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Design Considerations and Architecture for a

Resilient Risk based Adaptive Authentication and


Authorization (RAD-AA) Framework
Jaimandeep Singh Chintan Patel Naveen Kumar Chaudhary
School of Cyber Security & Digital Forensics Dept. of Comp. Sci. School of Cyber Security & Digital Forensics
National Forensic Sciences University The University of Sheffield National Forensic Sciences University
Gujarat, India Sheffield, UK Gujarat, India
jaimandeep.phdcs21@nfsu.ac.in chintan.p592@gmail.com naveen.chaudhary@nfsu.ac.in
arXiv:2208.02592v1 [cs.CR] 4 Aug 2022

Abstract—A strong cyber attack is capable of degrading the The NIST [2] defines eight major objectives to achieve
performance of any Information Technology (IT) or Operational resilient security . The first objective is to prevent or avoid
Technology (OT) system. In recent cyber attacks, credential theft through which we aim to reduce the benefits an adversary
emerged as one of the primary vectors of gaining entry into
the system. Once, an attacker has a foothold in the system, gets from the attack. The next objective is prepare where we
they use token manipulation techniques to elevate the privileges prepare the critical infrastructure resources so that they can
and access protected resources. This makes authentication and perform the course of action as needed. The third objective
authorization a critical component for a secure and resilient is continue where we aim to continue the working of critical
cyber system. In this paper we consider the design considerations infrastructure in a correct dimension. The fourth objective is
for such a secure and resilient authentication and authorization
framework capable of self-adapting based on the risk scores and constrain through which we determine the level of damage to
trust profiles. We compare this design with the existing standards critical infrastructure and upgrade the resources to reduce the
such as OAuth 2.0, OpenID Connect and SAML 2.0. We then damage in future. The next objective is reconstitute where we
study popular threat models such as STRIDE and PASTA and aim to restore critical infrastructure functionalities and validate
summarise the resilience of the proposed architecture against the trust over the restored resources. The sixth objective is un-
common and relevant threat vectors. We call this framework
Resilient Risk-based Adaptive Authentication and Authorization derstand where we aim to understand the attacker, the attack’s
(RAD-AA). The proposed framework excessively increases the impact on the resources and the security level of resources.
cost for an adversary to launch any cyber attack and provides The seventh objective is transform through which functions
much-needed strength to critical infrastructure. and processes are modified to address the future attack. And
Index Terms—Federated Authentication, Delegated Authoriza- the last objective is re-architect where the architecture of the
tion, Cyber Resilience, Adaptive Engine, Identity Management
Systems, Threat Models, secure architecture and framework,
critical infrastructure will be modified to handle the attacks to
OAuth 2.0, OpenID Connect, SAML 2.0 reduce the risk.
Stolen credentials lead to significant damage to the complete
I. I NTRODUCTION ecosystem. Ex. A single password captured from the dark web
damaged the complete colonial pipeline system in the united
As per the July-2022 report by IBM [1], one of the most states. According to recent statistics, more than 60% of cyber
frequent reasons for a data breach is using stolen or com- attacks are followed by credential thefts. Hence, resilient and
promised credentials. The primary attack vector in 19% of secure authentication and authorization are key features for any
incidents in 2022 was stolen or exposed credentials. This critical infrastructure. This is because nowadays, hackers do
makes authentication and authorization a critical component not break the system but log in to it, making the authentication
for a secure and resilient cyber system. and authorization systems a core design feature of any security
Cyber resilience shows how the degraded system rebounds, architecture. With the help of authentication, we decide ”who
recovers and regenerates its performance to the level before can enter,” and with the help of authorization, we decide ”up
a cyber attack. Cyber security refers to preparing, protecting to what level he or she can access the system”.
and detecting, while cyber resilience refers to responding and Risk and trust based Adaptive Authentication and Autho-
faster recovery immediately. For designing a resilient cyber rization (RAD-AA) approach is required to manage the secu-
solution, first, it is necessary to accept that the attacker will rity of critical infrastructure which is capable of upgrading it’s
successfully attack the system and how we are going to put security requirements for high risk transactions. In a traditional
that system up and running after it. The goal of cyber resilience authentication system the credentials of a user are verified in
is to continually uphold the entity’s capacity to produce the a sequential manner by employing various means such as user
desired result. name, password, one-time password or biometrics. However,
in RAD-AA approach the credential verification requirements clients such as JSClient, web client, and mobile client. OpenID
are dependent on the risk score of the transactions and the connect is an extension to the OAuth 2.0 framework and
trust relationship between different entities of the ecosystem. therefore lacks several features (ref. Table I those are intrinsic
Example: At high risk, the system may ask for approving the to the proposed framework.
notification received over the device or answer the security An open XML-based SAML 2.0 (standard called Security
questions, while at low risk, the system may continue based Assertion Markup Language) [6], [7] is frequently used to
on just user name and passwords. RAD-AA based framework exchange authentication and authorization (AA) data amongst
decides risk score based on the user’s or system’s state. For federated organisations. With the help of SAML 2.0, the end
example: If a user tries to log in from a different geographic user can log in to multiple web-application using the same
location, device, vulnerable application, or browser, then the credentials. A SAML enables single sign-on (SSO) facilities
system increases the risk score for the particular user but to access several independent applications with the help of an
not for all. Sometimes, if there is an attack on the complete identity provider. The SAML 2.0 provides numerous advan-
critical infrastructure of the organization, then the RAD- tages, such as users need not remember multiple user names
AA framework-based system increases the risk score for the and passwords, which also reduces access time, cost reduction,
complete system and expects that each user must pass through and labour cost reduction. The SAML 2.0 standard also lacks
the high-security verification. Similarly, for access control or several cyber resilience features when compared to RAD-
authorization, based on risk score, the RAD-AA system can AA. There are other several authentication protocols such as
upgrade, degrade or revoke the rights given to the user or group LDAP (Lightweight Directory Access Protocol), Kerberos, RA-
of users. The RAD-AA framework based system can define DIUS but considering industry adoption and need of resilient
a dynamic access policy so that for any authenticated user, it adaptive authentication and authorization framework, we have
can perform the activity monitoring and maintain the personal compared the proposed framework with OAuth 2.0, OpenID
trust score, which can then be used to calculate personal trust connect, and SAML.
score, user risk score and current critical infrastructure risk Table I presents comparison of the proposed framework with
score. The RAD-AA system can then make dynamic decisions the existing standards.
on the cumulative risk score. In this paper, we propose a novel
Resilient Adaptive Authentication and Authorization (RAD- III. T HREAT M ODELS
AA) framework that is attack-resilient and highly adaptive to
the underlying risk factors. This section presents widely used threat models which are
The remainder of the paper is as follows: Section II presents relevant to our proposed framework. Threat modelling is the
related work. In this section, we discuss the existing features security procedure used to identify, classify, and examine
of OAuth 2.0, OpenID connect, and SAML 2.0 standards and potential risks. Threat modelling can be carried out either
highlight the missing features to achieve high degree of cyber proactively during design and development or resolutely after
resilience. The most common threat models are discussed in a product has been released. In either situation, the method
section III followed by design considerations for RAD-AA identifies the possible harm, the likelihood that it will happen,
framework in section IV. The proposed architecture and threat the importance of the issue, and the ways to remove or lessen
vector vs RAD-AA resilience matrix is discussed in section V the threat. Threats and vulnerabilities are frequently paired in
followed by conclusion and future work in VI. order to find the risk to an organization or a system.
In this paper, we have adopted the relevant portions of
II. R ELATED W ORK the existing threat models and tailored them based on the
There are several authentication and authorization frame- characteristics of different entities of the framework and
works available and adopted by the industries. OAuth 2.0 their interactions with internal and external entities. The first
(”Open Authorization”) [3] protocol provides authorization for threat model we have considered is STRIDE, developed by
mobile, web and desktop applications and other smart devices. Microsoft [8]. The STRIDE model discusses six different types
The OAuth 2.0 framework consists of four essential compo- of threats. The first threat is Spoofing where the adversary
nents (i.e. resource owner, resource server, client, authorization spoofs user identity and tries to access the resources with
framework). The RFC 6819 [4] defines the attacker capabilities secure authentication as a desirable property. The next threat
and threat model for the OAuth 2.0 standard such as obtain- is Tampering where an adversary tampers the messages com-
ing client secrets, obtaining refresh tokens, obtaining access municated over the open channel, and the desired property
tokens, phishing of end-user credential, open redirectors on is integrity. The third threat is repudiation where attacker
client, password phishing. Even though OAuth 2.0 is a highly performs some illegal activities and denies performing those
secured industry standard, it lacks several features (ref. Table activities. The desirable property to tackle this threat is non-
I those are intrinsic to the proposed framework. repudiation, achievable using secure signature methods. The
Since, OAuth 2.0 provides only authorization framework, next threat is information disclosure where the adversary
an OpenID connect [5] integrates an identity layer to it tries to read or access the secret information. The desirable
and enables authentication of the end user for the client property is the confidentiality that can be achieved using secure
side applications. An OpenID connect permits all types of encryption/decryption system. The next threat is denial of
service attack where an adversary tries to prevent an end- travel, IP reputation, and device information. The system
user from accessing services where the desirable property is should be able to enhance, reduce or completely revoke
availability that is achieved through intrusion detection and the entry into the ecosystem or access to the protected
intrusion prevention system. According to the STRIDE threat resources based on the risk score.
model, the last threat is elevation of privilege where an attacker • Federated Authentication. It is a system in which
is either an insider or somehow became the trusted insider two parties trust each other to authenticate the users
with the high privilege to destroy the system. In this paper we and authorize access to resources owned by them. In a
consider a number of threats from the STRIDE model such as Federated Authentication or Identity management system
spoofing identity and tempering. the identity of a user in one system is linked with multiple
The PASTA (Process for Attack Simulation and Threat identity management systems. It extends beyond a single
Analysis) is a risk-centric threat modelling technique that organization wherein multiple organizations can agree to
incorporates risk analysis and context into the complete se- share the identity information and join the federation.
curity of critical infrastructure from the start [9]. The PASTA Once the users’ login into their organizations, they can
allows threat modelling linearly through the interdependent use this federated identity to access resources in any other
seven stages. In the first stage, PASTA defines the objectives organization within the federation.
for risk analysis and provides well-defined business objec- • Delegated Authorization. A delegated authorization sys-
tives and analysis reports. In stage two, PASTA defines the tem can delegate access rights to the services or processes
technical scope and tries to understand possible attack surface in the form of assertions or claims. Examples include
components and provides a detailed technical report on all end-user authorization delegation to a web or native
attack surface components. In the third stage, PASTA performs application.
application decomposition and analysis and provides a data- • Decoupling Authentication and Authorization. Decou-
flow diagram, interfaces list with trust level, asset list, and pled authentication and authorization systems allow for
access control matrix. In the fourth stage, PASTA performs modularity and provide necessary interfaces to replace
threat analysis and generates a list of threat agents, attack one system with another.
vectors, incident event reports. In stage five, it performs • Confidentiality and Non-repudiation of claims. The
vulnerability assessments and provides scoring based on CVSS confidentiality will ensure that the contents of the claims
(Common Vulnerability Scoring System). In stage six, PASTA are not revealed to unauthorized parties. Non-repudiation
performs attack modelling and simulation of various well- will assure the recipient that it is coming from the
known threats. As an outcome of stage six, it provides attack identified sender and that the data integrity is assured.
trees and possible attack paths. In the last (seventh) stage, • Audience Binding. The primary aim of binding the token
it performs risk analysis and management where it outcomes to the audience or the client to which it is issued is to
risk profile, risk mitigation strategy, and threat matrix. We have prevent unauthorized entities from using the leaked or
considered the PASTA framework where ever required during stolen tokens. The token, when issued, is bound to a
framework design. public key of the audience or the client to which it is
issued. The client now needs the corresponding private
IV. P ROPOSED DESIGN CONSIDERATIONS FOR RAD-AA
key to use the token further. This will protect against
F RAMEWORK
the token’s misuse by unauthorized parties that do not
In this paper we propose a Risk based Adaptive Authentica- possess the private key. It provides an added assurance
tion and Authorization (RAD-AA) framework which is secure to the receiver that such a claim token has been sent by
by design and excessively increases the cost for the attacker. the sender authorized to use it.
The design considerations include adaptive ecosystem which is • Trust relationships. The system should be capable of
capable of modifying the security requirements and the access establishing trust relationships between different entities
rights to the protected resources based on the risk score of the of the ecosystem. The trust relationship will also depend
transactions and interactions between different entities of the on how the two entities identify each other and what is
ecosystem. the relationship between the entities. The risk score of the
The adaptive design enables the framework to anticipate client applications can be taken into consideration while
the attack. In case of a breach, the adaptive design is able deciding the trust relationship level.
to withstand and constraint the level of damage by revoking • Propagation of identity and claims between different
or restricting the access rights granted or by de-authenticating ecosystems. The requested resource or a subset of the
already authenticated users or increasing the security require- resource may be required to be fetched from a different
ments of the transactions. The design considerations of RAD- ecosystem. The necessitates the propagation of identity
AA are given below: and claims across different ecosystems. When transi-
• Adaptive Engine for Cyber Resilience. The authentica- tioning from one ecosystem to another, properties of
tion and authorisation transactions and trust level between confidentiality, non-repudiation, limiting the information
different entities in the ecosystem should be able to adapt contained in the claim and assurance of use by the
based on the risk score such as Geo-location, impossible authorized sender should be maintained.
• Time-limited Validity and Revoking issued claims. The
lifetime of the issued tokens should be limited to avoid
misuse of the stolen tokens [3]. The ability to revoke the
tokens should be in-built into the design.
• Support for REST API architecture. Most of the
developers have now moved from WS-* to REST as con-
ceptualized by Fielding in his seminal PhD dissertation
[10] and stateless APIs [11]. The system design should
therefore support the REST API architecture. The REST
can simply be described as HTTP commands pushing
JSON packets over the network as defined in RFC 8259
[12].

TABLE I
C OMPARISON OF EXISTING STANDARDS WITH PROPOSED DESIGN
CONSIDERATIONS OF RAD-AA

OpenID Connect Proposed


Design Considerations OAuth 2.0 [3] SAML 2.0 [6]
[5] Framework
Authentication NO YES YES YES
Adaptive Engine for Cyber
NO NO NO YES
Resilience
Federated Authentication NO SSO Only SSO Only YES Fig. 1. Proposed Architecture of RAD-AA framework
Delegated Authorization YES YES YES YES
Decoupling Authentication
YES YES YES YES
and Authorization
Out of the box support for
Confidentiality and Non- NO NO NO YES • Authorization Server (AS). This server issues access
repudiation of claims
Audience Binding NO NO NO YES tokens to the client after successfully authenticating the
Trust Relationships NO NO NO YES
Time limited validity of
resource owner and obtaining authorization.
YES YES YES YES
claims
Ability to revoke issued to-
• Adaptive Engine. This engine analyses various transac-
NO NO NO YES
kens tions in the protocol flow. It then assigns the risk score
Support for REST API ar-
YES YES YES YES
chitecture which is used by various entities like authorization server,
resource server to modify their behaviour by making the
security requirements more stringent or to limit or deny
V. P ROPOSED A RCHITECTURE AND THREAT VECTOR VS access to the protected resources.
RAD-AA R ESILIENCE MATRIX
B. Protocol Flow and Threat Vector vs RAD-AA Resilience
A. Introduction
Matrix
In this research paper we have proposed a resilient archi-
The summary of the cyber resilience features of RAD-AA
tecture based on the various existing standards [3] [6] [5] [12]
vs the common threat vectors is given at table II.
[13], threat considerations [4], best current practices [14] [15]
and augmented features of OAuth 2.0 [16]. The architecture,
TABLE II
entities, protocol flow and their interactions is given at Figure S UMMARY: C OMMON T HREAT V ECTORS VS RAD-AA R ESILIENCE
1. M ATRIX
We have also analyzed various threat vectors that can Threat Vectors RAD-AA Cyber Resilience Features
manifest in standard authentication and authorization protocol Client Impersonation
Cross-Site Request
Mutual authentication using mTLS [15] or DPoP [17].
AS supports Proof Key for Code Exchange (PKCE) [18].
flows. We have then brought out the features in the proposed Forgery (CSRF)
Authorization Server
Validation of the issuer of the authorization response.
framework that will mitigate the effect of these threat vectors (AS) Mix-Up attack
• Establish trust relationships through mutual authentication.
by anticipating, adapting and withstanding the cyber threats Cross-Origin Resource • Calculate risk score before allowing transactions.
Sharing (CORS) • Information in HTTP request is assumed fake.
effectuating in robust and resilient framework.
CSP headers.
Roles. The proposed framework defines following roles: Cross Site Scripting •
• Input validation.
(XSS)
• Resource Owner. It is an entity which is capable of • Check HTTP request parameters are not pointing to unexpected
granting access to a protected resource. •
locations, RFC 9101 [19].
Adaptive engine to thwart malicious requests based on the risk
DDoS on AS
score and the trust relations between the client applications and the
• Resource Server (RS). This server hosts the protected authorization server.
resources and is capable of accepting and responding to Access Token Injection Audience restricted token binding.
protected resource requests based on the access tokens Access Token Replay Sender-constrained and audience-restricted access tokens.

and scopes.
• Client. This is an application which makes request for 1) Risk Score Based Adaptive Engine: The adaptive en-
accessing protected resource requests on behalf of the gine will determine the risk score of each transaction in the
resource owner after due authorization by the resource protocol flow based on AI/ML models. It will provide its
owner. inputs to all the entities in the ecosystem such as authorization
server and the protected resource server. The engine will take 3) Authorization Request: The client application will ini-
into consideration various parameters such as the level of trust tiate the request to the authorization server for grant of access
relation between the sender and the receiver, Geo-location, rights to acquire the protected resources owned by the resource
impossible travel, IP reputation, and device information and owner. The resource owner will authorize the scopes that the
then classify the transaction into LOW, MEDIUM and HIGH authorization server should grant to the requesting client. The
risks. access rights of the client will be constrained and restricted to
The authorization server and the protected resource server the scopes authorized by the resource owner. The authorization
based on the classification of the transaction can do either of server will first verify the identity of the resource owner
the following: by passing the request to the federated identity management
• Raise the security requirements. The security require- system [21].
ments of the transaction can be made more stringent by The Pushed Authorization Requests (PAR) as defined in
demanding the sender to provide additional verification RFC 9126 [13] will be used to initiate the authorization request
details. by the client.
• Accept or limit/Reject the Request. The AS/RS based Threat Vector. Cross-Site Request Forgery (CSRF).
on the risk score of the transaction can either accept the Threat Description and Artifacts. Clients Redirect / Request
transaction or lower the authorization of the scopes or URIs are susceptible to CSRF.
completely reject the transaction as a high risk transac- Mitigating Features. The framework prevents CSRF attacks
tion. against client’s redirect / request URIs by ensuring that the
authorization server supports Proof Key for Code Exchange
The authorization and access to the protected resources will
(PKCE) [18]. The CSRF protection can also be achieved by
still be governed by the requirements specified in the protocol.
using "nonce" parameter, or "state" parameter to carry
The engine will only classify the transaction cost as an
one-time-use CSRF tokens.
additional security layer. The engine classification at no time
will bypass the requirements of other validation requirements Threat Vector. Authorization Server (AS) Mix-Up attack.
as given in the specifications. The common risks associated Threat Description and Artifacts. The AS attack can manifest
with the adaptive engine which are ordinarily associated with when multiple AS are used in which one or more is a malicious
AI/ML engines must be taken into consideration [20]. AS operated by the attacker.
2) Establishment of Mutual Trust: The client applications Mitigating Features. The framework prevents mix-up attacks
like native desktop or mobile app, JavaScript based Single by validating the issuer of the authorization response. This can
Page App or the web server based web apps need to establish be achieved by having the identity of the issuer embedded
a level of trust while authenticating their identities with the in the response claim itself, like using the "iss" response
AS/RS. Each such client authentication will be assigned a trust parameter.
assurance level which will regulate the ability of the client Threat Vector. Cross-Origin Resource Sharing (CORS) at-
application to acquire elevated authorization rights or scopes tacks.
for an extended duration. Threat Description and Artifacts. CORS allows web appli-
• Trust Assurance Level 0. This is the minimum trust cations to expose its resources to all or restricted domains.
assurance level. The application does not have means of The risk arises if the authorization server allows for additional
mutual identification and authentication. The delegated endpoints to be accessed by web clients such as metadata
authorization rights would be restricted to a minimum URLs, introspection, revocation, discovery or user info end-
level of permissions (scopes). The lifespan of the dele- points. These endpoints can then be accessed by web clients.
gated authorization rights (in terms of access and refresh Mitigating Features. In the proposed framework we establish
tokens) will be minimal or for one time use only. trust and calculate risk score before allowing any transactions.
• Trust Assurance Level 1. client application has the It is accepted that access to any of the resources as all the
means of establishing mutual identification and authenti- information contained in the HTTP request can be faked.
cation by using mTLS [15] or DPop [17]. The delegated Threat Vector. Cross Site Scripting (XSS) attacks.
authorization rights/scopes will be more permissive in Threat Description and Artifacts. Cross-Site Scripting (XSS)
nature with an extended lifetime validity. attack risk arises when the attacker is able to inject malicious
Threat Vector. Client Impersonation. scripts into otherwise benign and trusted websites.
Threat Description and Artifacts. The identity of the client Mitigating Features. Best practices like injecting the Content-
application can be spoofed and a malicious client can imper- Security-Policy (CSP) headers from the server are recom-
sonate as a genuine client. mended, which is capable of protecting the user from dynamic
Mitigating Features. In the proposed framework the client calls that will load content into the page being currently
and authorization server needs to establish a trust relation by visited. Other measures such as input validation are also
mutually identifying and authenticating each other by using recommended.
mTLS [15] or DPoP [17] or similar such standards. Threat Vector. DDoS Attack on the Authorization Server.
Threat Description and Artifacts. A large number of mali- ACKNOWLEDGMENT
cious clients can simultaneously launch a DoS attack on the
We are thankful to the School of Cyber Security & Digital
authorization server by pointing to the "request_uri" as
Forensics, National Forensic Sciences University, India and the
defined in PAR RFC 9126 [13].
University of Sheffield, UK for providing the infrastructure for
Mitigating Features. To mitigate the occurrence of such an
the research.
attack, the server is required to check that the value of the
"request_uri" parameter is not pointing to an unexpected
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