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Tiêu đề Fedchain: A Collaborative Framework for Building Artificial Intelligence Models Using Blockchain and Federated Learning
Tác giả Tran Duc Luong, Vuong Minh Tien, Hoang Tuan Anh, Ngan Van Luyen, Nguyen Chi Vy, Phan The Duy, Van-Hau Pham
Trường học Information Security Laboratory, University of Information Technology
Chuyên ngành Information Security
Thể loại Conference Paper
Năm xuất bản 2021
Thành phố Ho Chi Minh City
Định dạng
Số trang 6
Dung lượng 452,32 KB

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FedChain A Collaborative Framework for Building Artificial Intelligence Models Using Blockchain and Federated Learning FedChain A Collaborative Framework for Building Artificial Intelligence Models us[.]

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FedChain: A Collaborative Framework for Building Artificial Intelligence Models using Blockchain and

Federated Learning

Tran Duc Luong∗†, Vuong Minh Tien∗†, Hoang Tuan Anh∗†, Ngan Van Luyen∗†, Nguyen Chi Vy∗†,

Phan The Duy∗†, Van-Hau Pham∗†

∗Information Security Laboratory, University of Information Technology, Ho Chi Minh city, Vietnam

†Vietnam National University, Ho Chi Minh city, Vietnam

Ho Chi Minh City, Vietnam {19521815, 19522346, 18520446, 18521074, 18521681}@gm.uit.edu.vn, {duypt, haupv}@uit.edu.vn

Abstract—Machine learning (ML) has been drawn to attention

from both academia and industry thanks to outstanding advances

and its potential in many fields Nevertheless, data collection for

training models is a difficult task since there are many concerns

on privacy and data breach reported recently Data owners or

holders are usually hesitant to share their private data Also,

the benefits from analyzing user data are not distributed to

users In addition, due to the lack of incentive mechanism for

sharing data, ML builders cannot leverage the massive data

from many sources Thus, this paper introduces a collaborative

approach for building artificial intelligence (AI) models, named

FedChain to encourage many data owners to cooperate in the

training phase without sharing their raw data It helps data

holders ensure privacy preservation for the collaborative training

right on their premises, while reducing the computation load

in case of centralized training More specifically, we utilize

federated learning (FL)and Hyperledger Sawtooth Blockchain to

set up a prototype framework that enables many parties to join,

contribute and receive rewards transparently from their training

task results Finally, we conduct experiments of our FedChain

on cyber threat intelligence context, where AI model is trained

within many organizations on each their private datastore, and

then it is used for detecting malicious actions in the network

Experimental results with the CICIDS-2017 dataset prove that

the FL-based strategy can help create effective privacy-preserving

ML models while taking advantage of diverse data sources from

the community

Index Terms—Federated Learning, Privacy Preservation,

Blockchain, Generative Adversarial Networks

I INTRODUCTION Currently, more and more countries have been promoting

the strategy of building Smart City to catch up with the

growth of The Fourth Industrial Revolution where AI takes

a leading role In reality, AI models leverage the advances in

ML to build more efficient models, which requires a large

amount of data for training The centralized approach to

building ML models today is to gather all the training data

in a particular server, usually in the cloud, and then train the

model on the collected data volume However, this approach is

slowly becoming unfeasible in practice for privacy and security

reasons when collecting data The risk of sensitive data loss

during storage, transmission, and sharing of data has raised

concerns about the privacy of data owners At the same time, data providers are also unwilling to share data because their data contributions would not earn them any awards in the traditional ML training method Therefore, for the sake of comprehensive smart ecosystems, a new training mechanism must be discovered and implemented which could resolve the issues of data security and the incentives in training a mutual model

In this context, Federated Learning (FL) emerges as a decentralized learning technique that ensures both the high performance of ML models and data privacy Contrary to centralized learning, this method allows the global model to

be trained right on the local parties and transfers the model parameters to the central server, which is responsible for the aggregation of the received model updates to construct an improved global model Finally, the participants download the global update from the aggregator and compute it on their own dataset for the next local model The training process occurs iteratively until the global training is optimized By utilizing the computing strength of distributed clients, FL approach can enhance ML model quality and reduce user privacy leakage Nevertheless, FL scheme in practice has to face non-independent and identically distributed (Non-IID) data that means unbalanced data distribution in size, labels, etc among collaborative workers Many researchers have indicated that the degradation in accuracy and performance of FL appears almost inevitable due to Non-IID data With the power of gen-erating synthetic samples, Generative Adversarial Networks (GAN) would be used as a data augmentation technique to mitigate this imbalance issues in FL The operating principle

of GAN can be visualized as a zero-sum game between two opposing neural networks, the Generator (G) and the Discriminator (D) G will be trained to output new adversarial samples given some noise source, whereas D is responsible for classifying data samples as either real (from the original dataset) or fake (generated from G) The game would go on continuously until the D model can no longer distinguish real

or fake samples, meaning the G model is generating plausible data Then in FL scheme, each client would be equipped with

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a GAN architecture which is used for data augmentation in

the case of Non-IID data

In building ML models, most works assume that all devices

in the system will engage in FL tasks unconditionally when

requested, and will be totally honest It is, however, impossible

because there will be incurred expenses and many dishonest

participants during the model-building process Therefore,

to create effective models, it is important that the system

must ensure the honesty of the participants and have some

incentive mechanism to offer the contributed resources with

the appropriate rewards With Blockchain, all contributions

will be stored transparently, which means that each node in

the Blockchain can check the validity of the contribution

From there, a framework may be built to help manage, control

honesty and encourage data owners to be involved in building

models through a reward mechanism in accordance with

con-tributions Besides, the application of the InterPlanetary File

System (IPFS) can help the model to achieve complete

disin-tegration With distributed data storage, IPFS helps the system

to strengthen fault tolerance and eliminate the drawbacks of

centralized data storage systems This is also conducive to the

system to significantly optimize costs in terms of time and

data transmission

Based on the above-mentioned analysis, in this paper, we

propose a new privacy-preserving framework named FedChain

using FL and GAN in the process of training AI models

efficiently, even in Non-IID data Also, Blockchain and IPFS

will be integrated to provide transparency, honesty along with

an incentive mechanism for collaborative learning Finally, to

evaluate the feasibility and effectiveness of FedChain

frame-work, Intrusion Detection System (IDS) is selected as the ML

model due to the urgency of cybersecurity factors in the smart

city development

The rest of this paper is organized as follows In Section II,

we introduce the related works on FL, GAN, and Blockchain

In Section III, we present an overview and describe the

detailed operating procedure of FedChain system The

envi-ronmental setup and performance evaluation results are shown

in Section IV Finally, we conclude the paper and propose

future works in Section V

II RELATED WORKS

A Federated Learning and GAN

Federated Learning is a distributed collaborative AI

mech-anism that appealed to the attention of many researchers in

various fields With the capability of training ML model in a

distributed manner, FL addresses critical issues about privacy

and security of data left by the centralized approach Some

previous science papers [1], [2], [10], [12], [13] have studied

the applications of FL in the context of IIoT Specifically,

Dinh C.Nguyen et al [1] carried out a comprehensive FL

survey that discussed the role of FL in a wide range of IoT

services such as IoT data sharing, data offloading, and caching,

attack detection, mobile crowd-sensing, and IoT privacy and

security The authors also proved the flexibility of FL in

some areas such as smart healthcare, smart transportation,

Unmanned Aerial Vehicles (UAVs), etc On the side of net-work security, Shaashwat Agrawa et al [2] introduced an FL-based framework for Intrusion Detection System (IDS) with the aim of enhancing anomaly detection accuracy as well as user privacy The paper then presented other challenges and potential solutions for FL implementations in IDS

Recently, many researchers have been devoted to imple-menting Generative Adversarial Networks (GAN) as a data generation scheme in FL scenarios However, instead of draw-ing on any systematic approach to the beneficial aspect of GAN, a variety of writers utilized this generative data method

to conduct causative attacks [3], [4] in the context of FL Jiale Zhang et al [3] proposed a poisoning attack strategy that unfriendly participants aim to deteriorate the performance

of the global model by fabricating malicious adversarial data with a GAN architecture

B Federated Learning with Blockchain in IIoT

On the issue of building Blockchain-Based FL for IoT Devices framework, there have been many research efforts focused on this issue A few previous research papers [5], [6], have studied the building of a secure FL framework based

on empowerment for Blockchain technology The prominent investigation of Rui Wang et al [5] is the first to integrate the Blockchain framework and MEC technology into the FL scenario to ensure the privacy, quality, and communication overhead for the IoV system The authors also proposed an al-gorithm to prevent malicious updates to protect FL and design

an incentive mechanism based on trained model weights In previous research on strategies to enhance training and privacy

in FL, Swaraj Kumar et al [7] used InterPlanetary File System (IPFS) as a data storage to build a fully decentralized system They also created a value-driven incentive mechanism using Ethereum smart contracts

Besides that, Yufeng Zhan et al [8] presented a clas-sification of existing incentive mechanisms for associative learning and then evaluated and compared them The authors pointed out incentive mechanisms that have been ignored or are currently not linked to the algorithms in the current models The authors suggested that building an incentive mechanism also needs to construct a more secure system so that users can feel safe to participate in model training Nonetheless, they just raised ideas on building incentive mechanisms in FL without implementation

III SYSTEM DESIGN: FEDCHAIN

A Overview of Architecture The overall architecture of FedChain is illustrated in the Fig 1 The system consists of 3 network layers that leverage Blockchain to link clients and servers in FL At the lowest layer, participants download the global model from the server and train the model locally by their collected data Concerning Non-IID data, GANs will be used to generate adversarial data

as a supplier for the client dataset The next layer includes Blockchain management and the IPFS database Following identity verification, the client can register nodes and task

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Fig 1 The architecture of FedChain system

training using Blockchain The system allows combining

mul-tiple tasks to provide a variety of task training All data at this

tier will be stored distributedly via IPFS to make our system

fully decentralized The highest layer is the aggregation server,

whose responsibility is to aggregate the models received in the

lower layer after executing smart contracts

All operations in the system are recorded to the Blockchain

as transactions for aggregation and evaluation Blockchain

helps to ensure transparency, security, immutability, and

au-ditability in the payment of rewards and distribution of profits

after completing the FL tasks

Our system is designed to ensure a secure collaborative

framework for training ML models by combining FL with

blockchain and IPFS The system can ensure privacy,

trans-parency, low communication overhead, as well as encourage

data owners to participate in the FL process to build mutual

ML models

B Training ML Model with Federated Learning

The workflow of training ML model with FL approach is

described in four steps as described in Algorithm 1 Firstly, the

aggregation server initializes the global model with parameters

w0 The number of rounds, epochs, clients, etc of the model

is defined These parameters are sent to training devices from

many organizations, which take part in the training process

Next, these devices train the local model by self-collected

dataset and send new parameters wkr back to the aggregation

server This is conducive to preserving the data privacy of

local organizations instead of sending raw data Thirdly, the

server aggregates the received models based on the FedAVG

algorithm [9] The global model parameters wr are calculated

depending on the data contribution rate of each individual

used for training Finally, the aggregation server distributes

the global model to the participants so that they can continue

to update the model The process goes back to step 2 and perform until the specified number of rounds is reached, or the model is converged

Algorithm 1 Federated Learning-based ML model training process

Input:

- Aggregation Server AS;

- Clients C = {(Ck); k = 1, 2, , n}, that want to join the training process;

- The number of exchange rounds R between server and participant

Output: The efficient machine learning model

1: 1 Initialization:

2: - At Aggregation Server: A Machine Learning Model M

is generated parameter w0 with initial settings

3: - At Local Server: Clients C receive model M with parameter w0 and related parameters

4: Procedures:

5: r ← 1 6: snod ← specified number of datasets 7: while r ≤ R do

8: 2 Training local machine learning model 9: k ← 1

10: while k ≤ n do 11: cd ← Client Ck datasets 12: if cd < snod then 13: while cd < snod do 14: GAN generates and provides datasets

16: end if 17: Client Ck train model Mk using private datasets 18: Send back parameter wr to AS

19: k ← k + 1 20: end while 21: 3 Aggregation Server builds new model 22: - AS receive all parameter wrk from all clients 23: - AS uses FedAVG algorithm and generate new model with parameter wr

24: 4 Aggregation Server sent new model to partici-pant

25: k ← 1 26: while k ≤ n do 27: Client Ck update parameter wr to model Mk 28: k ← k + 1

29: end while 30: r ← r + 1 31: end while 32: return Machine Learning Model with parameter wR

C Incentive Mechanism for Collaborative Training using Blockchain

The architecture we provide is autonomous, serving the connection between those who have data and those who want

to create ML models from that data

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Blockchain is characterized by transparency; once data is

written to the blockchain, it cannot be deleted or changed

by any individual or organization Based on that feature, we

decided to use Blockchain to record user behavior and use it

as evidence for the rewarding process In this way, the payout

is fair and transparent

The main user behaviors handled within the

blockchain-based system are described as follows:

• System membership registration: During the

develop-ment of the functions, we use asymmetric encryption to

authenticate the user’s identity Therefore, for the member

registration task, in addition to the necessary information,

the user needs to generate a key pair The public key will

be sent with the request

• Register to open a new training task: When an

individual or organization wants to open a new training

assignment, they need to submit identification and

infor-mation about the task they want to open When a task is

successfully registered, everyone in the system can see it

Those with the right dataset will register and contribute

to this task

• Register to contribute to a specific task: Users will

choose a task published on the system that matches

the dataset they own to participate in the contribution

process for that task To perform this function, users

need to submit information about hardware resources

and characteristics of the dataset they own Registration

information is stored for tracking and a global model is

sent back to the user for training

• Upload local model: After receiving the training task,

users go through the training process on their dataset

Then, the results of the training process are sent to the

system with the task name To reduce the load on the

Blockchain system, we use IPFS, a distributed database,

to store uploaded files In this way, it is possible to reduce

communication costs and overcome the disadvantages of

traditional centralized data storage When the model is

uploaded, it will be evaluated and the results are stored

in Blockchain These contributions are considered to

compensate users accordingly

• Collect model: This function is performed by the task

publisher They will ask the system to retrieve the models

related to the task that they have previously registered

The system, after receiving the request, will verify the

identity and return the models corresponding to the task

All the above activities occurring in the system are recorded

in the Blockchain, ensuring transparency in the operation

pro-cess, which increases incentives for participants to contribute

D Data Augmentation for Clients using GAN

The GAN architecture in FedChain framework is equipped

in each client that is responsible for automatically supplying

new data records in the case of Non-IID data After the training

phase as described in Algorithm 2, the well-trained generator

G can generate adversarial examples from a given noise vector

Algorithm 2 GAN training process The generator G and discriminator D are trained in a parallel manner

Input:

- Original dataset x including benign samples and mali-cious samples;

- The noise vector z for generator;

Output:

The optimization of generator G and discriminator D; Procedure:

1: for number of training iterations do:

2: D training:

3: - Sample minibatch of m noise samples {z1, z2, , zm} from noise distribution pz(z)

4: - Sample minibatch of m real samples {x1, x2, , xm} from data generating distribution pdata(x)

5: - Update D loss by ascending its stochastic gradient:

1 m

m X

k=1 [log D (xk) + log (1 − D(G(zk)))]

6: G training:

7: - Sample minibatch of m noise samples {z1, z2, , zm} from noise distribution pz(z)

8: - Update G loss by descending its stochastic gradient:

1 m

m X

k=1 [log (1 − D(G(zk)))]

9: end for 10: return GAN Model

IV EXPERIMENT

In fact, the FedChain framework can support the construc-tion of AI models in various fields Within the scope of the paper, this framework is utilized to build ML models in the context of network intrusion detectors, which is conducive to the aspect of cybersecurity This part presents the experimental results of the trained ML-IDS model through FedChain to prove the feasibility of our approach

A Environmental Settings Environment for FL and GAN Tensorflow is used for FL implementation, while GAN is carried out on Keras Tensorflow The hardware configuration used for training FL and GAN is CPU: Intel® Xeon® E5-2660 v4 (16 cores – 1.0 Ghz), RAM: 16 GB, OS: Ubuntu 16.04 Environment for Blockchain system

We use Hyperledger Sawtooth platform with PBFT con-sensus algorithm deployed on 5 nodes to build Blockchain system with Docker The machine configuration used for this deployment is CPU Intel® Core™ i5-9300HQ (4 cores - 8 threads - 3.5 Ghz), RAM 16 GB, OS Ubuntu 16.04

B Dataset and Preprocessing Dataset

This study would utilize a recent dataset named

CICIDS-2017 provided by the Canadian Institute of Cybersecurity

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for the evaluation of FedChain scheme It contains over 2.8

million network flows spanned in 8 csv files including benign

samples and 14 types of up-to-date attacks However, we only

spend the data from 3 files (Tuesday, Wednesday,

Thursday-Afternoon) with a total of more than 1.3 million network

records that describe typical cyberattacks such as DoS Hulk,

DoS Golden Eye, DoS slowloris, DoS Slowhttptest,

Heart-bleed, FTP-Patator, SSH-Patator, Infiltration More

specifi-cally, from the collected records in each file, we divide them

into 2 sub-datasets with the ratio of 80:20 that the larger

part is the training set, and the other is used for testing

phases Finally, training and testing sets from 3 files would

be combined into CICIDS2017 Train and CICIDS2017 Test

files, respectively

Data Preprocessing

According to a study published in the article [11],

Kurni-abudi et al showed that the top 16 features in the CICIDS2017

dataset are believed to be easily extracted and observed, as

well as having a great influence on detecting a basic network

attack These selected features are Destination Port, Flow

Duration, Packet Length Std, Total Length of Bwd Packet,

Subflow Bwd Bytes, Packet Length Variance, Bwd Packet

Length Mean, Bwd Segment Size Avg, Bwd Packet Length

Max, Total Length of Fwd Packets, Packet Length Mean,

Max Packet Length, Subflow Fwd Bytes, Average Packet Size,

Init Win bytes backward, Init Win bytes forward

After feature selection, we remove all redundant features,

delete non-numeric fields (NaN) and infinity values (Inf) Next,

the values of label column will be converted to binary format

where labels 0 represents benign samples and labels 1 are

assigned to the others In our experiments, we have rescaled

16 features to the interval [0,1] via Min-Max normalization

which has the following formula:

xrescaled= x − xmin

xmax− xmin where x is the feature value before the normalization and

xrescaled is that after the normalization Besides, xmax and xmin

represent the maximum value and the minimum value of this

feature in the dataset, respectively

C Performance evaluation

GAN performance in generating adversarial data

This experiment will show the ability of GAN in

automat-ically generating new network traffics that closely resemble

the input ones We construct GAN architecture with the

following hyperparameters: epochs = 5000, batch size = 256,

using Adam optimizer with learning rate = 0.0002 Also, the

generator G and discriminator D are designed with 5 and

6 layers in turn Both of them utilize LeakyReLU (Leaky

Rectified Linear Unit) and sigmoid as activation functions

Following the GAN training procedure, we proceed to

utilize generator G to generate new synthetic samples from

CICIDS2017 Train dataset A glance at the Fig.2 reveals the

resemblance between original CICIDS2017 Train and

gener-ated network flows in four above features

Fig 2 Similarity between original and generated data in 4 features (From left

to right): FlowDuration, TotalLengthBwdPacket, PacketLengthMean, Pack-etLengthStd

Comparison of FL model performance on Non-IID data without and with GAN

The ML-IDS model is implemented in FL scenario based

on LSTM model with the following layers: LSTM layer with

64 internal units, Dense layer with 16 internal units The model has an input of size (16,1) and output is the result after passing the Dense layer with the sigmoid activation function

We conduct FL training in 3,6,9 and 12 rounds (R) with 3 clients (K)

TABLE I

T HE RESULT OF THE EXPERIMENT IN THE N ON -IID D ATA CASE Round Precision Recall F1-score Accuracy

3 0.9035 0.6342 0.7452 0.9564 Without 6 0.9482 0.591 0.7281 0.9557

12 0.9413 0.5696 0.7097 0.9532

3 0.9457 0.9021 0.9233 0.9331

12 0.959 0.9007 0.9289 0.9581

Table I compares the performance of the model before and after using GAN in terms of the four above metrics

In the beginning, the input data ratio among 3 clients is 5:2:3, whereas the size of the input dataset among them after using GAN becomes balanced As a result, the training model with GAN has witnessed a surge in recall and F1-score by approximately 39% (R=9) and 22% (R=12) respectively The other metrics still stabilize at a high level, about 95% Blockchain performance in FL context

We evaluate the performance of the Blockchain system through CPU resource consumption and request processing time in some specific contexts

To determine the CPU resource consumption of the system when operating, we conducted a test with 10 users continu-ously submitting a request to register a task and measured the consumption at each interval of 0.1 seconds The results are presented in the Fig.3

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0 0.5 1 1.5

10

15

20

25

30

Time (second)

Fig 3 CPU consumption results

To measure the system’s processing time performance, we

measured the processing time in turn in the context of 10

users, 20 users, 50 users continuously sending task registration

requests to the system Measurements were repeated three

times to ensure accuracy The average processing time results

are presented in Table II

TABLE II

R ESULTS OF MEASURING THE SYSTEM ’ S PROCESSING TIME ( S )

Round 1 Round 2 Round 3

10 User 0.06023118 0.059109 0.059569

20 User 0.103943 0.101376 0.112528

50 User 0.336669 0.384335 0.297349

Next, we conduct performance testing in the context of

processing the upload model task The obtained results show

that the system takes an average of 25.19693 seconds to

process a request To handle this request, the system needs

to process it in 2 steps The first step is to upload the model

to IPFS; the second step is to write the data to the Blockchain

We have calculated and found that most of the time is spent

on uploading the model to IPFS (25.19693 seconds/request

for the above context) while the Blockchain system works

very well (0.018419 seconds/request) However, uploading the

model to IPFS completely depends on the connection speed

of the system, from which it can be concluded that our system

can still work well From the above results, we can see that the

performance of Blockchain is great regarding both processing

time and CPU resource consumption

V CONCLUSION ANDFUTUREWORK

In the evolution of the artificial intelligence industry, data

sharing plays an essential role in building intelligent

ecosys-tems and applications In this paper, we have proposed a

collaborative framework named FedChain to help ensure data

privacy and security, along with an incentive and transparent

mechanism In addition, FedChain helps to optimize resources,

investment and operating costs by combining practical and effective technologies such as FL, GAN, Blockchain, IPFS with high applicability and flexibility The experimental results

of our analysis on cyber threat intelligence context with the CICIDS-2017 dataset have demonstrated that the proposed FedChain can enable data sharing securely and efficiently that takes advantage of diverse data sources from the community

In the future, we plan to integrate mobile edge computing (MEC) into the FedChain framework to reduce the system’s communication and data transmission costs

ACKNOWLEDGEMENT Phan The Duy was funded by Vingroup Joint Stock Company and supported by the Domestic Master/ PhD Scholarship Programme of Vingroup Innovation Foundation (VINIF), Vingroup Big Data Institute (VINBIGDATA), code VINIF.2020.TS.138

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