1. 1 Using Certified Policies to Regulate E-Commerce Transactions Victoria Ungureanu Rutgers University

2. 2 The Problem  Ensuring that actions of agents involved in e-commerce conform with a-priori established contracts.  A contract example: An airline company, say FlyAway, agrees to sell discounted tickets to a travel company, say TravelRUS, subject to the following provisions:  The purchases are to be made between January 1 2005 and June 30 2005;  The price of each ticket is discounted by 10%;  Only agents duly certified as travel agents may buy tickets at discounted prices.

3. 3 The Problem (cont.)  An enterprise is bound by a potentially large number of disparate contracts: Ex: Wall-Mart, Ford, Daimler-Chrysler, GM have in excess of 20,000 suppliers operating under different contracts;  New contracts are continuously being established, and previously established contracts end.  A contract has a limited, predefined validity period.

4. 4 The Problem (cont.)  Contracts may be annulled for various reasons For example: the travel agency is bankrupt.  Contracts may be revised For example: the travel agency establishes a new certifying authority which issues certificates for sale representatives;  Contracts may be stateful: Examples of stateful contract provisions:  Only a limited number of tickets, say 100, may be purchased at the discounted price.  FlyAway accepts reservations. A PO for a reserved ticket is honored only if made within 24 hours from the reservation.

5. 5 The Problem (cont.)  Need to support a large set of autonomous, evolving and stateful contracts.  Current access control mechanisms deal mostly with monolithic, relatively stable, stateless policies.

6. 6 Traditional Approaches  Have a dedicated server for each contract: Problematic, if the number of contracts is large  Combine all contracts in a super policy: The super policy is difficult to construct if the number of contracts is large; The super policy needs to change every time a new contract is established, or a contract ends; The super policy needs to change when a contract is anulled or revised.

7. 7 Overview  Motivation  Certificates  Certified policies  The enforcement mechanism  Conclusion

8. 8 A Necessary Parenthesis: Certificates  Are used to prove certain attributes regarding the owner: Ex: the owner is John Doe, and he is employed by TravelRus, and he is a travel agent;  Are signed by a certification authority;  Are presented by the owner to gain certain rights  Are valid for a limited time period;  May be revoked for various reasons;

9. 9 Certificate-based Authorization server request certificates granted denied Policy Alice request certificates Eve

10. 10 Contract Enforcement  Idea: a client presents the policy embedding contract terms together with other credentials. server granted denied request certificates Policy certificates request Policy

11. 11 Certified Policies (CPs)  Are obtained by: expressing contract terms in a formal, interpretable language; certifying the contract terms, by signing them by an authority, trusted by the parties involved in the contract.  Advantages: no need for composing a super policy, nor for establishing a dedicated server for each contract;

12. 12 The Elements of a Certified Policy  Id  Validity period  Revocation server  Version number  Repository  Initial control state  State server  Rules formalizing contract terms regarding access and control regulations

13. 13 Deployment of Certified Policies  Traditional certificates are maintained by repositories;  Similarly, an enterprise can: Express the contracts it is involved in as certified policies; Store certified policies on designated repositories, from where agents may retrieve them as needed.

14. 14 Contract Annulment and Revision  If a contract is annulled, the corresponding CP should be invalidated  CP invalidation may be modeled by certificate revocation;  If contract terms need to be revised this can be achieved simply by: revoking the obsolete version of the corresponding CP, deploying the new version of the CP on a repository

15. 15 System Architecture  Assumes the following trusted entities: Repositories: provide persistent storage for CPs Revocation servers: maintain and disseminate revocation information; Application servers:  Each server has an associated policy engine, called observer;  Observers verify certificates and interpret and carry out the rules of a CP;  A server is trusted to serve only requests sanctioned by its associated observer. State servers: maintain the current value of contract states.

16. 16 Enforcement of Certified Policies  application server revocation server observer request, subject-certificate(s), CP repository state server

17. 17 Cluster-based Application Servers  Application servers often use cluster architectures in order to handle effectively high volume traffic.  Cluster-based servers consists of a dispatcher and several back-end servers; dispatcher back-end server back-end server back-end server

18. 18 Effective Assignment Policies for Cluster-based Servers  The problem: short waiting periods for clients.  A (first) solution: the TDA (Type Dependent Assignment) policy  In broad outline, under TDA: A back-end server acts as state server for a set of CPs; The dispatcher assigns:  a request governed by a stateful CP to the back-end server that maintains the state of the CP.  a request governed by a stateless CP to the least loaded back-end server.

19. 19 TDA’s Performance  Gauged by running a simulation study driven by empirical data: compares TDA with Least- Connected policy; performance metric used by the study is waiting time.  The simulation models: 4 back-end servers 100 contracts uses a trace containing ~170,000 requests arriving over 200 second considers that 80% of requests are governed by stateful contracts  TDA outperforms Least- Connected by a factor of 4!

20. 20 Conclusion  Policy management operations are easy to perform: Deployment: simply store CPs on appropriate repositories. Annulment: revoke the corresponding CP; Update: revoke the previous version and deploy the new one  Easy to deploy: Uses an infrastructure already in place Requires no modifications to the infrastructure, and only minimal modifications to application servers;  Efficient enforcement.

21. 21  The papers discussing some of these topics appeared in: IEEE Cluster, December 2003; ACM Transactions on Internet Technologies, February 2005.  These papers can be found at: research.rutgers.edu/~ungurean/ Thanks!

22. 22 Certificate-based Authorization server request certificates granted denied request certificates Policy Alice Eve

23. 23 Contract Enforcement  Idea: a client presents the policy embedding contract terms together with other credentials. server granted denied request certificates Policy certificates request Policy