-day business
of the bank but also for meeting the diferent fnancial needs of customers. An analyti-
cal system may fnd the following use cases when it comes to a bank’s fnances: Banks
need to have their cash on hand to handle payments well and follow all of the rules set
by regulators. By looking at how much they spent in the past, they can make a budget
that works for them. They also take into account certain factors that could make their
fnancial needs go up or down. This could lead to fnding a clear set of important success
criteria that turn short-term savings into long-term, sustainable improvements and the
best way to manage costs. Business intelligence (BI) tools could make fnancial planning
and analysis (FP&A) easier and make it easier to report to key stakeholders in a useful
way. By making the necessary reports automatically and regularly, these systems could
cut the amount of work needed for fnancial reporting by a large amount. In addition to
this, they help speed up the transmission of information and ensure that decision-makers
are kept up-to-date on the state of the bank’s fnances.
Management, Marketing, and Production: There are instances when a new strategy for
approaching an established consumer is necessary. Banks need to give their current cus-
tomers suggestions for new and better products, and this information should be given to
these customers at the right time. When you look at the company’s current customers,
you can see which marketing methods have worked best in the past. You can then use
these methods to bring in new customers. Business intelligence systems can be used with
transactional and trade analytics to make more complete and richer profles of custom-
ers. This, in turn, can increase the acquisition and retention of consumers as well as
cross- and upselling opportunities.
Customer Portfolio and Segmentation: It is another signifcant use of analytics systems
in fnancial services. It is necessary to correctly segment clients to successfully market
to them. Consumers who are searching for a house loan or a vehicle loan are an ex-
ample of one kind of customer segmentation used by fnancial services organizations.
Another example would be customers who are specifcally interested in a checking
account or a money market account. Conversion can happen when the customer rela-
tionship manager makes an ofer or calls the customer about something important to
them. In the same way, a new ofer may be aimed at a smaller group of people based
on their credit scores.
Federated Learning and Blockchain 185

Churn Prediction and Value Modeling: Predicting a client’s likelihood to churn and es-
timating their lifetime worth as a client are two areas that have gained major signif-
cance for fnancial institutions like banks and insurance companies in recent years.
It takes a massive expenditure to compete with the thousands of businesses that are
fghting for consumers’ attention and physical space. It is of the utmost importance to
make sure that you are not leaving any value on the table after you have successfully
onboarded the consumer. The process of mapping the customer journey to observe
their behavior helps in understanding any requirements that the customer may have
and also assists in up-selling.
Analysis of a Marketing Campaign: An analysis of a marketing campaign gives a summary
of the diferent channels that work for a bank and fnds the best way to spend money
on all of them. The leading banks use the information from the transaction data of
credit cards (from both their terminals and those of other banks) to develop ofers that
provide customers with an incentive to make regular purchases from one of the bank’s
merchants. These ofers can be found on the websites of the leading banks.

9.3 Vulnerabilities, Threats, and Risks in Financial Services

Financial service businesses produce more data after becoming digital. Every time you make
a fnancial transaction or contact someone, data is created and shared using multiple appli-
cations. Cybercriminals can use this information to their advantage. They may sell, utilize,
or threaten to dump it. In 2022, fnancial institutions were most at risk from ransomware,
phishing, online application, vulnerability exploitation attacks, denial of service (DoS) at-
tacks, insider threats, nation-state and state-sponsored threat actors, and Advanced Persis-
tent Threat (APT) groups [31]. Figure 9.4 shows vulnerabilities, threats, and risks in fnancial
services. Trends make fnancial services organizations more vulnerable to cyberattacks. Thus,
frms must understand their current dangers and build efective defenses against them.

9.3.1 Vulnerabilities

Organizations in the fnancial industry confront security risks from both internal and ex-
ternal sources regularly because they are high-value targets for hackers [28]. Threat actors
use banking websites or virtual private networks (VPNs) to get into online banking systems
to steal account information, cause trouble, or test how far they can get into a network. In-
ternal threats often come from unhappy employees, weak third-party vendors, and human
mistakes caused by phishing emails or other forms of social engineering. Weaknesses in ex-
ternal and internal security let sensitive fnancial information, client data, account balances
and transactions get out. It hurts customer confdence and causes business problems [31].
Today’s fnancial services frms need sophisticated cybersecurity solutions that can manage
the growing demands of keeping customer and fnancial data safe, limiting attack risk, and
complying with regulatory regulations.

Actively Evaluating Cybersecurity: Unknown weaknesses in cybersecurity and compli-

ance cannot be addressed by fnancial organizations. In addition, failure to address these
vulnerabilities may have signifcant repercussions. If left neglected until an event hap-
pens, institutions are compelled to use a reactive response, which may result in business
186 Secure and Smart Cyber-Physical Systems

Figure 9.4 Vulnerabilities, threats, and risks in financial services.

interruptions and eroded client trust. Instead, fnancial service companies should take a
proactive approach. Financial service organizations may conduct an initial evaluation of
current vulnerabilities to discuss with a managed service provider (MSP).
Ransomware Attacks: There is an exponential increase in the number of potential targets
for ransomware assaults as the globe continues to become more digitally linked. The
term “ransomware” refers to an attack in which the perpetrators employ malware to get
Federated Learning and Blockchain 187

access to your business’s systems or data and then keep that data hostage until the frm
pays a ransom. The aftermath of these assaults has been utterly catastrophic. In addition
to the cost of the ransom, there may be additional expenditures related to damage man-
agement, such as legal fees and other expenses. There is also the possibility of losing data.
Access Vulnerability: Sensitive data can be left exposed and subject to attack if there are
faws in the diferent levels of information access. Integration of cybersecurity measures
is essential throughout all departments of a business and at each level of access. Crimi-
nals online will attempt to take advantage of whatever vulnerabilities they may fnd,
regardless of the organizational hierarchy of the company they are targeting.
Managing Compliance: The advancement of information technology has made the fnan-
cial services industry’s job more difcult in terms of complying with regulations. The
fnancial services industry in the United States is one of the most heavily regulated corpo-
rate sectors in the world. On the other hand, merely complying with the rules may not be
enough anymore. Instead, aggressively managing compliance risk and increasing compli-
ance overall are essential for gaining the trust of customers and avoiding expensive fnes.
Operational Stability: A backup and disaster recovery solution that is proactive and dy-
namic is necessary for avoiding disruptions to corporate operations and the loss of
crucial data, either of which might result in a compliance violation. It is common for
of-the-shelf onsite backup systems to be unable to provide the degree of performance
necessary to satisfy the requirements of fnance and investment businesses. It is essential
to come up with a solution in advance of an outage to guarantee a speedy recovery and
reduce the amount of time customers are without service.
Insider Weaknesses: Insider vulnerabilities are a source of concern in the banking and f-
nancial industries when it comes to cybersecurity. It occurs when people who work in-
side a bank or other fnancial institution do something that puts the company at risk
of being attacked. The 2019 IBM X-Force Intelligence Index [72] found that phishing
emails were used in almost two-thirds (29%) of the attacks that were looked at. Whal-
ing attacks, often called “corporate email compromise scams,” were to blame for 45%
of these problems. In these incidents, hackers try to break into the email accounts of
important organization members, like the CEO, to get the company to reveal private
information. Another common thing that might happen is that systems and servers are
set up incorrectly.
Technological Bottlenecks: Websites and apps about banking and money make the archi-
tecture of the network as a whole more vulnerable. Researchers discovered that they
were more likely to be hacked into banking and fnance systems. Cross-site scripting
(XSS) attacks [72], which allow attackers to run malicious code on a website or app,
could happen to 80% of the people who were tested. Then, the bad script could change
the site’s content by getting to the user’s cookies and other sensitive information. Users
are more likely to mistrust websites and programs that have vulnerabilities like these. So,
if the businesses want to stay competitive, they should look into what steps they can take
to protect their websites and apps.
Responsibility Gap: Even though the global fnancial system is becoming more dependent
on digital infrastructure, it is not clear who is responsible for protecting it from cyberat-
tacks. It is due, in part, to the rapid pace at which the environment is changing. If people
don’t work together, the global fnancial system will continue to get worse as more inno-
vation, more competition, and the pandemics speed up the pace of the digital revolution
and make it more dangerous. Although many threat actors are motivated by a desire to
188 Secure and Smart Cyber-Physical Systems

make money, the number of attacks that are solely disruptive and destructive has been
increasing; additionally, those who learn how to steal learn about the fnancial system’s
networks and operations, allowing them to release more obstructive or dangerous future
attacks [61]. Even though the system is generally well-developed and well-regulated, this
sudden change, like the risks it poses, puts a strain on its ability to respond.

9.3.2 Threats

The worst catastrophes have harmed fnancial information, particularly accounts, calcula-
tions, and transactions. Such assaults, which may undermine trust, now have some tech-
nological solutions. VMware reported 238% more fnancial institution cyberattacks in the
frst half of 2020 [49]. IBM and the Ponemon Institute estimate a fnancial data breach
would cost $5.72 million in 2021 [49]. It’s global. The increased frequency of assaults on
targets of opportunity in low- and lower-middle-income countries is less reported than cy-
berattacks in high-income countries. Financial inclusion has been the biggest driver of digi-
tal banking services like mobile payment systems. Digital banking services expand fnancial
inclusiveness but provide hackers with more targets.

Phishing: Phishing is social engineering that deceives individuals into sharing their login
credentials to enter a private network. Email phishing, when victims get ofcial-looking
emails, is the most common. Visiting a phishing email’s dangerous links or attachments
might install malware or launch a bogus website that steals login credentials. In the frst
half of 2021, bank phishing attacks rose by 22%. Financial app assaults increased by
38% at the same time. Akamai’s 2019 State of the Internet report found that over 50%
of phishing attempts targeted fnancial services [49]. Phishing tactics are evolving to ex-
ploit modern worries. These troubling trends rank phishing among the banking sector’s
top cybersecurity dangers.
Ransomware: Ransomware also threatens fnancial institutions. Ransomware encrypts
computers, locking victims out [49]. Only a ransom can fx the harm. Due to strict rules
requiring fnancial institutions to be resilient to cyberattacks and data breaches, these
extortion methods work efectively against them. Ransomware attacks are now data
breaches, which might afect regulatory compliance requirements. Ransomware gangs
target fnancial businesses because of their customer data. Due to the danger of data
exposure on the dark web and reputational damage, many fnancial services companies
accept extortion demands.
DDoS Attacks: The year 2020 witnessed the highest DDoS attacks on fnancial institutions.
DDoS attacks are a prevalent cyber threat to fnancial services since they may target
consumer accounts, payment gateways, and banks’ IT systems. Due to this, the impact
of DDoS attacks on fnancial frms is amplifed. Cybercriminals may use the ensuing con-
fusion in one of two ways. Password login attacks and DoS attacks were the two main
online dangers to payment systems in 2020. In comparison to the same period in 2020,
multi-vector DDoS attacks had increased by 80% in 2021 [49]. These DDoS attacks
combine several campaigns to swamp security personnel.
SQL Injections: A vulnerability in a WordPress plugin that enabled Time-Based Blind SQL
injections (SQLi) was found in March of 2021 [37]. This vulnerability was detected.
There was a possibility that 600,000 customers were afected by this issue. Through the
use of a technique known as Time-Based Blind SQLi, the vulnerability made it possible
Federated Learning and Blockchain 189

for any site visitor to access sensitive data stored in a website’s database. Because the
SQL query was executed inside the function object for the pages”, this meant that any
site visitor, even those who did not have a login, may trigger the execution of this SQL
query. It would thus be possible for a hostile actor to give harmful values for either the
ID or type parameters.
Local File Inclusion: A vulnerability known as Local File Inclusion (LFI) was discovered
in August 2021 for a version of BIQS [49] software used by driving schools for billing
customers. When a certain payload is sent to download/index.php in older versions of
BIQS IT Biqs-drive than v1.83, a local fle inclusion (LFI) vulnerability is present. This
vulnerability may be exploited to take control of the afected system. Because of this,
the attacker can access arbitrary fles stored on the server using the permissions of the
web–user confguration.
Cross-Site Scripting: Trend Micro revealed the details of e-commerce website cross-site
scripting (XSS) attacks on April 28, 2021. EC-CUBE-built websites have also had XSS
instances confrmed by JPCERT/CC (an open-source CMS for e-commerce websites).
Any e-commerce website having an XSS vulnerability on its administrator page is tar-
geted by this attack. This attack campaign continued on July 1, 2021. In order forms on
targeted e-commerce websites, attackers insert malicious scripts to make purchases. XSS
attacks on the administrator’s page steal credentials and install Simple WebShell on the
website. Attackers then utilize WebShell and JavaScript on the website to harvest and
save user data. Monitoring the WebShell may allow the attackers to obtain the stolen
data. During the attack, the attackers embed Adminer [2] on the e-commerce website.
This is a GUI-based database content analysis tool. It supports MySQL, PostgreSQL,
SQLite, MS SQL, Oracle, SimpleDB, Elasticsearch, and MongoDB. Attackers presum-
ably accessed database information using this approach.
OGNL Java Injections: In August 2021, OGNL faws allowed hostile actors to inject code
into Atlassian Confuence servers [25]. OGNL injection vulnerabilities allow unauthen-
ticated users to execute arbitrary codes on Confuence Server or Data Center instances.
Previous versions of the Confuence Server and Data Center were afected by this prob-
lem. The vulnerability is actively abused in nature. Unauthenticated users may exploit it
regardless of settings.
Unencrypted Data: When data is left unencrypted [45], fraudsters or hackers may immedi-
ately change it, causing major problems for banks. Online and fnancial institution data
must be jumbled. It prevents attackers from using stolen data.
Spoofng: It is one of the most recent instances of a cyber threat that businesses in the f-
nancial sector need to be prepared for. The URL of a bank’s website will be impersonated
by hackers, who will replace it with a website that is connected to the actual one and
operates in the same manner (cite 17). When a customer uses a fraudulent website and
inputs his login information, the hackers will grab the customer’s credentials and utilize
them in the future.
Data Manipulation: One of the most common misunderstandings about cyber assaults is
the belief that people are only concerned about the theft of data. It isn’t always the case,
though, because hackers are using data manipulation attacks more and more. Cyber-
criminals are always developing new methods of attack. Attacks involving data manipu-
lation happen when a bad actor gains access to a trusted system and then makes changes
to the data without being caught to help themselves [45]. One example of this would
be if an employee changed information about customers. Likely, it won’t be found out
190 Secure and Smart Cyber-Physical Systems

because the transactions will look like they were done legally. It will cause future data to
be stored incorrectly. The more time that goes by before the manipulation is discovered,
the more damage it will do.

9.3.3 Risks

The fnancial sector is getting more and more exposed to “cyber risk,” which is the risk
of losing money because of how much they depend on computers and digital technology.
Cyber-related events, especially cyberattacks, are always at the top of polls that measure
the fnancial stability of the United States and the rest of the world. Cyber risk, like other
fnancial vulnerabilities, raises macroprudential issues. Similar to other fnancial problems,
a lot of technological attention has been paid to cyber resilience, but it is still very early to
measure the efects that cyber risk might have on the fnancial system. If you want to be
strong against cyberattacks, you need to know about the problems that make the cyber risks
the fnancial sector faces even higher. It is important to fnd a way to solve them all at once,
as these problems are linked to each other.

Digital Innovation In fnancial institutions (FIs), new technologies are being used, such as
cloud computing, artifcial intelligence, and digital service delivery. Most FIs are improv-
ing their data processing, fraud detection, and fnancial analytics by using software that
is hosted in the cloud [50]. Meanwhile, the COVID-19 epidemic furthered the process
of transferring the industry’s IT infrastructure (digital transformation), which resulted in
the proliferation of virtual banks and fnancial services. Because of digital transforma-
tion, businesses today run an increasing number of brand-new apps, devices, and infra-
structure components, all of which expand the attack surface. A surge in cybersecurity
threats for fnancial institutions is caused by all of the issues together. Even if the rise of
new technologies in the fnancial sector has a major impact on industrial risk manage-
ment, these technologies could help risk management by improving cybersecurity and
compliance controls.
Complicated Statutes and Rules: As fnancial institutions use more technology and data
to help their customers, regulations must change to keep up. State, federal, and interna-
tional authorities have established several new restrictions for their industries in reaction
to the growth in cyberattacks on fnancial services organizations. Data protection, pri-
vacy, and cybersecurity legislation for fnancial institutions (FIs) are tightening in various
nations. Compliance may be time-consuming and expensive, but it’s in everyone’s best in-
terest. According to BITS’ technology division, chief information security ofcers spend
40% of their time addressing regulatory agency criteria [35]. Because of the regulatory
environment’s complexity, enforcement is tighter, raising regulatory costs and penalties.
In August 2020, the US government fned Capital One $80 million for failing to fnd
and deal with cyber risk, which led to a massive data breach in 2019 [69]. Capital One
resolved a class-action lawsuit in late December 2021 over a 2019 Amazon Web Services
cloud network intrusion that stole 100 million customers’ data [8]. The settlement was
for 190 million dollars.
Complex Supply Chain Ecosystem: Most fnancial frms outsource their digital duties. Third-
party service providers may be vulnerable even if the FI’s internal security is strong. Threat
actors are targeting software businesses and sending malware to supply chain customers
through legitimate downloads and upgrades. Threat actors gain backdoor access to client
networks via these attacks on software distribution platforms. Recent assaults include the
Federated Learning and Blockchain 191

SolarWinds breach for supply-chain assault [81]. Attackers infltrated SolarWinds’ network
and planted malware in their management software to target thousands of banks and gov-
ernment entities. The SolarWinds breach shows how susceptible the fnancial services sector
is to cyberattacks and disruptions since it depends on third-party suppliers and service pro-
viders with little or no cybersecurity oversight. Third-party cybersecurity vulnerabilities will
grow as the government prioritizes business continuity and operational resilience.
Hybrid Workplace: COVID-19 has sped up recent changes in the way people work, like the
hybrid workspace, which combines people who work in the ofce and those who work
from home. It will increase the risk that businesses face. As we move into the fve year
of the pandemic, more and more people are using technologies like remote work, hybrid
workforces, and software that is hosted in the cloud. Businesses had no choice but to
quickly adopt the new technologies that gave them remote access, better communica-
tion, and more ways to work together. Because of this, hybrid working settings make IT
systems more complicated, increase the number of ways to attack them, and create new
cyber risks and threats.
Enabling Technologies: According to some estimates, the pandemic sped up the transition
to digital technology by as much as three years. Enabling technologies, such as applica-
tion programming interfaces, Big data analytics, artifcial intelligence, biometrics, cloud
computing (particularly outsourcing to the cloud), and distributed ledger (Blockchain)
technology, makes it feasible for digital transformation to occur. Companies and their
boards of directors need to be able to make sure that new technologies are adopted safely
so that the benefts can be gained and the risks that come with trying new things can be
managed proactively. This will help businesses get the most out of their innovative activi-
ties and reduce the risks that come with them.
Data Governance; The importance of having a solid strategy for data governance is only
going to grow in the coming years. Companies need to realize that data is a key strategic
asset before they can come up with a company-wide plan for collecting, managing, stor-
ing, protecting, retrieving, and destroying data. To put it another way, develop a strategy
for data governance that is tailored to your organization. If data governance works, it
will have many benefts, such as making it easier to see risks in a hybrid work environ-
ment, being able to meet the recently agreed-upon requirements for reporting climate
risk, and making it easier to keep track of records.
Operational Resilience; Cybersecurity is a major problem for businesses operating in the
fnancial industry. In a September 2021 Conference of State Bank Supervisors (CSBS)
study, more than 80% of bankers regarded cybersecurity risk as “very signifcant” as the
top internal risk [1]. This number is more than twice any other operational risk category
and greater than the 60% recorded in the year 2020. This risk aversion may be attributed
to a great number of diferent factors. For example, worries about cybersecurity can hurt
both the way a company works and its reputation. If a fnancial institution is hit by a
cyberattack, its ability to do business could be hurt or completely stopped. It is called
operational risk. In addition, as a result of the hack, consumers can lose faith in the com-
pany and want to conduct their business elsewhere (reputational risk).

9.4 Blockchain for Financial Services and Banking Industries

Blockchain can make banking and lending easier by reducing the risk of the other party and
the time it takes to issue and settle the money. Authenticated paperwork and KYC/AML
data reduce operational risks and enable real-time fnancial document verifcation. Without
192 Secure and Smart Cyber-Physical Systems

a bank or fnancial services provider, a Blockchain lets people transmit money securely [24,
34]. Blockchain technology is known as “distributed ledger technology” in the fnancial
services business [38]. Table 9.1 shows the existing methods of using Blockchain in fnan-
cial services. Since all transactions on a Blockchain are saved in a shared database, it could
make banking more open. Because of this openness, problems like fraud might be found
and fxed, which could make the risk for fnancial institutions lower [9]. Figure 9.5 shows
the usage of Blockchain in several cases in fnancial sectors.

9.4.1 Addressable Challenges in Financial Services

Financial services often have problems, like not reaching their goals, taking a long time to
raise money, and losing more and more money. These problems are often caused by inad-
equate management. The following is a list of challenges that Blockchain technology has the
potential to solve in the fnancial technology industry [39,73]:

Centralized System: Even though fnancial services solutions make things seem easier, the
real power is still in the hands of third parties [6,41]. Higher-ups are still the only ones
who can approve transactions, so users are still waiting for confrmation that they can
move forward with their transactions. Because of the introduction of Blockchain tech-
nology, this is the frst problem in the fnancial services industry that could be addressed.
Trust Issues: When consumers take any action inside fnancial services apps, they are not
aware of what is occurring on the other side of the transaction [3]. This leads to a great
deal of uncertainty as well as an increase in the fear of having one’s identity stolen, which
eventually results in a decrease in faith in the process. Because the Blockchain is open
and can’t be changed, these Blockchain application development services can solve this
problem in the feld of fnancial technology.

Figure 9.5 Usage of Blockchain in different scenarios of financial services [21].

Table 9.1 Existing Blockchain-Based Methods for Financial Services

Ref Proposed Method Description Pros Cons

Liu et al. [54] Hybrid chain model Hybrid chain model may handle High performance. Performance
combining PANDA each account’s transaction in Lower protection cost. accuracy is low.
and X-alliance parallel, asynchronized from Increased sample
other adjacent accounts in the data.
network. It provides efficient Smart contract
data storage and authorization adoption issue.
control and ownership of
change-tracking data.
Lorenz et al., Money-laundering Active learning approach that Detects money laundering. Lack of proper Anti-
[55] detection matches a fully supervised Simulates a real-world Money Laundering
baseline with 5% of labels. situation with few analysts for (AML) processing in
manual labeling. all financial services.
Chen et al. [17] Blockchain-enabled Research on Blockchain credit Safeguarding financial and user User identity
Financial Surveillance information preservation data. verification.
Systems and supervision, post-loan Cost reduction in auditing. Unauthorized
management, and time-based Provides repayment ability persons can read
financial supervision chain. function. financial data.
Chen et al. [15] Online P2P lending Used machine learning and Improves the efficiency of Time consuming.

Federated Learning and Blockchain

neural networks to forecast online lending. Prediction accuracy is
online lending credit risk. Reduced credit risks. lower.
Increased trust in the models
Kherbouche et Combination of Developed a Blockchain UML Integrity maintenance for Lack of financial
al. [47] UML-AD and profile, activity diagram, financial organizations. business policies.
Blockchain and Petri net verification Facilitates insurance claiming. Patterns, collection is
to ensure a distributed minimal.
computing system with
modifiable information.
Ma et al. [58] Blockchain-based Hyperledger Fabric privacy Designed privacy protection Lack of data privacy.
supply chain finance security and supply chain mechanism.
financing.

(Continued)

193
Table 9.1 (Continued)

194
Du et al. [32] Blockchain-enabled The suggested supply chain Increase capital flow and data Inadequate for
supply chain financing finance platform overcomes flow efficiency. massive data.

Secure and Smart Cyber-Physical Systems

the issue of non-trust among Protect user privacy and data processing.
supply chain players and uses privacy. Higher com-
homomorphic encryption on putational cost.
the Blockchain to safeguard
confidential information in
financial services.
Wu and Duan Blockchain for small Proposed that Xi’an’s tiny Enhances the asymmetry of Weak incentive
[76] and microenterprises and micro firms employ information. policies.
Blockchain technology to Additional financing assistance Privacy breach.
solve their funding problems. for small-and medium-sized
enterprises.
Camino et al. Financial Transaction A methodology for doing Detection of expected Vast and challenging
[10] Suspicions financial data analysis that anomalies. to comprehend.
does not involve the use of Exploratory data analytics for
ground truth. financial data sources.
Ye Guo and Blockchain-enabled Proposed a “regulatory Improves banking efficiency. Lack of authenticity.
Chen Liang regulatory sandbox sandbox” and industry norms Increases security in banking Lack of reliability.
[40] immediately. industries.
Solves regulatory problems.
Chod et al. [22] b_verify an open- Blockchain technology’s Security of financing It is complex for
source software transparency into a firm’s conditions. humans to read
protocol supply chain allows it to get Less signaling cost. cryptographic
attractive financing conditions verification proof.
at reduced signaling costs.
Li et al. [51] Fabric-SCF A Blockchain-based secure Provides dynamic, fine-grained Complex business
storage solution using access control. logic is required
distributed consensus to Secure storage management. instead of simple
protect, trace, and immutably SCF logic.
store supply chain financial Throughput
information. verification is
required.
Li et al. [52] Fabric-Chain & Chain Proposed a Blockchain and Improved access efficiency. Lack of portable
bloom-based storage Increased retrieval efficiency. business logic.
mechanism for the electronic Lack of data
document data utilized in the updating.
supply chain finance business
process.
Federated Learning and Blockchain 195

Less Efcient Methods : One further reason why the fnancial technology industry requires
Blockchain is that the presence of many diferent third parties often causes the proce-
dures to be delayed. This, in the end, leads to poorer rates of customer satisfaction and
increased levels of volatility in the commercial sector as it generates a lot of data [42].
Higher Operational Cost: In the fnancial technology industry, time is money. As a result,
Blockchain technology has once again shown itself to be one of the fnancial services inno-
vations that have the potential to lower costs by almost half. This is because it reduces the
dependence on many individuals, makes the process public, and shortens the required time.

9.4.2 Blockchain in Financial Services

When talking about how the Blockchain technology has changed the fnancial technology in-
dustry, it’s best to focus on the most important parts of the economy to better understand and
analyze the changes. The following is a list of Blockchain use cases for fnancial services [33].

P2P Payments : Bank clearing and settlement regions have concerns about costly bureau-
cracy and unclear expertise. These concerns are present in most fnancial arrangements
and cause concern. Old and hierarchical fnancial systems produce these gaps. Decen-
tralized consensus methods can close them quickly. Blockchain technology helps f-
nancial services. Decentralized ledger technology will enable mobile banking for those
without bank accounts. A Blockchain mobile app development business may simplify
cross-checking data between companies engaged in international payment transactions.
Blockchain technology allows several checks at once.
Financial Trading: Documents are still being sent or faxed to confrm information that is
necessary for trade fnancing, which means that paperwork is being sent across the world
to verify the information. To buy stocks or shares, you still have to go through the com-
plicated and time-consuming steps of brokerage, exchanges, clearing, and settlement.
The settlement process takes three days on average, but it may take longer if it occurs
over the weekend. This is because every trader is required to keep databases for all of
the transaction-based documents, and they must routinely check these databases against
each other to ensure that they are accurate. The application of Blockchain technology to
the provision of fnancial services in this sector has the potential to free traders from the
need to do time-consuming checks on counter-parties while also improving the efciency
of the whole life cycle [30,42]. This not only speeds up the settlement process but also
makes transactions more accurate and reduces the risks involved [44].
Crypto Lending: Thanks to crypto lending, the fnancial world now has a new, easy, and
transparent way to lend money. The lenders will give the borrowers the assets they need
for the loan at a rate of interest that was agreed upon ahead of time. Borrowers will be
able to keep their crypto assets as collateral for a loan based on fat currency or stable-
coins. It is also true when read backward. When borrowers need to borrow crypto assets,
they will occasionally use their stable coins or traditional cash as collateral.
Regulatory Compliance: For the second time, this is one of the most consequential uses
of Blockchain in the fnancial sector. Since it is expected that the global need for regu-
latory services will expand in the next few years, fnancial services businesses are inte-
grating Blockchain technology to improve regulatory compliance [65]. They expect this
technology to record the actions of all parties involved in every verifed transaction,
eliminating the need for regulators to verify the records’ veracity. Technology is also
196 Secure and Smart Cyber-Physical Systems

allowing scholars to return to the original documents rather than relying on the many
copies that have been produced. Errors are less likely to occur, the integrity of records
for fnancial reporting and audits is being preserved, and the time and resources spent
on auditing and accounting are being drastically reduced thanks to the Blockchain’s
promise of immutability [4,62].
Digital Identity: The number of accounts that have been made with fake information keeps
going up. Even though banks do have stringent Know Your Customer and Anti-Money
Laundering inspections, these measures are not failsafe. A digital identifcation system may
beneft from using Blockchain technology. The customers only need to go through the vali-
dation process once, and then they may use their credentials to conduct transactions in any
part of the world. On this front, Blockchain may also aid fnancial users in the following
ways: 1) Managing personal information; 2) communicating personal information to other
parties while minimizing security concerns; and 3) digitally signing legal documents, such
as claims and transactions [75, 77].
Auditing: It is a procedure that checks the fnances and brings to light any discrepancies
that may exist. The procedure is not only difcult to understand, but it also moves quite
slowly. Blockchain technology, on the other hand, makes the procedure simpler. Because
of this technology, you can ask the Blockchain application development frm with whom
you are paired to add the record straight to the ledger, making it possible to see and up-
date data in a time-efcient manner [43].
New Crowdfunding Models: The concept of “crowdfunding” refers to a method of sup-
porting a project by soliciting contributions from a large number of individuals, often
via the Internet. ICOs, IEOs, and other mechanisms may make the fundraising process
using Blockchain technology more open and efcient, as opposed to more traditional
methods of fnancing. However, it is highly recommended to have a clear understanding
of what all fnancial services organizations that use Blockchain technology are doing
with it.

9.4.3 Benefits of Blockchain in Finance

Blockchain technology has made it possible to create inclusive, open, and safe corporate
networks. These networks make it possible to issue digital security credentials in a shorter
amount of time, at lower unit prices, and with a higher degree of customization [11, 67].
Over the past few years, the use of Blockchain technology in the fnancial sector has grown,
which has shown the following benefts [23, 29, 80].

Transparency: Protocols, standards that everyone agrees on, and common procedures
are all used in Blockchain technology. Together, these things serve as a single source of
growth for all members of the network. It makes the data more reliable and improves the
customer experience by making processing faster.
Security: In the fnancial sector, Blockchain technology has made it possible to use secure
application code that is designed to be impossible to change by hostile or third-party ac-
tors [18]. It makes it practically impossible to modify or hack the system.
Trust: The immutable and clear ledger makes it easier for the diferent people in a busi-
ness network to work together on data management and get along. The Blockchain is a
distributed ledger technology that enables the safe recording, management, storage, and
transmission of transactions across a wide variety of industries.
Privacy: When Blockchain technology is used in the fnancial industry, it protects data pri-
vacy at all levels of software stacks in a way that is unmatched in the industry. This makes
Federated Learning and Blockchain 197

it possible for businesses to share data selectively within their networks. This increases
confdence and openness while preserving anonymity and privacy at the same time.
Programmability: It makes it possible to design and run smart contracts, which are pieces
of software that automate business logic and can’t be changed. This makes them easier
to program, more efcient, and more trustworthy.
Scalability and High Performance: In the fnancial sector, Blockchain technology is used
through hybrid and private networks that were built to handle hundreds of transactions
per second. It provides enterprises with signifcant resilience and worldwide reach by
completely supporting interoperability across the public and private sectors.

9.5 Blockchain-Enabled Federated Learning for Financial Services

With a central server, FL has reached a point where it can’t do anymore. At the same time,
new risks are showing up. There are a lot of things going on, but the most important ones
are centralized processing, making up data, and not having any incentives. Businesses and
academics are paying a lot of attention to Blockchain-enabled distributed ledger technology
in the hopes that it will speed up the use of FL. There have been a lot of creative answers
made to meet the needs of a wide range of situations that are always getting more com-
plicated. The functionality of FL that is allowed by Blockchain ofers both ideas and ap-
proaches to increasing the functionality of FL from a variety of points of view.

9.5.1 Federated Learning

Federated learning (FL) is an exciting new decentralized DL technique that lets users update
their models together without having to share their data. FL is changing how mathemati-
cal modeling and analysis are done in the business world. This makes it possible for more
and more industries to build distributed machine learning models that protect privacy and
are safe. Nonetheless, the properties that are intrinsic to FL have resulted in several issues,
including those about the security of personal information, the expense of communication,
the heterogeneity of the systems, and the unreliability of model upload during real-world
operation. It’s interesting to think about how adding Blockchain technology could improve
FL’s security and performance and increase the number of things that can be done with it.
FL is a strategy for training artifcial intelligence systems using data that is kept confdential.
It lets centralized AI systems learn from data, which is often personal, without the data’s
actual content being shared or made public. Instead, only the lessons that can be gleaned
from the data’s structure are used.

9.5.2 Blockchain-Enabled FL for Financial Services

The conventional architecture of federated learning is based on centralization. However, a

model that depends on a trustworthy central server has several security holes. If the central
server is attacked, the whole federated learning process could be ruined. This is because the
global model update wouldn’t be able to happen, training results might not be accurate, and
the federation would be vulnerable to threats while collecting and updating model param-
eters. Joint sharing modeling of multi party data is made possible by the use of Blockchain
technology, which is integrated with federated learning to meet specifc data-sharing require-
ments. Table 9.2 provides the existing Blockchain-enabled FL methodologies designed and
developed by several researchers. These methods can be used in fnancial services to improve
service quality. Because the Blockchain has a strong way to store certifcates, it is possible to
Table 9.2 Existing Blockchain-Enabled FL Methods for Data Sharing

198
Ref Proposed Method Description Pros Cons

Secure and Smart Cyber-Physical Systems

Feng et al. [36] Credibility-based Used Consortium Blockchain High-enterprise application It is unable to
RAFT-efficient and federated learning to efficiency. defend itself against
consensus method enterprise data sharing and Enterprise data exchange Byzantine attacks.
monitor the process. without compromising
privacy.
Zhao et al. [79] Reputation-based FL This strategy trains a machine- Introduced a reward system. Deterministically
method learning model using Entices clients to the crowd- optimum local–
consumer data. Manufacturers sourced FL activity. global balance
can then estimate client Provides privacy and test for greater test
needs and expenditures. accuracy. accuracy.
Lu et al. [56] Privacy-preserving This approach involves training Improved computational Data utility.
distributed data a machine-learning model resource efficiency. Inefficient data-
sharing with consumer data. This Improved data exchange sharing method,
enables manufacturers to efficiency. if the number of
predict client requirements Secure information exchange devices is limited.
and spending patterns. with higher accuracy.
Bandara et al. [5] Bassa-ML An integrated federated More openness and Data utility.
learning platform that is built transparency.
on Blockchain technology and Bringing audit ability to the
Model Cards. process of federated learning.
Enhanced trust for the
models.
Li et al. [53] BFLC Blockchain is used by the Cuts down on the amount Scalability of the
framework in place of a of computing needed for BFLC.
centralized server for both consensus. Storage is
the storing of global model Reduces the number of expensive because
data and the communication harmful assaults. Blockchain stores all
of local model update information.
information.

Kim et al. [48] BlockFL Architecture for distributed Incentive-based method. Uncontrolled data
learning that allows for Federates additional devices quality.
the secure and transparent with more training samples.
sharing and verification of
localized modifications to
learning models.
Ramanan et al. [68] BAFFLE Decomposing the global Updates many sections No method for data
parameter space into discrete simultaneously. quality control.
pieces and then using a score A low cost for the
and bid technique is how computation.
BAFFLE increases computing
efficiency.
Shayan et al. [70] Biscotti A completely decentralized The PoF consensus algorithm Scalability issues for
peer-to-peer (P2P) method was introduced. the large model.
for multi party machine Scalable, resistant to errors, Privacy issues.
learning, as well as a client- and able to withstand Stake limitations.
to-client machine learning recognized forms of assault.
procedure that protects
users’ privacy.
Chen et al. [16] Learning chain Decentralized privacy- A decentralized framework. Prone to being
preserving and secure machine Protection against attacks influenced by biases.
learning system using a broad performed by Byzantine.
(linear or nonlinear) deep-
learning approach with no
centralized trusted servers.
Lyu et al. [57] FPPDL A local credibility mutual Privacy-preserved. Many encryption
assessment method for Fairness. methods may
fairness and a three-layer Accuracy. impede node
onion-style encryption processing.

Federated Learning and Blockchain

technique for accuracy and Fairness in non-IID
privacy. setting.
Ma et al. [59] BLADE-FL Prevents dishonest customers Privacy preserved. Computing
from tainting the learning Lazy client protection. capability.
process and further gives Training data size.
clients a learning environment Transmitting
that is self-motivating and diversity.
dependable.

199
200 Secure and Smart Cyber-Physical Systems

provide controllable data traceability. For federated learning, both making data visible and
making it available are possible. the FL functions are somewhat complementary with each
other If they can be connected, it will not only be possible to improve the way data is shared,
but it will also be possible to keep data modeling private [26].

Data Protection: Feng and Chen [36] proposed a Blockchain-enabled FL data-preserving

strategy, which can be used by a fnancial business. Each business node that joins the
consortium chain must pass a certain qualifcation test. Business nodes that take part in
federated learning within the consortium chain must also verify their strong reputation
value, but only if it is higher than a certain threshold. In federated learning, only nodes
with a certain minimum level of reputation can be chosen to take part. They divided
federated learning nodes into monitoring and training groups. The training node group
does local model training rounds. The monitoring node group determines the training
node’s reputation and global parameters. The top reputation-valued nodes in this cycle
of federated learning are the monitoring nodes. This process is done to ensure that mali-
cious nodes will be excluded in the learning cycle.
Data Traceability: Federated computing ensures that the original data never leaves the local
node; that only the gradient information of the model update needs to be uploaded; and
that private data is protected while taking advantage of the Blockchain’s immutability,
certifcate storage function strength, and controllable traceability. Based on this concept,
it is possible to train complicated joint models. Therefore, they serve a similar purpose
but in diferent ways. When used in tandem, they may not only make data exchange a
reality but also keep personal information secure.
Proft Sharing: Because nodes in a community can use the model whenever they want with-
out making any changes, a strong incentive is needed to get nodes to train models. Li
et al. [53] suggested that a system called “proft sharing by contribution” be put in place
as a way to solve this problem. Following the aggregation of each round, the managers
will then give incentives to the appropriate nodes based on the scores of the updates that
they have provided. As a result, giving updates regularly may bring more benefts, and
the constantly updated global model may encourage other nodes to join the network. It is
important to research this incentive mechanism since it can easily be adapted to a variety
of applications in the real world and has great scalability.
Storage Optimization: When it comes to applications that take place in the real world,
storage overhead is a critical component that helps determine the hardware requirements
for the training devices. Historical models and updates may help with recovery after a
disaster, but they take up a huge amount of space. Here, Li et al. [53] gave a simple and
workable plan for reducing the storage overhead: Nodes that don’t have enough space
can get rid of old blocks locally, and they only need to keep the most recent model and
updates for the current round. In this way, the problem of not having enough storage
space can be solved, and the core nodes can keep their ability to recover and verify data.
Having said that, it is also easy to see where this approach falls short. With each trans-
action that is deleted, the legitimacy of the Blockchain sufers. It is possible that each
node will not adopt this technique due to the high level of mutual mistrust that exists
among this group. So, the best thing to do might be to store your data with a reputable
and trustworthy third party. The only information that the Blockchain stores are the
network addresses of the locations of each model or updated fle, as well as records of
any modifcations that were made to those fles. For other nodes to access the model and
its changes, the centralized store must interface with those nodes. This central storage
Federated Learning and Blockchain 201

will be in charge of making backups in case of a disaster and ofering services for storing
fles in diferent places.
Safeguarding Payment Networks: One of the best things about Blockchain technology is that it
can be used as a payment network that is not limited by national borders. As a decentralized
answer to the problem of making payments without friction and with low transaction costs,
many diferent Blockchain protocols have been made. Centralized fnancial institutions are
known for their high fees and painfully slow processing times, which led to the creation of
these alternatives. Even though this use of Blockchain technology has a lot of potential, it is
still hard to use it widely because of security concerns [74]. Theft and fraud are all too fre-
quent in Blockchain transactions since all that is required to complete them is a set of public
and private keys. On the other hand, advanced machine learning can easily fnd unusual
account activity, which then calls for human help. Both the companies that supply fnancial
services and the people who use them are protected by this extra security measure [64].
Efective Financial Services: Financial institutions that use FL and Blockchain technologies
often have the goal of increasing both the speed at which they provide their services and
the quality of those services. In the same way that any other company would, these estab-
lishments have the incentive to fnd ways to save expenses and, as a result, generate greater
value. In a survey that shows this trend, A survey in [19] found that 57% of frms see cost
savings as the main beneft of joining consortium Blockchain networks. Those that sup-
ply fnancial services may deliver more value to their consumers while also optimizing the
returns on their investments if they use these two technologies to drive business operations.
Controlled Finance Automation: The trend toward more automation cannot be denied, but if
it is allowed to continue unchecked, it may result in undesirable consequences. Businesses
will always lose control of their operations over time if there are no limits on how they can
use automated processes. As a result of this, the tasks of automation need to be carried
out in conjunction with built-in checks and balances. Using FL and smart contracts backed
by Blockchain technology could help make this dynamic happen. Smart contacts make it
possible to automate procedures, while machine learning can look for problems and only
call for human help when it’s necessary. Because of this very important infrastructure, all
fnancial transactions would be completely safe, open, and efcient.

9.6 Future Scopes

Financial companies have always been concerned about cybersecurity breaches, but cyber-
attacks now pose considerably greater hazards to their operations and reputations. They
must know the biggest threats frst. It will help them prioritize cybersecurity activities and
maximize ROI. It will also aid cybersecurity strategy development. Ransomware, phishing,
online application, vulnerability exploitation assaults, denial of service (DoS) attacks [46],
insider threats [12], nation-state attacks, and state-sponsored threats will be the biggest
dangers to fnancial institutions in 2022. Financial institutions must upgrade their security
to protect against ever-changing threats. Despite spending millions and adding several levels
of protection to their infrastructure, they still don’t know how to employ security measures.
To remain ahead of threat actors, they should test their IT security infrastructure against
real-world threats often. IT and security executives must verify security measures to assess
frms’ cybersecurity posture and cyber resilience and show that they prevent intrusions.

Efectiveness of Transmission: The storage and synchronization of the Blockchain need a

signifcant amount of hardware resources, including not only the space on the hard drive
202 Secure and Smart Cyber-Physical Systems

but also the bandwidth on the network. Therefore, the best way to lessen the amount
of transmission that is needed while still preserving the reliability of model training is a
subject deserving of further investigation.
The Scene in Public: The authentication processes are handled by the alliance Blockchain
system, although this does have the side efect of making it more difcult to join the train-
ing community. How to create a public community by using a Proof-of-Work (PoW)
mechanism is another interesting problem, which is fnding a way to work together while
protecting yourself from attacks from hostile nodes in fnancial services.
Lightweight Training: A lot of the Internet of Things (IoT) devices that fnancial clients
use don’t have enough hardware features to train a deep neural network well. Because
of this, the question of how to make training models easier (e.g., by using edge servers)
while still protecting users’ privacy is an important one that deserves more research.
Security Control Validation: Even though it’s good to see fnancial institutions work toward
high levels of cyber maturity, we strongly suggest doing an objective evaluation of these
assumptions and maturity levels and fxing any gaps between what was expected and
what was found in an assessment. Banks and other fnancial institutions, as well as other
businesses, must constantly test the efcacy of their security policies against real-world
attacks to stay one step ahead of threat actors. The term “security control validation”
refers to an approach that is centered on potential threats and that enables businesses
to evaluate and analyze their cybersecurity posture and their overall cyber resilience. It
also checks to see if the security controls are working well enough to stop cyberattacks.
Automation: As long as AI keeps getting good investments, FL seems to be in a great posi-
tion to grow a lot. Because of the adaptability of the technology, it is expected that it
will make its way into a rising number of diferent businesses across a wide variety of
use cases. The fnancial services industry, in particular, is in a great position to get a lot
of value out of the combination of Blockchain and FL technologies. These technologies
work together to make big changes in the fnancial sector by making it safer, making it
run better, and giving people more control over automation. Figure 9.6 shows the poten-
tial outcomes of using Blockchain technology in the fnancial sector.

Figure 9.6 The potential outcomes of using Blockchain technology in the financial sector [21].
Federated Learning and Blockchain 203

Next-Generation Marketing: However, to make use of this potential, it is essential to

keep in mind why Blockchain technology was developed in the frst place. Also, for
FL learning systems to keep being useful, they need to be fed with good enough data.
Although many questions remain unanswered, these technologies are not going away,
either together or separately. In a fnancial market that is always changing, Blockchain
and FL integrations might be the next drivers of disruptive change across the fnance
sector.

However, it’s important to note that both Blockchain and FL face challenges and limita-
tions. Blockchain’s scalability, energy consumption, and regulatory considerations are areas
that require further investigation. FL may face issues related to model synchronization,
privacy leakage, and communication overhead. Overcoming these challenges and ensuring
appropriate governance frameworks will be essential for the successful implementation of
Blockchain and federated learning in future fnancial services.

9.7 Conclusion
FL is attracting attention for its privacy-enhancing and scalable fnancial services and applica-
tions. We conducted a state-of-the-art assessment and comprehensive survey based on recent
research to examine how Blockchain and FL may improve fnancial services. This study was
motivated by the lack of a comprehensive FL and Blockchain survey in fnancial services. We
frst discussed FL and Blockchain technologies and their combination to bridge this gap. Then,
we extended our study by providing measures of how FL and Blockchain can be used in fnan-
cial services to protect fnancial data, make decentralized storage more efcient, keep payment
networks safe, automate tasks, protect privacy, and keep things safe. Lastly, we talked about
some of the problems with research and gave notions for future initiatives that will bring more
attention to this new feld and encourage more research to realize FL and Blockchain.

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Chapter 10

A Comprehensive Survey on
Blockchain-Integrated Smart Grids
Uttam Ghosh, Laurent L. Njilla, Danda B. Rawat, and
Charles A. Kamhoua

Chapter Contents
10.1 Introduction 208
10.1.1 Motivation and Contribution 211
10.2 Preliminaries 213
10.2.1 Types of Blockchain 213
10.2.2 Digital Ledger Technology 214
10.2.3 Structure 214
10.2.4 Working Principle 216
10.2.5 Characteristics of Blockchain 216
10.2.6 Applications of Blockchain 217
10.3 Literature Review 218
10.4 Contributions of Blockchain to Smart Grid 218
10.4.1 Blockchain for Advanced Metering Infrastructure 220
10.4.2 Blockchain in Decentralized Energy Trading and Market 221
10.4.3 Use of Blockchain to Monitor, Measure, and Control 224
10.4.4 Use of Blockchain in Microgrid 225
10.4.5 Blockchain Applications in Electric Vehicles 228
10.4.6 Blockchain Applications in Cyber-Physical Security 231
10.5 Limitations of Blockchain and Future Research Directions 232
10.6 Conclusion 234
Acknowledgment 234
Bibliography 234

10.1 Introduction
A smart grid network refers to a complex cyber-physical system (CPS) that provides efcient
and cost-efective management of the electric energy grid by allowing real-time monitor-
ing, coordinating, and controlling of the system [1]. Unlike power grid, the smart grid can
generate the energy seamlessly from distributed energy resources (DERs) (including nuclear,
hydro, solar, wind, solar, and thermal) and transmit the energy using transmission lines to
distribution center, and then distribute to the individual customers based on their usage
and requirements. It can store the excessive energy in a battery for future use. By leverag-
ing real-time data, advanced analytics and technologies, and automated control systems,
the smart grid can meet the evolving demands of diferent customers (including residential,
commercial, and industrial customers) and transform the traditional power grid into a more
resilient, efcient, and reliable energy infrastructure. It incorporates self-healing capabilities

DOI: 10.1201/9781003376712-10
Comprehensive Survey on Blockchain-Integrated Smart Grids 209

to quickly detect the issues, reroute power fows, and restore service to afected areas, mini-
mizing downtime, and improving grid reliability. It utilizes automation to monitor, control,
manage, and make informed decisions to optimize the grid’s operation and ensuring ef-
cient energy delivery. Overall, the smart grid is an automated, self-healing, and distributed
advanced energy delivery network that provides the following features to enhance the func-
tionality and efciency of the power grid [2]:

• The smart grid supports two-way communication of electricity and information. In tra-
ditional power grid, the electricity fows in a one-way direction from the utility provider
to the consumers. Whereas the smart grid supports bidirectional fow of the electricity. It
allows for the installation of DERs (solar panels, wind turbines) at the consumer prem-
ises. These DERs can generate excess electricity and feed back into the smart grid for
contributing to the overall electricity supply.
• The smart grid facilitates interaction between users and the electricity market. As men-
tioned above, users can generate renewable energy using DERs, store excess energy,
and sell it back to the grid or participate in local energy markets. Smart meters allow
bidirectional communication between users and utilities where users can access detailed
information on their energy usage, receive real-time billing data, and even provide feed-
back about their energy preferences or concerns.

In the smart, interconnected grid, as envisaged in the U.S. Department of Energy’s 2030
roadmap [3], increased renewable energy generation with a decrease in battery storage
costs has led to a stronger global focus on energy storage solutions and services. The future
grid, as depicted in Figure 10.1, relies upon the uninterrupted fow of information between
consumers and power generation, transmission, and distribution companies. The exchange
of this real-time information is susceptible to cyber tampering from hackers and malicious
actors that propagate throughout the smart grid system due to the interdependencies be-
tween the cyber, physical, and communication components. The smart grid features are
designed to improve the reliability, performance, and security of traditional power grids
[4]. The heterogeneous nature of the smart grid makes it difcult to standardize procedures
and communication paradigms. Lately, the smart grid has seen extensive attention, and the
global smart grid market size was valued at USD 30.6 billion in 2020 and is expected to
reach USD 162.4 billion by 2030 as shown in Figure 10.2. The rising demand for reliable
and regular power supply owing to the increasing shift toward sustainable energy sources is
boosting the growth of the smart grid market [5].
The smart grid network also sufers from a lot of security problems for its resource restric-
tions. Blockchain applications like Bitcoin and Ethereum have attained excellent achieve-
ments that are beyond anticipation. The technologies behind the Blockchain are distributed
ledger, cryptography, and digital signature to ensure the security and tamper-proof archi-
tecture [6]. It is also a decentralized system where every server carries an identical copy of
the entire ledger. Meanwhile, sustainable Blockchain can be utilized to enhance smart grid
security and safety. It can also provide data security and confdentiality for all informa-
tion stored in it. Sustainable Blockchain can be viewed as an efective method of the smart
grid safety scaling by reducing energy consumption and communication cost. However,
the efectiveness of the sustainable Blockchain for the smart grid safety is still uncertain.
Thus, it is chosen to improve the smart grid security. Figure 10.3 presents the overview of
Blockchain-enabled smart grid networks.
210 Secure and Smart Cyber-Physical Systems

Figure 10.1 The future smart grid model.

Figure 10.2 The global smart grid market size from 2020 to 2030 (USD billion).
Comprehensive Survey on Blockchain-Integrated Smart Grids 211

Figure 10.3 Overview of Blockchain integrated smart grid networks.

10.1.1 Motivation and Contribution

Security and privacy are key considerations in the design and operation of a smart grid
system. We need to consider the following key measures related to security and privacy for
the smart grid system [7, 8]: (a) Utilizing appropriate encryption techniques to protect data
transmission and storage to ensure that unauthorized nodes neither can access nor can mod-
ify any information, (b) implementing access control mechanisms to restrict data and sys-
tem access based on user roles and privileges, (c) implementing robust monitoring system,
(d) utilizing advanced privacy-preservation techniques to protect information disclosure, (e)
implementing a fault-tolerant network to protect against availability attacks, (f) providing
non-repudiation to ensure that a node cannot deny or dispute actions it has performed in
the past, and (g) promoting transparency and democracy among all the participating nodes.
As mentioned earlier, the smart grid combines advanced technologies, data analytics,
smart devices, and communication systems to provide efective electricity distribution, sup-
ply security, minimum losses, and services including billing, bidding, and energy trading.
Moreover, it needs to integrate a several number of electric vehicles, DERs, and prosumers
(can produce and consume electricity). However, the traditional centralized grid system
faces several challenges to efectively manage the smart devices, maintaining security and
stability of the grid system. As a result, the smart grid is leading to a shift from a central-
ized topology to a more decentralized, distributed, and fully automated model for allowing
greater interaction among all the grid devices [7].
On the other hand, Blockchain is a decentralized and distributed ledger technology that
provides transparency and security while multiple participants maintain a shared and im-
mutable tamper-proof record of transactions or data. It can be a promising alternative to
the conventional centralized security systems to improve security and privacy. Blockchain
can provide confdentiality, integrity, authentication, access control, transparency, and
212 Secure and Smart Cyber-Physical Systems

automaticity which are necessary for the smart grid system also. Table 10.1 summarizes the
objectives of security and privacy in Blockchain paradigm.

Contribution: This chapter aims to present a comprehensive study of Blockchain appli-

cations to smart grids. First, it presents a detailed background, classifcation, working
principle, characteristics, and applications of Blockchain. Then, it discusses a number of
recent research works proposed in diferent literatures on Blockchain integration into
smart grid systems for energy management, energy trading, security and privacy, mi-
crogrid management, and electric vehicle management. Finally, the chapter presents the
limitations of Blockchain and future research direction of applying Blockchain in smart
grids. With this chapter, the readers can have a more thorough understanding of Block-
chain and smart grid architectures, Blockchain integration into smart grid systems, chal-
lenges and limitations of Blockchain, and present and future research trends in this area.
Chapter Organization: The rest of the chapter is organized as follows: Section 10.2 presents
a background of Blockchain and its classifcation, working principle, characteristics, and

Table 10.1 Security and Privacy in Blockchain Paradigm

Objective Blockchain Paradigm

Confidentiality Public Blockchain is an open network to anyone for accessing the data
stored on-chain. Thus, we should either avoid sharing sensitive/private
data on public chain or use cryptography to encrypt the data before
sharing on public chain. We need to make sure that the trusted and
authorized nodes join the network.
Integrity The immutable nature of Blockchain protects the integrity of data by
design. Blockchain uses cryptographic hash function, Merkle tree,
nonce, and timestamps for providing data integrity. We can detect if
the data stored on-chain is modified by the attacker and also prevent
decentralized access.
Authentication Blockchain uses digital signature for the authentication where the
participating nodes sign the transaction using their private key and
verify the signature using the corresponding public key.
Privacy Blockchain typically uses pseudonyms or cryptographic addresses to
represent identities of the participants instead of real-world identities
and provides a certain level of privacy. Zero-knowledge proofs can be
employed in Blockchain to validate the correctness of a transaction or
claim without disclosing the underlying data.
Availability Blockchain operates on a distributed network nodes and does not rely
on single point of failure. Further, it incorporates redundancy and
data replication mechanisms to enhance the availability of data and
maintain the continuity of the Blockchain network.
Transparency Blockchain maintains an immutable distributed ledger that includes
all records, transactions, events, and logs. In public Blockchain,
participants can access, audit, and verify the transactions and records
independently.
Access Control Access control logic can be embedded with smart contract to define who
can perform specific actions and ensure only that authorized entities
can interact with the Blockchain and execute predefined operations.
Blockchain can implement user authentication mechanisms including
username–password combinations, multifactor authentication, digital
certificates, and biometric authentication for the identity verification.
Automaticity Blockchain can automate various actions and streamline operations
within decentralized networks by leveraging smart contracts,
predefined rules, event-driven triggers, and consensus mechanisms.
Comprehensive Survey on Blockchain-Integrated Smart Grids 213

applications. The literature survey on Blockchain-assisted smart grids has been presented
in Section 10.3. Section 10.4 presents the contribution of Blockchain into smart grids for
energy management, energy trading, security and privacy, microgrid management, and
electric vehicle management. The limitations of Blockchain and future research direction
have been presented in Section 10.5. Finally, Section 10.6 concludes the chapter.

10.2 Preliminaries
Blockchain is a decentralized and distributed digital ledger that is used to record and
store information securely and transparently. It consists of a chain of blocks, where
each block contains information and a reference to the previous block [9, 10]. One of
the key features of Blockchain technology is its immutability. This means that once
data is recorded and confrmed in a block, it becomes very hard to alter or tamper
with. Further, it does not need a third-party middleman entity, such as governments or
banks, as Blockchain technology makes it especially safe to transfer money, properties,
and contracts [11]. Blockchain is often considered a type of software protocol that re-
lies on the Internet to function. It comprises various components, including a data-
base, software applications, and a network of interconnected computers. Figure 10.4
presents the timeline for Blockchain use and deployment with coordination of the power
system. In the following section, we provide the overview of Blockchain technology.

10.2.1 Types of Blockchain

Blockchain technology can be classifed into public, private, and consortium types based on
the underlying architecture, consensus mechanisms, and permission levels. Table 10.2 sum-
marizes the classifcation of Blockchain [9, 12].

• Public Blockchain: Public Blockchain is an open, fully decentralized, and permissionless

network where the general public can participate as a node, read and write data, vali-
date transactions, and contribute to the consensus process. It provides a high level of de-
centralization, transparency, and security. However, it may have scalability limitations.
• Private Blockchain: Private Blockchain is a restricted network under the governance of
one organization, which defnes the access policies to participate in its private network.

Figure 10.4 Timeline for Blockchain use and development with coordination of the power system.
214 Secure and Smart Cyber-Physical Systems

Table 10.2 Classification of Blockchains

Parameter/Advantage/ Public Blockchain Consortium Private Blockchain

Disadvantage/Use Case (Permissionless) Blockchain (Permissioned)

Receptivity Fully open Available to some nodes Open to a person/entity

Writers’ access Anyone Certain nodes Internally managed
Reading access Anyone Anyone Public accessibility
Obscurity More Less Less
Transaction speed Low High Extremely high
Decentralization Fully decentralized Less decentralized Less decentralized
Technology Bitcoin, Ethereum Quorum, MultiChain Hyperledger Fabric, R3
Corda
Advantage Independence Access control Access control
Transparency Scalability Performance
Security Security
Disadvantage Performance Transparency Not decentralized
Scalability Auditability
Use case Cryptocurrency Banking Supply chain
Document validation Supply chain research Asset ownership

Therefore, only authorized participants have the ability to read and access the transac-
tion data. It ofers more control, privacy, and scalability compared to public Blockchain.
However, it does not support decentralization.
• Consortium Blockchain: Consortium Blockchain is governed and operated by a consor-
tium or group of organizations that work together and collectively validate transactions.
It has control over who can join the network and who can participate in the consensus
process of the Blockchain. It provides a balance between public and private Blockchains.
Consortium Blockchain maintains a certain level of decentralization.

10.2.2 Digital Ledger Technology

Distributed Ledger Technology (DLT) encompasses various types of digital ledgers that ena-
ble the recording, sharing, and verifcation of transactions or data in a decentralized manner,
without the need for a central authority. Whereas Blockchain is a specifc implementation of
DLT that uses a chain of blocks to store and validate transactions. While Blockchain is a spe-
cifc type of DLT, there are other DLT systems, including hashgraph, directed acyclic graph
(DAG), holochain, and radix that have diferent architectural approaches and consensus
mechanisms as shown in Figure 10.5. DLT systems can have diferent characteristics, such as
scalability, privacy, and permissioning, depending on their design and use case.

10.2.3 Structure

The structure of a Blockchain refers to the way the data is organized and stored within the
Blockchain system. The core components of a Blockchain structure include blocks, transac-
tions, and the linking process between the Blockchain blocks as shown in Figure 10.6 [12, 13].

• Blocks: A Blockchain consists of a sequence of blocks that store batches of transactions

or data. Each block contains a header and a body. The header is used to identify the
particular block in the entire Blockchain, and it typically includes metadata such as a
Comprehensive Survey on Blockchain-Integrated Smart Grids 215

Figure 10.5 Types of Distributed Ledger Technology (DLT).

Figure 10.6 Blockchain structure.

timestamp, a nonce, a unique block identifer (hash), and a reference to the previous
block. The timestamp is used to identify the document or event uniquely and indicate
when the document was created. A nonce is a number that can only be used once. It is a
32-bit feld that miners change as they work on new blocks in the Blockchain to ensure
that each block has a unique hash. The body of the block holds a list of transactions,
data, or other information that is being recorded.
216 Secure and Smart Cyber-Physical Systems

• Transactions: In a Blockchain, transactions are the essential units of data. They repre-
sent actions or exchanges of information, which are recorded on the Blockchain. Each
transaction typically includes details of the sender, receiver, amount, and additional data
specifc to the application or use case. Transactions are grouped together within a block
and are recorded in a defned format based on the Blockchain’s protocol.
• Linking Mechanism: Blockchain uses cryptographic hashing to ensure the integrity and
continuity of the Blockchain structure. Each block includes a reference (hash) to the pre-
vious block and creates a structure like the chain. Blockchain creates a permanent and
tamper-resistant record by this linking mechanism. It is computationally impractical to
alter historical data as any change to a block would require modifying the subsequent
blocks in the chain.

10.2.4 Working Principle

A new transaction needs to be approved, or authorized,, before it is added to a block in the

chain. The decision to add a transaction to the chain is made by consensus for the public
Blockchain. This means that most “nodes” (or computers in the network) must agree that
the transaction is valid. The people who own the computers in the network are incentivized
to verify transactions through rewards. This process is known as “proof of work” [7]. The
working principle of Blockchain is shown in Figure 10.7.

10.2.5 Characteristics of Blockchain

Blockchain is a decentralized, immutable, and distributed ledger technology that pro-

vides for secure and transparent transactions for record-keeping and enabling various
applications beyond cryptocurrencies, such as supply chain management, healthcare,
fnance, smart grid, and more. Figure 10.8 discusses the important characteristics of
Blockchain.

Figure 10.7 Working principle of Blockchain.

Comprehensive Survey on Blockchain-Integrated Smart Grids 217

Figure 10.8 Characteristics of Blockchain.

Figure 10.9 Applications of Blockchain technology.

10.2.6 Applications of Blockchain

Blockchain technology ofers several potential applications and benefts across various in-
dustries including government, healthcare, energy sectors, education, travel, and fnancial.
Figure 10.9 summarizes the applications of Blockchain technology [13–20].
218 Secure and Smart Cyber-Physical Systems

10.3 Literature Review

New security and intelligence challenges are brought forward by smart grid technology
[21]. Blockchain uses decentralized database technology and is transparent and open. The
development of smart grids using Blockchain technology has drawn a lot of attention from
academics. Many researchers have proposed Blockchain-based solutions to overcome the
security and intelligence problems with smart grids. Smart grid technologies are transform-
ing every aspect of the grid supply chain [22]. Data interchange in supply chains may be
made safe and transparent with the use of Blockchain technology [23]. Various businesses
from both upstream and downstream markets that are involved in the life cycle of a good
or service make up a supply chain. Gao et al. [24] automated recording and management of
power grid consumption via a sovereign blockchain.
Additionally, Blockchain-based smart grid solutions were proposed by Mengelkamp
et al. [25] and Pop et al. [26]. By adopting Blockchain technology, the smart grid sup-
ply chain may simultaneously provide secure transaction data storage, promote the use of
green energy, and enhance sustainable development [27]. A smart grid is a concept that
combines several diferent elements. Dileep [28] defned a “smart grid” as a quick, smooth,
and transparent two-way transfer of information and electricity. Smart grids will increase
the availability of grid panoramic data in comparison to conventional electricity networks.
Smart technology can enhance the real-time monitoring, diagnosis, and optimiza-
tion of business fows inside the grid to improve power grid operation and management.
Rusitschka et al. [29] proposed adopting a cloud computing architecture to manage the
real-time streams of smart grid data. With their model, customers, retailers, operators of
virtual power plants for widely distributed generation, and network operators can collabo-
rate and share information.
Public Key Infrastructure (PKI) technologies were the foundation of Metke and Ekl’s [30]
suggested security system for smart grid networks. PKI relates public keys to user identities
via the use of digital certifcates. They suggested that PKI standards be created for use by the
critical infrastructure sector, and these standards would be used to set criteria for the PKI
operations of energy service providers. Blockchain was suggested by Mylrea and Gourisetti
[31] for enhancing smart grid resilience. This concept uses smart contracts and Blockchain
as intermediaries between electricity providers and users to lower costs, expedite transac-
tions, and enhance the security of the generated transaction data. The identity-based (ID-
based) security strategy developed by Ye et al. [32] was intended to give utility frms the
greatest level of privacy control over the information that is generated and to enable the
Internet Communication (ICT) framework to accommodate more users. IBSC, or ID-based
encryption, is the main component of this method. This method concurrently performs
the tasks of a digital signature and encryption. The triple bottom line idea serves as the
foundation for this essay, which focuses on economic, environmental, and social issues.
The authors consider the economic, social, and environmental aspects while also taking
into account the cost and efectiveness of public infrastructure, social welfare, and top-level
design challenges.

10.4 Contributions of Blockchain to Smart Grid

Blockchain technology can signifcantly improve the critical infrastructure of the smart
grid. Presently, the smart grid incorporates information and communication technologies
(ICTs), sensors, and intelligent AI/ML technologies into the power grid for improving the
Comprehensive Survey on Blockchain-Integrated Smart Grids 219

energy efciency and the safety of the grid. Several numbers of smart devices are deployed
throughout the smart grid to efciently control and manage energy generation, transmis-
sion, distribution, and consumption. However, traditional centralized approaches face criti-
cal challenges to efectively manage these smart devices and maintain security and stability
of the smart grid. Blockchain technology can bring several benefts to the smart grids as
shown in Figure 10.10. Especially, Blockchain can be integrated into smart grid systems for
energy management, energy trading, security, privacy, microgrid management, and electric
vehicle management [33].
We have discussed numerous Blockchain application categories and how Blockchain tech-
nology advances the smart grid in this chapter. According to several academics and business
leaders, the emergence of Blockchain technology will potentially adopt advanced develop-
ment and streamline the switch to the smart grid. Some smart grid systems have historically
been built on decentralized technologies [34]. The electrical grid’s integration of electric vehi-
cles, energy storage technologies, and renewable energy sources has sparked extensive study
of new control techniques to handle these problems [35]. Researchers from academics and
industries are interested in investigating and applying Blockchain technology in smart grids
because of its many compelling advantages [36]. The following categories could be used to
categorize blockchain applications in the smart grid’s various components [21]:

• Power Generation: The dispatching agencies now have complete real-time understanding
of the total functioning state of the power system thanks to Blockchain technology. They
can then create dispatching plans that would optimize their revenues thanks to this.
• Power Transmission and Distribution: By using Blockchain technology and automation,
the control centers can have systemic decentralization that does away with the major
drawbacks of conventional centralized systems.

Figure 10.10 Blockchain technology in smart grid applications.

220 Secure and Smart Cyber-Physical Systems

• Power Consumptions: Like the management of the generating and transmitting sides,
this area could beneft from the management of energy trading between prosumers, vari-
ous energy storage technologies, and electric vehicles.

10.4.1 Blockchain for Advanced Metering Infrastructure

The advancement of Advanced Metering Infrastructure (AMI) and the widespread deploy-
ment of smart meters have revolutionized the way utility companies, customers, and manu-
facturers interact within the smart grid network. The two-way communication enabled
by smart meters allows for a more connected and dynamic energy ecosystem. Since smart
meters can collect comprehensive data on energy production, use, status, and diagnostics,
they are more advanced than conventional meters. Billing, user appliance control, tracking,
and debugging are all common uses for these data. These frequent data transfers yet occur
across a wide area network and are kept either in a customary centralized storage system or
in the cloud. The existence of the centralized system could be problematic in and of itself,
with prospective alterations posing hazards, privacy issues, and single points of failure.
Furthermore, more connections to a central system may result in scalability, availability,
and reaction time problems. The smart grid system’s electric vehicles and smart meters also
generate a signifcant amount of payment records and data about energy use, which are
often shared with other entities for billing, trading, and monitoring. However, in such a
complicated system, widespread data sharing poses serious privacy risks because middle-
men, brokers, and trusted partners may use the data to reveal personal information about
people’s identities, whereabouts, patterns of energy generation and use, energy profles, and
amounts charged or discharged. Another problem is the question of trust between produc-
ers, consumers, and centralized parties. As a result, it could be challenging for producers
and consumers to accept fairness and openness from centralized parties. Understanding
how to build a trustworthy, secure, and decentralized AMI system is essential.
Here, we review some pertinent Blockchain studies on AMI. The authors in [37] explore
and apply Blockchain technology and smart contracts for the security and robustness of the
smart grid. To reduce costs, enhance transaction rates, and improve transaction security,
the contracts will act as a middleman between energy providers and consumers. After a
transaction has taken place, a smart meter linked to a Blockchain network will send the
record to create a new block in the distributed ledger and attach a timestamp for potential
later verifcation.
The authors in [38] propose a permissioned Blockchain and edge-computing-based
model for providing privacy protection and energy security. They utilize the permissioned
Blockchain to provide the privacy of all participants and decentralized data storage and
protect against malicious activities within the communication channels and central clouds.
Figure 10.11 illustrates the layered activities in their proposed Blockchain system, where
three entities such as edge devices, super nodes, and smart contract servers are introduced
for ensuring the correctness and trustworthiness within the Blockchain system. Here, the
super node is a special type of node which is authorized to choose nodes from the list of
edge nodes to participate in consensus and voting process. An edge node is considered as
either a regular user or a voter, which is like a node in a classic Blockchain system. Prior
to joining the voting process, the super nodes need to validate the identities of edge nodes
through identity authorization and covert channel authorization methods to ensure that the
voting nodes are non-malicious and less likely to be compromised by the 51% attack. Smart
Comprehensive Survey on Blockchain-Integrated Smart Grids 221

Figure 10.11 Layered activities in the proposed [38] permissioned Blockchain system.

contract is implemented in a Blockchain server, called smart contract server. This smart
contract contains the optimal solution to energy resource allocation for the electricity users
by considering three elements, including energy consumption, latency, and communication
security. However, there will be a point of integrity concern due to compromisation of the
super node [7].
In [26], the authors introduce a demand-side management paradigm for the autonomous
and decentralized operation of smart energy networks. In this method, a decentralized, safe,
and automated energy network is built using the Blockchain so that each of its nodes can
function independently of DSO control or centralized supervision. It is also used to tamper-
proof the blocks of data on energy usage that can be obtained from smart meters. The smart
contract, on the other hand, is made to provide decentralized control, set up incentives or
sanctions, validate demand response contracts, and implement rules for achieving a balance
across demand of energy and production on the power network side. Using information
from the energy generation and consumption records of UK buildings, a prototype devel-
oped on the Ethereum Blockchain platform is utilized to validate and test this concept. The
fndings show that this model is able to create energy fexibility levels that allow for rapid
demand adjustments in close to real time and to validate all demand response contracts.
But it is not made apparent how the anonymity of the energy profle was preserved on this
public Blockchain. The user can be identifed by looking at the publicly accessible transac-
tions. Table 10.3 presents the survey on AMI security.

10.4.2 Blockchain in Decentralized Energy Trading and Market

Because energy and information may be sent in both directions, consumers can also gener-
ate. It is anticipated that the smart grid would support an increasing number of producers,
consumers, and prosumers (producer + consumer) in distributed energy-trading situations.
222 Secure and Smart Cyber-Physical Systems

Table 10.3 AMI Security Surveys Compared for Relevance

Ref. Year Objective Remark

[39] 2020 A summary of attacks and Only focuses on smart meter-specific

mitigation strategies focusing attacks.
just on smart meters, which are
found in an AMI’s hardware layer.
[40] 2016 Examines current academic Exclusively employs IDS as a defense
intrusion detection systems strategy.
(IDSs) and other AMI
methodologies and analyzes
potential dangers to an AMI.
[41] 2016 Introduces several privacy and Focuses solely on the confidentiality of
cybersecurity risks in smart data exchanged via AMI channels.
grids.
[42] 2015 When sending data via an SG Does not cover the weaknesses of the
network, reviews of current key AMI system components or the
authentication mechanisms attacks that are related to them, instead
and mutual authentication are concentrating primarily on authentication
required. and access control approaches.
[43] 2015 Assessment of network Only focuses on difficulties with smart
vulnerabilities, attack defenses, meters and the UC in an AMI about
and cybersecurity for smart grid authentication and privacy.
and AMI.
[44] 2015 Examines software, hardware, Solely addresses the attack surface of an
and network configurations to AMI, and not assaults, vulnerabilities, or
identify potential cyberattack how to protect the AMI networks.
surfaces.
[45] 2014 Presents concerns around the Focuses only on the HAN, which is one
security of smart home and tier of an AMI.
smart grid.

Figure 10.12 Blockchain technology to optimize P2P energy.

Comprehensive Survey on Blockchain-Integrated Smart Grids 223

To achieve benefts including lowering load peaks, reducing power loss in transmission, eas-
ing the strain on the power grid to support green systems, and balancing energy supply and
demand, they should be capable of trading their localized generation or more power from
distributed sources with one another. The processes required for organizing bids, negotiat-
ing contracts, and carrying them out between parties must therefore be included in energy
trading. Energy can also be exchanged directly and easily between consumers and produc-
ers. Without the involvement of middlemen, this direct energy trading can boost the benefts
for all parties and is advantageous for the adoption of renewable energy sources. With cur-
rent methods, however, customers and producers can only communicate with one another
informally through a huge number of middlemen and retailers, which may provide several
issues and challenges. Due to the additional operational and regulatory costs, consumers,
manufacturers, and prosumers eventually pay for them. Inefective, dishonest, or malicious
intermediaries also produce a market that is not competitive, has little transparency and
justice, and has monopoly incentives. A Blockchain is a valuable tool for building a more
transparent and decentralized energy market and trading system due to its salient features.
Figure 10.12 shows how Blockchain technology can be used to optimize P2P energy [46].
Li et al. [47] ofer a peer-to-peer (P2P) energy trading system and an energy token to as-
sure the security and decentralization of energy trade in a variety of situations, including
energy harvesting, microgrids, and vehicle-to-grid networks [48]. They achieve this by com-
bining Stackelberg game theory, credit-based payment systems, and consortium Blockchain
technology. The credit-based payment mechanism is used to address the problem of trans-
action confrmation latency, which is very likely with PoW-based Bitcoin. Peer nodes in this
system can send payments more rapidly and efciently than Bitcoin by requesting energy
coin loans from credit banks depending on their credit scores. A loan pricing approach that
maximized profts for the credit banks was developed for this scheme using the Stackelberg
game theory. The planned energy Blockchain prototype is not employed in this work, nor
is there formal proof of the double-spending attack.
The developers of [49] introduce PriWatt, a decentralized token-based system that is
based on Bitcoin and built on top of it. The purpose of PriWatt is to address the issues that
arise in the smart grid energy trading system while safeguarding user identity privacy and
transaction security. Multi-signature functionality, anonymous encrypted message streams,
and smart contracts with Blockchain support are all part of this system. PriWatt helps buy-
ers and sellers to conduct complex energy price bids and discussions while preventing mali-
cious activity with the use of the contracts defned in the smart contract. For bidding and
negotiating, the anonymous communications stream technique is used. The use of multiple
signatures helps prevent theft, and at least two other participants must sign a transaction
for it to be valid. Additionally, they use PoW for consensus like bitcoin to protect against

Table 10.4 A Comparison of State-of-the-Art Research Articles on Blockchain-Based P2P Energy

Trading

Ref. Cost and Optimization Secure against Security Scalable Performance

Energy Applied Attacks Analysis Analysis
Optimized

[51] ✓ ✓ ✗ ✗ ✗ ✗
[48] ✓ ✓ ✗ ✗ ✓ ✗
[52] ✗ ✗ ✓ ✗ ✓ ✓
[53] ✓ ✓ ✗ ✗ ✓ ✓
224 Secure and Smart Cyber-Physical Systems

Byzantine failures and the risks of double spending. There isn’t a thorough explanation of
which nodes implement Proof of Work (PoW), how miners will do so, or what the rewards
are for mining correctly [50].

10.4.3 Use of Blockchain to Monitor, Measure, and Control

The current smart grid cyber-physical system (CPS) is built on a central SCADA system that
is hierarchically coupled with various components like MTUs, RTUs, PMUs, and a variety
of sensors. Power grids are regularly managed and monitored using the SCADA system.
Once it is connected to the Internet, the SCADA system will improve large-scale distributed
monitoring, measuring, and control. IoT smart devices, sensors, and PMUs regularly gather
and share status information on power equipment with MTUs through RTUs, which are
thought of as central repositories and control centers. The smart grid system enables intel-
ligent control, wide-area monitoring, and governance to better manage grid safety, stabil-
ity, and reliability as well as monitoring power theft and loss, making it feasible for CPS
components, various grid operators, suppliers, and consumers to exchange fne-grained
measurements. However, malevolent attackers or insiders can conduct cyberattacks in a
variety of ways, including by modifying data in central controllers, launching an availability
assault, and injecting phoney data through sensors and PMUs. As a result, the attacker can
hijack control channels and issue nefarious orders. Blockchain has opened new possibilities
for tracking, measuring, and managing the decentralized smart grid system [7].
Figure 10.13 shows how diferent Blockchains can be applied in diferent smart grid lay-
ers for the data protection [54]. Here, each layer of the smart grid is managed by separate
Blockchain aggregator. The Blockchain ofers a secure and reliable data-storing platform for
protecting the smart grids. Further, it reduces the possibilities of certain types of malicious
attacks by providing a higher level of anonymity and privacy to users (including producers,

Figure 10.13 Blockchain to monitor, measure, control, and protect.

Comprehensive Survey on Blockchain-Integrated Smart Grids 225

consumers, and prosumers) within the Blockchain environment. Subsequently, it increases

the resilience of the electrical power system.
The focus of the authors of [55] is industrial control system data security (ICS). Plant
operational data will be more secure if ICS-BlockOpS, a Blockchain-based architecture, is
implemented. By employing Blockchain technology, this architecture is primarily designed to
address two important ICS problems, namely immutability and redundancy. The Blockchain’s
tamper-proof design makes it possible to guarantee data immutability. On the other hand, a
Hadoop Distributed File System-inspired efcient replication technique with assistance from
Blockchain is also ofered to ensure data redundancy (HDFS). However, there aren’t any de-
bates about how to handle malicious or compromised nodes that inject false data or how the
Blockchain network would function with sensors and actuators that have restricted resources.
In Ref. [56], a monitoring system for smart grids based on Blockchain and smart con-
tracts is presented to guarantee the security and transparency of energy usage. Utility com-
panies, consensus nodes, and smart meters are three diferent types of nodes that make
up this Blockchain network, each with a specifc role. The Blockchain network frequently
receives electronically measured energy information from smart meters belonging to con-
sumers. Contrarily, the consensus nodes are in charge of maintaining the records of energy
usage, verifying to produce new blocks, publishing them to the main chain, and preserving
the particular subscription data supplied by utility companies. These nodes produce brief
forms for each user, including meter IDs and other consumer data, prior to constructing
new blocks, but before doing so. Following inspection, approval, and audit by consensus
nodes, these forms are subsequently transformed into blocks. In this case, a system of im-
mutable data records is created for utilizing the Blockchain to safeguard smart meter data
records from tampering by utility companies and consumers.
To address the challenges of traditional cloud-based architecture, the authors in [57]
propose a Blockchain-based decentralized CPS architecture as depicted in Figure 10.14.
The sensing layer is responsible for collecting and processing the data using sensor and
computing devices. The next layer is responsible for the cryptographic operations on the
data, generating blocks and recording them in the distributed ledger. The third layer stores
the entire Blockchain in a distributed and synchronized manner. In order to connect each
layer, the fourth layer implements the underlying technologies including distributed algo-
rithms and data storage technology. The ffth layer is responsible for the services to the users
including real-time monitoring and failure prediction. The authors show that the proposed
architecture ofers better security and privacy as compared to the traditional cloud-based ar-
chitecture. However, they do not identify the responsibilities of lightweight nodes and the
nodes which are responsible for performing PoW.

10.4.4 Use of Blockchain in Microgrid

The control of microgrids is turning into a critical challenge with the integration of many
distributed energy supplies (DERs). Experts are focusing on the need for demand-based
microgrid control and optimal operation these days [58]. Similarly to this, Blockchain tech-
nology has been used in the industry because of its prospective advantages. A DER schedul-
ing technique relying on Blockchain technology is described in [59]. Here, DERs can all be
trusted because of the secure environment created by the usage of Blockchain technology.
Although Blockchains are getting a lot of attention as a platform for distributed computation
and data supervision, Münsing et al. [60] propose a Blockchain and smart-contract-assisted
226 Secure and Smart Cyber-Physical Systems

Figure 10.14 Blockchain-based CPS architecture proposed in [57].

architecture to support distributed optimization and control of DERs in microgrids where

the decentralized optimal power fow (OPF) model for DERs is used. The proposed ar-
chitecture utilizes the Blockchain for making the system decentralized by distributing the
role of microgrid operators across all entities and providing fair energy trading without
the need for a traditional utility company or microgrid operator. To schedule the battery,
shapeable, and deferrable electric loads in the network, OPF model employs the alternating
direction method of multipliers (ADMMs) technique. Here, the smart contract is used as an
ADMM coordinator. The proposed architecture makes the payment transaction secure and
automatic while it keeps the optimal schedule on the blocks. However, the authors do not
consider the uncertain data and how to build trust among non-trusted entities [7].
In [61], the authors propose an autonomous Blockchain-assisted P2P and M2M energy trad-
ing system named SynergyGrids to improve the social utility and overall benefts of prosumers
Comprehensive Survey on Blockchain-Integrated Smart Grids 227

and consumers in the microgrids. The proposed system ofers secure energy trading between
the peers within the microgrids and the peers from diferent microgrids using smart contracts.
The authors also present the pricing mechanism that ensures the increase in utility of the partic-
ipants by considering the total available energy, the usage, and the distance between consumer
and prosumer for cost calculation. As depicted in Figure 10.15, the main components of the
proposed model are: (i) Prosumers/consumers:—responsible for selling/buying the energy;
(ii) microgrids:—responsible for fulflling the local energy demands; (iii) utility grids:—the
main grids that facilitate energy transfer; (iv) blockchain:—responsible for decentralization.
The authors in [62] propose a distributed proportional-fairness control scheme for
DERs in microgrids using Blockchain and smart contracts. The proposed scheme consid-
ers a group of DERs acting as voltage regulators and reduces the penetration and sacrifces
their revenue over control periods for balancing the voltage regulations. The authors also
introduce a principle based on the exchange of credits for providing incentive to the DERs
for fair participation in voltage regulation. However, they do not include any punishment
mechanism for the fraudulent transactions [7]. The authors in [63] also address the volt-
age regulation problem where they present a Blockchain-based transactive energy system
(TES) and pay the attention to punish for the fraudulent activities or provide incentives
for voltage regulation services. However, they do not pay any attention to the consensus
mechanism [7].
In [64], the authors address the traditional microgrid transaction management problems
due to centralized trading system such as (i) trust issues between transaction center and trad-
ers (ii) fairness, transparency, and efectiveness of information for transaction centers; and
(iii) threats to transaction security and the interests of traders. Therefore, they propose
a decentralized electricity transaction mode based on Blockchain and continuous double
auction (CDA) mechanism to support independent and direct P2P transactions between
distributed generations and consumers in the microgrid energy market as illustrated in
Figure 10.16. In this technique, initially, buyers and sellers can present quotes to the CDA

Figure 10.15 Blockchain-supported distributed microgrid energy trading proposed in [61].

228 Secure and Smart Cyber-Physical Systems

Figure 10.16 The overall structure of microgrid electricity transactions proposed in [64].

market according to an adaptive aggressiveness (AA) strategy and adjust quotes dynami-
cally according to the market information. Afterward, the buyers and sellers accomplish the
digital proof of energy trading by using multi-signature and Blockchain. Here, Blockchain
provides security of the transactions whereas the multi-signature ensures protection against
any manipulation of a contract between the buyer and seller. However, the authors do not
consider how rich-rule problem of Proof of Stake (PoS) can be addressed [7]. We reach the
stage where diferent Blockchain applications are available depending on the type of mi-
crogrid that is being used, such as an AC microgrid, DC microgrid, or hybrid AC-DC MG
[25, 65–76] as presented in Table 10.6.

10.4.5 Blockchain Applications in Electric Vehicles

The integration of electric vehicles (EVs) into the smart grid ofers numerous benefts that
contribute to a more sustainable, resilient, and efcient energy future. An EV can store and
exchange energy with the charging stations, home, and other neighboring EVs in P2P manner.
This leads to four scenarios, i.e., Vehicle-to-Vehicle (V2V), Vehicle-to-Home (V2H), Vehicle-
to-Grid (V2G), and Grid-to-Vehicle (G2V). Due to short range communications and mobility
of EVs, it introduces new security and privacy issues. Figure 10.17 illustrates an overview how
smart contract can be used for secure purchasing and selling the energy between them.
In [77], the authors propose a secure EV-charging framework based on smart contract that
is, integrated renewable energy sources and smart grids. They utilize permissioned Block-
chain system and the contract theory to design and implement optimal smart contracts and
Table 10.6 Blockchain for Sustainable Microgrids: A Summary

Ref. Subdomain Objectives Solutions/Results Technologies Advantages/ Challenges

Opportunities

[65] Local market for Converting all Flow of money and Public Blockchain Authenticating Governmental
energy banking-based energy based on funds and policies,
transactions to Blockchain automating commercial
cryptocurrenc transaction concerns, and
y-based control technological
transactions limitations
[25] Microgrid, smart Maximizing energy Decreased electricity A private Blockchain Optimal electricity Implementing

Comprehensive Survey on Blockchain-Integrated Smart Grids

grid, and local efficiency and costs and optimized using the PoW prices for each scheduling
energy market cutting down energy use, algorithm time period, as algorithm for a
on electricity particularly during well as a balance large-community
expenditures. peak hours between local private Blockchain
energy demand
and production
[66] Microgrid/smart Reducing the price Mechanism for a Private Blockchain - Selling oversupply
grid of electricity decentralized
market
[67] Microgrid and P2P energy Lower electricity Public Blockchain Control over Political restrictions,
local energy exchanges prices energy flows and commercial
market
[68] Microgrid and P2P energy Suggested frameworks Solc, Mocha, React. Framework 1 is less A smart contract’s
local energy exchanges are semi-centralized js, Next.js, Ganache flexible, more restrictions
market and decentralized. Meta Mask, secure, and using
Ganache- cli, and more transactions
Web3 Framework 2
is less secure
and using fewer
transactions.
[69] Microgrid/smart Ensure security and Proposed architecture Either public or Resistance to Security for
grid reach agreement private Blockchain attacks transaction
when cyber-
attacks happen.

(Continued)

229
Table 10.6 (Continued)

230
Ref. Subdomain Objectives Solutions/Results Technologies Advantages/ Challenges
Opportunities

Secure and Smart Cyber-Physical Systems

[70] Microgrid Improve the Model suggested/ Private Blockchain Lower import Efficiency and
microgrid’s optimized energy prices security in
electricity flow flow communications
[71] Renewable Energy Proposed framework Blockchain can be - Infrastructure for
energy conservation and methods private or public technology and
investment costs
[72] Local energy P2P energy Proposed trading Blockchain technology Promote peer-to- Concerns about
market/ exchanges framework for multi- can be public or peer energy hazards and
microgrid agent cooperation private. transfers security
and sharing of the
energy Internet
[73] Microgrid and P2P energy Envisioned trading Private Blockchain Transparent Political restrictions,
local energy exchanges environment transactions commercial
market concerns, and
technological
constraints
[74] Hybrid AC–DC Increased safety Proposed structure Public Blockchain Increased safety Restrictions on
microgrid power injection
[75] DC microgrid Energy Proposed structure Either public or Maximum use of Political restrictions,
conservation private Blockchain renewable energy commercial
concerns, and
technological
constraints
[76] Hybrid AC–DC Energy Proposed structure Private Blockchain Energy efficiency Political restrictions,
Microgrid conservation and safe commercial
transactions concerns, and
technological
constraints
Comprehensive Survey on Blockchain-Integrated Smart Grids 231

Figure 10.17 Smart contract-based secure energy trading in EVs.

a novel energy allocation algorithm. They also utilize delegated Byzantine fault tolerance
(DBFT) for achieving an efcient and fast consensus. Here, the framework allows only the
preselected EVs to participate in auditing and creating a new block. However, the authors do
not present any discussion on who is responsible for validating the transactions issues [7]. The
authors in [78] propose a Blockchain-assisted charging coordination mechanism for charg-
ing the energy storage units (ESUs) including EVs in a realizable, transparent, and decentral-
ized manner from the utility providers. The utility providers and energy storage units are
connected with the Blockchain network. The charging request containing its demand, state
of charge, and time to complete the charge, needs to be sent by each ESU to the Blockchain
network. However, the authors do not present any consensus mechanism [7].
The authors in [79] propose a transparent, autonomous, and privacy-preserving tech-
nique to search the cheapest and viable charging stations for EVs based on energy prices
and the distance. The bid request needs to be sent to the Blockchain network. The Block-
chain protects the EVs’ identity privacy and hides their geographical location, makes veri-
fable, and increases the transparency of bidding requests. In [80], the authors present a
security model for decentralized EV-charging management to provide the security of EVs.
This model introduces the lightning network and Blockchain network. Initially, the light-
ning network is set up for the registration of the EVs, charging piles, and operator. This
network is responsible for helping the Blockchain network by creating trust among the
participants and ensuring the security of payments.

10.4.6 Blockchain Applications in Cyber-Physical Security

The development of the smart grid led to several faws that make it possible to manipulate
or attack several of the cyber-physical smart grid’s components. A thorough analysis of
the results of various attacks in [81] suggests that cyber and physical attacks are closely
232 Secure and Smart Cyber-Physical Systems

related and should be treated as a single entity. A further explanation of the many features
and historical context of the numerous cyber-physical security problems in the smart grid
is provided by Gupta et al. [82]. There are many diferent types, efects, and impacts of
cyber-physical attacks, including time synchronization [83], GPS spoofng [84], and denial-
of-service (DOS) [85] attacks.
To strengthen the grid’s defense against cyber-physical threats, many Blockchain solu-
tions have been thoroughly studied. A general summary of the various Blockchain security
mechanisms is provided in [86]. The authors in [87] discuss on the use of Blockchain tech-
nology to enhance the security, dependability, and safety of the electricity grid using the me-
ters as nodes in a distributed network that records the readings of the meters as individual
blocks in the chain. In [24], the authors utilize a network built on the Blockchain so that
the customers can monitor electricity use without being concerned about outside infuence.
The work in [37] makes use of smart contracts to improve the cyber resilience of secure
transactive energy applications and smart grids. This is also highly helpful for applications
that involve trading in energy. The importance of utilizing Blockchain technology to cre-
ate a trustworthy network for the usage of intelligent electric car operations was examined
by Kim [88]. Many cyberattacks can be avoided by his plan before they have an adverse
impact. Every home has a smart meter installed as part of the smart grid, which collects
real-time data on electricity consumption for use by the utilities.
In [89], the authors examine how Blockchain technology can improve smart grid security
and privacy. It suggests using Blockchain technology in smart grids for peer-to-peer energy
trading, data aggregation, energy distribution systems, and equipment diagnostics and main-
tenance. The authors review commercial Blockchain smart grid projects and explore the
challenges of integrating these technologies. They also highlight the benefts of incorporating
these technologies. The report analyzes Blockchain technology’s smart grid and other uses.
The authors in [7] note smart grid’s decentralization and ability to integrate green and
renewable energy technology. A smart grid integrates green and renewable energy technol-
ogy efciently. This chapter examines how Blockchain technology may address smart grid
security issues and summarizes existing Blockchain-based research in this area. The authors
also summarize the key practical projects, experiments, and products; discuss major re-
search challenges; and suggest future options for using Blockchain technology to address
smart grid security issues. This work uses cutting-edge technology to help create an ecologi-
cally conscious society.

10.5 Limitations of Blockchain and Future Research Directions

Blockchain technology has brought many benefts. However, it is important to recognize
that it also comes with limitations and challenges that need to be considered. Here are some
limitations and challenges associated with Blockchain technology [54]:

• Costlier: The nodes in Blockchain receive rewards for their eforts in processing trans-
actions and maintaining the network in the form of transaction fees or newly minted
cryptocurrency tokens. However, the nodes can claim bigger rewards for completing
transactions in a business that follows the law of supply and demand.
• Scalability: Blockchain can face scalability issues, with an increased number of nodes
and transactions. As each transaction needs to be validated and included in the chain by
consensus among the nodes, the process becomes slower as the network grows.
Comprehensive Survey on Blockchain-Integrated Smart Grids 233

• Energy Consumption: Blockchain uses Proof-of-Work (PoW) consensus algorithm that

requires extensive computational power and leads to high-energy consumption.
• Data Storage: Blockchain stores all transaction data across all nodes in the network,
which can lead to challenges in terms of storage requirements, especially for Blockchains
with extensive transaction histories.
• Error Risk: Even though the Blockchain is an extremely safe technology, there is always
a risk when humans are involved.
• Transaction Costs: The cost of Blockchain transactions can be very high, especially dur-
ing the peak times of network congestion.
• Lack of Interoperability: There are several Blockchain platforms with diferent protocols
and standards, resulting in a lack of interoperability. This limits seamless data and as-
set transfers between diferent Blockchain networks, hindering broader adoption and
integration.
• Security Risks: While Blockchain technology is known for its robust security features,
it is not completely immune to security risks and vulnerabilities. Centralization risks,
51% attacks, and vulnerabilities in smart contracts can all pose threats to Blockchain
networks.

Blockchain technology has the potential to reshape the energy industry and contribute
signifcantly to global energy sustainability if we can address the following challenges in
future:

• Scalability Solutions: We need to focus on developing scalable Blockchain architecture to

manage a large number of transactions efciently. We need to explore sharding, of-chain
solutions, and layer-two protocols for enhancing transaction throughput while maintain-
ing the network security and decentralization.
• Interoperability: There are numerous Blockchain platforms, each with its unique fea-
tures, protocols, and standards. Ensuring interoperability between the smart grid systems
and Blockchain networks is critical. We need to work on protocols and standardization
before deploying Blockchain networks to the smart grids for enabling seamless data and
asset transfers between heterogeneous Blockchain networks.
• Privacy and Security Enhancements: Advancements in cryptographic techniques and
privacy-preserving technologies need to be incorporated for protecting user privacy
and sensitive data while maintaining the transparency and auditability benefts of
Blockchain.
• Smart Contract Security: We need to minimize the vulnerabilities and ensure secure ex-
ecution of automated agreements by improving the security of smart contracts. Tech-
niques like formal verifcation, advance cryptographic techniques, and auditing tools
need to be developed for enhancing the reliability of smart contract.
• Distributed Energy Management: We need to design and develop advance distributed
energy management systems for leveraging Blockchain technology to optimize energy
distribution, consumption, and storage in a decentralized manner.
• Energy-Efcient Consensus Mechanisms: PoW-based Blockchains require extensive com-
putational power and consume high energy. Future research will explore alternative con-
sensus mechanisms that are more energy-efcient, such as Proof of Stake (PoS) variants
and other novel consensus algorithms, to reduce the environmental impact of Blockchain
technology smart on grids.
234 Secure and Smart Cyber-Physical Systems

• Incentive Mechanisms and Market Design: We need to design efective incentive mecha-
nisms for energy producers and consumers to participate actively and contribute to the
stability and efciency of the grid.
• Real-World Implementations and Case Studies: We need to focus on pilot projects to
evaluate the efectiveness, scalability, and impact of Blockchains on energy systems while
integrating Blockchains to real-world applications of smart grids.
• Regulatory Compliance and Policy Implications: We need to focus on how Blockchains
in smart grids can adopt existing and evolving energy policies, regulations, and environ-
mental goals. In future, the policymakers need to address the issues related to energy
market regulations, data privacy, and environmental impacts.

10.6 Conclusion
The application of Blockchain technology to smart grids is an emerging and rapidly evolving
area of research that is gaining signifcant attention from researchers, industry stakeholders,
and policymakers. The integration of Blockchains with smart grid systems holds the potential
to revolutionize the energy sector by addressing various challenges and unlocking new op-
portunities. In this chapter, a comprehensive study of Blockchain applications to smart grids
has been presented. First, we have presented a background of Blockchain and its classifca-
tion, working principle, characteristics, and applications. Then, a number of recent research
works proposed in diferent literatures on Blockchain integration into smart grid systems
for energy management, energy trading, security and privacy, microgrid management, and
electric vehicle management have been presented. Finally, we have presented the limitations
of Blockchain and future research direction of applying Blockchain in smart grids.

Acknowledgment
This work is supported by the Visiting Faculty Research Program (VFRP) with the Infor-
mation Assurance Branch of the AFRL, Rome, NY, United States, and the Information
Institute (II). Any opinions, fndings, and conclusions or recommendations expressed in this
material are those of the authors and do not necessarily refect the views of the Air Force
Research Laboratory.

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Secure and Smart Cyber-Physical Systems

Cybersecurity is a paramount concern in both Internet of Things (IoT) and Cyber-Physical

Edited by Uttam Ghosh, Fortune Mhlanga,

Boca Raton London New York

CRC Press is an imprint of the

ISBN: 9781032453828 (hbk)

To my wife Pushpita and our two children Dhriti and Shriyan—

1 Machine Learning and Deep Learning Approaches in

2 Securing Cyber-Physical Systems Using Artifcial Intelligence 30

3 Toward Fast Reliable Intelligent Industry 5.0—A Comprehensive Study 56

4 Software Development for Medical Devices: A Comprehensive Guide 81

5 6G Communication Technology for Industry 5.0: Prospect,

6 Cyber-Physical System in AI-Enabled Smart Healthcare System 118

7 Service-Oriented Distributed Architecture for Sustainable Secure

8 A Comprehensive Security Risk Analysis of Clif Edge on

9 Securing Financial Services with Federated Learning and Blockchain 178

10 A Comprehensive Survey on Blockchain-Integrated Smart Grids 208

Aim and Scope of the Book

Contents of the Book

Chapter 3: Toward Fast Reliable Intelligent Industry 5.0—A Comprehensive Study

Uttam Ghosh joined Meharry Medical College, Nashville, Tennessee,

Fortune Mhlanga is a proven leader with a strong track record of

Danda B. Rawat is Executive Director, Research Institute for Tactical

Sourav Banerjee Uttam Ghosh

Koushik A. Manjunatha Deepsubhra Guha Roy

DNS: Domain Name System

Machine Learning and Deep Learning

DOI: 10.1201/ 9781003376712-1

1.2 Cyber-Physical Systems

Figure 1.1 CPS–IoT connection.

Figure 1.2 CPS/IoT overlap models.

1.2.1 Data Characteristics

1.2.2 Computing Framework

Figure 1.3 IoT computing framework.

1.3 Machine Learning

6. K-means clustering: It is an unsupervised learning model which involves dividing the

1.3.2 Feature Extraction Techniques

Model Learning Category Input Data Characteristics Sample Applications

Machine Learning and Deep Learning Approaches

Table 1.2 Comparison of CCA and PCA

Method CCA PCA

Objective Maximizes correlation between Maximizes variance in a single dataset

Figure 1.4 Backpropagation algorithm for FC-DNN.

Figure 1.5 CNN architecture.

Figure 1.6 RNN architecture.

Figure 1.7 LSTM cell.

Figure 1.8 Autoencoder architecture.

min ((X, X̂ ) = ||X − D(E(X))||2

D, G)  x~ pdata (x)[log(D(x))]   z~pz (z)[log(1  D(G(z))))]

Figure 1.9 GAN structure.

Figure 1.10 RBM structure.

Figure 1.11 DBN structure.

1.4 CPS Applications

1.4.1 CPS Infrastructure Security

Model Learning Input Data Characteristics Sample Applications

FC-DNN/ Supervised Various  It is a fully connected network  Detection of distributed

Machine Learning and Deep Learning Approaches

Secure and Smart Cyber-Physical Systems

1.4.2 Critical Infrastructure

1.5 Adapting ML models

1.5.1 Model Compression Techniques

Figure 1.12 Pruning technique.

Figure 1.13 Knowledge distillation.

1.6 Open-Ended Research Challenges and Future Directions

1.6.1 Data Scarcity and Scalability for DL Models

1.6.2 Sensitivity and Security of ML and DL Models

1.6.3 Adversarial ML and Cyber Threats

1.6.4 Legislative Challenges for ML in Security

1.6.5 Explainability of ML and DL Methods in CPS

[5] C. Wirth, R. Akrour, G. Neumann, and J. Fürnkranz, “A Survey of Preference-Based Reinforce-

[70] C. Badue, R. Guidolini, R. V. Carneiro, P. Azevedo, V. B. Cardoso, A. Forechi, L. Jesus, R. Ber-

Securing Cyber-Physical Systems Using

hybrid structure comprising distributed asynchronous heterogeneous networks operating in

• Smart Connection Level: Gathering data from machines or components in an expedient,

2.2 CPS Description

2.3 CPS Architecture

FC-DNN/ Supervised Various It is a fully connected network Detection of distributed