U.S. patent application number 13/023365 was filed with the patent office on 2011-07-14 for system and methods for secure transaction management and electronic rights protection.
This patent application is currently assigned to Intertrust Technologies Corp.. Invention is credited to Karl L Ginter, Victor H. Shear, Francis J. Spahn, David M. Van Wie.
Application Number | 20110173695 13/023365 |
Document ID | / |
Family ID | 36821780 |
Filed Date | 2011-07-14 |
United States Patent
Application |
20110173695 |
Kind Code |
A1 |
Ginter; Karl L ; et
al. |
July 14, 2011 |
System and Methods for Secure Transaction Management and Electronic
Rights Protection
Abstract
The present invention provides systems and methods for secure
transaction management and electronic rights protection. Electronic
appliances such as computers equipped in accordance with the
present invention help to ensure that information is accessed and
used only in authorized ways, and maintain the integrity,
availability, and/or confidentiality of the information. Such
electronic appliances provide a distributed virtual distribution
environment (VDE) that may enforce a secure chain of handling and
control, for example, to control and/or meter or otherwise monitor
use of electronically stored or disseminated information. Such a
virtual distribution environment may be used to protect rights of
various participants in electronic commerce and other electronic or
electronic-facilitated transactions. Distributed and other
operating systems, environments and architectures, such as, for
example, those using tamper-resistant hardware-based processors,
may establish security at each node. These techniques may be used
to support an all-electronic information distribution, for example,
utilizing the "electronic highway."
Inventors: |
Ginter; Karl L; (Beltsville,
MD) ; Shear; Victor H.; (Bethesda, MD) ;
Spahn; Francis J.; (El Cerrito, CA) ; Van Wie; David
M.; (Eugene, OR) |
Assignee: |
Intertrust Technologies
Corp.
|
Family ID: |
36821780 |
Appl. No.: |
13/023365 |
Filed: |
February 8, 2011 |
Related U.S. Patent Documents
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Application
Number |
Filing Date |
Patent Number |
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11981297 |
Oct 30, 2007 |
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13023365 |
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11505778 |
Aug 16, 2006 |
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11981297 |
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09678252 |
Oct 3, 2000 |
7095854 |
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11505778 |
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09328671 |
Jun 9, 1999 |
6389402 |
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09678252 |
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08964333 |
Nov 4, 1997 |
5982891 |
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09328671 |
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08388107 |
Feb 13, 1995 |
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08964333 |
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Current U.S.
Class: |
726/21 |
Current CPC
Class: |
H04N 21/6334 20130101;
G06F 21/6245 20130101; G06F 2221/2135 20130101; G06F 2221/2149
20130101; G06F 2221/2137 20130101; G06F 2221/2115 20130101; G06F
2221/2117 20130101; H04L 63/20 20130101; H04N 21/454 20130101; H04L
9/3247 20130101; H04L 2209/56 20130101; G06F 2221/2101 20130101;
H04L 2209/60 20130101; H04L 9/0891 20130101; G06F 21/10 20130101;
H04N 21/25816 20130101; H04N 21/25875 20130101; G06F 2221/0737
20130101 |
Class at
Publication: |
726/21 |
International
Class: |
G06F 21/00 20060101
G06F021/00 |
Claims
1. A method comprising: receiving first control information at a
first electronic appliance, the first electronic appliance
including a protected processing environment, the first control
information being configured for use by the protected processing
environment to govern access to or other use of one or more
electronic content objects at the first electronic appliance;
permitting access to or other use of at least a portion of the one
or more electronic content objects in accordance with the first
control information; storing usage information related to
performance of the permitting step; sending the usage information
to a second electronic appliance, the second electronic appliance
being located remotely from the first electronic appliance;
receiving second control information at the first electronic
appliance, the second control information having been conditionally
sent at least in part in response to performance of the sending
step; and using the second control information to permit or
restrict further access to or other use of the one or more
electronic content objects at the first electronic appliance.
2. The method of claim 1, in which the first control information at
least in part comprises a time-based constraint, and in which the
permitting step comprises: comparing a current time value to a
value included in the first control information.
3. The method of claim 2, wherein the sending step occurs after the
comparing step.
4. The method of claim 1, in which the second control information
at least in part comprises a time-based constraint, and in which
the using step comprises: comparing a current time value to a value
included in the second control information.
Description
CROSS-REFERENCE TO RELATED APPLICATIONS
[0001] This is a continuation of application Ser. No. 11/981,297,
filed Oct. 30, 2007, which is a continuation of application Ser.
No. 11/505,778, filed Aug. 16, 2006, which is a continuation of
application Ser. No. 09/678,252, filed Oct. 3, 2000, now U.S. Pat.
No. 7,095,854, which is a continuation of application Ser. No.
09/328,671, filed Jun. 9, 1999, now U.S. Pat. No. 6,389,402, which
is a continuation of application Ser. No. 08/964,333, filed Nov. 4,
1997, now U.S. Pat. No. 5,982,891, which is a continuation of
application Ser. No. 08/388,107, filed Feb. 13, 1995, now
abandoned, all of which are incorporated herein by reference.
FIELD(S) OF THE INVENTION(S)
[0002] This invention generally relates to computer and/or
electronic security.
[0003] More particularly, this invention relates to systems and
techniques for secure transaction management. This invention also
relates to computer-based and other electronic appliance-based
technologies that help to ensure that information is accessed
and/or otherwise used only in authorized ways, and maintains the
integrity, availability, and/or confidentiality of such information
and processes related to such use.
[0004] The invention also relates to systems and methods for
protecting rights of various participants in electronic commerce
and other electronic or electronically-facilitated
transactions.
[0005] The invention also relates to secure chains of handling and
control for both information content and information employed to
regulate the use of such content and consequences of such use. It
also relates to systems and techniques that manage, including meter
and/or limit and/or otherwise monitor use of electronically stored
and/or disseminated information. The invention particularly relates
to transactions, conduct and arrangements that make use of,
including consequences of use of, such systems and/or
techniques.
[0006] The invention also relates to distributed and other
operating systems, environments and architectures. It also
generally relates to secure architectures, including, for example,
tamper-resistant hardware-based processors, that can be used to
establish security at each node of a distributed system.
BACKGROUND AND SUMMARY OF THE INVENTION(S)
[0007] Telecommunications, financial transactions, government
processes, business operations, entertainment, and personal
business productivity all now depend on electronic appliances.
Millions of these electronic appliances have been electronically
connected together. These interconnected electronic appliances
comprise what is increasingly called the "information highway."
Many businesses, academicians, and government leaders are concerned
about how to protect the rights of citizens and organizations who
use this information (also "electronic" or "digital") highway.
[0008] Electronic Content
[0009] Today, virtually anything that can be represented by words,
numbers, graphics, or system of commands and instructions can be
formatted into electronic digital information. Television, cable,
satellite transmissions, and on-line services transmitted over
telephone lines, compete to distribute digital information and
entertainment to homes and businesses. The owners and marketers of
this content include software developers, motion picture and
recording companies, publishers of books, magazines, and
newspapers, and information database providers. The popularization
of on-line services has also enabled the individual personal
computer user to participate as a content provider. It is estimated
that the worldwide market for electronic information in 1992 was
approximately $40 billion and is expected to grow to $200 billion
by 1997, according to Microsoft Corporation. The present invention
can materially enhance the revenue of content providers, lower the
distribution costs and the costs for content, better support
advertising and usage information gathering, and better satisfy the
needs of electronic information users. These improvements can lead
to a significant increase in the amount and variety of electronic
information and the methods by which such information is
distributed.
[0010] The inability of conventional products to be shaped to the
needs of electronic information providers and users is sharply in
contrast to the present invention. Despite the attention devoted by
a cross-section of America's largest telecommunications, computer,
entertainment and information provider companies to some of the
problems addressed by the present invention, only the present
invention provides commercially secure, effective solutions for
configurable, general purpose electronic commerce
transaction/distribution control systems.
[0011] Controlling Electronic Content
[0012] The present invention provides a new kind of "virtual
distribution environment" (called "VDE" in this document) that
secures, administers, and audits electronic information use. VDE
also features fundamentally important capabilities for managing
content that travels "across" the "information highway." These
capabilities comprise a rights protection solution that serves all
electronic community members. These members include content
creators and distributors, financial service providers, end-users,
and others. VDE is the first general purpose, configurable,
transaction control/rights protection solution for users of
computers, other electronic appliances, networks, and the
information highway.
[0013] A fundamental problem for electronic content providers is
extending their ability to control the use of proprietary
information. Content providers often need to limit use to
authorized activities and amounts. Participants in a business model
involving, for example, provision of movies and advertising on
optical discs may include actors, directors, script and other
writers, musicians, studios, publishers, distributors, retailers,
advertisers, credit card services, and content end-users. These
participants need the ability to embody their range of agreements
and requirements, including use limitations, into an "extended"
agreement comprising an overall electronic business model. This
extended agreement is represented by electronic content control
information that can automatically enforce agreed upon rights and
obligations. Under VDE, such an extended agreement may comprise an
electronic contract involving all business model participants. Such
an agreement may alternatively, or in addition, be made up of
electronic agreements between subsets of the business model
participants. Through the use of VDE, electronic commerce can
function in the same way as traditional commerce--that is
commercial relationships regarding products and services can be
shaped through the negotiation of one or more agreements between a
variety of parties.
[0014] Commercial content providers are concerned with ensuring
proper compensation for the use of their electronic information.
Electronic digital information, for example a CD recording, can
today be copied relatively easily and inexpensively. Similarly,
unauthorized copying and use of software programs deprives rightful
owners of billions of dollars in annual revenue according to the
International Intellectual Property Alliance. Content providers and
distributors have devised a number of limited function rights
protection mechanisms to protect their rights. Authorization
passwords and protocols, license servers, "lock/unlock"
distribution methods, and non-electronic contractual limitations
imposed on users of shrink-wrapped software are a few of the more
prevalent content protection schemes. In a commercial context,
these efforts are inefficient and limited solutions.
[0015] Providers of "electronic currency" have also created
protections for their type of content. These systems are not
sufficiently adaptable, efficient, nor flexible enough to support
the generalized use of electronic currency. Furthermore, they do
not provide sophisticated auditing and control configuration
capabilities. This means that current electronic currency tools
lack the sophistication needed for many real-world financial
business models. VDE provides means for anonymous currency and for
"conditionally" anonymous currency, wherein currency related
activities remain anonymous except under special circumstances.
[0016] VDE Control Capabilities
[0017] VDE allows the owners and distributors of electronic digital
information to reliably bill for, and securely control, audit, and
budget the use of, electronic information. It can reliably detect
and monitor the use of commercial information products. VDE uses a
wide variety of different electronic information delivery means:
including, for example, digital networks, digital broadcast, and
physical storage media such as optical and magnetic disks. VDE can
be used by major network providers, hardware manufacturers, owners
of electronic information, providers of such information, and
clearinghouses that gather usage information regarding, and bill
for the use of, electronic information.
[0018] VDE provides comprehensive and configurable transaction
management, metering and monitoring technology. It can change how
electronic information products are protected, marketed, packaged,
and distributed. When used, VDE should result in higher revenues
for information providers and greater user satisfaction and value.
Use of VDE will normally result in lower usage costs, decreased
transaction costs, more efficient access to electronic information,
re-usability of rights protection and other transaction management
implementations, greatly improved flexibility in the use of secured
information, and greater standardization of tools and processes for
electronic transaction management. VDE can be used to create an
adaptable environment that fulfills the needs of electronic
information owners, distributors, and users; financial
clearinghouses; and usage information analyzers and resellers.
[0019] Rights and Control Information
[0020] In general, the present invention can be used to protect the
rights of parties who have: [0021] (a) proprietary or
confidentiality interests in electronic information. It can, for
example, help ensure that information is used only in authorized
ways; [0022] (b) financial interests resulting from the use of
electronically distributed information. It can help ensure that
content providers will be paid for use of distributed information,
and [0023] (c) interests in electronic credit and electronic
currency storage, communication, and/or use including electronic
cash, banking, and purchasing.
[0024] Protecting the rights of electronic community members
involves a broad range of technologies VDE combines these
technologies in a way that creates a "distributed" electronic
rights protection "environment." This environment secures and
protects transactions and other processes important for rights
protection. VDE, for example, provides the ability to prevent, or
impede, interference with and/or observation of, important rights
related transactions and processes. VDE, in its preferred
embodiment, uses special purpose tamper resistant Secure Processing
Units (SPUs) to help provide a high level of security for VDE
processes and information storage and communication.
[0025] The rights protection problems solved by the present
invention are electronic versions of basic societal issues. These
issues include protecting property rights, protecting privacy
rights, properly compensating people and organizations for their
work and risk, protecting money and credit, and generally
protecting the security of information VDE employs a system that
uses a common set of processes to manage rights issues in an
efficient, trusted, and cost-effective way.
[0026] VDE can be used to protect the rights of parties who create
electronic content such as, for example: records, games, movies,
newspapers, electronic books and reference materials, personal
electronic mail, and confidential records and communications. The
invention can also be used to protect the rights of parties who
provide electronic products, such as publishers and distributors;
the rights of parties who provide electronic credit and currency to
pay for use of products, for example, credit clearinghouses and
banks; the rights to privacy of parties who use electronic content
(such as consumers, business people, governments); and the privacy
rights of parties described by electronic information, such as
privacy rights related to information contained in a medical
record, tax record, or personnel record.
[0027] In general, the present invention can protect the rights of
parties who have: [0028] (a) commercial interests in electronically
distributed information--the present invention can help ensure, for
example, that parties, will be paid for use of distributed
information in a, manner consistent with their agreement; [0029]
(b) proprietary and/or confidentiality interests in electronic
information--the present invention can, for example, help ensure
that data is used only in authorized ways; [0030] (c) interests in
electronic credit and electronic currency storage, communication,
and/or use--this can include electronic cash, banking, and
purchasing; and [0031] (d) interests in electronic information
derived, at least in part, from use of other electronic
information.
[0032] VDE Functional Properties
[0033] VDE is a cost-effective and efficient rights protection
solution that provides a unified, consistent system for securing
and managing transaction processing. VDE can: [0034] (a) audit and
analyze the use of content, [0035] (b) ensure that content is used
only in authorized ways; and [0036] (c) allow information regarding
content usage to be used only in ways approved by content
users.
[0037] In addition, VDE: [0038] (a) is very configurable,
modifiable, and re-usable; [0039] (b) supports a wide range of
useful capabilities that may be combined in different ways to
accommodate most potential applications; [0040] (c) operates on a
wide variety of electronic appliances ranging from hand-held
inexpensive devices to large mainframe computers; [0041] (d) is
able to ensure the various rights of a number of different parties,
and a number of different rights protection schemes,
simultaneously; [0042] (e) is able to preserve the rights of
parties through a series of transactions that may occur at
different times and different locations; [0043] (f) is able to
flexibly accommodate different ways of securely delivering
information and reporting usage; and [0044] (g) provides for
electronic analogues to "real" money and credit, including
anonymous electronic cash, to pay for products and services and to
support personal (including home) banking and other financial
activities.
[0045] VDE economically and efficiently fulfills the rights
protection needs of electronic community members. Users of VDE will
not require additional rights protection systems for different
information highway products and rights problems--nor will they be
required to install and learn a new system for each new information
highway application.
[0046] VDE provides a unified solution that allows all content
creators, providers, and users to employ the same electronic rights
protection solution. Under authorized circumstances, the
participants can freely exchange content and associated content
control sets. This means that a user of VDE may, if allowed, use
the same electronic system to work with different kinds of content
having different sets of content control information. The content
and control information supplied by one group can be used by people
who normally use content and control information supplied by a
different group. VDE can allow content to be exchanged
"universally" and users of an implementation of the present
invention can interact electronically without fear of
incompatibilities in content control, violation of rights, or the
need to get, install, or learn a new content control system.
[0047] The VDE securely administers transactions that specify
protection of rights. It can protect electronic rights including,
for example: [0048] (a) the property rights of authors of
electronic content, [0049] (b) the commercial rights of
distributors of content, [0050] (c) the rights of any parties who
facilitated the distribution of content, [0051] (d) the privacy
rights of users of content, [0052] (e) the privacy rights of
parties portrayed by stored and/or distributed content, and [0053]
(f) any other rights regarding enforcement of electronic
agreements.
[0054] The VDE can enable a very broad variety of electronically
enforced commercial and societal agreements. These agreements can
include electronically implemented contracts, licenses, laws,
regulations, and tax collection.
[0055] Contrast with Traditional Solutions
[0056] Traditional content control mechanisms often require users
to purchase more electronic information than the user needs or
desires. For example, infrequent users of shrink-wrapped software
are required to purchase a program at the same price as frequent
users, even though they may receive much less value from their less
frequent use. Traditional systems do not scale cost according to
the extent or character of usage and traditional systems can not
attract potential customers who find that a fixed price is too
high. Systems using traditional mechanisms are also not normally
particularly secure. For example, shrink-wrapping does not prevent
the constant illegal pirating of software once removed from either
its physical or electronic package.
[0057] Traditional electronic information rights protection systems
are often inflexible and inefficient and may cause a content
provider to choose costly distribution channels that increase a
product's price. In general these mechanisms restrict product
pricing, configuration, and marketing flexibility. These
compromises are the result of techniques for controlling
information which cannot accommodate both different content models
and content models which reflect the many, varied requirements,
such as content delivery strategies, of the model participants.
This can limit a provider's ability to deliver sufficient overall
value to justify a given product's cost in the eyes of many
potential users. VDE allows content providers and distributors to
create applications and distribution networks that reflect content
providers' and users' preferred business models. It offers users a
uniquely cost effective and feature rich system that supports the
ways providers want to distribute information and the ways users
want to use such information. VDE supports content control models
that ensure rights and allow content delivery strategies to be
shaped for maximum commercial results.
[0058] Chain of Handling and Control
[0059] VDE can protect a collection of rights belonging to various
parties having in rights in, or to, electronic information. This
information may be at one location or dispersed across (and/or
moving between) multiple locations. The information may pass
through a "chain" of distributors and a "chain" of users. Usage
information may also be reported through one or more "chains" of
parties. In general, VDE enables parties that (a) have rights in
electronic information, and/or (b) act as direct or indirect agents
for parties who have rights in electronic information, to ensure
that the moving, accessing, modifying, or otherwise using of
information can be securely controlled by rules regarding how,
when, where, and by whom such activities can be performed.
[0060] VDE Applications and Software
[0061] VDE is a secure system for regulating electronic conduct and
commerce. Regulation is ensured by control information put in place
by one or more parties. These parties may include content
providers, electronic hardware manufacturers, financial service
providers, or electronic "infrastructure" companies such as cable
or telecommunications companies. The control information implements
"Rights Applications." Rights applications "run on" the "base
software" of the preferred embodiment. This base software serves as
a secure, flexible, general purpose foundation that can accommodate
many different rights applications, that is, many different
business models and their respective participant requirements.
[0062] A rights application under VDE is made up of special purpose
pieces, each of which can correspond to one or more basic
electronic processes needed for a rights protection environment.
These processes can be combined together like building blocks to
create electronic agreements that can protect the rights, and may
enforce fulfillment of the obligations, of electronic information
users and providers. One or more providers of electronic
information can easily combine selected building blocks to create a
rights application that is unique to a specific content
distribution model. A group of these pieces can represent the
capabilities needed to fulfill the agreement(s) between users and
providers. These, pieces accommodate many requirements of
electronic commerce including: [0063] the distribution of
permissions to use electronic information; [0064] the persistence
of the control information and sets of control information managing
these permissions; [0065] configurable control set information that
can be selected by users for use with such information, [0066] data
security and usage auditing of electronic information, and [0067] a
secure system for currency, compensation and debit management.
[0068] For electronic commerce, a rights application, under the
preferred embodiment of the present invention, can provide
electronic enforcement of the business agreements between all
participants. Since different groups of components can be put
together for different applications, the present invention can
provide electronic control information for a wide variety of
different products and markets. This means the present invention
can provide a "unified," efficient, secure, and cost-effective
system for electronic commerce and data security. This allows VDE
to serve as a single standard for electronic rights protection,
data security, and electronic currency and banking.
[0069] In a VDE, the separation between a rights application and
its foundation permits the efficient selection of sets of control
information that are appropriate for each of many different types
of applications and uses. These control sets `can reflect both
rights of electronic community members, as well as obligations
(such as providing a history of one's use of a product or paying
taxes on one's electronic purchases). VDE flexibility allows its
users to electronically implement and enforce common social and
commercial ethics and practices. By providing a unified control
system, the present invention supports a vast range of possible
transaction related interests and concerns of individuals,
communities, businesses, and governments. Due to its open design,
VDE allows (normally under securely controlled circumstances)
applications using technology independently created by users to be
"added" to the system and used in conjunction with the foundation
of the invention. In sum, VDE provides a system that can fairly
reflect and enforce agreements among parties. It is a broad ranging
and systematic solution that answers the pressing need for a
secure, cost-effective, and fair electronic environment.
[0070] VDE Implementation
[0071] The preferred embodiment of the present invention includes
various tools that enable system designers to directly insert VDE
capabilities into their products. These tools include an
Application Programmer's Interface ("API") and a Rights
Permissioning and Management Language ("RPML"). The RPML provides
comprehensive and detailed control over the use of the invention's
features. VDE also includes certain user interface subsystems for
satisfying the needs of content providers, distributors, and
users.
[0072] Information distributed using VDE may take many forms. It
may, for example, be "distributed" for use on an individual's own
computer, that is the present invention can be used to provide
security for locally stored data. Alternatively, VDE may be used
with information that is dispersed by authors and/or publishers to
one or more recipients. This information may take many forms
including: movies, audio recordings, games, electronic catalog
shopping, multimedia, training materials, E-mail and personal
documents, object oriented libraries, software programming
resources, and reference/record keeping information resources (such
as business, medical, legal, scientific, governmental, and consumer
databases).
[0073] Electronic rights protection provided by the present
invention will also provide an important foundation for trusted and
efficient home and commercial banking, electronic credit processes,
electronic purchasing, true or conditionally anonymous electronic
cash, and EDI (Electronic Data Interchange). VDE provides important
enhancements for improving data security in organizations by
providing "smart" transaction management features that can be far
more effective than key and password based "go/no go"
technology.
[0074] VDE normally employs an integration of cryptographic and
other security technologies (e.g. encryption, digital signatures,
etc.), with other technologies including: component, distributed,
and event driven operating system technology, and related
communications, object container, database, smart agent, smart
card, and semiconductor design technologies.
I. Overview
[0075] A. VDE Solves Important Problems and Fills Critical
Needs
[0076] The world is moving towards an integration of electronic
information appliances. This interconnection of appliances provides
a foundation for much greater electronic interaction and the
evolution of electronic commerce. A variety of capabilities are
required to implement an electronic commerce environment. VDE is
the first system that provides many of these capabilities and
therefore solves fundamental problems related to electronic
dissemination of information.
[0077] Electronic Content
[0078] VDE allows electronic arrangements to be created involving
two or more parties. These agreements can themselves comprise a
collection of agreements between participants in a commercial value
chain and/or a data security chain model for handling, auditing,
reporting, and payment. It can provide efficient, reusable,
modifiable, and consistent means for secure electronic content:
distribution, usage control, usage payment, usage auditing, and
usage reporting. Content may, for example, include: [0079]
financial information such as electronic currency and credit;
[0080] commercially distributed electronic information such as
reference databases, movies, games, and advertising and [0081]
electronic properties produced by persons and organizations, such
as documents, e-mail, and proprietary database information.
[0082] VDE enables an electronic commerce marketplace that supports
differing, competitive business partnerships, agreements, and
evolving overall business models.
[0083] The features of VDE allow it to function as the first
trusted electronic information control environment that can conform
to, and support, the bulk of conventional electronic commerce and
data security requirements. In particular, VDE enables the
participants in a business value chain model to create an
electronic version of traditional business agreement terms and
conditions and further enables these participants to shape` and
evolve their electronic commerce models as they believe appropriate
to their business requirements.
[0084] VDE offers an architecture that avoids reflecting specific
distribution biases, administrative and control perspectives, and
content types. Instead, VDE provides a broad-spectrum,
fundamentally configurable and portable, electronic transaction
control, distributing, usage, auditing, reporting, and payment
operating environment. VDE is not limited to being an application
or application specific toolset that covers only a limited subset
of electronic interaction activities and participants. Rather, VDE
supports systems by which such applications can be created,
modified, and/or reused. As a result, the present invention answers
pressing, unsolved needs by offering a system that supports a
standardized control environment which facilitates interoperability
of electronic appliances, interoperability of content containers,
and efficient creation of electronic commerce applications and
models through the use of a programmable, secure electronic
transactions management foundation and reusable and extensible
executable components. VDE can support a single electronic "world"
within which most forms of electronic transaction activities can be
managed.
[0085] To answer the developing needs of rights owners and content
providers and to provide a system that can accommodate the
requirements and agreements of all parties that may be involved in
electronic business models (creators, distributors, administrators,
users, credit providers, etc.), VDE supplies an efficient, largely
transparent, low cost and sufficiently secure system (supporting
both hardware/software and software only models). VDE provides the
widely varying secure control and administration capabilities
required for: [0086] 1. Different types of electronic content,
[0087] 2. Differing electronic content delivery schemes, [0088] 3.
Differing electronic content usage schemes, [0089] 4. Different
content usage platforms, and [0090] 5. Differing content marketing
and model strategies.
[0091] VDE may be combined with, or integrated into, many separate
computers and/or other electronic appliances. These appliances
typically include a secure subsystem that can enable control of
content use such as displaying, encrypting, decrypting, printing,
copying, saving, extracting, embedding, distributing, auditing
usage, etc. The secure subsystem in the preferred embodiment
comprises one or more "protected processing environments", one or
more secure databases, and secure "component assemblies" and other
items and processes that need to be kept secured. VDE can, for
example, securely control electronic currency, payments, and/or
credit management (including electronic credit and/or currency
receipt, disbursement, encumbering, and/or allocation) using such a
"secure subsystem."
[0092] VDE provides a secure, distributed electronic transaction
management system for controlling the distribution and/or other
usage of electronically provided and/or stored information. VDE
controls auditing and reporting of electronic content and/or
appliance usage. Users of VDE may include content creators who
apply content usage, usage reporting, and/or usage payment related
control information to electronic content and/or appliances for
users such as end-user organizations, individuals, and content
and/or appliance distributors. VDE also securely supports the
payment of money owed (including money owed for content and/or
appliance usage) by one or more parties to one or more other
parties, in the form of electronic credit and/or currency.
[0093] Electronic appliances under control of VDE represent VDE
`nodes` that securely process and control; distributed electronic
information and/or appliance usage, control information
formulation, and related transactions. VDE can securely manage the
integration of control information provided by two or more parties.
As a result, VDE can construct an electronic agreement between VDE
participants that represent a "negotiation" between, the control
requirements of, two or more parties and enacts terms and
conditions of a resulting agreement. VDE ensures the rights of each
party to an electronic agreement regarding a wide range of
electronic activities related to electronic information and/or
appliance usage.
[0094] Through use of VDE's control system, traditional content
providers and users can create electronic relationships that
reflect traditional, non-electronic relationships. They can shape
and modify commercial relationships to accommodate the evolving
needs of, and agreements among, themselves. VDE does not require
electronic content providers and users to modify their business
practices and personal preferences to conform to a metering and
control application program that supports limited, largely fixed
functionality. Furthermore, VDE permits participants to develop
business models not feasible with non-electronic commerce, for
example, involving detailed reporting of content usage information,
large numbers of distinct transactions at hitherto infeasibly low
price points, "pass-along" control information that is enforced
without involvement or advance knowledge of the participants,
etc.
[0095] The present invention allows content providers and users to
formulate their transaction environment to accommodate: [0096] (1)
desired content models, content control models, and content usage
information pathways, [0097] (2) a complete range of electronic
media and distribution means, [0098] (3) a broad range of pricing,
payment, and auditing strategies, [0099] (4) very flexible privacy
and/or reporting models, [0100] (5) practical and effective
security architectures, and [0101] (6) other administrative
procedures that together with steps (1) through (5) can enable most
"real world" electronic commerce and data security models,
including models unique to the electronic world.
[0102] VDE's transaction management capabilities can enforce:
[0103] (1) privacy rights of users related to information regarding
their usage of electronic information and/or appliances, [0104] (2)
societal policy such as laws that protect rights of content users
or require the collection of taxes derived from electronic
transaction revenue, and [0105] (3) the proprietary and/or other
rights of parties related to ownership of, distribution of, and/or
other commercial rights related to, electronic information.
[0106] VDE can support "real" commerce in an electronic form, that
is the progressive creation of commercial relationships that form,
over time, a network of interrelated agreements representing a
value chain business model. This is achieved in part by enabling
content control information to develop through the interaction of
(negotiation between) securely created and independently submitted
sets of content and/or appliance control information. Different
sets of content and/or appliance control information can be
submitted by different parties in an electronic business value
chain enabled by the present invention. These parties create
control information sets through the use of their respective VDE
installations. Independently, securely deliverable, component based
control information allows efficient interaction among control
information sets supplied by different parties.
[0107] VDE permits multiple, separate electronic arrangements to be
formed between subsets of parties in a VDE supported electronic
value chain model. These multiple agreements together comprise a
VDE value chain "extended" agreement. VDE allows such constituent
electronic agreements, and therefore overall VDE extended
agreements, to evolve and reshape over time as additional VDE
participants become involved in VDE content and/or appliance
control information handling VDE electronic agreements may also be
extended as new control information is submitted by existing
participants. With VDE, electronic commerce participants are free
to structure and restructure their electronic commerce business
activities and relationships. As a result, the present invention
allows a competitive electronic commerce marketplace to develop
since the use of VDE enables different, widely varying business
models using the same or shared content.
[0108] A significant facet of the present invention's ability to
broadly support electronic commerce is its ability to securely
manage independently delivered VDE component objects containing
control information (normally in the form of VDE objects containing
one or more methods, data, or load module VDE components). This
independently delivered control information can be integrated with
senior and other pre-existing content control information to
securely form derived control information using the negotiation
mechanisms of the present invention. All requirements specified by
this derived control information must be satisfied before VDE
controlled content can be accessed or otherwise used. This means
that, for example, all load modules and any mediating data which
are listed by the derived control information as required must be
available and securely perform their required function. In
combination with other aspects of the present invention, securely,
independently delivered control components allow electronic
commerce participants to freely stipulate their business
requirements and trade offs. As a result, much as with traditional,
non-electronic commerce, the present invention allows electronic
commerce (through a progressive stipulation of various control
requirements by VDE participants) to evolve into forms of business
that are the most efficient, competitive and useful.
[0109] VDE provides capabilities that rationalize the support of
electronic commerce and electronic transaction management. This
rationalization stems from the reusability of control structures
and user interfaces for a wide variety of transaction management
related activities. As a result, content usage control, data
security, information auditing, and electronic financial
activities, can be supported with tools that are reusable,
convenient, consistent, and familiar. In addition, a rational
approach--a transaction/distribution control standard--allows all
participants in VDE the same foundation set of hardware control and
security, authoring, administration, and management tools `to
support widely varying types of information, business market model,
and/or personal objectives.
[0110] Employing VDE as a general purpose electronic
transaction/distribution control system allows users to maintain a
single transaction management control arrangement on each of their
computers, networks, communication nodes, and/or other electronic
appliances. Such a general purpose system can serve the needs of
many electronic transaction management applications without
requiring distinct, different installations for different purposes.
As a result, users of VDE can avoid the confusion and expense and
other inefficiencies of different, limited purpose transaction
control applications for each different content and/or business
model. For example, VDE allows content creators to use the same VDE
foundation control arrangement for both content authoring and for
licensing content from other content creators for inclusion into
their products or for other use. Clearinghouses, distributors,
content creators, and other VDE users can all interact, both with
the applications running on their VDE installations, and with each
other, in an entirely consistent manner, using and reusing (largely
transparently) the same distributed tools, mechanisms, and
consistent user interfaces, regardless of the type of VDE
activity.
[0111] VDE prevents many forms of unauthorized use of electronic
information, by controlling and auditing (and other administration
of use) electronically stored and/or disseminated information. This
includes, for example, commercially distributed content, electronic
currency, electronic credit, business transactions (such as EDI),
confidential communications, and the like. VDE can further be used
to enable commercially provided electronic content to be made
available to users in user defined portions, rather than
constraining the user to use portions of content that were
"predetermined" by a content creator and/or other provider for
billing purposes.
[0112] VDE, for example, can employ: [0113] (1) Secure metering
means for budgeting and/or auditing electronic content and/or
appliance usage; [0114] (2) Secure flexible means for enabling
compensation and/or billing rates for content and/or appliance
usage, including electronic credit and/or currency mechanisms for
payment means;
[0115] (3) Secure distributed database means for storing control
and usage related information (and employing validated
compartmentalization and tagging schemes); [0116] (4) Secure
electronic appliance control means; [0117] (5) A distributed,
secure, "virtual black box" comprised of nodes located at every
user (including VDE content container creators, other content
providers, client users, and recipients of secure VDE content usage
information) site. The nodes of said virtual black box normally
include a secure subsystem having at least one secure hardware
element (a semiconductor element or other hardware module for
securely executing VDE control processes), said secure subsystems
being distributed at nodes along a pathway of information storage,
distribution, payment, usage, and/or auditing. In some embodiments,
the functions of said hardware element, for certain or all nodes,
may be performed by software, for example, in host processing
environments of electronic appliances; [0118] (6) Encryption and
decryption means; [0119] (7) Secure communications means employing
authentication, digital signaturing, and encrypted transmissions.
The secure subsystems at said user nodes utilize a protocol that
establishes and authenticates each node's and/or participant's
identity, and establishes one or more secure host-to-host
encryption keys for communications between the secure subsystems;
and [0120] (8) Secure control means that can allow each VDE
installation to perform VDE content authoring (placing content into
VDE containers with associated control information), content
distribution, and content usage; as well as clearinghouse and other
administrative and analysis activities employing content usage
information.
[0121] VDE may be used to migrate most non-electronic, traditional
information delivery models (including entertainment, reference
materials, catalog shopping, etc.) into an adequately secure
digital distribution and usage management and payment context. The
distribution and financial pathways managed by a VDE arrangement
may include: [0122] content creator(s), [0123] distributor(s),
[0124] redistributor(s), [0125] client administrator(s), [0126]
client user(s), [0127] financial and/or other clearinghouse(s),
[0128] and/or government agencies.
[0129] These distribution and financial pathways may also include:
[0130] advertisers, [0131] market survey organizations, and/or
[0132] other parties interested in the user usage of information
securely delivered and/or stored using VDE.
[0133] Normally, participants in a VDE arrangement will employ the
same secure VDE foundation. Alternate embodiments support VDE
arrangements employing differing VDE foundations. Such alternate
embodiments may employ procedures to ensure certain
interoperability requirements are met.
[0134] Secure VDE hardware (also known as SPUs for Secure
Processing Units), or VDE installations that use software to
substitute for, or complement, said hardware (provided by Host
Processing Environments (HPEs)), operate in conjunction with secure
communications, systems integration software, and distributed
software control information and support structures, to achieve the
electronic contract/rights protection environment of the present
invention. Together, these VDE components comprise a secure,
virtual, distributed content and/or appliance control, auditing
(and other administration), reporting, and payment environment. In
some embodiments and where commercially acceptable, certain VDE
participants, such as clearinghouses that normally maintain
sufficiently physically secure non-VDE processing environments, may
be allowed to employ HPEs rather VDE hardware elements and
interoperate, for example, with VDE end-users and content
providers. VDE components together comprise a configurable,
consistent, secure and "trusted" architecture for distributed,
asynchronous control of electronic content and/or appliance usage.
VDE supports a "universe wide" environment for electronic content
delivery, broad dissemination, usage reporting, and usage related
payment activities.
[0135] VDE provides generalized configurability. This results, in
part, from decomposition of generalized requirements for supporting
electronic commerce and data security into a broad range of
constituent "atomic" and higher level components (such as load
modules, data elements, and methods) that may be variously
aggregated together to form control methods for electronic commerce
applications, commercial electronic agreements, and data security
arrangements. VDE provides a secure operating environment employing
VDE foundation elements along with secure independently deliverable
VDE components that enable electronic commerce models and
relationships to develop. VDE specifically supports the unfolding
of distribution models in which content providers, over time, can
expressly agree to, or allow, subsequent content providers and/or
users to participate in shaping the control information for, and
consequences of use of electronic content and/or appliances. A very
broad range of the functional attributes important for supporting
simple to very complex electronic commerce and data security
activities are supported by capabilities of the present invention.
As a result, VDE supports most types of electronic information
and/or appliance: usage control (including distribution), security,
usage auditing, reporting, other administration, and payment
arrangements.
[0136] VDE, in its preferred embodiment, employs object software
technology and uses object technology to form "containers" for
delivery of information that is (at least in part) encrypted or
otherwise secured. These containers may contain electronic content
products or other electronic information and some or all of their
associated permissions (control) information. These container
objects may be distributed along pathways involving content
providers and/or content users. They may be securely moved among
nodes of a Virtual Distribution Environment (VDE) arrangement,
which nodes operate VDE foundation software and execute control
methods to enact electronic information usage control and/or
administration models. The containers delivered through use of the
preferred embodiment of the present invention may be employed both
for distributing VDE control instructions (information) and/or to
encapsulate and electronically distribute content that has been at
least partially secured.
[0137] Content providers who employ the present invention may
include, for example, software application and game publishers,
database publishers, cable, television, and radio broadcasters,
electronic shopping vendors, and distributors of information in
electronic document, book, periodical, e-mail and/or other forms.
Corporations, government agencies, and/or individual "end-users"
who act as storers of, and/or distributors of, electronic
information, may also be VDE content providers (in a restricted
model, a user provides content only to himself and employs VDE to
secure his own confidential information against unauthorized use by
other parties). Electronic information may include proprietary
and/or confidential information for personal or internal
organization use, as well as information, such as software
applications, documents, entertainment materials, and/or reference
information, which may be provided to other parties. Distribution
may be by, for example, physical media delivery, broadcast and/or
telecommunication means, and in the form of "static" files and/or
streams of data. VDE may also be used, for example, for multi-site
"real-time" interaction such as teleconferencing, interactive
games, or on-line bulletin boards, where restrictions on, and/or
auditing of, the use of all or portions of communicated information
is enforced.
[0138] VDE provides important mechanisms for both enforcing
commercial agreements and enabling the protection of privacy
rights. VDE can securely deliver information from one party to
another concerning the use of commercially distributed electronic
content. Even if parties are separated by several "steps" in a
chain (pathway) of handling for such content usage information,
such information is protected by VDE through encryption and/or
other secure processing. Because of that protection, the accuracy
of such information is guaranteed by VDE, and the information can
be trusted by all parties to whom it is delivered. Furthermore, VDE
guarantees that all parties can trust that such information cannot
be received by anyone other than the intended, authorized,
party(ies) because it is encrypted such that only an authorized
party, or her agents, can decrypt it. Such information may also be
derived through a secure VDE process at a previous
pathway-of-handling location to produce secure VDE reporting
information that is then communicated securely to its intended
recipient's VDE secure subsystem. Because VDE can deliver such
information securely, parties to an electronic agreement need not
trust the accuracy of commercial usage and/or other information
delivered through means other than those under control of VDE.
[0139] VDE participants in a commercial value, chain can be
"commercially" confident (that is, sufficiently confident for
commercial purposes) that the direct (constituent) and/or
"extended" electronic agreements they entered into through the use
of VDE can be enforced reliably. These agreements may have both
"dynamic" transaction management related, aspects, such as content
usage control information enforced through budgeting, metering,
and/or reporting of electronic information and/or appliance use,
and/or they may include "static" electronic assertions, such as an
end-user using the system to assert his or her agreement to pay for
services, not to pass to unauthorized parties electronic
information derived from usage of content or systems, and/or
agreeing to observe copyright laws. Not only can electronically
reported transaction related information be trusted under the
present invention, but payment may be automated by, the passing of
payment tokens through a pathway of payment (which may or may not
be the same as a pathway for reporting). Such payment can be
contained within a VDE container created automatically by a VDE
installation in response to control information (located, in the
preferred embodiment, in one or more permissions records)
stipulating the "withdrawal" of credit or electronic currency (such
as tokens) from an electronic account (for example, an account
securely maintained by a user's VDE installation secure subsystem)
based upon usage of VDE controlled electronic content and/or
appliances (such as governments, financial credit providers, and
users).
[0140] VDE allows the needs of electronic commerce participants to
be served and it can bind such participants together in a universe
wide, trusted commercial network that can be secure enough to
support very large amounts of commerce. VDE's security and metering
secure subsystem core will be present at all physical locations
where VDE related content is (a) assigned usage related control
information (rules and mediating data), and/or (b) used. This core
can perform security and auditing functions (including metering)
that operate within a "virtual black box," a collection of
distributed, very secure VDE related hardware instances that are
interconnected by secured information exchange (for example,
telecommunication) processes and distributed database means. VDE
further includes highly configurable transaction operating system
technology, one or more associated libraries of load modules along
with affiliated data, VDE related administration, data preparation,
and analysis applications, as well as system software designed to
enable VDE integration into host environments and applications.
VDE's usage control information, for example, provide for property
content and/or appliance related: usage authorization, usage
auditing (which may include audit reduction), usage billing, usage
payment, privacy filtering, reporting, and security related
communication `and encryption techniques.
[0141] VDE extensively employs methods in the form of software
objects to augment configurability, portability, and security of
the VDE environment. It also employs a software object architecture
for VDE content containers that carries protected content and may
also carry both freely available information (e.g, summary, table
of contents) and secured content control information which ensures
the performance of control information. Content control information
governs content usage according to criteria set by holders of
rights to an object's contents and/or according to parties who
otherwise have rights associated with distributing such content
(such as governments, financial credit providers, and users).
[0142] In part, security is enhanced by object methods employed by
the present invention because the encryption schemes used to
protect an object can efficiently be further used to protect the
associated content control information (software control
information and relevant data) from modification. Said object
techniques also enhance portability between various computer and/or
other appliance environments because electronic information in the
form of content can be inserted along with (for example, in the
same object container as) content control information (for said
content) to produce a "published" object. As a result, various
portions of said control information may be specifically adapted
for different environments, such as for diverse computer platforms
and operating systems, and said various portions may all be carried
by a VDE container.
[0143] An objective of VDE is supporting a transaction/distribution
control standard. Development of such a standard has many
obstacles, given the security requirements and related hardware and
communications issues, widely differing environments, information
types, types of information usage, business and/or data security
goals, varieties of participants, and properties of delivered
information. A significant feature of VDE accommodates the many,
varying distribution and other transaction variables by, in part,
decomposing electronic commerce and data security functions into
generalized capability modules executable within a secure hardware
SPU and/or corresponding software subsystem and further allowing
extensive flexibility in assembling, modifying, and/or replacing,
such modules (e.g. load modules and/or methods) in applications run
on a VDE installation foundation. This configurability and
reconfigurability allows electronic commerce and data security
participants to reflect their priorities and requirements through a
process of iteratively shaping an evolving extended electronic
agreement (electronic control model). This shaping can occur as
content control information passes from one VDE participant to
another and to the extent allowed by "in place" content control
information. This process allows users of VDE to recast existing
control information and/or add new control information as necessary
(including the elimination of no longer required elements).
[0144] VDE supports trusted (sufficiently secure) electronic
information distribution and usage control models for both
commercial electronic content distribution and data security
applications. It can be configured to meet the diverse requirements
of a network of interrelated participants that may include content
creators, content distributors, client administrators, end users,
and/or clearinghouses and/or other content usage information users.
These parties may constitute a network of participants involved in
simple to complex electronic content dissemination, usage control,
usage reporting, and/or usage payment. Disseminated content may
include both originally provided and VDE generated information
(such as content usage information) and content control information
may persist through both chains (one or more pathways) of content
and content control information handling, as well as the direct
usage of content. The configurability provided by the present
invention is particularly critical for supporting electronic
commerce, that is enabling businesses to create relationships and
evolve strategies that offer, competitive value. Electronic
commerce tools that are not inherently configurable and
interoperable will ultimately fail to produce products (and
services) that meet both basic requirements and evolving needs of
most commerce applications.
[0145] VDE's fundamental configurability will allow a broad range
of competitive electronic commerce business models to flourish. It
allows business models to be shaped to maximize revenues sources,
end-user product value, and operating efficiencies. VDE can be
employed to support multiple, differing models, take advantage of
new revenue opportunities, and deliver product configurations most
desired by users. Electronic commerce technologies that do not, as
the present invention does: [0146] support a broad range of
possible, complementary revenue activities, [0147] offer a flexible
array of content usage features most desired by customers, and
[0148] exploit opportunities for operating efficiencies,
[0149] will result in products that are often intrinsically more
costly and less appealing and therefore less competitive in the
marketplace.
[0150] Some of the key factors contributing to the configurability
intrinsic to the present invention include: [0151] (a) integration
into the fundamental control environment of a broad range of
electronic appliances through portable API and programming language
tools that efficiently support merging of control and auditing
capabilities in nearly any electronic appliance environment while
maintaining overall system security; [0152] (b) modular data
structures; [0153] (c) generic content model; [0154] (d) general
modularity and independence of foundation architectural components;
[0155] (e) modular security structures; [0156] (f) variable length
and multiple branching chains of control; and [0157] (g)
independent, modular control structures in the form of executable
load modules that can be maintained in one or more libraries, and
assembled into control methods and models, and where such model
control schemes can "evolve" as control information passes through
the VDE installations of participants of a pathway of VDE content
control information handling.
[0158] Because of the breadth of issues resolved by the present
invention, it can provide the emerging "electronic highway" with a
single transaction/distribution control system that can, for a very
broad range of commercial and data security models, ensure against
unauthorized use of confidential and/or proprietary information and
commercial electronic transactions. VDE's electronic transaction
management mechanisms can enforce the electronic rights and
agreements of all parties participating in widely varying business
and data security models, and this can be efficiently achieved
through a single VDE implementation within each VDE participant's
electronic appliance. VDE supports widely varying business and/or
data security models that can involve a broad range of participants
at various "levels" of VDE content and/or content control
information pathways of handling. Different content control and/or
auditing models and agreements may be available on the same VDE
installation. These models and agreements may control content in
relationship to, for example, VDE installations and/or users in
general; certain specific users, installations, classes and/or
other groupings of installations and/or users; as well as to
electronic content generally on a given installation, to specific
properties, property portions, classes and/or other groupings of
content.
[0159] Distribution using VDE may package both the electronic
content and control information into the same VDE container, and/or
may involve the delivery to an end-user site of different pieces of
the same VDE managed property from plural separate remote locations
and/or in plural separate VDE content containers and/or employing
plural different delivery means. Content control information may be
partially or fully delivered separately from its associated content
to a user VDE installation in one or more VDE administrative
objects. Portions of said control information may be delivered from
one or more sources. Control information may also be available for
use by access from a user's VDE installation secure sub-system to
one or more remote VDE secure sub-systems and/or VDE compatible,
certified secure remote locations. VDE control processes such as
metering, budgeting, decrypting and/or fingerprinting, may as
relates to a certain user content usage activity, be performed in a
user's local VDE installation secure subsystem, or said processes
may be divided amongst plural secure subsystems which may be
located in the same user VDE installations and/or in a network
server and in the user installation. For example, a local VDE
installation may perform decryption and save any, or all of, usage
metering information related to content and/or electronic appliance
usage at such user installation could be performed at the server
employing secure (e.g., encrypted) communications between said
secure subsystems. Said server location may also be used for near
real time, frequent, or more periodic secure receipt of content
usage information from said user installation, with, for example,
metered information being maintained only temporarily at a local
user installation.
[0160] Delivery means for VDE managed content may include
electronic data storage means such as optical disks for delivering
one portion of said information and broadcasting and/or
telecommunicating means for other portions of said information.
Electronic data storage means may include magnetic media, optical
media, combined magneto-optical systems, flash RAM memory, bubble
memory, and/or other memory storage means such as huge capacity
optical storage systems employing holographic, frequency, and/or
polarity data storage techniques. Data storage means may also
employ layered disc techniques, such as the use of generally
transparent and/or translucent materials that pass light through
layers of data carrying discs which themselves are physically
packaged together as one thicker disc. Data carrying locations on
such discs may be, at least in part, opaque.
[0161] VDE supports a general purpose foundation for secure
transaction management, including usage control, auditing,
reporting, and/or payment. This general purpose foundation is
called "VDE Functions" ("VDEFs"). VDE also supports a collection of
"atomic" application elements (e.g., load modules) that can be
selectively aggregated together to form various VDEF capabilities
called control methods and which serve as VDEF applications and
operating system functions. When a host operating environment of an
electronic appliance includes VDEF capabilities, it is called a
"Rights Operating System" (ROS) VDEF load modules, associated data,
and methods form a body of information that for the purposes of the
present invention are called "control information." VDEF control
information may be specifically associated with one or more pieces
of electronic content and/or it may be employed as a general
component of the operating system capabilities of a VDE
installation.
[0162] VDEF transaction control elements reflect and enact content
specific and/or more generalized administrative (for example,
general operating system) control information. VDEF capabilities
which can generally take the form of applications (application
models) that have more or less configurability which can be shaped
by VDE participants, through the use, for example, of VDE
templates, to employ specific capabilities, along, for example,
with capability parameter data to reflect the elements of one or
more express electronic agreements between VDE participants in
regards to the use of electronic content such as commercially
distributed products. These control capabilities manage the use of,
and/or auditing of use of, electronic content, as well as reporting
information based upon content use, and any payment for said use.
VDEF capabilities may "evolve" to reflect the requirements of one
or more successive parties who receive or otherwise contribute to a
given set of control information. Frequently, for a VDE application
for a given content model (such as distribution of entertainment on
CD-ROM, content delivery from an Internet repository, or electronic
catalog shopping and advertising, or some combination of the above)
participants would be able to securely select from amongst
available, alternative control methods and apply related parameter
data, wherein such selection of control method and/or submission of
data would constitute their "contribution" of control information.
Alternatively, or in addition, certain control methods that have
been expressly certified as securely interoperable and compatible
with said application may be independently submitted by a
participant as part of such a contribution. In the most general
example, a generally certified load module (certified for a given
VDE arrangement and/or content class) may be used with many or any
VDE application that operates in nodes of said arrangement. These
parties, to the extent they are allowed, can independently and
securely add, delete, and/or otherwise modify the specification of
load modules and methods, as well as add, delete or otherwise
modify related information.
[0163] Normally the party who creates a VDE content container
defines the general nature of the VDEF capabilities that will
and/or may apply to certain electronic information. A VDE content
container is an object that contains both content (for example,
commercially distributed electronic information products such as
computer software programs, movies, electronic publications or
reference materials, etc.) and certain control information related
to the use of the object's content. A creating party may make a VDE
container available to other parties. Control information delivered
by, and/or otherwise available for use with, VDE content containers
comprise (for commercial content distribution purposes) VDEF
control capabilities (and any associated parameter data) for
electronic content. These capabilities may constitute one or more
"proposed" electronic agreements (and/or agreement functions
available for selection and/or use with parameter data) that manage
the use and/or the consequences of use of such content and which
can enact the terms and conditions of agreements involving multiple
parties and their various rights and obligations.
[0164] A VDE electronic agreement may be explicit, through a user
interface acceptance by one or more parties, for example by a
"junior" party who has received control information from a "senior"
party, or it may be a process amongst equal parties who
individually assert their agreement. Agreement may also result from
an automated electronic process during which terms and conditions
are "evaluated" by certain VDE participant control information that
assesses whether certain other electronic terms and conditions
attached to content and/or submitted by another party are
acceptable (do not violate acceptable control information
criteria). Such an evaluation process may be quite simple, for
example a comparison to ensure compatibility between a portion of,
or all senior, control terms and conditions in a table of terms and
conditions and the submitted control information of a subsequent
participant in a pathway of content control information handling,
or it may be a more elaborate process that evaluates the potential
outcome of, and/or implements a negotiation process between, two or
more sets of control information submitted by two or more parties.
VDE also accommodates a semi-automated process during which one or
more VDE participants directly, through user interface means,
resolve "disagreements" between control information sets by
accepting and/or proposing certain control information that may be
acceptable to control information representing one or more other
parties interests and/or responds to certain user interface queries
for selection of certain alternative choices and/or for certain
parameter information, the responses being adopted if acceptable to
applicable senior control information.
[0165] When another party (other than the first applier of rules),
perhaps through a negotiation process, accepts, and/or adds to
and/or otherwise modifies, "in place" content control information,
a VDE agreement between two or more parties related to the use of
such electronic content may be created (so long as any
modifications are consistent with senior control information).
Acceptance of terms and conditions related to certain electronic
content may be direct and express, or it may be implicit as a
result of use of content (depending, for example, on legal
requirements, previous exposure to such terms and conditions, and
requirements of in place control information).
[0166] VDEF capabilities may be employed, and a VDE agreement may
be entered into, by a plurality of parties without the VDEF
capabilities being directly associated with the controlling of
certain, specific electronic information. For example, certain one
or more VDEF capabilities may be present at a VDE installation, and
certain VDE agreements may have been entered into during the
registration process for a content distribution application, to be
used by such installation for securely controlling VDE content
usage, auditing, reporting and/or payment. Similarly, a specific
VDE participant may enter into a VDE user agreement with a VDE
content or electronic appliance provider when the user and/or her
appliance register with such provider as a VDE installation and/or
user. In such events, VDEF in place control information available
to the user VDE installation may require that certain VDEF methods
are employed, for example in a certain sequence, in order to be
able to use all and/or certain classes, of electronic content
and/or VDE applications.
[0167] VDE ensures that certain prerequisites necessary for a given
transaction to occur are met. This includes the secure execution of
any required load modules and the availability of any required,
associated data. For example, required load modules and data (e.g.
in the form of a method) might specify that sufficient credit from
an authorized source must be confirmed as available. It might
further require certain one or more load modules execute as
processes at an appropriate time to ensure that such credit will be
used in order to pay for user use of the content. A certain content
provider might, for example, require metering the number of copies
made for distribution to employees of a given software program (a
portion of the program might be maintained in encrypted form and
require the presence of a VDE installation to run). This would
require the execution of a metering method for copying of the
property each time a copy was made for another employee. This same
provider might also charge fees based on the total number of
different properties licensed from them by the user and a metering
history of their licensing of properties might be required to
maintain this information.
[0168] VDE provides organization, community, and/or universe wide
secure environments whose integrity is assured by processes
securely controlled in VDE participant user installations (nodes).
VDE installations, in the preferred embodiment, may include both
software and tamper resistant hardware semiconductor elements. Such
a semiconductor arrangement comprises, at least in part, special
purpose circuitry that has been designed to protect against
tampering with, or unauthorized observation of, the information and
functions used in performing the VDE's control functions. The
special purpose secure circuitry provided by the present invention
includes at least one of a dedicated semiconductor arrangement
known as a Secure Processing Unit (SPU) and/or a standard
microprocessor, microcontroller, and/or other processing logic that
accommodates the requirements of the present invention and
functions as an SPU. VDE's secure hardware may be found
incorporated into, for example, a fax/modem chip or chip pack, I/O
controller, video display controller, and/or other available
digital processing arrangements. It is anticipated that portions of
the present invention's VDE secure hardware capabilities may
ultimately be standard design elements of central processing units
(CPUs) for computers and various other electronic devices.
[0169] Designing VDE capabilities into one or more standard
microprocessor, microcontroller and/or other digital processing
components may materially reduce VDE related hardware costs by
employing the same hardware resources for both the transaction
management uses contemplated by the present invention and for
other, host electronic appliance functions. This means that a VDE
SPU can employ (share) circuitry elements of a "standard" CPU. For
example, if a "standard" processor can operate in protected mode
and can execute VDE related instructions as a protected activity,
then such an embodiment may provide sufficient hardware security
for a variety of applications and the expense of a special purpose
processor might be avoided. Under one preferred embodiment of the
present invention, certain memory (e.g., RAM, ROM, NVRAM) is
maintained during VDE related instruction processing in a protected
mode (for example, as supported by protected mode microprocessors).
This memory is located in the same package as the processing logic
(e.g. processor). Desirably, the packaging and memory of such a
processor would be designed using security techniques that enhance
its resistance to tampering.
[0170] The degree of overall security of the VDE system is
primarily dependent on the degree of tamper resistance and
concealment of VDE control process execution and related data
storage activities. Employing special purpose semiconductor
packaging techniques can significantly contribute to the degree of
security. Concealment and tamper-resistance in semiconductor memory
(e.g., RAM, ROM, NVRAM) can be achieved, in part, by employing such
memory within an SPU package, by encrypting data before it is sent
to external memory (such as an external RAM package) and decrypting
encrypted data within the CPU/RAM package before it is executed.
This process is used for important VDE related data when such data
is stored on unprotected media, for example, standard host storage,
such as random access memory, mass storage, etc. In that event, a
VDE SPU would encrypt data that results from a secure VDE execution
before such data was stored in external memory.
Summary of Some Important Features Provided by VDE in Accordance
with the Present Invention
[0171] VDE employs a variety of capabilities that serve as a
foundation for a general purpose, sufficiently secure distributed
electronic commerce solution. VDE enables an electronic commerce
marketplace that supports divergent, competitive business
partnerships, agreements, and evolving overall business models. For
example, VDE includes features that: [0172] "sufficiently" impede
unauthorized and/or uncompensated use of electronic information
and/or appliances through the use of secure communication, storage,
and transaction management technologies. VDE supports a model wide,
distributed security implementation which creates a single secure
"virtual" transaction processing and information storage
environment. VDE enables distributed VDE installations to securely
store and communicate information and remotely control the
execution processes and the character of use of electronic
information at other VDE installations and in a wide variety of
ways; [0173] support low-cost, efficient, and effective security
architectures for transaction control, auditing, reporting, and
related communications and information storage. VDE may employ
tagging related security techniques, the time-ageing of encryption
keys, the compartmentalization of both stored control information
(including differentially tagging such stored information to ensure
against substitution and tampering) and distributed content (to,
for many content applications, employ one or more content
encryption keys that are unique to the specific VDE installation
and/or user), private key techniques such as triple DES to encrypt
content, public key techniques such as RSA to protect
communications and to provide the benefits of digital signature and
authentication to securely bind together the nodes of a VDE
arrangement, secure processing of important transaction management
executable code, and a combining of a small amount of highly
secure, hardware protected storage space with a much larger
"exposed" mass media storage space storing secured (normally
encrypted and tagged) control and audit information. VDE employs
special purpose hardware distributed throughout some or all
locations of a VDE implementation: a) said hardware controlling
important elements of: content preparation (such as causing such
content to be placed in a VDE content container and associating
content control information with said content), content and/or
electronic appliance usage auditing, content usage analysis, as
well as content usage control; and b) said hardware having been
designed to securely handle processing load module control
activities, wherein said control processing activities may involve
a sequence of required control factors; [0174] support dynamic user
selection of information subsets of a VDE electronic information
product (VDE controlled content). This contrasts with the
constraints of having to use a few high level individual,
pre-defined content provider information increments such as being
required to select a whole information product or product section
in order to acquire or otherwise use a portion of such product or
section. VDE supports metering and usage control over a variety of
increments (including "atomic" increments, and combinations of
different increment types) that are selected ad hoc by a user and
represent a collection of pre-identified one or more increments
(such as one or more blocks of a preidentified nature, e.g., bytes,
images, logically related blocks) that form a generally arbitrary,
but logical to a user, content "deliverable." VDE control
information (including budgeting, pricing and metering) can be
configured so that it can specifically apply, as appropriate, to ad
hoc selection of different, unanticipated variable user selected
aggregations of information increments and pricing levels can be,
at least in part, based on quantities and/or nature of mixed
increment selections (for example, a certain quantity of certain
text could mean associated images might be discounted by 15%; a
greater quantity of text in the "mixed" increment selection might
mean the images are discounted 20%). Such user selected aggregated
information increments can reflect the actual requirements of a
user for information and is more flexible than being limited to a
single, or a few, high level, (e.g. product, document, database
record) predetermined increments. Such high level increments may
include, quantities of information not desired by the user and as a
result be more costly than the subset of information needed by the
user if such a subset was available. In sum, the present invention
allows information contained in electronic information products to
be supplied according to user specification. Tailoring to user
specification allows the present invention to provide the greatest
value to users, which in turn will generate the greatest amount of
electronic commerce activity. The user, for example, would be able
to define an aggregation of content derived from various portions
of an available content product, but which, as a deliverable for
use by the user, is an entirely unique aggregated increment. The
user may, for example, select certain numbers of bytes of
information from various portions of an information product, such
as a reference work, and copy them to disc in unencrypted form and
be billed based on total number of bytes plus a surcharge on the
number of "articles" that provided the bytes. A content provider
might reasonably charge less for such a user defined information
increment since the user does not require all of the content from
all of the articles that contained, desired information. This
process of defining a user desired information increment may
involve artificial intelligence database search tools that
contribute to the location of the most relevant portions of
information from an information product and cause the automatic
display to the user of information describing search criteria bits
for user selection or the automatic extraction and delivery of such
portions to the user. VDE further supports a wide variety of
predefined increment types including: [0175] bytes, [0176] images,
[0177] content over time for audio or video, or any other increment
that can be identified by content provider data mapping efforts,
such as: [0178] sentences, [0179] paragraphs, [0180] articles,
[0181] database records, and [0182] byte offsets representing
increments of logically related information.
[0183] VDE supports as many simultaneous predefined increment types
as may be practical for a given type of content and business model.
[0184] securely store at a user's site potentially highly detailed
information reflective of a user's usage of a variety of different
content segment types and employing both inexpensive "exposed" host
mass storage for maintaining detailed information in the form of
encrypted data and maintaining summary information for security
testing in highly secure special purpose VDE installation
nonvolatile memory (if available). [0185] support trusted chain of
handling capabilities for pathways of distributed electronic
information and/or for content usage related information. Such
chains may extend, for example, from a content creator, to a
distributor, a redistributor, a client user, and then may provide a
pathway for securely reporting the same and/or differing usage
information to one or more auditors, such as to one or more
independent clearinghouses and then back to the content providers,
including content creators. The same and/or different pathways
employed for certain content handling, and related content control
information and reporting information handling, may also be
employed as one or more pathways for electronic payment handling
(payment is characterized in the present invention as
administrative content) for electronic content and/or appliance
usage. These pathways are used for conveyance of all or portions of
content, and/or content related control information. Content
creators and other providers can specify the pathways that,
partially or fully, must be used to disseminate commercially
distributed property content, content control information, payment
administrative content, and/or associated usage reporting
information. Control information specified by content providers may
also specify which specific parties must or may (including, for
example, a group of eligible parties from which a selection may be
made) handle conveyed information. It may also specify what
transmission means (for example telecommunication carriers or media
types) and transmission hubs must or may be used. [0186] support
flexible auditing mechanisms, such as employing "bitmap meters,"
that achieve a high degree of efficiency of operation and
throughput and allow, in a practical manner, the retention and
ready recall of information related to previous usage activities
and related patterns. This flexibility is adaptable to a wide
variety of billing and security control strategies such as: [0187]
upgrade pricing (e.g. suite purchases), [0188] pricing discounts
(including quantity discounts), [0189] billing related time
duration variables such as discounting new purchases based on the
timing of past purchases, and [0190] security budgets based on
quantity of different, logically related units of electronic
information used over an interval of time.
[0191] Use of bitmap meters (including "regular" and "wide" bitmap
meters) to record usage and/or purchase of information, in
conjunction with other elements of the preferred embodiment of the
present invention, uniquely supports efficient maintenance of usage
history for: (a) rental, (b) flat fee licensing or purchase, (c)
licensing or purchase discounts based upon historical usage
variables, and (d) reporting to users in a manner enabling users to
determine whether a certain item was acquired, or acquired within a
certain time period (without requiring the use of conventional
database mechanisms, which are highly inefficient for these
applications). Bitmap meter methods record activities associated
with electronic appliances, properties, objects, or portions
thereof, and/or administrative activities that are independent of
specific properties, objects, etc., performed by a user and/or
electronic appliance such that a content and/or appliance provider
and/or controller of an administrative activity can determine
whether a certain activity has occurred at some point, or during a
certain period, in the past (for example, certain use of a
commercial electronic content product and/or appliance). Such
determinations can then be used as part of pricing and/or control
strategies of a content and/or appliance provider, and/or
controller of an administrative activity. For example, the content
provider may choose to charge only once for access to a portion of
a property, regardless of the number of times that portion of the
property is accessed by a user. [0192] support "launchable"
content, that is content that can be provided by a content provider
to an end-user, who can then copy or pass along the content to
other end-user parties without requiring the direct participation
of a content provider to register and/or otherwise initialize the
content for use. This content goes "out of (the traditional
distribution) channel" in the form of a "traveling object."
Traveling objects are containers that securely carry at least some
permissions information and/or methods that are required for their
use (such methods need not be carried by traveling objects if the
required methods will be available at, or directly available to, a
destination VDE installation). Certain travelling objects may be
used at some or all VDE installations of a given VDE arrangement
since they can make available the content control information
necessary for content use without requiring the involvement of a
commercial VDE value chain participant or data security
administrator (e.g. a control officer or network administrator). As
long as traveling object control information requirements are
available at the user VDE installation secure subsystem (such as
the presence of a sufficient quantity of financial credit from an
authorized credit provider), at least some travelling object
content may be used by a receiving party without the need to
establish a connection with a remote VDE authority (until, for
example, budgets are exhausted or a time content usage reporting
interval has occurred). Traveling objects can travel
"out-of-channel," allowing, for example, a user to give a copy of a
traveling object whose content is a software program, a movie or a
game, to a neighbor, the neighbor being able to use the traveling
object if appropriate credit (e.g. an electronic clearinghouse
account from a clearinghouse such as VISA or AT&T) is
available. Similarly, electronic information that is generally
available on an Internet, or a similar network, repository might be
provided in the form of a traveling object that can be downloaded
and subsequently copied by the initial downloader and then passed
along to other parties who may pass the object on to additional
parties. [0193] provide very flexible and extensible user
identification according to individuals, installations, by groups
such as classes, and by function and hierarchical identification
employing a hierarchy of levels of client identification (for
example, client organization ID, client department ID, client
network ID, client project ID, and client employee ID, or any
appropriate subset of the above). [0194] provide a general purpose,
secure, component based content control and distribution system
that functions as a foundation transaction operating system
environment that employs executable code pieces crafted for
transaction control and auditing. These code pieces can be reused
to optimize efficiency in creation and operation of trusted,
distributed transaction management arrangements. VDE supports
providing such executable code in the form of "atomic" load modules
and associated data. Many such load modules are inherently
configurable, aggregatable, portable, and extensible and
singularly, or in combination (along with associated data), run as
control methods under the VDE transaction operating environment.
VDE can satisfy the requirements of widely differing electronic
commerce and data security applications by, in part, employing this
general purpose transaction management foundation to securely
process VDE transaction related control methods. Control methods
are created primarily through the use of one or more of said
executable, reusable load module code pieces (normally in the form
of executable object components) and associated data. The component
nature of control methods allows the present invention to
efficiently operate as a highly configurable content control
system. Under the present invention, content control models can be
iteratively and asynchronously shaped, and otherwise updated to
accommodate the needs of VDE participants to the extent that such
shaping and otherwise updating conforms to constraints applied by a
VDE application, if any (e.g., whether new component assemblies are
accepted and, if so, what certification requirements exist for such
component assemblies or whether any or certain participants may
shape any or certain control information by selection amongst
optional control information (permissions record) control methods.
This iterative (or concurrent) multiple participant process occurs
as a result of the submission and use of secure, control
information components (executable code such as load modules and/or
methods, and/or associated data). These components may be
contributed independently by secure communication between each
control information influencing VDE participant's VDE installation
and may require certification for use with a given application,
where such certification was provided by a certification service
manager for the VDE arrangement who ensures secure interoperability
and/or reliability (e.g., bug control resulting from interaction)
between appliances and submitted control methods. The transaction
management control functions of a VDE electronic appliance
transaction operating environment interact with non-secure
transaction management operating system functions to properly
direct transaction processes and data related to electronic
information security, usage control, auditing, and usage reporting.
VDE provides the capability to manages resources related to secure
VDE content and/or appliance control information execution and data
storage. [0195] facilitate creation of application and/or system
functionality under VDE and to facilitate integration into
electronic appliance environments of load modules and methods
created under the present invention. To achieve this, VDE employs
an Application Programmer's Interface (API) and/or a transaction
operating system (such as a ROS) programming language with
incorporated functions, both of which support the use of
capabilities and can be used to efficiently and tightly integrate
VDE functionality into commercial and user applications. [0196]
support user interaction through: (a) "Pop-Up" applications which,
for example, provide messages to users and enable users to take
specific actions such as approving a transaction, (b) stand-alone
VDE applications that provide administrative environments for user
activities such as: end-user preference specifications for limiting
the price per transaction, unit of time, and/or session, for
accessing history information concerning previous transactions, for
reviewing financial information such as budgets, expenditures (e.g.
detailed and/or summary) and usage analysis information, and (c)
VDE aware applications which, as a result of the use of a VDE API
and/or a transaction management (for example, ROS based)
programming language embeds VDE "awareness" into commercial or
internal software (application programs, games, etc.) so that VDE
user control information and services are seamlessly integrated
into such software and can be directly accessed by a user since the
underlying functionality has been integrated into the commercial
software's native design. For example, in a VDE aware word
processor application, a user may be able to "print" a document
into a VDE content container object, applying specific control
information by selecting from amongst a series of different menu
templates for different purposes (for example, a confidential memo
template for internal organization purposes may restrict the
ability to "keep," that is to make an electronic copy of the memo).
[0197] employ "templates" to ease the process of configuring
capabilities of the present invention as they relate to specific
industries or businesses. Templates are applications or application
add-ons under the present invention. Templates support the
efficient specification and/or manipulation of criteria related to
specific content types, distribution approaches, pricing
mechanisms, user interactions with content and/or administrative
activities, and/or the like. Given the very large range of
capabilities and configurations supported by the present invention,
reducing the range of configuration opportunities to a manageable
subset particularly appropriate for a given business model allows
the full configurable power of the present invention to be easily
employed by "typical" users who would be otherwise burdened with
complex programming and/or configuration design responsibilities
template applications can also help ensure that VDE related
processes are secure and optimally bug free by reducing the risks
associated with the contribution of independently developed load
modules, including unpredictable aspects of code interaction
between independent modules and applications, as well as security
risks associated with possible presence of viruses in such modules.
VDE, through the use of templates, reduces typical user
configuration responsibilities to an appropriately focused set of
activities including selection of method types (e.g. functionality)
through menu choices such as multiple choice, icon selection,
and/or prompting for method parameter data (such as identification
information, prices, budget limits, dates, periods of time, access
rights to specific content, etc.) that supply appropriate and/or
necessary data for control information purposes. By limiting the
typical (non-programming) user to a limited subset of configuration
activities whose general configuration environment (template) has
been preset to reflect general requirements corresponding to that
user, or a content or other business model can very substantially
limit difficulties associated with content containerization
(including placing initial control information on content),
distribution, client administration, electronic agreement
implementation, end-user interaction, and clearinghouse activities,
including associated interoperability problems (such as conflicts
resulting from security, operating system, and/or certification
incompatibilities). Use of appropriate VDE templates can assure
users that their activities related to content VDE
containerization, contribution of other control information,
communications, encryption techniques and/or keys, etc. will be in
compliance with specifications for their distributed VDE
arrangement. VDE templates constitute preset configurations that
can normally be reconfigurable to allow for new and/or modified
templates that reflect adaptation into new industries as they
evolve or to reflect the evolution or other change of an existing
industry. For example, the template concept may be used to provide
individual, overall frameworks for organizations and individuals
that create, modify, market, distribute, consume, and/or otherwise
use movies, audio recordings and live performances, magazines,
telephony based retail sales, catalogs, computer software,
information data bases, multimedia, commercial communications,
advertisements, market surveys, infomercials, games, CAD/CAM
services for numerically controlled machines, and the like. As the
context surrounding these templates changes or evolves, template
applications provided under the present invention may be modified
to meet these changes for broad use, or for more focused
activities. A given VDE participant may have a plurality of
templates available for different tasks. A party that places
content in its initial VDE container may have a variety of
different, configurable templates depending on the type of content
and/or business model related to the content. An end-user may have
different configurable templates that can be applied to different
document types (e-mail, secure internal documents, database
records, etc.) and/or subsets of users (applying differing general
sets of control information to different bodies of users, for
example, selecting a list of users who may, under certain preset
criteria, use a certain document). Of course, templates may, under
certain circumstances have fixed control information and not
provide for user selections or parameter data entry. [0198] support
plural, different control models regulating the use and/or auditing
of either the same specific copy of electronic information content
and/or differently regulating different copies (occurrences) of the
same electronic information content. Differing models for billing,
auditing, and security can be applied to the same piece of
electronic information content and such differing sets of control
information may employ, for control purposes, the same, or
differing, granularities of electronic information control
increments. This includes supporting variable control information
for budgeting and auditing usage as applied to a variety of
predefined increments of electronic information, including
employing a variety of different budgets and/or metering increments
for a given electronic information deliverable for billing units of
measure, credit limit, security budget limit and security content
metering increments, and/or market surveying and customer profiling
content metering increments. For example, a CD-ROM disk with a
database of scientific articles might be in part billed according
to a formula based on the number of bytes decrypted, number of
articles containing said bytes decrypted, while a security budget
might limit the use of said database to no more than 5% of the
database per month for users on the wide area network it is
installed on.
[0199] provide mechanisms to persistently maintain trusted content
usage and reporting control information through both a sufficiently
secure chain of handling of content and content control information
and through various forms of usage of such content wherein said
persistence of control may survive such use. Persistence of control
includes the ability to extract information from a VDE container
object by creating a new container whose contents are at least in
part secured and that contains both the extracted content and at
least a portion of the control information which control
information of the original container and/or are at least in part
produced by control information of the original container for this
purpose and/or VDE installation control information stipulates
should persist and/or control usage of content in the newly formed
container. Such control information can continue to manage usage of
container content if the container is "embedded" into another VDE
managed object, such as an object which contains plural embedded
VDE containers, each of which contains content derived (extracted)
from a different source. [0200] enables users, other value chain
participants (such as clearinghouses and government agencies),
and/or user organizations, to specify preferences or requirements
related to their use of electronic content and/or appliances.
Content users, such as end-user customers using commercially
distributed content (games, information resources, software
programs, etc.), can define, if allowed by senior control
information, budgets, and/or other control information, to manage
their own internal use of content. Uses include, for example, a
user setting a limit on the price for electronic documents that the
user is willing to pay without prior express user authorization,
and the user establishing the character of metering information he
or she is willing to allow to be collected (privacy protection).
This includes providing the means for content users to protect the
privacy of information derived from their use of a VDE installation
and content and/or appliance usage auditing. In particular, VDE can
prevent information related to a participant's usage of electronic
content from being provided to other parties without the
participant's tacit or explicit agreement. [0201] provide
mechanisms that allow control information to "evolve" and be
modified according, at least in part, to independently, securely
delivered further control information. Said control information may
include executable code (e.g., load modules) that has been
certified as acceptable (e.g., reliable and trusted) for use with a
specific VDE application, class of applications, and/or a VDE
distributed arrangement. This modification (evolution) of control
information can occur upon content control information (load
modules and any associated data) circulating to one or more VDE
participants in a pathway of handling of control information, or it
may occur upon control information being received from a VDE
participant. Handlers in a pathway of handling of content control
information, to the extent each is authorized, can establish,
modify, and/or contribute to, permission, auditing, payment, and
reporting control information related to controlling, analyzing,
paying for, and/or reporting usage of, electronic content and/or
appliances (for example, as related to usage of VDE controlled
property content). Independently delivered (from an independent
source which is independent except in regards to certification), at
least in part secure, control information can be employed to
securely modify content control information when content control
information has flowed from one party to another party in a
sequence of VDE content control information handling. This
modification employs, for example, one or more VDE component
assemblies being securely processed in a VDE secure subsystem. In
an alternate embodiment, control information may be modified by a
senior party through use of their VDE installation secure
sub-system after receiving submitted, at least in part secured,
control information from a "junior" party, normally in the form of
a VDE administrative object. Control information passing along VDE
pathways can represent a mixed control set, in that it may include:
control information that persisted through a sequence of control
information handlers, other control information that was allowed to
be modified, and further control information representing new
control information and/or mediating data. Such a control set
represents an evolution of control information for disseminated
content. In this example the overall content control set for a VDE
content container is "evolving" as it securely (e.g. communicated
in encrypted form and using authentication and digital signaturing
techniques) passes, at least in part, to a new participant's VDE
installation where the proposed control information is securely
received and handled. The received control information may be
integrated (through use of the receiving parties' VDE installation
secure sub-system) with in-place control information through a
negotiation process involving both control information sets. For
example, the modification, within the secure sub-system of a
content provider's VDE installation, of content control information
for a certain VDE content container may have occurred as a result
of the incorporation of required control information provided by a
financial credit provider. Said credit provider may have employed
their VDE installation to prepare and securely communicate
(directly or indirectly) said required control information to said
content provider. Incorporating said required control information
enables a content provider to allow the credit provider's credit to
be employed by a content end-user to compensate for the end-user's
use of VDE controlled content and/or appliances, so long as said
end-user has a credit account with said financial credit provider
and said credit account has sufficient credit available. Similarly,
control information requiring the payment of taxes and/or the
provision of revenue information resulting from electronic commerce
activities may be securely received by a content provider. This
control information may be received, for example, from a government
agency. Content providers might be required by law to incorporate
such control information into the control information for
commercially distributed content and/or services related to
appliance usage. Proposed control information is used to an extent
allowed by senior control information and as determined by any
negotiation trade-offs that satisfy priorities stipulated by each
set (the received set and the proposed set). VDE also accommodates
different control schemes specifically applying to different
participants (e.g., individual participants and/or participant
classes (types)) in a network of VDE content handling participants.
[0202] support multiple simultaneous control models for the same
content property and/or property portion. This allows, for example,
for concurrent business activities which are dependent on
electronic commercial product content distribution, such as
acquiring detailed market survey information and/or supporting
advertising, both of which can increase revenue and result in lower
content costs to users and greater value to content providers. Such
control information and/or overall control models may be applied,
as determined or allowed by control information, in differing
manners to different participants in a pathway of content,
reporting, payment, and/or related control information handling.
VDE supports applying different content control information to the
same and/or different content and/or appliance usage related
activities, and/or to different parties in a content and/or
appliance usage model, such that different parties (or classes of
VDE users, for example) are subject to differing control
information managing their use of electronic information content.
For example, differing control models based on the category of a
user as a distributor of a VDE controlled content object or an
end-user of such content may result in different budgets being
applied. Alternatively, for example, a one distributor may have the
right to distribute a different array of properties than another
distributor (from a common content collection provided, for
example, on optical disc). An individual, and/or a class or other
grouping of end-users, may have different costs (for example, a
student, senior citizen, and/or poor citizen user of content who
may be provided with the same or differing discounts) than a
"typical" content user. [0203] support provider revenue information
resulting from customer use of content and/or appliances, and/or
provider and/or end-user payment of taxes, through the transfer of
credit and/or electronic currency from said end-user and/or
provider to a government agency, might occur "automatically" as a
result of such received control information causing the generation
of a VDE content container whose content includes customer content
usage information reflecting secure, trusted revenue summary
information and/or detailed user transaction listings (level of
detail might depend, for example on type or size of
transaction--information regarding a bank interest payment to a
customer or a transfer of a large (e.g. over $10,000) might be, by
law, automatically reported to the government). Such summary and/or
detailed information related to taxable events and/or currency,
and/or creditor currency transfer, may be passed along a pathway of
reporting and/or payment to the government in a VDE container. Such
a container may also be used for other VDE related content usage
reporting information. [0204] support the flowing of content
control information through different "branches" of content control
information handling so as to accommodate, under the present
invention's preferred embodiment, diverse controlled distributions
of VDE controlled content. This allows different parties to employ
the same initial electronic content with differing (perhaps
competitive) control strategies. In this instance, a party who
first placed control information on content can make certain
control assumptions and these assumptions would evolve into more
specific and/or extensive control assumptions. These control
assumptions can evolve during the branching sequence upon content
model participants submitting control information changes, for
example, for use in "negotiating" with "in place" content control
information. This can result in new or modified content control
information and/or it might involve the selection of certain one or
more already "in-place" content usage control methods over in-place
alternative methods, as well as the submission of relevant control
information parameter data. This form of evolution of different
control information sets applied to different copies of the same
electronic property content and/or appliance results from VDE
control information flowing "down" through different branches in an
overall pathway of handling and control and being modified
differently as it diverges down these different pathway branches.
This ability of the present invention to support multiple pathway
branches for the flow of both VDE content control information and
VDE managed content enables an electronic commerce marketplace
which supports diverging, competitive business partnerships,
agreements, and evolving overall business models which can employ
the same content properties combined, for example, in differing
collections of content representing differing at least in part
competitive products. [0205] enable a user to securely extract,
through the use of the secure subsystem at the user's VDE
installation, at least a portion of the content included within a
VDE content container to produce a new, secure object (content
container), such that the extracted information is maintained in a
continually secure manner through the extraction process. Formation
of the new VDE container containing such extracted content shall
result in control information consistent with, or specified by, the
source VDE content container, and/or local VDE installation secure
subsystem as appropriate, content control information. Relevant
control information, such as security and administrative
information, derived, at least in part, from the parent (source)
object's control information, will normally be automatically
inserted into a new VDE content container object containing
extracted VDE content. This process typically occurs under the
control framework of a parent object and/or VDE installation
control information executing at the user's VDE installation secure
subsystem (with, for example, at least a portion of this inserted
control information being stored securely in encrypted form in one
or more permissions records). In an alternative embodiment, the
derived content control information applied to extracted content
may be in part or whole derived from, or employ, content control
information stored remotely from the VDE installation that
performed the secure extraction such as at a remote server
location. As with the content control information for most VDE
managed content, features of the present invention allows the
content's control information to: [0206] (a) "evolve," for example,
the extractor of content may add new control methods and/or modify
control parameter data, such as VDE application compliant methods,
to the extent allowed by the content's in-place control
information. Such new control information might specify, for
example, who may use at least a portion of the new object, and/or
how said at least a portion of said extracted content may be used
(e.g. when at least a portion may be used, or what portion or
quantity of portions may be used); [0207] (b) allow a user to
combine additional content with at least a portion of said
extracted content, such as material authored by the extractor
and/or content (for example, images, video, audio, and/or text)
extracted from one or more other VDE container objects for
placement directly into the new container; [0208] (c) allow a user
to securely edit at least a portion of said content while
maintaining said content in a secure form within said VDE content
container; [0209] (d) append extracted content to a pre-existing
VDE content container object and attach associated control
information--in these cases, user added information may be secured,
e.g., encrypted, in part or as a whole, and may be subject to usage
and/or auditing control information that differs from the those
applied to previously in place object content; [0210] (e) preserve
VDE control over one or more portions of extracted content after
various forms of usage of said portions, for example, maintain
content in securely stored form while allowing "temporary" on
screen display of content or allowing a software program to be
maintained in secure form but transiently decrypt any encrypted
executing portion of said program (all, or only a portion, of said
program may be encrypted to secure the program).
[0211] Generally, the extraction features of the present invention
allow users to aggregate and/or disseminate and/or otherwise use
protected electronic content information extracted from content
container sources while maintaining secure VDE capabilities thus
preserving the rights of providers in said content information
after various content usage processes. [0212] support the
aggregation of portions of VDE controlled content, such portions
being subject to differing VDE content container control
information, wherein various of said portions may have been
provided by independent, different content providers from one or
more different locations remote to the user performing the
aggregation. Such aggregation, in the preferred embodiment of the
present invention, may involve preserving at least a portion of the
control information (e.g., executable code such as load modules)
for each of various of said portions by, for example, embedding
some or all of such portions individually as VDE content container
objects within an overall VDE content container and/or embedding
some or all of such portions directly into a VDE content container.
In the latter case, content control information of said content
container may apply differing control information sets to various
of such portions based upon said portions original control
information requirements before aggregation. Each of such embedded
VDE content containers may have its own control information in the
form of one or more permissions records. Alternatively, a
negotiation between control information associated with various
aggregated portions of electronic content, may produce a control
information set that would govern some or all of the aggregated
content portions. The VDE content control information produced by
the negotiation may be uniform (such as having the same load
modules and/or component assemblies, and/or it may apply differing
such content control information to two or more portions that
constitute an aggregation of VDE controlled content such as
differing metering, budgeting, billing and/or payment models. For
example, content usage payment may be automatically made, either
through a clearinghouse, or directly, to different content
providers for different potions. [0213] enable flexible metering
of, or other collection of information related to, use of
electronic content and/or electronic appliances. A feature of the
present invention enables such flexibility of metering control
mechanisms to accommodate a simultaneous, broad array of: (a)
different parameters related to electronic information content use;
(b) different increment units (bytes, documents, properties,
paragraphs, images, etc.) and/or other organizations of such
electronic content; and/or (c) different categories of user and/or
VDE installation types, such as client organizations, departments,
projects, networks, and/or individual users, etc. This feature of
the present invention can be employed for content security, usage
analysis (for example, market surveying), and/or compensation based
upon the use and/or exposure to VDE managed content. Such metering
is a flexible basis for ensuring payment for content royalties,
licensing, purchasing, and/or advertising. A feature of the present
invention provides for payment means supporting flexible electronic
currency and credit mechanisms, including the ability to securely
maintain audit trails reflecting information related to use of such
currency or credit. VDE supports multiple differing hierarchies of
client organization control information wherein an organization
client administrator distributes control information specifying the
usage rights of departments, users, and/or projects. Likewise, a
department (division) network manager can function as a distributor
(budgets, access rights, etc.) for department networks, projects,
and/or users, etc. [0214] provide scalable, integratable,
standardized control means for use on electronic appliances ranging
from inexpensive consumer (for example, television set-top
appliances) and professional devices (and hand-held PDAs) to
servers, mainframes, communication switches, etc. The scalable
transaction management/auditing technology of the present invention
will result in more efficient and reliable interoperability amongst
devices functioning in electronic commerce and/or data security
environments. As standardized physical containers have become
essential to the shipping of physical goods around the world,
allowing these physical containers to universally "fit" unloading
equipment, efficiently use truck and train space, and accommodate
known arrays of objects (for example, boxes) in an efficient
manner, so VDE electronic content containers may, as provided by
the present invention, be able to efficiently move electronic
information content (such as commercially published properties,
electronic currency and credit, and content audit information), and
associated content control information, around the world.
Interoperability is fundamental to efficient electronic commerce.
The design of the VDE foundation, VDE load modules, and VDE
containers, are important features that enable the VDE node
operating environment to be compatible with a very broad range of
electronic appliances. The ability, for example, for control
methods based on load modules to execute in very "small" and
inexpensive secure sub-system environments, such as environments
with very little read/write memory, while also being able to
execute in large memory sub-systems that may be used in more
expensive electronic appliances, supports consistency across many
machines. This consistent VDE operating environment, including its
control structures and container architecture, enables the use of
standardized VDE content containers across a broad range of device
types and host operating environments. Since VDE capabilities can
be seamlessly integrated as extensions, additions, and/or
modifications to fundamental capabilities of electronic appliances
and host operating systems, VDE containers, content control
information, and the VDE foundation will be able to work with many
device types and these device types will be able to consistently
and efficiently interpret and enforce VDE control information.
Through this integration users can also benefit from a transparent
interaction with many of the capabilities of VDE. VDE integration
with software operating on a host electronic appliance supports a
variety of capabilities that would be unavailable or less secure
without such integration. Through integration with one or more
device applications and/or device operating environments, many
capabilities of the present invention can be presented as inherent
capabilities of a given electronic appliance, operating system, or
appliance application. For example, features of the present
invention include: (a) VDE system software to in part extend and/or
modify host operating systems such that they possesses VDE
capabilities, such as enabling secure transaction processing and
electronic information storage; (b) one or more application
programs that in part represent tools associated with VDE
operation; and/or (c) code to be integrated into application
programs, wherein such code incorporates references into VDE system
software to integrate VDE capabilities and makes such applications
VDE aware (for example, word processors, database retrieval
applications, spreadsheets, multimedia presentation authoring
tools, film editing software, music editing software such as MIDI
applications and the like, robotics control systems such as those
associated with CAD/CAM environments and NCM software and the like,
electronic mail systems, teleconferencing software, and other data
authoring, creating, handling, and/or usage applications including
combinations of the above). These one or more features (which may
also be implemented in firmware or hardware) may be employed in
conjunction with a VDE node secure hardware processing capability,
such as a microcontroller(s), microprocessor(s), other CPU(s) or
other digital processing logic. [0215] employ audit reconciliation
and usage pattern evaluation processes that assess, through
certain, normally network based, transaction processing
reconciliation and threshold checking activities, whether certain
violations of security of a VDE arrangement have occurred. These
processes are performed remote to VDE controlled content end-user
VDE locations by assessing, for example, purchases, and/or
requests, for electronic properties by a given VDE installation.
Applications for such reconciliation activities include assessing
whether the quantity of remotely delivered VDE controlled content
corresponds to the amount of financial credit and/or electronic
currency employed for the use of such content. A trusted
organization can acquire information from content providers
concerning the cost for content provided to a given VDE
installation and/or user and compare this cost for content with the
credit and/or electronic currency disbursements for that
installation and/or user. Inconsistencies in the amount of content
delivered versus the amount of disbursement can prove, and/or
indicate, depending on the circumstances, whether the local VDE
installation has been, at least to some degree, compromised (for
example, certain important system security functions, such as
breaking encryption for at least some portion of the secure
subsystem and/or VDE controlled content by uncovering one or more
keys). Determining whether irregular patterns (e.g. unusually high
demand) of content usage, or requests for delivery of certain kinds
of VDE controlled information during a certain time period by one
or more VDE installations and/or users (including, for example,
groups of related users whose aggregate pattern of usage is
suspicious) may also be useful in determining whether security at
such one or more installations, and/or by such one or more users,
has been compromised, particularly when used in combination with an
assessment of electronic credit and/or currency provided to one or
more VDE users and/or installations, by some or all of their credit
and/or currency suppliers, compared with the disbursements made by
such users and/or installations. [0216] support security techniques
that materially increase the time required to "break" a system's
integrity. This includes using a collection of techniques that
minimizes the damage resulting from comprising some aspect of the
security features of the present inventions. [0217] provide a
family of authoring, administrative, reporting, payment, and
billing tool user applications that comprise components of the
present invention's trusted/secure, universe wide, distributed
transaction control and administration system. These components
support VDE related: object creation (including placing control
information on content), secure object distribution and management
(including distribution control information, financial related, and
other usage analysis), client internal VDE activities
administration and control, security management, user interfaces,
payment disbursement, and clearinghouse related functions. These
components are designed to support highly secure, uniform,
consistent, and standardized: electronic commerce and/or data
security pathway(s) of handling, reporting, and/or payment; content
control and administration; and human factors (e.g. user
interfaces). [0218] support the operation of a plurality of
clearinghouses, including, for example, both financial and user
clearinghouse activities, such as those performed by a client
administrator in a large organization to assist in the
organization's use of a VDE arrangement, including usage
information analysis, and control of VDE activities by individuals
and groups of employees such as specifying budgets and the
character of usage rights available under VDE for certain groups of
and/or individual, client personnel, subject to control information
series to control information submitted by the client
administrator. At a clearinghouse, one or more VDE installations
may operate together with a trusted distributed database
environment (which may include concurrent database processing
means). A financial clearinghouse normally receives at its location
securely delivered content usage information, and user requests
(such as requests for further credit, electronic currency, and/or
higher credit limit). Reporting of usage information and user
requests can be used for supporting electronic currency, billing,
payment and credit related activities, and/or for user profile
analysis and/or broader market survey analysis and marketing
(consolidated) list generation or other information derived, at
least in part, from said usage information. This information can be
provided to content providers or other parties, through secure,
authenticated encrypted communication to the VDE installation
secure subsystems. Clearinghouse processing means would normally be
connected to specialized I/O means, which may include high speed
telecommunication switching means that may be used for secure
communications between a clearinghouse and other VDE pathway
participants. [0219] securely support electronic currency and
credit usage control, storage, and communication at, and between,
VDE installations. VDE further supports automated passing of
electronic currency and/or credit information, including payment
tokens (such as in the form of electronic currency or credit) or
other payment information, through a pathway of payment, which said
pathway may or may not be the same as a pathway for content usage
information reporting. Such payment may be placed into a VDE
container created automatically by a VDE installation in response
to control information stipulating the "withdrawal" of credit or
electronic currency from an electronic credit or currency account
based upon an amount owed resulting from usage of VDE controlled
electronic content and/or appliances. Payment credit or currency
may then be automatically communicated in protected (at least in
part encrypted) form through telecommunication of a VDE container
to an appropriate party such as a clearinghouse, provider of
original property content or appliance, or an agent for such
provider (other than a clearinghouse). Payment information may be
packaged in said VDE content container with, or without, related
content usage information, such as metering information. An aspect
of the present invention further enables certain information
regarding currency use to be specified as unavailable to certain,
some, or all VDE parties ("conditionally" to fully anonymous
currency) and/or further can regulate certain content information,
such as currency and/or credit use related information (and/or
other electronic information usage data) to be available only under
certain strict circumstances, such as a court order (which may
itself require authorization through the use of a court controlled
VDE installation that may be required to securely access
"conditionally" anonymous information). Currency and credit
information, under the preferred embodiment of the present
invention, is treated as administrative content; [0220] support
fingerprinting (also known as watermarking) for embedding in
content such that when content protected under the present
invention is released in clear form from a VDE object (displayed,
printed, communicated, extracted, and/or saved), information
representing the identification of the user and/or VDE installation
responsible for transforming the content into clear form is
embedded into the released content. Fingerprinting is useful in
providing an ability to identify who extracted information in clear
form a VDE container, or who made a copy of a VDE object or a
portion of its contents. Since the identity of the user and/or
other identifying information may be embedded in an obscure or
generally concealed manner, in VDE container content and/or control
information, potential copyright violators may be deterred from
unauthorized extraction or copying. Fingerprinting normally is
embedded into unencrypted electronic content or control
information, though it can be embedded into encrypted content and
later placed in unencrypted content in a secure VDE installation
sub-system as the encrypted content carrying the fingerprinting
information is decrypted. Electronic information, such as the
content of a VDE container, may be fingerprinted as it leaves a
network (such as Internet) location bound for a receiving party.
Such repository information may be maintained in unencrypted form
prior to communication and be encrypted as it leaves the
repository. Fingerprinting would preferably take place as the
content leaves the repository, but before the encryption step.
Encrypted repository content can be decrypted, for example in a
secure VDE sub-system, fingerprint information can be inserted, and
then the content can be re-encrypted for transmission. Embedding
identification information of the intended recipient user and/or
VDE installation into content as it leaves, for example, an
Internet repository, would provide important information that would
identify or assist in identifying any party that managed to
compromise the security of a VDE installation or the delivered
content. If a party produces an authorized clear form copy of VDE
controlled content, including making unauthorized copies of an
authorized clear form copy, fingerprint information would point
back to that individual and/or his or her VDE installation. Such
hidden information will act as a strong disincentive that should
dissuade a substantial portion of potential content "pirates" from
stealing other parties electronic information. Fingerprint
information identifying a receiving party and/or VDE installation
can be embedded into a VDE object before, or during, decryption,
replication, or communication of VDE content objects to receivers.
Fingerprinting electronic content before it is encrypted for
transfer to a customer or other user provides information that can
be very useful for identifying who received certain content which
may have then been distributed or made available in unencrypted
form. This information would be useful in tracking who may have
"broken" the security of a VDE installation and was illegally
making certain electronic content available to others.
Fingerprinting may provide additional, available information such
as time and/or date of the release (for example extraction) of said
content information. Locations for inserting fingerprints may be
specified by VDE installation and/or content container control
information. This information may specify that certain areas and/or
precise locations within properties should be used for
fingerprinting, such as one or more certain fields of information
or information types. Fingerprinting information may be
incorporated into a property by modifying in a normally
undetectable way color frequency and/or the brightness of certain
image pixels, by slightly modifying certain audio signals as to
frequency, by modifying font character formation, etc. Fingerprint
information, itself, should be encrypted so as to make it
particularly difficult for tampered fingerprints to be interpreted
as valid. Variations in fingerprint locations for different copies
of the same property; "false" fingerprint information; and multiple
copies of fingerprint information within a specific property or
other content which copies employ different fingerprinting
techniques such as information distribution patterns, frequency
and/or brightness manipulation, and encryption related techniques,
are features of the present invention for increasing the difficulty
of an unauthorized individual identifying fingerprint locations and
erasing and/or modifying fingerprint information. [0221] provide
smart object agents that can carry requests, data, and/or methods,
including budgets, authorizations, credit or currency, and content.
For example, smart objects may travel to and/or from remote
information resource locations and fulfill requests for electronic
information content. Smart objects can, for example, be transmitted
to a remote location to perform a specified database search on
behalf of a user or otherwise "intelligently" search remote one or
more repositories of information for user desired information.
After identifying desired information at one or more remote
locations, by for example, performing one or more database
searches, a smart object may return via communication to the user
in the form of a secure "return object" containing retrieved
information. A user may be charged for the remote retrieving of
information, the returning of information to the user's VDE
installation, and/or the use of such information. In the latter
case, a user may be charged only for the information in the return
object that the user actually uses. Smart objects may have the
means to request use of one or more services and/or resources.
Services include locating other services and/or resources such as
information resources, language or format translation, processing,
credit (or additional credit) authorization, etc. Resources include
reference databases, networks, high powered or specialized
computing resources (the smart object may carry information to
another computer to be efficiently processed and then return the
information to the sending VDE installation), remote object
repositories, etc. Smart objects can make efficient use of remote
resources (e.g. centralized databases, super computers, etc.) while
providing a secure means for charging users based on information
and/or resources actually used. [0222] support both "translations"
of VDE electronic agreements elements into modern language printed
agreement elements (such as English language agreements) and
translations of electronic rights protection/transaction management
modern language agreement elements to electronic VDE agreement
elements. This feature requires maintaining a library of textual
language that corresponds to VDE load modules and/or methods and/or
component assemblies. As VDE methods are proposed and/or employed
for VDE agreements, a listing of textual terms and conditions can
be produced by a VDE user application which, in a preferred
embodiment, provides phrases, sentences and/or paragraphs that have
been stored and correspond to said methods and/or assemblies. This
feature preferably employs artificial intelligence capabilities to
analyze and automatically determine, and/or assist one or more
users to determine, the proper order and relationship between the
library elements corresponding to the chosen methods and/or
assemblies so as to compose some or all portions of a legal or
descriptive document. One or more users, and/or preferably an
attorney (if the document a legal, binding agreement), would review
the generated document material upon completion and employ such
additional textual information and/or editing as necessary to
describe non electronic transaction elements of the agreement and
make any other improvements that may be necessary. These features
further support employing modern language tools that allow one or
more users to make selections from choices and provide answers to
questions and to produce a VDE electronic agreement from such a
process. This process can be interactive and the VDE agreement
formulation process may employ artificial intelligence expert
system technology that learns from responses and, where appropriate
and based at least in part on said responses, provides further
choices and/or questions which "evolves" the desired VDE electronic
agreement. [0223] support the use of multiple VDE secure subsystems
in a single VDE installation. Various security and/or performance
advantages may be realized by employing a distributed VDE design
within a single VDE installation. For example, designing a hardware
based VDE secure subsystem into an electronic appliance VDE display
device, and designing said subsystem's integration with said
display device so that it is as close as possible to the point of
display, will increase the security for video materials by making
it materially more difficult to "steal" decrypted video information
as it moves from outside to inside the video system. Ideally, for
example, a VDE secure hardware module would be in the same physical
package as the actual display monitor, such as within the packaging
of a video monitor or other display device, and such device would
be designed, to the extent commercially practical, to be as tamper
resistant as reasonable. As another example, embedding a VDE
hardware module into an I/O peripheral may have certain advantages
from the standpoint of overall system throughput. If multiple VDE
instances are employed within the same VDE installation, these
instances will ideally share resources to the extent practical,
such as VDE instances storing certain control information and
content and/or appliance usage information on the same mass storage
device and in the same VDE management database. [0224] requiring
reporting and payment compliance by employing exhaustion of budgets
and time ageing of keys. For example, a VDE commercial arrangement
and associated content control information may involve a content
provider's content and the use of clearinghouse credit for payment
for end-user usage of said content. Control information regarding
said arrangement may be delivered to a user's (of said content) VDE
installation and/or said financial clearinghouse's VDE
installation. Said control information might require said
clearinghouse to prepare and telecommunicate to said content
provider both content usage based information in a certain form,
and content usage payment in the form of electronic credit (such
credit might be "owned" by the provider after receipt and used in
lieu of the availability or adequacy of electronic currency) and/or
electronic currency. This delivery of information and payment may
employ trusted VDE installation secure subsystems to securely, and
in some embodiments, automatically, provide in the manner specified
by said control information, said usage information and payment
content. Features of the present invention help ensure that a
requirement that a clearinghouse report such usage information and
payment content will be observed. For example, if one participant
to a VDE electronic agreement fails to observe such information
reporting and/or paying obligation, another participant can stop
the delinquent party from successfully participating in VDE
activities related to such agreement. For example, if required
usage information and payment was not reported as specified by
content control information, the "injured" party can fail to
provide, through failing to securely communicate from his VDE
installation secure subsystem, one or more pieces of secure
information necessary for the continuance of one or more critical
processes. For example, failure to report information and/or
payment from a clearinghouse to a content provider (as well as any
security failures or other disturbing irregularities) can result in
the content provider not providing key and/or budget refresh
information to the clearinghouse, which information can be
necessary to authorize use of the clearinghouse's credit for usage
of the provider's content and which the clearinghouse would
communicate to end-user's during a content usage reporting
communication between the clearinghouse and end-user. As another
example, a distributor that failed to make payments and/or report
usage information to a content provider might find that their
budget for creating permissions records to distribute the content
provider's content to users, and/or a security budget limiting one
or more other aspect of their use of the provider's content, are
not being refreshed by the content provider, once exhausted or
timed-out (for example, at a predetermined date). In these and
other cases, the offended party might decide not to refresh time
ageing keys that had "aged out." Such a use of time aged keys has a
similar impact as failing to refresh budgets or time-aged
authorizations. [0225] support smart card implementations of the
present invention in the form of portable electronic appliances,
including cards that can be employed as secure credit, banking,
and/or money cards. A feature of the present invention is the use
of portable VDEs as transaction cards at retail and other
establishments, wherein such cards can "dock" with an establishment
terminal that has a VDE secure sub-system and/or an online
connection to a VDE secure and/or otherwise secure and compatible
subsystem, such as a "trusted" financial clearinghouse (e.g., VISA,
Mastercard). The VDE card and the terminal (and/or online
connection) can securely exchange information related to a
transaction, with credit and/or electronic currency being
transferred to a merchant and/or clearinghouse and transaction
information flowing back to the card. Such a card can be used for
transaction activities of all sorts. A docking station, such as a
PCMCIA connector on an electronic appliance, such as a personal
computer, can receive a consumer's VDE card at home. Such a
station/card combination can be used for on-line transactions in
the same manner as a VDE installation that is permanently installed
in such an electronic appliance. The card can be used as an
"electronic wallet" and contain electronic currency as well as
credit provided by a clearinghouse. The card can act as a
convergence point for financial activities of a consumer regarding
many, if not all, merchant, banking, and on-line financial
transactions, including supporting home banking activities. A
consumer can receive his paycheck and/or investment earnings and/or
"authentic" VDE content container secured detailed information on
such receipts, through on-line connections. A user can send digital
currency to another party with a VDE arrangement, including giving
away such currency. A VDE card can retain details of transactions
in a highly secure and database organized fashion so that
financially related information is both consolidated and very
easily retrieved and/or analyzed. Because of the VDE security,
including use of effective encryption, authentication, digital
signaturing, and secure database structures, the records contained
within a VDE card arrangement may be accepted as valid transaction
records for government and/or corporate recordkeeping requirements.
In some embodiments of the present invention a VDE card may employ
docking station and/or electronic appliance storage means and/or
share other VDE arrangement means local to said appliance and/or
available across a network, to augment the information storage
capacity of the VDE card, by for example, storing dated, and/or
archived, backup information. Taxes relating to some or all of an
individual's financial activities may be automatically computed
based on
"authentic" information securely stored and available to said VDE
card. Said information may be stored in said card, in said docking
station, in an associated electronic appliance, and/or other device
operatively attached thereto, and/or remotely, such as at a remote
server site. A card's data, e.g. transaction history, can be backed
up to an individual's personal computer or other electronic
appliance and such an appliance may have an integrated VDE
installation of its own. A current transaction, recent transactions
(for redundancy), or all or other selected card data may be backed
up to a remote backup repository, such a VDE compatible repository
at a financial clearinghouse, during each or periodic docking for a
financial transaction and/or information communication such as a
user/merchant transaction. Backing up at least the current
transaction during a connection with another party's VDE
installation (for example a VDE installation that is also on a
financial or general purpose electronic network), by posting
transaction information to a remote clearinghouse and/or bank, can
ensure that sufficient backup is conducted to enable complete
reconstruction of VDE card internal information in the event of a
card failure or loss. [0226] support certification processes that
ensure authorized interoperability between various VDE
installations so as to prevent VDE arrangements and/or
installations that unacceptably deviate in specification protocols
from other VDE arrangements and/or installations from
interoperating in a manner that may introduce security (integrity
and/or confidentiality of VDE secured information), process
control, and/or software compatibility problems. Certification
validates the identity of VDE installations and/or their
components, as well as VDE users. Certification data can also serve
as information that contributes to determining the decommissioning
or other change related to VDE sites. [0227] support the separation
of fundamental transaction control processes through the use of
event (triggered) based method control mechanisms. These event
methods trigger one or more other VDE methods (which are available
to a secure VDE sub-system) and are used to carry out VDE managed
transaction related processing. These triggered methods include
independently (separably) and securely processable component
billing management methods, budgeting management methods, metering
management methods, and related auditing management processes. As a
result of this feature of the present invention, independent
triggering of metering, auditing, billing, and budgeting methods,
the present invention is able to efficiently, concurrently support
multiple financial currencies (e.g. dollars, marks, yen) and
content related budgets, and/or billing increments as well as very
flexible content distribution models. [0228] support, complete,
modular separation of the control structures related to (1) content
event triggering, (2) auditing, (3) budgeting (including specifying
no right of use or unlimited right of use), (4) billing, and (5)
user identity (VDE installation, client name, department, network,
and/or user, etc.). The independence of these VDE control
structures provides a flexible system which allows plural
relationships between two or more of these structures, for example,
the ability to associate a financial budget with different event
trigger structures (that are put in place to enable controlling
content based on its logical portions). Without such separation
between these basic VDE capabilities, it would be more difficult to
efficiently maintain separate metering, budgeting, identification,
and/or billing activities which involve the same, differing
(including overlapping), or entirely different, portions of content
for metering, billing, budgeting, and user identification, for
example, paying fees associated with usage of content, performing
home banking, managing advertising services, etc. VDE modular
separation of these basic capabilities supports the programming of
plural, "arbitrary" relationships between one or differing content
portions (and/or portion units) and budgeting, auditing, and/or
billing control information. For example, under VDE, a budget limit
of $200 dollars or 300 German Marks a month may be enforced for
decryption of a certain database and 2 U.S. Dollars or 3 German
Marks may be charged for each record of said database decrypted
(depending on user selected currency). Such usage can be metered
while an additional audit for user profile purposes can be prepared
recording the identity of each filed displayed. Additionally,
further metering can be conducted regarding the number of said
database bytes that have been decrypted, and a related security
budget may prevent the decrypting of more than 5% of the total
bytes of said database per year. The user may also, under VDE (if
allowed by senior control information), collect audit information
reflecting usage of database fields by different individuals and
client organization departments and ensure that differing rights of
access and differing budgets limiting database usage can be applied
to these client individuals and groups. Enabling content providers
and users to practically employ such diverse sets of user
identification, metering, budgeting, and billing control
information results, in part, from the use of such independent
control capabilities. As a result, VDE can support great
configurability in creation of plural control models applied to the
same electronic property and the same and/or plural control models
applied to differing or entirely different content models (for
example, home banking versus electronic shopping).
Methods, Other Control Information, and VDE Objects
[0229] VDE control information (e.g., methods) that collectively
control use of VDE managed properties (database, document,
individual commercial product), are either shipped with the content
itself (for example, in a content container) and/or one or more
portions of such control information is shipped to distributors
and/or other users in separably deliverable "administrative
objects." A subset of the methods for a property may in part be
delivered with each property while one or more other subsets of
methods can be delivered separately to a user or otherwise made
available for use (such as being available remotely by
telecommunication means). Required methods (methods listed as
required for property and/or appliance use) must be available as
specified if VDE controlled content (such as intellectual property
distributed within a VDE content container) is to be used. Methods
that control content may apply to a plurality of VDE container
objects, such as a class or other grouping of such objects. Methods
may also be required by certain users or classes of users and/or
VDE installations and/or classes of installations for such parties
to use one or more specific, or classes of, objects.
[0230] A feature of VDE provided by the present invention is that
certain one or more methods can be specified as required in order
for a VDE installation and/or user to be able to use certain and/or
all content. For example, a distributor of a certain type of
content might be allowed by "senior" participants (by content
creators, for example) to require a method which prohibits
end-users from electronically saving decrypted content, a provider
of credit for VDE transactions might require an audit method that
records the time of an electronic purchase, and/or a user might
require a method that summarizes usage information for reporting to
a clearinghouse (e.g. billing information) in a way that does not
convey confidential, personal information regarding detailed usage
behavior.
[0231] A further feature of VDE provided by the present invention
is that creators, distributors, and users of content can select
from among a set of predefined methods (if available) to control
container content usage and distribution functions and/or they may
have the right to provide new customized methods to control at
least certain usage functions (such "new" methods may be required
to be certified for trustedness and interoperability to the VDE
installation and/or for of a group of VDE applications). As a
result, VDE provides a very high degree of configurability with
respect to how the distribution and other usage of each property or
object (or one or more portions of objects or properties as desired
and/or applicable) will be controlled. Each VDE participant in a
VDE pathway of content control information may set methods for some
or all of the content in a VDE container, so long as such control
information does not conflict with senior control information
already in place with respect to: [0232] (1) certain or all VDE
managed content, [0233] (2) certain one or more VDE users and/or
groupings of users, [0234] (3) certain one or more VDE nodes and/or
groupings of nodes, and/or [0235] (4) certain one or more VDE
applications and/or arrangements.
[0236] For example, a content creator's VDE control information for
certain content can take precedence over other submitted VDE
participant control information and, for example, if allowed by
senior control information, a content distributor's control
information may itself take precedence over a client
administrator's control information, which may take precedence over
an end-user's control information. A path of distribution
participant's ability to set such electronic content control
information can be limited to certain control information (for
example, method mediating data such as pricing and/or sales dates)
or it may be limited only to the extent that one or more of the
participant's proposed control information conflicts with control
information set by senior control information submitted previously
by participants in a chain of handling of the property, or managed
in said participant's VDE secure subsystem.
[0237] VDE control information may, in part or in full, (a)
represent control information directly put in place by VDE content
control information pathway participants, and/or (b) comprise
control information put in place by such a participant on behalf of
a party who does not directly handle electronic content (or
electronic appliance) permissions records information (for example
control information inserted by a participant on behalf of a
financial clearinghouse or government agency). Such control
information methods (and/or load modules and/or mediating data
and/or component assemblies) may also be put in place by either an
electronic automated, or a semi-automated and human assisted,
control information (control set) negotiating process that assesses
whether the use of one or more pieces of submitted control
information will be integrated into and/or replace existing control
information (and/or chooses between alternative control information
based upon interaction with in-place control information) and how
such control information may be used.
[0238] Control information may be provided by a party who does not
directly participate in the handling of electronic content (and/or
appliance) and/or control information for such content (and/or
appliance). Such control information may be provided in secure form
using VDE installation secure sub-system managed communications
(including, for example, authenticating the deliverer of at least
in part encrypted control information) between such not directly
participating one or more parties' VDE installation secure
subsystems, and a pathway of VDE content control information
participant's VDE installation secure subsystem. This control
information may relate to, for example, the right to access credit
supplied by a financial services provider, the enforcement of
regulations or laws enacted by a government agency, or the
requirements of a customer of VDE managed content usage information
(reflecting usage of content by one or more parties other than such
customer) relating to the creation, handling and/or manner of
reporting of usage information received by such customer. Such
control information may, for example, enforce societal requirements
such as laws related to electronic commerce.
[0239] VDE content control information may apply differently to
different pathway of content and/or control information handling
participants. Furthermore, permissions records rights may be added,
altered, and/or removed by a VDE participant if they are allowed to
take such action. Rights of VDE participants may be defined in
relation to specific parties and/or categories of parties and/or
other groups of parties in a chain of handling of content and/or
content control information (e.g., permissions records).
Modifications to control information that may be made by a given,
eligible party or parties, may be limited in the number of
modifications, and/or degree of modification, they may make.
[0240] At least one secure subsystem in electronic appliances of
creators, distributors, auditors, clearinghouses, client
administrators, and end-users (understanding that two or more of
the above classifications may describe a single user) provides a
"sufficiently" secure (for the intended applications) environment
for: [0241] 1. Decrypting properties and control information;
[0242] 2. Storing control and metering related information; [0243]
3. Managing communications; [0244] 4. Processing core control
programs, along with associated data, that constitute control
information for electronic content and/or appliance rights
protection, including the enforcing of preferences and requirements
of VDE participants.
[0245] Normally, most usage, audit, reporting, payment, and
distribution control methods are themselves at least in part
encrypted and are executed by the secure subsystem of a VDE
installation. Thus, for example, billing and metering records can
be securely generated and updated, and encryption and decryption
keys are securely utilized, within a secure subsystem. Since VDE
also employs secure (e.g. encrypted and authenticated)
communications when passing information between the participant
location (nodes) secure subsystems of a VDE arrangement, important
components of a VDE electronic agreement can be reliably enforced
with sufficient security (sufficiently trusted) for the intended
commercial purposes. A VDE electronic agreement for a value chain
can be composed, at least in part, of one or more subagreements
between one or more subsets of the value chain participants. These
subagreements are comprised of one or more electronic contract
"compliance" elements (methods including associated parameter data)
that ensure the protection of the rights of VDE participants.
[0246] The degree of trustedness of a VDE arrangement will be
primarily based on whether hardware SPUs are employed at
participant location secure subsystems and the effectiveness of the
SPU hardware security architecture, software security techniques
when an SPU is emulated in software, and the encryption
algorithm(s) and keys that are employed for securing content,
control information, communications, and access to VDE node (VDE
installation) secure subsystems. Physical facility and user
identity authentication security procedures may be used instead of
hardware SPUs at certain nodes, such as at an established financial
clearinghouse, where such procedures may provide sufficient
security for trusted interoperability with a VDE arrangement
employing hardware SPUs at user nodes.
[0247] The updating of property management files at each location
of a VDE arrangement, to accommodate new or modified control
information, is performed in the VDE secure subsystem and under the
control of secure management file updating programs executed by the
protected subsystem. Since all secure communications are at least
in part encrypted and the processing inside the secure subsystem is
concealed from outside observation and interference, the present
invention ensures that content control information can be enforced.
As a result, the creator and/or distributor and/or client
administrator and/or other contributor of secure control
information for each property (for example, an end-user restricting
the kind of audit information he or she will allow to be reported
and/or a financial clearinghouse establishing certain criteria for
use of its credit for payment for use of distributed content) can
be confident that their contributed and accepted control
information will be enforced (within the security limitations of a
given VDE security implementation design). This control information
can determine, for example: [0248] (1) How and/or to whom
electronic content can be provided, for example, how an electronic
property can be distributed; [0249] (2) How one or more objects
and/or properties, or portions of an object or property, can be
directly used, such as decrypted, displayed, printed, etc; [0250]
(3) How payment for usage of such content and/or content portions
may or must be handled; and [0251] (4) How audit information about
usage information related to at least a portion of a property
should be collected, reported, and/or used.
[0252] Seniority of contributed control information, including
resolution of conflicts between content control information
submitted by multiple parties, is normally established by: [0253]
(1) the sequence in which control information is put in place by
various parties (in place control information normally takes
precedence over subsequently submitted control information), [0254]
(2) the specifics of VDE content and/or appliance control
information. For example, in-place control information can
stipulate which subsequent one or more piece of control from one or
more parties or class of parties will take precedence over control
information submitted by one or more yet different parties and/or
classes of parties, and/or [0255] (3) negotiation between control
information sets from plural parties, which negotiation establishes
what control information shall constitute the resulting control
information set for a given piece of VDE managed content and/or VDE
installation.
Electronic Agreements and Rights Protection
[0256] An important feature of VDE is that it can be used to assure
the administration of, and adequacy of security and rights
protection for, electronic agreements implemented through the use
of the present invention. Such agreements may involve one or more
of: [0257] (1) creators, publishers, and other distributors, of
electronic information, [0258] (2) financial service (e.g. credit)
providers, [0259] (3) users of (other than financial service
providers) information arising from content usage such as content
specific demographic information and user specific descriptive
information. Such users may include market analysts, marketing list
compilers for direct and directed marketing, and government
agencies, [0260] (4) end users of content, [0261] (5)
infrastructure service and device providers such as
telecommunication companies and hardware manufacturers
(semiconductor and electronic appliance and/or other computer
system manufacturers) who receive compensation based upon the use
of their services and/or devices, and [0262] (6) certain parties
described by electronic information.
[0263] VDE supports commercially secure "extended" value chain
electronic agreements. VDE can be configured to support the various
underlying agreements between parties that comprise this extended
agreement. These agreements can define important electronic
commerce considerations including: [0264] (1) security, [0265] (2)
content use control, including electronic distribution, [0266] (3)
privacy (regarding, for example, information concerning parties
described by medical, credit, tax, personal, and/or of other forms
of confidential information), [0267] (4) management of financial
processes, and [0268] (5) pathways of handling for electronic
content, content and/or appliance control information, electronic
content and/or appliance usage information and payment and/or
credit.
[0269] VDE agreements may define the electronic commerce
relationship of two or more parties of a value chain, but such
agreements may, at times, not directly obligate or otherwise
directly involve other VDE value chain participants. For example,
an electronic agreement between a content creator and a distributor
may establish both the price to the distributor for a creator's
content (such as for a property distributed in a VDE container
object) and the number of copies of this object that this
distributor may distribute to end-users over a given period of
time. In a second agreement, a value chain end-user may be involved
in a three party agreement in which the end-user agrees to certain
requirements for using the distributed product such as accepting
distributor charges for content use and agreeing to observe the
copyright rights of the creator. A third agreement might exist
between the distributor and a financial clearinghouse that allows
the distributor to employ the clearinghouse's credit for payment
for the product if the end-user has a separate (fourth) agreement
directly with the clearinghouse extending credit to the end-user. A
fifth, evolving agreement may develop between all value chain
participants as content control information passes along its chain
of handling. This evolving agreement can establish the rights of
all parties to content usage information, including, for example,
the nature of information to be received by each party and the
pathway of handling of content usage information and related
procedures. A sixth agreement in this example, may involve all
parties to the agreement and establishes certain general
assumptions, such as security techniques and degree of trustedness
(for example, commercial integrity of the system may require each
VDE installation secure subsystem to electronically warrant that
their VDE node meets certain interoperability requirements). In the
above example, these six agreements could comprise agreements of an
extended agreement for this commercial value chain instance.
[0270] VDE agreements support evolving ("living") electronic
agreement arrangements that can be modified by current and/or new
participants through very simple to sophisticated "negotiations"
between newly proposed content control information interacting with
control information already in place and/or by negotiation between
concurrently proposed content control information submitted by a
plurality of parties. A given model may be asynchronously and
progressively modified over time in accordance with existing senior
rules and such modification may be applied to all, to classes of,
and/or to specific content, and/or to classes and/or specific users
and/or user nodes. A given piece of content may be subject to
different control information at different times or places of
handling, depending on the evolution of its content control
information (and/or on differing, applicable VDE installation
content control information). The evolution of control information
can occur during the passing along of one or more VDE control
information containing objects, that is control information may be
modified at one or more points along a chain of control information
handling, so long as such modification is allowed. As a result, VDE
managed content may have different control information applied at
both different "locations" in a chain of content handling and at
similar locations in differing chains of the handling of such
content. Such different application of control information may also
result from content control information specifying that a certain
party or group of parties shall be subject to content control
information that differs from another party or group of parties.
For example, content control information for a given piece of
content may be stipulated as senior information and therefore not
changeable, might be put in place by a content creator and might
stipulate that national distributors of a given piece of their
content may be permitted to make 100,000 copies per calendar
quarter, so long as such copies are provided to boni fide
end-users, but may pass only a single copy of such content to a
local retailers and the control information limits such a retailer
to making no more than 1,000 copies per month for retail sales to
end-users. In addition, for example, an end-user of such content
might be limited by the same content control information to making
three copies of such content, one for each of three different
computers he or she uses (one desktop computer at work, one for a
desktop computer at home, and one for a portable computer).
[0271] Electronic agreements supported by the preferred embodiment
of the present invention can vary from very simple to very
elaborate. They can support widely diverse information management
models that provide for electronic information security, usage
administration, and communication and may support: [0272] (a)
secure electronic distribution of information, for example
commercial literary properties, [0273] (b) secure electronic
information usage monitoring and reporting, [0274] (c) secure
financial transaction capabilities related to both electronic
information and/or appliance usage and other electronic credit
and/or currency usage and administration capabilities, [0275] (d)
privacy protection for usage information a user does not wish to
release, and [0276] (e) "living" electronic information content
dissemination models that flexibly accommodate: [0277] (1) a
breadth of participants, [0278] (2) one or more pathways (chains)
for: the handling of content, content and/or appliance control
information, reporting of content and/or appliance usage related
information, and/or payment, [0279] (3) supporting an evolution of
terms and conditions incorporated into content control information,
including use of electronic negotiation capabilities, [0280] (4)
support the combination of multiple pieces of content to form new
content aggregations, and [0281] (5) multiple concurrent
models.
Secure Processing Units
[0282] An important part of VDE provided by the present invention
is the core secure transaction control arrangement, herein called
an SPU (or SPUs), that typically must be present in each user's
computer, other electronic appliance, or network. SPUs provide a
trusted environment for generating decryption keys, encrypting and
decrypting information, managing the secure communication of keys
and other information between electronic appliances (i.e. between
VDE installations and/or between plural VDE instances within a
single VDE installation), securely accumulating and managing audit
trail, reporting, and budget information in secure and/or
non-secure non-volatile memory, maintaining a secure database of
control information management instructions, and providing a secure
environment for performing certain other control and administrative
functions.
[0283] A hardware SPU (rather than a software emulation) within a
VDE node is necessary if a highly trusted environment for
performing certain VDE activities is required. Such a trusted
environment may be created through the use of certain control
software, one or more tamper resistant hardware modules such as a
semiconductor or semiconductor chipset (including, for example, a
tamper resistant hardware electronic appliance peripheral device),
for use within, and/or operatively connected to, an electronic
appliance. With the present invention, the trustedness of a
hardware SPU can be enhanced by enclosing some or all of its
hardware elements within tamper resistant packaging and/or by
employing other tamper resisting techniques (e.g. microfusing
and/or thin wire detection techniques). A trusted environment of
the present invention implemented, in part, through the use of
tamper resistant semiconductor design, contains control logic, such
as a microprocessor, that securely executes VDE processes.
[0284] A VDE node's hardware SPU is a core component of a VDE
secure subsystem and may employ some or all of an electronic
appliance's primary control logic, such as a microcontroller,
microcomputer or other CPU arrangement. This primary control logic
may be otherwise employed for non VDE purposes such as the control
of some or all of an electronic appliance's non-VDE functions. When
operating in a hardware SPU mode, said primary control logic must
be sufficiently secure so as to protect and conceal important VDE
processes. For example, a hardware SPU may employ a host electronic
appliance microcomputer operating in protected mode while
performing VDE related activities, thus allowing portions of VDE
processes to execute with a certain degree of security. This
alternate embodiment is in contrast to the preferred embodiment
wherein a trusted environment is created using a combination of one
or more tamper resistant semiconductors that are not part of said
primary control logic. In either embodiment, certain control
information (software and parameter data) must be securely
maintained within the SPU, and further control information can be
stored externally and securely (e.g. in encrypted and tagged form)
and loaded into said hardware SPU when needed. In many cases, and
in particular with microcomputers, the preferred embodiment
approach of employing special purpose secure hardware for executing
said VDE processes, rather than using said primary control logic,
may be more secure and efficient. The level of security and tamper
resistance required for trusted SPU hardware processes depends on
the commercial requirements of particular markets or market niches,
and may vary widely.
BRIEF DESCRIPTION OF THE DRAWINGS
[0285] These and other features and advantages provided by the
present invention(s) may be better and more completely understood
by referring to the following detailed description of presently
preferred example embodiments in connection with the drawings, of
which:
[0286] FIG. 1 illustrates an example of a "Virtual Distribution
Environment" provided in accordance with a preferred
example/embodiment of this invention;
[0287] FIG. 1A is a more detailed illustration of an example of the
"Information Utility" shown in FIG. 1;
[0288] FIG. 2 illustrates an example of a chain of handling and
control;
[0289] FIG. 2A illustrates one example of how rules and control
information may persist from one participant to another in the FIG.
2 chain of handling and control;
[0290] FIG. 3 shows one example of different control information
that may be provided;
[0291] FIG. 4 illustrates examples of some different types of rules
and/or control information;
[0292] FIGS. 5A and 5B show an example of an "object";
[0293] FIG. 6 shows an example of a Secure Processing Unit
("SPU");
[0294] FIG. 7 shows an example of an electronic appliance;
[0295] FIG. 8 is a more detailed block diagram of an example of the
electronic appliance shown in FIG. 7;
[0296] FIG. 9 is a detailed view of an example of the Secure
Processing Unit (SPU) shown in FIGS. 6 and 8;
[0297] FIG. 10 shows an example of a "Rights Operating System"
("ROS") architecture provided by the Virtual Distribution
Environment;
[0298] FIGS. 11A-11C show examples of functional relationship(s)
between applications and the Rights Operating System;
[0299] FIGS. 11D-11J show examples of "components" and "component
assemblies";
[0300] FIG. 12 is a more detailed diagram of an example of the
Rights Operating System shown in FIG. 10;
[0301] FIG. 12A shows an example of how "objects" can be
created;
[0302] FIG. 13 is a detailed block diagram of an example the
software architecture for a "protected processing environment"
shown in FIG. 12;
[0303] FIGS. 14A-14C are examples of SPU memory maps provided by
the protected processing environment shown in FIG. 13;
[0304] FIG. 15 illustrates an example of how the channel services
manager and load module execution manager of FIG. 13 can support a
channel;
[0305] FIG. 15A is an example of a channel header and channel
detail records shown in FIG. 15;
[0306] FIG. 15B is a flowchart of an example of program control
steps that may be performed by the FIG. 13 protected processing
environment to create a channel;
[0307] FIG. 16 is a block diagram of an example of a secure data
base structure;
[0308] FIG. 17 is an illustration of an example of a logical object
structure;
[0309] FIG. 18 shows an example of a stationary object
structure;
[0310] FIG. 19 shows an example of a traveling object
structure;
[0311] FIG. 20 shows an example of a content object structure;
[0312] FIG. 21 shows an example of an administrative object
structure;
[0313] FIG. 22 shows an example of a method core structure;
[0314] FIG. 23 shows an example of a load module structure;
[0315] FIG. 24 shows an example of a User Data Element (UDE) and/or
Method Data Element (MDE) structure;
[0316] FIGS. 25A-25C show examples of "map meters";
[0317] FIG. 26 shows an example of a permissions record (PERC)
structure;
[0318] FIGS. 26A and 26B together show a more detailed example of a
permissions record structure;
[0319] FIG. 27 shows an example of a shipping table structure;
[0320] FIG. 28 shows an example of a receiving table structure;
[0321] FIG. 29 shows an example of an administrative event log
structure;
[0322] FIG. 30 shows an example inter-relationship between and use
of the object registration table, subject table and user rights
table shown in the FIG. 16 secure database;
[0323] FIG. 31 is a more detailed example of an object registration
table shown in FIG. 16;
[0324] FIG. 32 is a more detailed example of subject table shown in
FIG. 16;
[0325] FIG. 33 is a more detailed example of a user rights table
shown in FIG. 16;
[0326] FIG. 34 shows a specific example of how a site record table
and group record table may track portions of the secure database
shown in FIG. 16;
[0327] FIG. 34A is an example of a FIG. 34 site record table
structure;
[0328] FIG. 34B is an example of a FIG. 34 group record table
structure;
[0329] FIG. 35 shows an example of a process for updating the
secure database;
[0330] FIG. 36 shows an example of how new elements may be inserted
into the FIG. 16 secure data base;
[0331] FIG. 37 shows an example of how an element of the secure
database may be accessed;
[0332] FIG. 38 is a flowchart example of how to protect a secure
database element;
[0333] FIG. 39 is a flowchart example of how to back up a secure
database;
[0334] FIG. 40 is a flowchart example of how to recover a secure
database from a backup;
[0335] FIGS. 41A-41D are a set of examples showing how a "chain of
handling and control" may be enabled using "reciprocal
methods";
[0336] FIGS. 42A-42D show an example of a "reciprocal" BUDGET
method;
[0337] FIGS. 43A-43D show an example of a "reciprocal" REGISTER
method;
[0338] FIGS. 44A-44C show an example of a "reciprocal" AUDIT
method;
[0339] FIGS. 45-48 show examples of several methods being used
together to control release of content or other information;
[0340] FIGS. 49, 49A-49F show an example OPEN method;
[0341] FIGS. 50, 50A-50F show an example of a READ method;
[0342] FIGS. 51, 51A-51F show an example of a WRITE method;
[0343] FIG. 52 shows an example of a CLOSE method;
[0344] FIGS. 53A-53B show an example of an EVENT method;
[0345] FIG. 53C shows an example of a BILLING method;
[0346] FIG. 54 shows an example of an ACCESS method;
[0347] FIGS. 55A-55B show examples of DECRYPT and ENCRYPT
methods;
[0348] FIG. 56 shows an example of a CONTENT method;
[0349] FIGS. 57A and 57B show examples of EXTRACT and EMBED
methods;
[0350] FIG. 58A shows an example of an OBSCURE method;
[0351] FIGS. 58B, 58C show examples of a FINGERPRINT method;
[0352] FIG. 59 shows an example of a DESTROY method;
[0353] FIG. 60 shows an example of a PANIC method;
[0354] FIG. 61 shows an example of a METER method;
[0355] FIG. 62 shows an example of a key "convolution" process;
[0356] FIG. 63 shows an example of how different keys may be
generated using a key convolution process to determine a "true"
key;
[0357] FIGS. 64 and 65 show an example of how protected processing
environment keys may be initialized;
[0358] FIGS. 66 and 67 show example processes for decrypting
information contained within stationary and traveling objects,
respectively;
[0359] FIG. 68 shows an example of how a protected processing
environment may be initialized;
[0360] FIG. 69 shows an example of how firmware may be downloaded
into a protected processing environment;
[0361] FIG. 70 shows an example of multiple VDE electronic
appliances connected together with a network or other
communications means;
[0362] FIG. 71 shows an example of a portable VDE electronic
appliance;
[0363] FIGS. 72A-72D show examples of "pop-up" displays that may be
generated by the user notification and exception interface;
[0364] FIG. 73 shows an example of a "smart object";
[0365] FIG. 74 shows an example of a process using "smart
objects";
[0366] FIGS. 75A-75D show examples of data structures used for
electronic negotiation;
[0367] FIGS. 75E-75F show example structures relating to an
electronic agreement;
[0368] FIGS. 76A-76B show examples of electronic negotiation
processes;
[0369] FIG. 77 shows a further example of a chain of handling and
control;
[0370] FIG. 78 shows an example of a VDE "repository";
[0371] FIGS. 79-83 show an example illustrating a chain of handling
and control to evolve and transform VDE managed content and control
information;
[0372] FIG. 84 shows a further example of a chain of handling and
control involving several categories of VDE participants;
[0373] FIG. 85 shows a further example of a chain of distribution
and handling within an organization;
[0374] FIGS. 86 and 86A show a further example of a chain of
handling and control; and
[0375] FIG. 87 shows an example of a virtual silicon container
model.
MORE DETAILED DESCRIPTION
[0376] FIGS. 1-7 and the discussion below provides an overview of
some aspects of features provided by this invention. Following this
overview is a more technical "detail description" of example
embodiments in accordance with the invention.
Overview
[0377] FIG. 1 shows a "Virtual Distribution Environment" ("VDE")
100 that may be provided in accordance with this invention. In FIG.
1, an information utility 200 connects to communications means 202
such as telephone or cable TV lines for example. Telephone or cable
TV lines 202 may be part of an "electronic highway" that carries
electronic information from place to place. Lines 202 connect
information utility 200 to other people such as for example a
consumer 208, an office 210, a video production studio 204, and a
publishing house 214. Each of the people connected to information
utility 200 may be called a "VDE participant" because they can
participate in transactions occurring within the virtual
distribution environment 100.
[0378] Almost any sort of transaction you can think of can be
supported by virtual distribution environment 100. A few of many
examples of transactions that can be supported by virtual
distribution environment 100 include: [0379] home banking and
electronic payments; [0380] electronic legal contracts; [0381]
distribution of "content" such as electronic printed matter, video,
audio, images and computer programs; and [0382] secure
communication of private information such as medical records and
financial information.
[0383] Virtual distribution environment 100 is "virtual" because it
does not require many of the physical "things" that used to be
necessary to protect rights, ensure reliable and predictable
distribution, and ensure proper compensation to content creators
and distributors. For example, in the past, information was
distributed on records or disks that were difficult to copy. In the
past, private or secret content was distributed in sealed envelopes
or locked briefcases delivered by courier. To ensure appropriate
compensation, consumers received goods and services only after they
handed cash over to a seller. Although information utility 200 may
deliver information by transferring physical "things" such as
electronic storage media, the virtual distribution environment 100
facilitates a completely electronic "chain of handling and
control."
VDE Flexibility Supports Transactions
[0384] Information utility 200 flexibly supports many different
kinds of information transactions. Different VDE participants may
define and/or participate in different parts of a transaction.
Information utility 200 may assist with delivering information
about a transaction, or it may be one of the transaction
participants.
[0385] For example, the video production studio 204 in the upper
right-hand corner of FIG. 1 may create video/television programs.
Video production studio 204 may send these programs over lines 202,
or may use other paths such as satellite link 205 and CD ROM
delivery service 216. Video production studio 204 can send the
programs directly to consumers 206, 208, 210, or it can send the
programs to information utility 200 which may store and later send
them to the consumers, for example. Consumers 206, 208, 210 are
each capable of receiving and using the programs created by video
production studio 204--assuming, that is, that the video production
studio or information utility 200 has arranged for these consumers
to have appropriate "rules and controls" (control information) that
give the consumers rights to use the programs.
[0386] Even if a consumer has a copy of a video program, she cannot
watch or copy the program unless she has "rules and controls" that
authorize use of the program. She can use the program only as
permitted by the "rules and controls."
[0387] For example, video production studio 204 might release a
half-hour exercise video in the hope that as many viewers as
possible will view it. The video production studio 204 wishes to
receive $2.00 per viewing. Video production studio 204 may, through
information utility 200, make the exercise video available in
"protected" form to all consumers 206, 208, 210. Video production
studio 204 may also provide "rules and controls" for the video.
These "rules and controls" may specify for example: [0388] (1) any
consumer who has good credit of at least $2.00 based on a credit
account with independent financial provider 212 (such as Mastercard
or VISA) may watch the video, [0389] (2) virtual distribution
environment 100 will "meter" each time a consumer watches the
video, and report usage to video production studio 204 from time to
time, and [0390] (3) financial provider 212 may electronically
collect payment ($2.00) from the credit account of each consumer
who watches the video, and transfer these payments to the video
production studio 204.
[0391] Information utility 200 allows even a small video production
studio to market videos to consumers and receive compensation for
its efforts. Moreover, the videos can, with appropriate payment to
the video production studio, be made available to other video 10
publishers who may add value and/or act as repackagers or
redistributors.
[0392] FIG. 1 also shows a publishing house 214. Publishing house
214 may act as a distributor for an author 206. The publishing
house 214 may distribute rights to use "content" (such as computer
software, electronic newspapers, the video produced, by publishing
house 214, audio, or any other data) to consumers such as office
210. The use rights may be defined by "rules and controls"
distributed by publishing house 216. Publishing house 216 may
distribute these "rules and controls" with the content, but this is
not necessary. Because the content can be used only by consumers
that have the appropriate "rules and controls," content and its
associated "rules and controls" may be distributed at different
times, in different ways, by different VDE participants. The
ability of VDE to securely distribute and enforce "rules and
controls" separately from the content they apply to provides great
advantages.
[0393] Use rights distributed by publishing house 214 may, for
example, permit office 210 to make and distribute copies of the
content to its employees. Office 210 may act as a redistributor by
extending a "chain of handling and control" to its employees. The
office 210 may add or modify "rules and controls" (consistent with
the "rules and controls" it receives from publishing house 214) to
provide office-internal control information and mechanisms. For
example, office 210 may set a maximum usage budget for each
individual user and/or group within the office, or it may permit
only specified employees and/or groups to access certain
information.
[0394] FIG. 1 also shows an information delivery service 216
delivering electronic storage media such as "CD ROM" disks to
consumers 206. Even though the electronic storage media themselves
are not delivered electronically by information utility 200 over
lines 202, they are still part of the virtual distribution
environment 100. The electronic storage media may be used to
distribute content, "rules and controls," or other information.
Example of What's Inside Information Utility 200
[0395] "Information utility" 200 in FIG. 1 can be a collection of
participants that may act as distributors, financial
clearinghouses, and administrators. FIG. 1A shows an example of
what may be inside one example of information utility 200.
Information utility participants 200a-200g could each be an
independent organization/business. There can be any number of each
of participants 200a-200g. In this example, electronic "switch"
200a connects internal parts of information utility 200 to each
other and to outside participants, and may also connect outside
participants to one another.
[0396] Information utility 200 may include a "transaction
processor" 200b that processes transactions (to transfer electronic
funds, for example) based on requests from participants and/or
report receiver 200e. It may also include a "usage analyst" 200c
that analyzes reported usage information. A "report creator" 200d
may create reports based on usage for example, and may provide
these reports to outside participants and/or to participants within
information utility 200. A "report receiver" 200e may receive
reports such as usage reports from content users. A "permissioning
agent" 200f may distribute "rules and controls" granting usage or
distribution permissions based on a profile of a consumer's credit
worthiness, for example. An administrator 200h may provide
information that keeps the virtual distribution environment 100
operating properly. A content and message storage 200g may store
information for use by participants within or outside of
information utility 200.
Example of Distributing "Content" Using a "Chain of Handling and
Control"
[0397] As explained above, virtual distribution environment 100 can
be used to manage almost any sort of transaction. One type of
important transaction that virtual distribution environment 100 may
be used to manage is the distribution or communication of "content"
or other important information. FIG. 2 more abstractly shows a
"model" of how the FIG. 1 virtual distribution environment 100 may
be used to provide a "chain of handling and control" for
distributing content. Each of the blocks in FIG. 2 may correspond
to one or more of the VDE participants shown in FIG. 1.
[0398] In the FIG. 2 example, a VDE content creator 102 creates
"content." The content creator 102 may also specify "rules and
controls" for distributing the content. These distribution-related
"rules and controls" can specify who has permission to distribute
the rights to use content, and how many users are allowed to use
the content.
[0399] Arrow 104 shows the content creator 102 sending the "rules
and controls" associated with the content to a VDE rights
distributor 106 ("distributor") over an electronic highway 108 (or
by some other path such as an optical disk sent by a delivery
service such as U.S. mail). The content can be distributed over the
same or different path used to send the "rules and controls."
[0400] The distributor 106 generates her own "rules and controls"
that relate to usage of the content. The usage-related "rules and
controls" may, for example, specify what a user can and can't do
with the content and how much it costs to use the content. These
usage-related "rules and controls" must be consistent with the
"rules and controls" specified by content creator 102.
[0401] Arrow 110 shows the distributor 106 distributing rights to
use the content by sending the content's "rules and controls" to a
content user 112 such as a consumer. The content user 112 uses the
content in accordance with the usage-related "rules and
controls."
[0402] In this FIG. 2 example, information relating to content use
is, as shown by arrow 114, reported to a financial clearinghouse
116. Based on this "reporting," the financial clearinghouse 116 may
generate a bill and send it to the content user 112 over a "reports
and payments" network 118. Arrow 120 shows the content user 112
providing payments for content usage to the financial clearinghouse
116. Based on the reports and payments it receives, the financial
clearinghouse 116 may provide reports and/or payments to the
distributor 106. The distributor 106 may, as shown by arrow 122,
provide reports and/or payments to the content creator 102. The
clearinghouse 116 may provide reports and payments directly to the
creator 102. Reporting and/or payments may be done differently. For
example, clearinghouse 116 may directly or through an agent,
provide reports and/or payments to each of VDE content creators
102, and rights distributor 106, as well as reports to content user
112.
[0403] The distributor 106 and the content creator 102 may be the
same person, or they may be different people. For example, a
musical performing group may act as both content creator 102 and
distributor 106 by creating and distributing its own musical
recordings. As another example, a publishing house may act as a
distributor 106 to distribute rights to use works created by an
author content creator 102. Content creators 102 may use a
distributor 106 to efficiently manage the financial end of content
distribution.
[0404] The "financial clearinghouse" 116 shown in FIG. 2 may also
be a "VDE administrator." Financial clearinghouse 116 in its VDE
administrator role sends "administrative" information to the VDE
participants. This administrative information helps to keep the
virtual distribution environment 100 operating properly. The "VDE
administrator" and financial clearinghouse roles may be performed
by different people or companies, and there can be more than one of
each.
More about "Rules and Controls"
[0405] The virtual distribution environment 100 prevents use of
protected information except as permitted by the "rules and
controls" (control information). For example, the "rules and
controls" shown in FIG. 2 may grant specific individuals or classes
of content users 112 "permission" to use certain content. They may
specify what kinds of content usage are permitted, and what kinds
are not. They may specify how content usage is to be paid for and
how much it costs. As another example, "rules and controls" may
require content usage information to be reported back to the
distributor 106 and/or content creator 102.
[0406] Every VDE participant in "chain of handling and control" is
normally subject to "rules and controls." "Rules and controls"
define the respective rights and obligations of each of the various
VDE participants. "Rules and controls" provide information and
mechanisms that may establish interdependencies and relationships
between the participants. "Rules and controls" are flexible, and
permit "virtual distribution environment" 100 to support most
"traditional" business transactions. For example: [0407] "Rules and
controls" may specify which financial clearinghouse(s) 116 may
process payments, [0408] "Rules and controls" may specify which
participant(s) receive what kind of usage report, and [0409] "Rules
and controls" may specify that certain information is revealed to
certain participants, and that other information is kept secret
from them.
[0410] "Rules and controls" may self limit if and how they may be
changed. Often, "rules and controls" specified by one VDE
participant cannot be changed by another VDE participant. For
example, a content user 112 generally can't change "rules and
controls" specified by a distributor 106 that require the user to
pay for content usage at a certain rate. "Rules and controls" may
"persist" as they pass through a "chain of handling and control,"
and may be "inherited" as they are passed down from one VDE
participant to the next.
[0411] Depending upon their needs, VDE participants can specify
that their "rules and controls" can be changed under conditions
specified by the same or other "rules and controls." For example,
"rules and controls" specified by the content creator 102 may
permit the distributor 106 to "mark up" the usage price just as
retail stores "mark up" the wholesale price of goods. FIG. 2A shows
an example in which certain "rules and controls" persist unchanged
from content creator 102 to content user 112; other "rules and
controls" are modified or deleted by distributor 106; and still
other "rules and controls" are added by the distributor.
[0412] "Rules and controls" can be used to protect the content
user's privacy by limiting the information that is reported to
other VDE participants. As one example, "rules and controls" can
cause content usage information to be reported anonymously without
revealing content user identity, or it can reveal only certain
information to certain participants (for example, information
derived from usage) with appropriate permission, if required. This
ability to securely control what information is revealed and what
VDE participant(s) it is revealed to allows the privacy rights of
all VDE participants to be protected.
"Rules and Contents" can be Separately Delivered
[0413] As mentioned above, virtual distribution environment 100
"associates" content with corresponding "rules and controls," and
prevents the content from being used or accessed unless a set of
corresponding "rules and controls" is available. The distributor
106 doesn't need to deliver content to control the content's
distribution. The preferred embodiment can securely protect content
by protecting corresponding, usage enabling "rules and controls"
against unauthorized distribution and use.
[0414] In some examples, "rules and controls" may travel with the
content they apply to. Virtual distribution environment 100 also
allows "rules and controls" to be delivered separately from
content. Since no one can use or access protected content without
"permission" from corresponding "rules and controls," the
distributor 106 can control use of content that has already been
(or will in the future be), delivered. "Rules and controls" may be
delivered over a path different from the one used for content
delivery. "Rules and controls" may also be delivered at some other
time. The content creator 102 might deliver content to content user
112 over the electronic highway 108, or could make the content
available to anyone on the highway. Content may be used at the time
it is delivered, or it may be stored for later use or reuse.
[0415] The virtual distribution environment 100 also allows payment
and reporting means to be delivered separately. For example, the
content user 112 may have a virtual "credit card" that extends
credit (up to a certain limit) to pay for usage of any content. A
"credit transaction" can take place at the user's site without
requiring any "online" connection or further authorization. This
invention can be used to help securely protect the virtual "credit
card" against unauthorized use.
"Rules and Contents" Define Processes
[0416] FIG. 3 shows an example of an overall process based on
"rules and controls." It includes an "events" process 402, a meter
process 404, a billing process 406, and a budget process 408. Not
all of the processes shown in FIG. 3 will be used for every set of
"rules and controls."
[0417] The "events process" 402 detects things that happen
("events") and determines which of those "events" need action by
the other "processes." The "events" may include, for example, a
request to use content or generate a usage permission. Some events
may need additional processing, and others may not. Whether an
"event" needs more processing depends on the "rules and controls"
corresponding to the content. For example, a user who lacks
permission will not have her request satisfied ("No Go"). As
another example, each user request to turn to a new page of an
electronic book may be satisfied ("Go"), but it may not be
necessary to meter, bill or budget those requests. A user who has
purchased a copy of a novel may be permitted to open and read the
novel as many times as she wants to without any further metering,
billing or budgeting. In this simple example, the "event process"
402 may request metering, billing and/or budgeting processes the
first time the user asks to open the protected novel (so the
purchase price can be charged to the user), and treat all later
requests to open the same novel as "insignificant events." Other
content (for example, searching an electronic telephone directory)
may require the user to pay a fee for each access.
[0418] "Meter" process 404 keeps track of events, and may report
usage to distributor 106 and/or other appropriate VDE
participant(s). FIG. 4 shows that process 404 can be based on a
number of different factors such as: [0419] (a) type of usage to
charge for, [0420] (b) what kind of unit to base charges on, [0421]
(c) how much to charge per unit, [0422] (d) when to report, and
[0423] (e) how to pay.
[0424] These factors may be specified by the "rules and controls"
that control the meter process.
[0425] Billing process 406 determines how much to charge for
events. It records and reports payment information.
[0426] Budget process 408 limits how much content usage is
permitted. For example, budget process 408 may limit the number of
times content may be accessed or copied, or it may limit the number
of pages or other amount of content that can be used based on, for
example, the number of dollars available in a credit account.
Budget process 408 records and reports financial and other
transaction information associated with such limits.
[0427] Content may be supplied to the user once these processes
have been successfully performed.
Containers and "Objects"
[0428] FIG. 5A shows how the virtual distribution environment 100,
in a preferred embodiment, may package information elements
(content) into a "container" 302 so the information can't be
accessed except as provided by its "rules and controls." Normally,
the container 302 is electronic rather than physical. Electronic
container 302 in one example comprises "digital" information having
a well defined structure. Container 302 and its contents can be
called an "object 300."
[0429] The FIG. 5A example shows items "within" and enclosed by
container 302. However, container 302 may "contain" items without
those items actually being stored within the container. For
example, the container 302 may reference items that are available
elsewhere such as in other containers at remote sites. Container
302 may reference items available at different times or only during
limited times. Some items may be too large to store within
container 302. Items may, for example, be delivered to the user in
the form of a "live feed" of video at a certain time. Even then,
the container 302 "contains" the live feed (by reference) in this
example.
[0430] Container 302 may contain information content 304 in
electronic (such as "digital") form. Information content 304 could
be the text of a novel, a picture, sound such as a musical
performance or a reading, a movie or other video, computer
software, or just about any other kind of electronic information
you can think of. Other types of "objects" 300 (such as
"administrative objects") may contain "administrative" or other
information instead of or in addition to information content
304.
[0431] In the FIG. 5A example, container 302 may also contain
"rules and controls" in the form of: [0432] (a) a "permissions
record" 808, [0433] (b) "budgets" 308; and [0434] (c) "other
methods" 1000.
[0435] FIG. 5B gives some additional detail about permissions
record 808, budgets 308 and other methods 1000. The "permissions
record" 808 specifies the rights associated with the object 300
such as, for example, who can open the container 302, who can use
the object's contents, who can distribute the object, and what
other control mechanisms must be active. For example, permissions
record 808 may specify a user's rights to use, distribute and/or
administer the container 302 and its content. Permissions record
808 may also specify requirements to be applied by the budgets 308
and "other methods" 1000. Permissions record 808 may also contain
security related information such as scrambling and descrambling
"keys."
[0436] "Budgets" 308 shown in FIG. 5B are a special type of
"method" 1000 that may specify, among other things, limitations on
usage of information content 304, and how usage will be paid for.
Budgets 308 can specify, for example, how much of the total
information content 304 can be used and/or copied. The methods 310
may prevent use of more than the amount specified by a specific
budget.
[0437] "Other methods" 1000 define basic operations used by "rules
and controls." Such "methods" 1000 may include, for example, how
usage is to be "metered," if and how content 304 and other
information is to be scrambled and descrambled, and other processes
associated with handling and controlling information content 304.
For example, methods 1000 may record the identity of anyone who
opens the electronic container 302, and can also control how
information content is to be charged based on "metering." Methods
1000 may apply to one or several different information contents 304
and associated containers 302, as well as to all or specific
portions of information content 304.
Secure Processing Unit (SPU)
[0438] The "VDE participants" may each have an "electronic
appliance." The appliance may be or contain a computer. The
appliances may communicate over the electronic highway 108. FIG. 6
shows a secure processing unit ("SPU") 500 portion of the
"electronic appliance" used in this example by each VDE
participant. SPU 500 processes information in a secure processing
environment 503, and stores important information securely. SPU 500
may be emulated by software operating in a host electronic
appliance.
[0439] SPU 500 is enclosed within and protected by a "tamper
resistant security barrier" 502. Security barrier 502 separates the
secure environment 503 from the rest of the world. It prevents
information and processes within the secure environment 503 from
being observed, interfered with and leaving except under
appropriate secure conditions. Barrier 502 also controls external
access to secure resources, processes and information within SPU
500. In one example, tamper resistant security barrier 502 is
formed by security features such as "encryption," and hardware that
detects tampering and/or destroys sensitive information within
secure environment 503 when tampering is detected.
[0440] SPU 500 in this example is an integrated circuit ("IC")
"chip" 504 including "hardware" 506 and "firmware" 508. SPU 500
connects to the rest of the electronic appliance through an
"appliance link" 510. SPU "firmware" 508 in this example is
"software" such as a "computer program(s)" "embedded" within chip
504. Firmware 508 makes the hardware 506 work. Hardware 506
preferably contains a processor to perform instructions specified
by firmware 508. "Hardware" 506 also contains long-term and
short-term memories to store information securely so it can't be
tampered with. SPU 500 may also have a protected clock/calendar
used for timing events. The SPU hardware 506 in this example may
include special purpose electronic circuits that are specially
designed to perform certain processes (such as "encryption" and
"decryption") rapidly and efficiently.
[0441] The particular context in which SPU 500 is being used will
determine how much processing capabilities SPU 500 should have SPU
hardware 506, in this example, provides at least enough processing
capabilities to support the secure parts of processes shown in FIG.
3. In some contexts, the functions of SPU 500 may be increased so
the SPU can perform all the electronic appliance processing, and
can be incorporated into a general purpose processor. In other
contexts, SPU 500 may work alongside a general purpose processor,
and therefore only needs to have enough processing capabilities to
handle secure processes.
VDE Electronic Appliance and "Rights Operating System"
[0442] FIG. 7 shows an example of an electronic appliance 600
including SPU 500. Electronic appliance 600 may be practically any
kind of electrical or electronic device, such as: [0443] a computer
[0444] a T.V. "set top" control box [0445] a pager [0446] a
telephone [0447] a sound system [0448] a video reproduction system
[0449] a video game player [0450] a "smart" credit card.
[0451] Electronic appliance 600 in this example may include a
keyboard or keypad 612, a voice recognizer 613, and a display 614.
A human user can input commands through keyboard 612 and/or voice
recognizer 613, and may view information on display 614. Appliance
600 may communicate with the outside world through any of the
connections/devices normally used within an electronic appliance.
The connections/devices shown along the bottom of the drawing are
examples: [0452] a "modem" 618 or other telecommunications link;
[0453] a CD ROM disk 620 or other storage medium or device; [0454]
a printer 622; [0455] broadcast reception 624; [0456] a document
scanner 626; and [0457] a "cable" 628 connecting the appliance with
a "network."
[0458] Virtual distribution environment 100 provides a "rights
operating system" 602 that manages appliance 600 and SPU 500 by
controlling their hardware resources. The operating system 602 may
also support at least one "application" 608. Generally,
"application" 608 is hardware and/or software specific to the
context of appliance 600. For example, if appliance 600 is a
personal computer, then "application" 608 could be a program loaded
by the user, for instance, a word processor, a communications
system or a sound recorder. If appliance 600 is a television
controller box, then application 608 might be hardware or software
that allows a user to order videos on demand and perform other
functions such as fast forward and rewind. In this example,
operating system 602 provides a standardized, well defined,
generalized "interface" that could support and work with many
different "applications" 608.
[0459] Operating system 602 in this example provides "rights and,
auditing operating system functions" 604 and "other operating
system functions" 606. The "rights and auditing operating system
functions" 604 securely handle tasks that relate to virtual
distribution environment 100. SPU 500 provides or supports many of
the security functions of the "rights and auditing operating system
functions" 402. The "other operating system functions" 606 handle
general appliance functions. Overall operating system 602 may be
designed from the beginning to include the "rights and auditing
operating system functions" 604 plus the "other operating system
functions" 606, or the "rights and auditing operating system
functions" may be an add-on to a preexisting operating system
providing the "other operating system functions."
[0460] "Rights operating system" 602 in this example can work with
many different types of appliances 600. For example, it can work
with large mainframe computers, "minicomputers" and
"microcomputers" such as personal computers and portable computing
devices. It can also work in control boxes on the top of television
sets, small portable "pagers," desktop radios, stereo sound
systems, telephones, telephone switches, or any other electronic
appliance. This ability to work on big appliances as well as little
appliances is called "scalable." A "scalable" operating system 602
means that there can be a standardized interface across many
different appliances performing a wide variety of tasks.
[0461] The "rights operating system functions" 604 are
"services-based" in this example. For example, "rights operating
system functions" 604 handle summary requests from application 608
rather than requiring the application to always make more detailed
"subrequests" or otherwise get involved with the underlying
complexities involved in satisfying a summary request. For example,
application 608 may simply ask to read specified information;
"rights operating system functions" 604 can then decide whether the
desired information is VDE-protected content and, if it is, perform
processes needed to make the information available. This feature is
called "transparency." "Transparency" makes tasks easy for the
application 608. "Rights operating system functions" 604 can
support applications 608 that "know" nothing about virtual
distribution environment 100. Applications 608 that are "aware" of
virtual distribution environment 100 may be able to make more
detailed use of virtual distribution environment 100.
[0462] In this example, "rights operating system functions" 604 are
"event driven." Rather than repeatedly examining the state of
electronic appliance 600 to determine whether a condition has
arisen, the "rights operating system functions" 604 may respond
directly to "events" or "happenings" within appliance 600.
[0463] In this example, some of the services performed by "rights
operating system functions" 604 may be extended based on additional
"components" delivered to operating system 602. "Rights operating
system functions" 604 can collect together and use "components"
sent by different participants at different times. The "components"
help to make the operating system 602 "scalable." Some components
can change how services work on little appliances versus how they
work on big appliances (e.g., multi-user). Other components are
designed to work with specific applications or classes of
applications (e.g., some types of meters and some types of
budgets).
Electronic Appliance 600
[0464] An electronic appliance 600 provided by the preferred
embodiment may, for example, be any electronic apparatus that
contains one or more microprocessors and/or microcontrollers and/or
other devices which perform logical and/or mathematical
calculations. This may include computers; computer terminals;
device controllers for use with computers; peripheral devices for
use with computers; digital display devices; televisions; video and
audio/video projection systems; channel selectors and/or decoders
for use with broadcast and/or cable transmissions; remote control
devices; video and/or audio recorders; media players including
compact disc players, videodisc players and tape players; audio
and/or video amplifiers; virtual reality machines; electronic game
players; multimedia players; radios; telephones; videophones;
facsimile machines; robots; numerically controlled machines
including machine tools and the like; and other devices containing
one or more microcomputers and/or microcontrollers and/or other
CPUs, including those not yet in existence.
[0465] FIG. 8 shows an example of an electronic appliance 600. This
example of electronic appliance 600 includes a system bus 653. In
this example, one or more conventional general purpose central
processing units ("CPUs") 654 are connected to bus 653. Bus 653
connects CPU(s) 654 to RAM 656, ROM 658, and I/O controller 660.
One or more SPUs 500 may also be connected to system bus 653.
System bus 653 may permit SPU(s) 500 to communicate with CPU(s)
654, and also may allow both the CPU(s) and the SPU(s) to
communicate (e.g., over shared address and data lines) with RAM
656, ROM 658 and I/O controller 660. A power supply 659 may provide
power to SPU 500, CPU 654 and the other system components
shown.
[0466] In the example shown, I/O controller 660 is connected to
secondary storage device 652, a keyboard/display 612,614, a
communications controller 666, and a backup storage device 668.
Backup storage device 668 may, for example, store information on
mass media such as a tape 670, a floppy disk, a removable memory
card, etc. Communications controller 666 may allow electronic
appliance 600 to communicate with other electronic appliances via
network 672 or other telecommunications links Different electronic
appliances 600 may interoperate even if they use different CPUs and
different instances of ROS 602, so long as they typically use
compatible communication protocols and/or security methods. In this
example, I/O controller 660 permits CPU 654 and SPU 500 to read
from and write to secondary storage 662, keyboard/display 612, 614,
communications controller 666, and backup storage device 668.
[0467] Secondary storage 662 may comprise the same one or more
non-secure secondary storage devices (such as a magnetic disk and a
CD-ROM drive as one example) that electronic appliance 600 uses for
general secondary storage functions. In some implementations, part
or all of secondary storage 652 may comprise a secondary storage
device(s) that is physically enclosed within a secure enclosure.
However, since it may not be practical or cost-effective to
physically secure secondary storage 652 in many implementations,
secondary storage 652 may be used to store information in a secure
manner by encrypting information before storing it in secondary
storage 652. If information is encrypted before it is stored,
physical access to secondary storage 652 or its contents does not
readily reveal or compromise the information.
[0468] Secondary storage 652 in this example stores code and data
used by CPU 654 and/or SPU 500 to control the overall operation of
electronic appliance 600. For example, FIG. 8 shows that "Rights
Operating System" ("ROS") 602 (including a portion 604 of ROS that
provides VDE functions and a portion 606 that provides other OS
functions) shown in FIG. 7 may be stored on secondary storage 652.
Secondary storage 652 may also store one or more VDE objects 300.
FIG. 8 also shows that the secure files 610 shown in FIG. 7 may be
stored on secondary storage 652 in the form of a "secure database"
or management file system 610. This secure database 610 may store
and organize information used by ROS 602 to perform VDE functions
604. Thus, the code that is executed to perform VDE and other OS
functions 604, 606, and secure files 610 (as well as VDE objects
300) associated with those functions may be stored in secondary
storage 652. Secondary storage 652 may also store "other
information" 673 such as, for example, information used by other
operating system functions 606 for task management, non-VDE files,
etc. Portions of the elements indicated in secondary storage 652
may also be stored in ROM 658, so long as those elements do not
require changes (except when ROM 658 is replaced). Portions of ROS
602 in particular may desirably be included in ROM 658 (e.g.,
"bootstrap" routines, POST routines, etc. for use in establishing
an operating environment for electronic appliance 600 when power is
applied).
[0469] FIG. 8 shows that secondary storage 652 may also be used to
store code ("application programs") providing user application(s)
608 shown in FIG. 7. FIG. 8 shows that there may be two general
types of application programs 608 "VDE aware" applications 608a,
and Non-VDE aware applications 608b. VDE aware applications 608a
may have been at least in part designed specifically with VDE 100
in mind to access and take detailed advantage of VDE functions 604.
Because of the "transparency" features of ROS 602, non-VDE aware
applications 608b (e.g., applications not specifically designed for
VDE 100) can also access and take advantage of VDE functions
604.
Secure Processing Unit 500
[0470] Each VDE node or other electronic appliance 600 in the
preferred embodiment may include one or more SPUs 500. SPUs 500 may
be used to perform all secure processing for VDE 100. For example,
SPU 500 is used for decrypting (or otherwise unsecuring) VDE
protected objects 300. It is also used for managing encrypted
and/or otherwise secured communication (such as by employing
authentication and/or error-correction validation of information).
SPU 500 may also perform secure data management processes including
governing usage of, auditing of, and where appropriate, payment for
VDE objects 300 (through the use of prepayments, credits, real-time
electronic debits from bank accounts and/or VDE node currency token
deposit accounts). SPU 500 may perform other transactions related
to such VDE objects 300.
SPU Physical Packaging and Security Barrier 502
[0471] As shown FIG. 6, in the preferred embodiment, an SPU 500 may
be implemented as a single integrated circuit "chip" 505 to provide
a secure processing environment in which confidential and/or
commercially valuable information can be safely processed,
encrypted and/or decrypted. IC chip 505 may, for example, comprise
a small semiconductor "die" about the size of a thumbnail. This
semiconductor die may include semiconductor and metal conductive
pathways. These pathways define the circuitry, and thus the
functionality, of SPU 500. Some of these pathways are electrically
connected to the external "pins" 504 of the chip 505.
[0472] As shown in FIGS. 6 and 9, SPU 500 may be surrounded by a
tamper-resistant hardware security barrier 502. Part of this
security barrier 502 is formed by a plastic or other package in
which an SPU "die" is encased. Because the processing occurring
within, and information stored by, SPU 500 are not easily
accessible to the outside world, they are relatively secure from
unauthorized access and tampering. All signals cross barrier 502
through a secure, controlled path provided by BIU 530 that
restricts the outside world's access to the internal components
within SPU 500. This secure, controlled path resists attempts from
the outside world to access secret information and resources within
SPU 500.
[0473] It is possible to remove the plastic package of an IC chip
and gain access to the "die." It is also possible to analyze and
"reverse engineer" the "die" itself (e.g., using various types of
logic analyzers and microprobes to collect and analyze signals on
the die while the circuitry is operating, using acid etching or
other techniques to remove semiconductor layers to expose other
layers, viewing and photographing the die using an electron
microscope, etc.) Although no system or circuit is absolutely
impervious to such attacks, SPU barrier 502 may include additional
hardware protections that make successful attacks exceedingly
costly and time consuming. For example, ion implantation and/or
other fabrication techniques may be used to make it very difficult
to visually discern SPU die conductive pathways, and SPU internal
circuitry may be fabricated in such a way that it "self-destructs"
when exposed to air and/or light. SPU 500 may store secret
information in internal memory that loses its contents when power
is lost. Circuitry may be incorporated within SPU 500 that detects
microprobing or other tampering, and self-destructs (or destroys
other parts of the SPU) when tampering is detected. These and other
hardware-based physical security techniques contribute to
tamper-resistant hardware security barrier 502.
[0474] To increase the security of security barrier 502 even
further, it is possible to encase or include SPU 500 in one or more
further physical enclosures such as, for example: epoxy or other
"potting compound"; further module enclosures including additional
self-destruct, self-disabling or other features activated when
tampering is detected, further modules providing additional
security protections such as requiring password or other
authentication to operate; and the like. In addition, further
layers of metal may be added to the die to complicate acid etching,
micro probing, and the like; circuitry designed to "zeroize" memory
may be included as an aspect of self-destruct processes; the
plastic package itself may be designed to resist chemical as well
as physical "attacks"; and memories internal to SPU 500 may have
specialized addressing and refresh circuitry that "shuffles" the
location of bits to complicate efforts to electrically determine
the value of memory locations. These and other techniques may
contribute to the security of barrier 502.
[0475] In some electronic appliances 600, SPU 500 may be integrated
together with the device microcontroller or equivalent or with a
device I/O or communications microcontroller into a common chip (or
chip set) 505. For example, in one preferred embodiment, SPU 500
may be integrated together with one or more other CPU(s) (e.g., a
CPU 654 of an electronic appliance) in a single component or
package. The other CPU(s) 654 may be any centrally controlling
logic arrangement, such as for example, a microprocessor, other
microcontroller, and/or array or other parallel processor. This
integrated configuration may result in lower overall cost, smaller
overall size, and potentially faster interaction between an SPU 500
and a CPU 654. Integration may also provide wider distribution if
an integrated SPU/CPU component is a standard feature of a widely
distributed microprocessor line. Merging an SPU 500 into a main CPU
654 of an electronic appliance 600 (or into another appliance or
appliance peripheral microcomputer or other microcontroller) may
substantially reduce the overhead cost of implementing VDE 100.
Integration considerations may include cost of implementation, cost
of manufacture, desired degree of security, and value of
compactness.
[0476] SPU 500 may also be integrated with devices other than CPUs.
For example, for video and multimedia applications, some
performance and/or security advantages (depending on overall
design) could result from integrating an SPU 500 into a video
controller chip or chipset. SPU 500 can also be integrated directly
into a network communications chip or chipset or the like. Certain
performance advantages in high speed communications applications
may also result from integrating an SPU 500 with a modem chip or
chipset. This may facilitate incorporation of an SPU 500 into
communication appliances such as stand-alone fax machines. SPU 500
may also be integrated into other, peripheral devices, such as
CD-ROM devices, set-top cable devices, game devices, and a wide
variety of other electronic appliances that use, allow access to,
perform transactions related to, or consume, distributed
information.
SPU 500 Internal Architecture
[0477] FIG. 9 is a detailed diagram of the internal structure
within an example of SPU 500. SPU 500 in this example includes a
single microprocessor 520 and a limited amount of memory configured
as ROM 532 and RAM 534. In more detail, this example of SPU 500
includes microprocessor 520, an encrypt/decrypt engine 522, a DMA
controller 526, a real-time clock 528, a bus interface unit ("BIU")
530, a read only memory (ROM) 532, a random access memory (RAM)
534, and a memory management unit ("MMU") 540. DMA controller 526
and MMU 540 are optional, but the performance of SPU 500 may suffer
if they are not present. SPU 500 may also include an optional
pattern matching engine 524, an optional random number generator
542, an optional arithmetic accelerator circuit 544, and optional
compression/decompression circuit 546. A shared address/data bus
arrangement 536 may transfer information between these various
components under control of microprocessor 520 and/or DMA
controller 526. Additional or alternate dedicated paths 538 may,
connect microprocessor 520 to the other components (e.g.,
encrypt/decrypt engine 522 via line 538a, real-time clock 528 via
line 538b, bus interface unit 530 via line 538c, DMA controller via
line 538d, and memory management unit (MMU) 540 via line 538e).
[0478] The following section discusses each of these SPU components
in more detail.
[0479] Microprocessor 520
[0480] Microprocessor 520 is the "brain" of SPU 500. In this
example, it executes a sequence of steps specified by code stored
(at least temporarily) within ROM 532 and/or RAM 534.
Microprocessor 520 in the preferred embodiment comprises a
dedicated central processing, arrangement (e.g., a RISC and/or CISC
processor unit, a microcontroller, and/or other central processing
means or, less desirably in most applications, process specific
dedicated control logic) for executing instructions stored in the
ROM 532 and/or other memory. Microprocessor 520 may be separate
elements of a circuitry layout, or may be separate packages within
a secure SPU 500.
[0481] In the preferred embodiment, microprocessor 520 normally
handles the most security sensitive aspects of the operation of
electronic appliance 600. For example, microprocessor 520 may
manage VDE decrypting, encrypting, certain content and/or appliance
usage control information, keeping track of usage of VDE secured
content, and other VDE usage control related functions.
[0482] Stored in each SPU 500 and/or electronic appliance secondary
memory 652 may be, for example, an instance of ROS 602 software,
application programs 608, objects 300 containing VDE controlled
property content and related information, and management database
610 that stores both information associated with objects and VDE
control information. ROS 602 includes software intended for
execution by SPU microprocessor 520 for, in part, controlling usage
of VDE related objects 300 by electronic appliance 600. As will be
explained, these SPU programs include "load modules" for performing
basic control functions. These various programs and associated data
are executed and manipulated primarily by microprocessor 520.
[0483] Real Time Clock (RTC) 528
[0484] In the preferred embodiment, SPU 500 includes a real time
clock circuit ("RTC") 528 that serves as a reliable, tamper
resistant time base for the SPU. RTC 528 keeps track of time of day
and date (e.g., month, day and year) in the preferred embodiment,
and thus may comprise a combination calendar and clock. A reliable
time base is important for implementing time based usage metering
methods, "time aged decryption keys," and other time based SPU
functions.
[0485] The RTC 528 must receive power in order to operate.
Optimally, the RTC 528 power source could comprise a small battery
located within SPU 500 or other secure enclosure. However, the RTC
528 may employ a power source such as an externally located battery
that is external to the SPU 500. Such an externally located battery
may provide relatively uninterrupted power to RTC 528, and may also
maintain as non-volatile at least a portion of the otherwise
volatile RAM 534 within SPU 500.
[0486] In one implementation, electronic appliance power supply 659
is also used to power SPU 500. Using any external power supply as
the only power source for RTC 528 may significantly reduce the
usefulness of time based security techniques unless, at minimum,
SPU 500 recognizes any interruption (or any material interruption)
of the supply of external power, records such interruption, and
responds as may be appropriate such as disabling the ability of the
SPU 500 to perform certain or all VDE processes. Recognizing a
power interruption may, for example, be accomplished by employing a
circuit which is activated by power failure. The power failure
sensing circuit may power another circuit that includes associated
logic for recording one or more power fail events. Capacitor
discharge circuitry may provide the necessary temporary power to
operate this logic. In addition or alternatively, SPU 500 may from
time to time compare an output of RTC 528 to a clock output of a
host electronic appliance 600, if available. In the event a
discrepancy is detected, SPU 500 may respond as appropriate,
including recording the discrepancy and/or disabling at least some
portion of processes performed by SPU 500 under at least some
circumstances.
[0487] If a power failure and/or RTC 528 discrepancy and/or other
event indicates the possibility of tampering, SPU 500 may
automatically destroy, or render inaccessible without privileged
intervention, one or more portions of sensitive information it
stores, such as execution related information and/or encryption key
related information. To provide further SPU operation, such
destroyed information would have to be replaced by a VDE
clearinghouse, administrator and/or distributor, as may be
appropriate. This may be achieved by remotely downloading update
and/or replacement data and/or code. In the event of a disabling
and/or destruction of processes and/or information as described
above, the electronic appliance 600 may require a secure VDE
communication with an administrator, clearinghouse, and/or
distributor as appropriate in order to reinitialize the RTC 528.
Some or all secure SPU 500 processes may not operate until
then.
[0488] It may be desirable to provide a mechanism for setting
and/or synchronizing RTC 528. In the preferred embodiment, when
communication occurs between VDE electronic appliance 600 and
another VDE appliance, an output of RTC 528 may be compared to a
controlled RTC 528 output time under control of the party
authorized to be "senior" and controlling. In the event of a
discrepancy, appropriate action may be taken, including resetting
the RTC 528 of the "junior" controlled participant in the
communication.
[0489] SPU Encrypt/Decrypt Engine 522
[0490] In the preferred embodiment, SPU encrypt/decrypt engine 522
provides special purpose hardware (e.g., a hardware state machine)
for rapidly and efficiently encrypting and/or decrypting data. In
some implementations, the encrypt/decrypt functions may be
performed instead by microprocessor 520 under software control, but
providing special purpose encrypt/decrypt hardware engine 522 will,
in general, provide increased performance. Microprocessor 520 may,
if desired, comprise a combination of processor circuitry and
dedicated encryption/decryption logic that may be integrated
together in the same circuitry layout so as to, for example,
optimally share one or more circuit elements.
[0491] Generally, it is preferable that a computationally efficient
but highly secure "bulk" encryption/decryption technique should be
used to protect most of the data and objects handled by SPU 500. It
is preferable that an extremely secure encryption/decryption
technique be used as an aspect of authenticating the identity of
electronic appliances 600 that are establishing a communication
channel and securing any transferred permission, method, and
administrative information. In the preferred embodiment, the
encrypt/decrypt engine 522 includes both a symmetric key
encryption/decryption circuit (e.g., DES, Skipjack/Clipper, IDEA,
RC-2, RC-4, etc.) and an antisymmetric (asymmetric) or Public Key
("PK") encryption/decryption circuit. The public/private key
encryption/decryption circuit is used principally as an aspect of
secure communications between an SPU 500 and VDE administrators, or
other electronic appliances 600, that is between VDE secure
subsystems. A symmetric encryption/decryption circuit may be used
for "bulk" encrypting and decrypting most data stored in secondary
storage 662 of electronic appliance 600 in which SPU 500 resides.
The symmetric key encryption/decryption circuit may also be used
for encrypting and decrypting content stored within VDE objects
300.
[0492] DES or public/private key methods may be used for all
encryption functions. In alternate embodiments, encryption and
decryption methods other than the DES and public/private key
methods could be used for the various encryption related functions.
For instance, other types of symmetric encryption/decryption
techniques in which the same key is used for encryption and
decryption could be used in place of DES encryption and decryption.
The preferred embodiment can support a plurality of
decryption/encryption techniques using multiple dedicated circuits
within encrypt/decrypt engine 522 and/or the processing arrangement
within SPU 500.
[0493] Pattern Matching Engine 524
[0494] Optional pattern matching engine 524 may provide special
purpose hardware for performing pattern matching functions. One of
the functions SPU 500 may perform is to validate/authenticate VDE
objects 300 and other items. Validation/authentication often
involves comparing long data strings to determine whether they
compare in a predetermined way. In addition, certain forms of usage
(such as logical and/or physical (contiguous) relatedness of
accessed elements) may require searching potentially long strings
of data for certain bit patterns or other significant pattern
related metrics. Although pattern matching can be performed by SPU
microprocessor 520 under software control, providing special
purpose hardware pattern matching engine 524 may speed up the
pattern matching process.
Compression/Decompression Engine 546
[0495] An optional compression/decompression engine 546 may be
provided within an SPU 500 to, for example, compress and/or
decompress content stored in, or released from, VDE objects 300.
Compression/decompression engine 546 may implement one or more
compression algorithms using hardware circuitry to improve the
performance of compression/decompression operations that would
otherwise be performed by software operating on microprocessor 520,
or outside SPU 500. Decompression is important in the release of
data such as video and audio that is usually compressed before
distribution and whose decompression speed is important. In some
cases, information that is useful for usage monitoring purposes
(such as record separators or other delimiters) is "bidden" under a
compression layer that must be removed before this information can
be detected and used inside SPU 500.
[0496] Random Number Generator 542
[0497] Optional random number generator 542 may provide specialized
hardware circuitry for generating random values (e.g., from
inherently unpredictable physical processes such as quantum noise).
Such random values are particularly useful for constructing
encryption keys or unique identifiers, and for initializing the
generation of pseudo-random sequences. Random number generator 542
may produce values of any convenient length, including as small as
a single bit per use. A random number of arbitrary size may be
constructed by concatenating values produced by random number
generator 542. A cryptographically strong pseudo-random sequence
may be generated from a random key and seed generated with random
number generator 542 and repeated encryption either with the
encrypt/decrypt engine 522 or cryptographic algorithms in SPU 500.
Such sequences may be used, for example, in private headers to
frustrate efforts to determine an encryption key through
cryptoanalysis.
[0498] Arithmetic Accelerator 544
[0499] An optional arithmetic accelerator 544 may be provided
within an SPU 500 in the form of hardware circuitry that can
rapidly perform mathematical calculations such as multiplication
and exponentiation involving large numbers. These calculations can,
for example, be requested by microprocessor 520 or encrypt/decrypt
engine 522, to assist in the computations required for certain
asymmetric encryption/decryption operations. Such arithmetic
accelerators are well-known to those skilled in the art. In some
implementations, a separate arithmetic accelerator 544 may be
omitted and any necessary calculations may be performed by
microprocessor 520 under software control.
[0500] DMA Controller 526
[0501] DMA controller 526 controls information transfers over
address/data bus 536 without requiring microprocessor 520 to
process each individual data transfer. Typically, microprocessor
520 may write to DMA controller 526 target and destination
addresses and the number of bytes to transfer, and DMA controller
526 may then automatically transfer a block of data between
components of SPU 500 (e.g., from ROM 532 to RAM 534, between
encrypt/decrypt engine 522 and RAM 534, between bus interface unit
530 and RAM 534, etc.). DMA controller 526 may have multiple
channels to handle multiple transfers simultaneously. In some
implementations, a separate DMA controller 526 may be omitted, and
any necessary data movements may be performed by 20 microprocessor
520 under software control.
[0502] Bus Interface Unit (BIU) 530
[0503] Bus interface unit (BIU) 530 communicates information
between SPU 500 and the outside world across the security barrier
502. BIU 530 shown in FIG. 9 plus appropriate driver software may
comprise the "appliance link" 510 shown in FIG. 6. Bus interface
unit 530 may be modelled after a USART or PCI bus interface in the
preferred embodiment. In this example, BIU 530 connects SPU 500 to
electronic appliance system bus 653 shown in FIG. 8. BIU 530 is
designed to prevent unauthorized access to internal components
within SPU 500 and their contents. It does this by only allowing
signals associated with an SPU 500 to be processed by control
programs running on microprocessor 520 and not supporting direct
access to the internal elements of an SPU 500.
Memory Management Unit 540
[0504] Memory Management Unit (MMU) 540, if present, provides
hardware support for memory management and virtual memory
management functions. It may also provide heightened security by
enforcing hardware compartmentalization of the secure execution
space (e.g., to prevent a less trusted task from modifying a more
trusted task). More details are provided below in connection with a
discussion of the architecture of a Secure Processing Environment
("SPE") 503 supported by SPU 500.
[0505] MMU 540 may also provide hardware-level support functions
related to memory management such as, for example, address
mapping.
SPU Memory Architecture
[0506] In the preferred embodiment, SPU 500 uses three general
kinds of memory: [0507] (1) internal ROM 532; [0508] (2) internal
RAM 534; and [0509] (3) external memory (typically RAM and/or disk
supplied by a host electronic appliance).
[0510] The internal ROM 532 and RAM 534 within SPU 500 provide a
secure operating environment and execution space. Because of cost
limitations, chip fabrication size, complexity and other
limitations, it may not be possible to provide sufficient memory
within SPU 500 to store all information that an SPU needs to
process in a secure manner. Due to the practical limits on the
amount of ROM 532 and RAM 534 that may be included within SPU 500,
SPU 500 may store information in memory external to it, and move
this information into and out of its secure internal memory space
on an as needed basis. In these cases, secure processing steps
performed by an SPU typically must be segmented into small,
securely packaged elements that may be "paged in" and "paged out"
of the limited available internal memory space. Memory external to
an SPU 500 may not be secure. Since the external memory may not be
secure, SPU 500 may encrypt and cryptographically seal code and
other information before storing it in external memory. Similarly,
SPU 500 must typically decrypt code and other information obtained
from external memory in encrypted form before processing (e.g.,
executing) based on it. In the preferred embodiment, there are two
general approaches used to address potential memory limitations in
a SPU 500. In the first case, the small, securely packaged elements
represent information contained in secure database 610. In the
second case, such elements may represent protected (eg, encrypted)
virtual memory pages. Although virtual memory pages may correspond
to information elements stored in secure database 610, this is not
required in this example of a SPU memory architecture.
[0511] The following is a more detailed discussion of each of these
three SPU memory resources.
[0512] SPU Internal ROM
[0513] SPU 500 read only memory (ROM) 532 or comparable purpose
device provides secure internal non-volatile storage for certain
programs and other information. For example, ROM 532 may store
"kernel" programs such as SPU control firmware 508 and, if desired,
encryption key information and certain fundamental "load modules."
The "kernel" programs, load module information, and encryption key
information enable the control of certain basic functions of the
SPU 500. Those components that are at least in part dependent on
device configuration (e.g., POST, memory allocation, and a
dispatcher) may be loaded in ROM 532 along with additional load
modules that have been determined to be required for specific
installations or applications.
[0514] In the preferred embodiment, ROM 532 may comprise a
combination of a masked ROM 532a and an EEPROM and/or equivalent
"flash" memory 532b. EEPROM or flash memory 532b is used to store
items that need to be updated and/or initialized, such as for
example, certain encryption keys. An additional benefit of
providing EEPROM and/or flash memory 532b is the ability to
optimize any load modules and library functions persistently stored
within SPU 500 based on typical usage at a specific site. Although
these items could also be stored in NVRAM 534b, EEPROM and/or flash
memory 532b may be more cost effective.
[0515] Masked ROM 532a may cost less than flash and/or EEPROM 532b,
and can be used to store permanent portions of SPU
software/firmware. Such permanent portions may include, for
example, code that interfaces to hardware elements such as the RTC
528, encryption/decryption engine 522, interrupt handlers, key
generators, etc. Some of the operating system, library calls,
libraries, and many of the core services provided by SPU 500 may
also be in masked ROM 532a. In addition, some of the more commonly
used executables are also good candidates for inclusion in masked
ROM 532a. Items that need to be updated or that need to disappear
when power is removed from SPU 500 should not be stored in masked
ROM 532a.
[0516] Under some circumstances, RAM 534a and/or NVRAM 534b (NVRAM
534b may, for example, be constantly powered conventional RAM) may
perform at least part of the role of ROM 532.
[0517] SPU Internal RAM
[0518] SPU 500 general purpose RAM 534 provides, among other
things, secure execution space for secure processes. In the
preferred embodiment, RAM 534 is comprised of different types of
RAM such as a combination of high-speed RAM 534a and an NVRAM
("non-volatile RAM") 534b. RAM 534a may be volatile, while NVRAM
534b is preferably battery backed or otherwise arranged so as to be
non-volatile (i.e., it does not lose its contents when power is
turned off).
[0519] High-speed RAM 534a stores active code to be executed and
associated data structures.
[0520] NVRAM 534b preferably contains certain keys and summary
values that are preloaded as part of an initialization process in
which SPU 500 communicates with a VDE administrator, and may also
store changeable or changing information associated with the
operation of SPU 500. For security reasons, certain highly
sensitive information (e.g., certain load modules and certain
encryption key related information such as internally generated
private keys) needs to be loaded into or generated internally by
SPU 500 from time to time but, once loaded or generated internally,
should never leave the SPU. In this preferred embodiment, the SPU
500 non-volatile random access memory (NVRAM) 534b may be used for
securely storing such highly sensitive information. NVRAM 534b is
also used by SPU 500 to store data that may change frequently but
which preferably should not be lost in a power down or power fail
mode.
[0521] NVRAM 534b is preferably a flash memory array, but may in
addition or alternatively be electrically erasable programmable
read only memory (EEPROM), static RAM (SRAM), bubble memory, three
dimensional holographic or other electro-optical memory, or the
like, or any other writable (e.g., randomly accessible)
non-volatile memory of sufficient speed and cost-effectiveness.
[0522] SPU External Memory
[0523] The SPU 500 can store certain information on memory devices
external to the SPU. If available, electronic appliance 600 memory
can also be used to support any device external portions of SPU 500
software. Certain advantages may be gained by allowing the SPU 500
to use external memory. As one example, memory internal to SPU 500
may be reduced in size by using non-volatile read/write memory in
the host electronic appliance 600 such as a non-volatile portion of
RAM 656 and/or ROM 658.
[0524] Such external memory may be used to store SPU programs, data
and/or other information. For example, a VDE control program may
be, at least in part, loaded into the memory and communicated to
and decrypted within SPU 500 prior to execution. Such control
programs may be re-encrypted and communicated back to external
memory where they may be stored for later execution by SPU 500.
"Kernel" programs and/or some or all of the non-kernel "load
modules" may be stored by SPU 500 in memory external to it. Since a
secure database 610 may be relatively large, SPU 500 can store some
or all of secure database 610 in external memory and call portions
into the SPU 500 as needed.
[0525] As mentioned above, memory external to SPU 500 may not be
secure. Therefore, when security is required, SPU 500 must encrypt
secure information before writing it to external memory, and
decrypt secure information read from external memory before using
it. Inasmuch as the encryption layer relies on secure processes and
information (e.g., encryption algorithms and keys) present within
SPU 500, the encryption layer effectively "extends" the SPU
security barrier 502 to protect information the SPU 500 stores in
memory external to it.
[0526] SPU 500 can use a wide variety of different types of
external memory. For example, external memory may comprise
electronic appliance secondary storage 652 such as a disk; external
EEPROM or flash memory 658; and/or external RAM 656. External RAM
656 may comprise an external nonvolatile (e.g., constantly powered)
RAM and/or cache RAM.
[0527] Using external RAM local to SPU 500 can significantly
improve access times to information stored externally to an SPU.
For example, external RAM may be used: [0528] to buffer memory
image pages and data structures prior to their storage in flash
memory or on an external hard disk (assuming transfer to flash or
hard disk can occur in significant power or system failure cases);
[0529] provide encryption and decryption buffers for data being
released from VDE objects 300. [0530] to cache "swap blocks" and
VDE data structures currently in use as an aspect of providing a
secure virtual memory environment for SPU 500. [0531] to cache
other information in order to, for example, reduce frequency of
access by an SPU to secondary storage 652 and/or for other
reasons.
[0532] Dual ported external RAM can be particularly effective in
improving SPU 500 performance, since it can decrease the data
movement overhead of the SPU bus interface unit 530 and SPU
microprocessor 520.
[0533] Using external flash memory local to SPU 500 can be used to
significantly improve access times to virtually all data
structures. Since most available flash storage devices have limited
write lifetimes, flash storage needs to take into account the
number of writes that will occur during the lifetime of the flash
memory. Hence, flash storage of frequently written temporary items
is not recommended. If external RAM is non-volatile, then transfer
to flash (or hard disk) may not be necessary.
[0534] External memory used by SPU 500 may include two categories:
[0535] external memory dedicated to SPU 500, and [0536] memory
shared with electronic appliance 600.
[0537] For some VDE implementations, sharing memory (e.g.,
electronic appliance RAM 656, ROM 658 and/or secondary storage 652)
with CPU 654 or other elements of an electronic appliance 600 may
be the most cost effective way to store VDE secure database
management files 610 and information that needs to be stored
external to SPU 500. A host system hard disk secondary memory 652
used for general purpose file storage can, for example, also be
used to store VDE management files 610. SPU 500 may be given
exclusive access to the external memory (e.g., over a local bus
high speed connection provided by BIU 530). Both dedicated and
shared external memory may be provided.
[0538] The hardware configuration of an example of electronic
appliance 600 has been described above. The following section
describes an example of the software architecture of electronic
appliance 600 provided by the preferred embodiment, including the
structure and operation of preferred embodiment "Rights Operating
System" ("ROS") 602.
Rights Operating System 602
[0539] Rights Operating System ("ROS") 602 in the preferred
embodiment is a compact, secure, event-driven, services-based,
"component" oriented, distributed multiprocessing operating system
environment that integrates VDE information security control
information, components and protocols with traditional operating
system concepts. Like traditional operating systems, ROS 602
provided by the preferred embodiment is a piece of software that
manages hardware resources of a computer system and extends
management functions to input and/or output devices, including
communications devices. Also like traditional operating systems,
preferred embodiment ROS 602 provides a coherent set of basic
functions and abstraction layers for hiding the differences
between, and many of the detailed complexities of, particular
hardware implementations. In addition to these characteristics
found in many or most operating systems, ROS 602 provides secure
VDE transaction management and other advantageous features not
found in other operating systems. The following is a non-exhaustive
list of some of the advantageous features provided by ROS 602 in
the preferred embodiment:
Standardized Interface Provides Coherent Set of Basic Functions
[0540] simplifies programming [0541] the same application can run
on many different platforms
Event Driven
[0541] [0542] eases functional decomposition [0543] extendible
[0544] accommodates state transition and/or process oriented events
[0545] simplifies task management [0546] simplifies inter-process
communications
Services Based
[0546] [0547] allows simplified and transparent scalability [0548]
simplifies multiprocessor support [0549] hides machine dependencies
[0550] eases network management and support
[0551] Component Based Architecture [0552] processing based on
independently deliverable secure components [0553] component model
of processing control allows different sequential steps that are
reconfigurable based on requirements [0554] components can be
added, deleted or modified (subject to permissioning) [0555] full
control information over pre-defined and user-defined application
events [0556] events can be individually controlled with
independent executables
Secure
[0556] [0557] secure communications [0558] secure control functions
[0559] secure virtual memory management [0560] information control
structures protected from exposure [0561] data elements are
validated, correlated and access controlled [0562] components are
encrypted and validated independently [0563] components are tightly
correlated to prevent unauthorized use of elements [0564] control
structures and secured executables are validated prior to use to
protect against tampering [0565] integrates security considerations
at the I/O level [0566] provides on-the-fly decryption of
information at release time [0567] enables a secure commercial
transaction network [0568] flexible key management features
Scalable
[0568] [0569] highly scalable across many different platforms
[0570] supports concurrent processing in a multiprocessor
environment [0571] supports multiple cooperating processors [0572]
any number of host or security processors can be supported [0573]
control structures and kernel are easily portable to various host
platforms and to different processors within a target platform
without recompilation [0574] supports remote processing [0575]
Remote Procedure Calls may be used for internal OS
communications
[0576] Highly Integratable [0577] can be highly integrated with
host platforms as an additional operating system layer [0578]
permits non-secure storage of secured components and information
using an OS layer "on top of" traditional OS platforms [0579] can
be seamlessly integrated with a host operating system to provide a
common usage paradigm for transaction management and content access
[0580] integration may take many forms: operating system layers for
desktops (e.g., DOS, Windows, Macintosh); device drivers and
operating system interfaces for network services (e.g. Unix and
Netware); and dedicated component drivers for "low end" set tops
are a few of many examples [0581] can be integrated in traditional
and real time operating systems
[0582] Distributed [0583] provides distribution of control
information and reciprocal control information and mechanisms
[0584] supports conditional execution of controlled processes
within any VDE node in a distributed, asynchronous arrangement
[0585] controlled delegation of rights in a distributed environment
[0586] supports chains of handling and control [0587] management
environment for distributed, occasionally connected but otherwise
asynchronous networked database [0588] real time and time
independent data management [0589] supports "agent" processes
[0590] Transparent [0591] can be seamlessly integrated into
existing operating systems [0592] can support applications not
specifically written to use it
[0593] Network Friendly [0594] internal OS structures may use RPCs
to distribute processing [0595] subnets may seamlessly operate as a
single node or independently
General Background Regarding Operating Systems
[0596] An "operating system" provides a control mechanism for
organizing computer system resources that allows programmers to
create applications for computer systems more easily. An operating
system does this by providing commonly used functions, and by
helping to ensure compatibility between different computer hardware
and architectures (which may, for example, be manufactured by
different vendors). Operating systems also enable computer
"peripheral device" manufacturers to far more easily supply
compatible equipment to computer manufacturers users.
[0597] Computer systems are usually made up of several different
hardware components. These hardware components include, for
example: [0598] a central processing unit (CPU) for executing
instructions; [0599] an array of main memory cells (e.g., "RAM" or
"ROM") for storing instructions for execution and data acted upon
or parameterizing those instructions; and [0600] one or more
secondary storage devices (e.g., hard disk drive, floppy disk
drive, CD-ROM drive, tape reader, card reader, or "flash" memory)
organized to reflect named elements (a "file system") for storing
images of main memory cells.
[0601] Most computer systems also include input/output devices such
as keyboards, mice, video systems, printers, scanners and
communications devices.
[0602] To organize the CPU's execution capabilities with available
RAM, ROM and secondary storage devices, and to provide commonly
used functions for use by programmers, a piece of software called
an "operating system" is usually included with the other
components. Typically, this piece of software is designed to begin
executing after power is applied to the computer system and
hardware diagnostics are completed. Thereafter, all use of the CPU,
main memory and secondary memory devices is normally managed by
this "operating system" software. Most computer operating systems,
also typically include a mechanism for extending their management
functions to I/O and other peripheral devices, including commonly
used functions associated with these devices.
[0603] By managing the CPU, memory and peripheral devices through
the operating system, a coherent set of basic functions and
abstraction layers for hiding hardware details allows programmers
to more easily create sophisticated applications. In addition,
managing the computer's hardware resources with an operating system
allows many differences in design and equipment requirements
between different manufacturers to be hidden. Furthermore,
applications can be more easily shared with other computer users
who have the same operating system, with significantly less work to
support different manufacturers' base hardware and peripheral
devices.
ROS 602 is an Operating System Providing Significant Advantages
[0604] ROS 602 is an "operating system." It manages the resources
of electronic appliance 600, and provides a commonly used set of
functions for programmers writing applications 608 for the
electronic appliance. ROS 602 in the preferred embodiment manages
the hardware (e.g., CPU(s), memory(ies), secure RTC(s), and
encrypt/decrypt engines) within SPU 500. ROS may also manage the
hardware (e.g., CPU(s) and memory(ies)) within one or more general
purpose processors within electronic appliance 600. ROS 602 also
manages other electronic appliance hardware resources, such as
peripheral devices attached to an electronic appliance. For
example, referring to FIG. 7, ROS 602 may manage keyboard 612,
display 614, modem 618, disk drive 620, printer 622, scanner 624.
ROS 602 may also manage secure database 610 and a storage device
(e.g., "secondary storage" 652) used to store secure database
610.
[0605] ROS 602 supports multiple processors. ROS 602 in the
preferred embodiment supports any number of local and/or remote
processors. Supported processors may include at least two types:
one or more electronic appliance processors 654, and/or one or more
SPUs 500. A host processor CPU 654 may provide storage, database,
and communications services SPU 500 may provide cryptographic and
secured process execution services. Diverse control and execution
structures supported by ROS 602 may require that processing of
control information occur within a controllable execution
space--this controllable execution space may be provided by SPU
500. Additional host and/or SPU processors may increase
efficiencies and/or capabilities ROS 602 may access, coordinate
and/or manage further processors remote to an electronic appliance
600 (e.g., via network or other communications link) to provide
additional processor resources and/or capabilities.
[0606] ROS 602 is services based. The ROS services provided using a
host processor 654 and/or a secure processor (SPU 500) are linked
in the preferred embodiment using a "Remote Procedure Call" ("RPC")
internal processing request structure. Cooperating processors may
request interprocess services using a RPC mechanism, which is
minimally time dependent and can be distributed over cooperating
processors on a network of hosts. The multi-processor architecture
provided by ROS 602 is easily extensible to support any number of
host or security processors. This extensibility supports high
levels of scalability. Services also allow functions to be
implemented differently on different equipment. For example, a
small appliance that typically has low levels of usage by one user
may implement a database service using very different techniques
than a very large appliance with high levels of usage by many
users. This is another aspect of scalability.
[0607] ROS 602 provides a distributed processing environment. For
example, it permits information and control structures to
automatically, securely pass between sites as required to fulfill a
user's requests. Communications between VDE nodes under the
distributed processing features of ROS 602 may include interprocess
service requests as discussed above. ROS 602 supports conditional
and/or state dependent execution of controlled processors within
any VDE node. The location that the process executes and the
control structures used may be locally resident, remotely
accessible, or carried along by the process to support execution on
a remote system.
[0608] ROS 602 provides distribution of control information,
including for example the distribution of control structures
required to permit "agents" to operate in remote environments.
Thus, ROS 602 provides facilities for passing execution and/or
information control as part of emerging requirements for "agent"
processes.
[0609] If desired, ROS 602 may independently distribute control
information over very low bandwidth connections that may or may not
be "real time" connections. ROS 602 provided by the preferred
embodiment is "network friendly," and can be implemented with any
level of networking protocol. Some examples include e-mail and
direct connection at approximately "Layer 5" of the ISO model.
[0610] The ROS 602 distribution process (and the associated
auditing of distributed information) is a controlled event that
itself uses such control structures. This "reflective" distributed
processing mechanism permits ROS 602 to securely distribute rights
and permissions in a controlled manner, and effectively restrict
the characteristics of use of information content. The controlled
delegation of rights in a distributed environment and the secure
processing techniques used by ROS 602 to support this approach
provide significant advantages.
[0611] Certain control mechanisms within ROS 602 are "reciprocal."
Reciprocal control mechanisms place one or more control components
at one or more locations that interact with one or more components
at the same or other locations in a controlled way. For example, a
usage control associated with object content at a user's location
may have a reciprocal control at a distributor's location that
governs distribution of the, usage control, auditing of the usage
control, and logic to process user requests associated with the
usage control. A usage control at a user's location (in addition to
controlling one or more aspects of usage) may prepare audits for a
distributor and format requests associated with the usage control
for processing by a distributor. Processes at either end of a
reciprocal control may be further controlled by other processes
(e.g., a distributor may be limited by a budget for the number of
usage control mechanisms they may produce). Reciprocal control
mechanisms may extend over many sites and many levels (e.g., a
creator to a distributor to a user) and may take any relationship
into account (e.g., creator/distributor, distributor/user,
user/user, user/creator, user/creator/distributor, etc.) Reciprocal
control mechanisms have many uses in VDE 100 in representing
relationships and agreements in a distributed environment.
[0612] ROS 602 is scalable. Many portions of ROS 602 control
structures and kernel(s) are easily portable to various host
platforms without recompilation. Any control structure may be
distributed (or redistributed) if a granting authority permits this
type of activity. The executable references within ROS 602 are
portable within a target platform. Different instances of ROS 602
may execute the references using different resources. For example,
one instance of ROS 602 may perform a task using an SPU 500, while
another instance of ROS 602 might perform the same task using a
host processing environment running in protected memory that is
emulating an SPU in software. ROS 602 control information is
similarly portable; in many cases the event processing structures
may be passed between machines and host platforms as easily as
between cooperative processors in a single computer. Appliances
with different levels of usage and/or resources available for ROS
602 functions may implement those functions in very different ways.
Some services may be omitted entirely if insufficient resources
exist. As described elsewhere, ROS 602 "knows" what services are
available, and how to proceed based on any given event. Not all
events may be processable if resources are missing or
inadequate.
[0613] ROS 602 is component based. Much of the functionality
provided by ROS 602 in the preferred embodiment may be based on
"components" that can be securely, independently deliverable,
replaceable and capable of being modified (e.g., under
appropriately secure conditions and authorizations). Moreover, the
"components" may themselves be made of independently deliverable
elements. ROS 602 may assemble these elements together (using a
construct provided by the preferred embodiment called a "channel")
at execution time. For example, a "load module" for execution by
SPU 500 may reference one or more "method cores," method parameters
and other associated data structures that ROS 602 may collect and
assemble together to perform a task such as billing or metering.
Different users may have different combinations of elements, and
some of the elements may be customizable by users with appropriate
authorization. This increases flexibility, allows elements to be
reused, and has other advantages.
[0614] ROS 602 is highly secure. ROS 602 provides mechanisms to
protect information control structures from exposure by end users
and conduit hosts. ROS 602 can protect information, VDE control
structures and control executables using strong encryption and
validation mechanisms. These encryption and validation mechanisms
are designed to make them highly resistant to undetected tampering.
ROS 602 encrypts information stored on secondary storage device(s)
652 to inhibit tampering. ROS 602 also separately encrypts and
validates its various components. ROS 602 correlates control and
data structure components to prevent unauthorized use of elements.
These features permit ROS 602 to independently distribute elements,
and also allows integration of VDE functions 604 with non-secure
"other" OS functions 606.
[0615] ROS 602 provided by the preferred embodiment extends
conventional capabilities such as, for example, Access Control List
(ACL) structures, to user and process defined events, including
state transitions. ROS 602 may provide full control information
over pre-defined and user-defined application events. These control
mechanisms include "go/no-go" permissions, and also include
optional event-specific executables that permit complete
flexibility in the processing and/or controlling of events. This
structure permits events to be individually controlled so that, for
example, metering and budgeting may be provided using independent
executables. For example, ROS 602 extends ACL structures to control
arbitrary granularity of information. Traditional operating systems
provide static "go-no go" control mechanisms at a file or resource
level; ROS 602 extends the control concept in a general way from
the largest to the smallest sub-element using a flexible control
structure. ROS 602 can, for example, control the printing of a
single paragraph out of a document file.
[0616] ROS 602 provided by the preferred embodiment permits secure
modification and update of control information governing each
component. The control information may be provided in a template
format such as method options to an end-user. An end-user may then
customize the actual control information used within guidelines
provided by a distributor or content creator. Modification and
update of existing control structures is preferably also a
controllable event subject to auditing and control information.
[0617] ROS 602 provided by the preferred embodiment validates
control structures and secured executables prior to use. This
validation provides assurance that control structures and
executables have not been tampered with by end-users. The
validation also permits ROS 602 to securely implement components
that include fragments of files and other operating system
structures. ROS 602 provided by the preferred embodiment integrates
security considerations at the operating system I/O level (which is
below the access level), and provides "on-the-fly" decryption of
information at release time. These features permit non-secure
storage of ROS 602 secured components and information using an OS
layer "on top of" traditional operating system platforms.
[0618] ROS 602 is highly integratable with host platforms as an
additional operating system layer. Thus, ROS 602 may be created by
"adding on" to existing operating systems. This involves hooking
VDE "add ons" to the host operating system at the device driver and
network interface levels. Alternatively, ROS 602 may comprise a
wholly new operating system that integrates both VDE functions and
other operating system functions.
[0619] Indeed, there are at least three general approaches to
integrating VDE functions into a new operating system, potentially
based on an existing operating system, to create a Rights Operating
System 602 including: [0620] (1) Redesign the operating system
based on VDE transaction management requirements; [0621] (2)
Compile VDE API functions into an existing operating systems; and
[0622] (3) Integrate a VDE Interpreter into an existing operating
system.
[0623] The first approach could be most effectively applied when a
new operating system is being designed, or if a significant upgrade
to an existing operating system is planned. The transaction
management and security requirements provided by the VDE functions
could be added to the design requirements list for the design of a
new operating system that provides, in an optimally efficient
manner, an integration of "traditional" operating system
capabilities and VDE capabilities. For example, the engineers
responsible for the design of the new version or instance of an
operating system would include the requirements of VDE
metering/transaction management in addition to other requirements
(if any) that they use to form their design approach,
specifications, and actual implementations. This approach could
lead to a "seamless" integration of VDE functions and capabilities
by threading metering/transaction management functionality
throughout the system design and implementation.
[0624] The second approach would involve taking an existing set of
API (Application Programmer Interface) functions, and incorporating
references in the operating system code to VDE function calls. This
is similar to the way that the current Windows operating system is
integrated with DOS, wherein DOS serves as both the launch point
and as a significant portion of the kernel underpinning of the
Windows operating system. This approach would be also provide a
high degree of "seamless" integration (although not quite as
"seamless" as the first approach). The benefits of this approach
include the possibility that the incorporation of
metering/transaction management functionality into the new version
or instance of an operating system may be accomplished with lower
cost (by making use of the existing code embodied in an API, and
also using the design' implications of the API functional approach
to influence the design of the elements into which the
metering/transaction management functionality is incorporated).
[0625] The third approach is distinct from the first two in that it
does not incorporate VDE functionality associated with
metering/transaction management and data security directly into the
operating system code, but instead adds a new generalized
capability to the operating system for executing
metering/transaction management functionality. In this case, an
interpreter including metering/transaction management functions
would be integrated with other operating system code in a "stand
alone" mode. This interpreter might take scripts or other inputs to
determine what metering/transaction management functions should be
performed, and in what order and under which circumstances or
conditions they should be performed.
[0626] Instead of (or in addition to) integrating VDE functions
into/with an electronic appliance operating system, it would be
possible to provide certain VDE functionality available as an
application running on a conventional operating system.
ROS Software Architecture
[0627] FIG. 10 is a block diagram of one example of a software
structure/architecture for Rights Operating System ("ROS") 602
provided by the preferred embodiment. In this example, ROS 602
includes an operating system ("OS") "core" 679, a user Application
Program Interface ("API") 682, a "redirector" 684, an "intercept"
692, a User Notification/Exception Interface 686, and a file system
687. ROS 602 in this example also includes one or more Host Event
Processing Environments ("HPEs") 655 and/or one or more Secure
Event Processing Environments ("SPEs") 503 (these environments may
be generically referred to as "Protected Processing Environments"
650).
[0628] HPE(s) 655 and SPE(s) 503 are self-contained computing and
processing environments that may include their own operating system
kernel 688 including code and data processing resources. A given
electronic appliance 600 may include any number of SPE(s) 503
and/or any number of HPE(s) 655. HPE(s) 655 and SPE(s) 503 may
process information in a secure way, and provide secure processing
support for ROS 602. For example, they may each perform secure
processing based on one or more VDE component assemblies 690, and
they may each offer secure processing services to OS kernel
680.
[0629] In the preferred embodiment, SPE 503 is a secure processing
environment provided at least in part by an SPU 500. Thus, SPU 500
provides the hardware tamper-resistant barrier 503 surrounding SPE
503. SPE 503 provided by the preferred embodiment is preferably:
[0630] small and compact [0631] loadable into resource constrained
environments such as for example minimally configured SPUs 500
[0632] dynamically updatable [0633] extensible by authorized users
[0634] integratable into object or procedural environments [0635]
secure.
[0636] In the preferred embodiment, HPE 655 is a secure processing
environment supported by a processor other than an SPU, such as for
example an electronic appliance CPU 654 general-purpose
microprocessor or other processing system or device. In the
preferred embodiment, HPE 655 may be considered to "emulate" an SPU
500 in the sense that it may use software to provide some or all of
the processing resources provided in hardware and/or firmware by an
SPU. HPE 655 in one preferred embodiment of the present invention
is full-featured and fully compatible with SPE 503--that is, HPE
655 can handle each and every service call SPE 503 can handle such
that the SPE and the HPE are "plug compatible" from an outside
interface standpoint (with the exception that the HPE may not
provide as much security as the SPE).
[0637] HPEs 655 may be provided in two types: secure and not
secure. For example, it may be desirable to provide non-secure
versions of HPE 655 to allow electronic appliance 600 to
efficiently run non-sensitive VDE tasks using the full resources of
a fast general purpose processor or computer. Such non-secure
versions of HPE 655 may run under supervision of an instance of ROS
602 that also includes an SPE 503. In this way, ROS 602 may run all
secure processes within SPE 503, and only use HPE 655 for processes
that do not require security but that may require (or run more
efficiently) under potentially greater resources provided by a
general purpose computer or processor supporting HPE 655.
Non-secure and secure HPE 655 may operate together with a secure
SPE 503.
[0638] HPEs 655 may (as shown in FIG. 10) be provided with a
software-based tamper resistant barrier 674 that makes them more
secure. Such a software-based tamper resistant barrier 674 may be
created by software executing on general-purpose CPU 654. Such a
"secure" HPE 655 can be used by ROS 602 to execute processes that,
while still needing security, may not require the degree of
security provided by SPU 500. This can be especially beneficial in
architectures providing both an SPE 503, and an HPE 655. The SPU
502 may be used to perform all truly secure processing, whereas one
or more HPEs 655 may be used to provide additional secure (albeit
possibly less secure than the SPE) processing using host processor
or other general purpose resources that may be available within an
electronic appliance 600. Any service may be provided by such a
secure HPE 655. In the preferred embodiment, certain aspects of
"channel processing" appears to be a candidate that could be
readily exported from SPE 503 to HPE 655.
[0639] The software-based tamper resistant barrier 674 provided by
HPE 655 may be provided, for example, by: introducing time checks
and/or code modifications to complicate the process of stepping
through code comprising a portion of kernel 688a and/or a portion
of component assemblies 690 using a debugger; using a map of
defects on a storage device (e.g., a hard disk, memory card, etc.)
to form internal test values to impede moving and/or copying HPE
655 to other electronic appliances 600; using kernel code that
contains false branches and other complications in flow of control
to disguise internal processes to some degree from disassembly or
other efforts to discover details of processes; using
"self-generating" code (based on the output of a co-sine transform,
for example) such that detailed and/or complete instruction
sequences are not stored explicitly on storage devices and/or in
active memory but rather are generated as needed; using code that
"shuffles" memory locations used for data values based on
operational parameters to complicate efforts to manipulate such
values; using any software and/or hardware memory management
resources of electronic appliance 600 to "protect" the operation of
HPE 655 from other processes, functions, etc. Although such a
software-based tamper resistant barrier 674 may provide a fair
degree of security, it typically will not be as secure as the
hardware-based tamper resistant barrier 502 provided (at least in
part) by SPU 500. Because security may be better/more effectively
enforced with the assistance of hardware security features such as
those provided by SPU 500 (and because of other factors such as
increased performance provided by special purpose circuitry within
SPU 500), at least one SPE 503 is preferred for many or most higher
security applications. However, in applications where lesser
security can be tolerated and/or the cost of an SPU 500 cannot be
tolerated, the SPE 503 may be omitted and all secure processing may
instead be performed by one or more secure HPEs 655 executing on
general-purpose CPUs 654. Some VDE processes may not be allowed to
proceed on reduced-security electronic appliances of this type if
insufficient security is provided for the particular process
involved.
[0640] Only those processes that execute completely within SPEs 503
(and in some cases, HPEs 655) may be considered to be truly secure.
Memory and other resources external to SPE 503 and HPEs 655 used to
store and/or process code and/or data to be used in secure
processes should only receive and handle that information in
encrypted form unless SPE 503/HPE 655 can protect secure process
code and/or data from non-secure processes.
[0641] OS "core" 679 in the preferred embodiment includes a kernel
680, an RPC manager 732, and an "object switch" 734. API 682, HPE
655 and SPE 503 may communicate "event" messages with one another
via OS "core" 679. They may also communicate messages directly with
one another without messages going through OS "core" 679.
[0642] Kernel 680 may manage the hardware of an electronic
appliance 600. For example, it may provide appropriate drivers and
hardware managers for interacting with input/output and/or
peripheral devices such as keyboard 612, display 614, other devices
such as a "mouse" pointing device and speech recognizer 613, modem
618, printer 622, and an adapter for network 672. Kernel 680 may
also be responsible for initially loading the remainder of ROS 602,
and may manage the various ROS tasks (and associated underlying
hardware resources) during execution. OS kernel 680 may also manage
and access secure database 610 and file system 687. OS kernel 680
also provides execution services for applications 608a(1), 608a(2),
etc. and other applications.
[0643] RPC manager 732 performs messaging routing and resource
management/integration for ROS 680. It receives and routes "calls"
from/to API 682, HPE 655 and SPE 503, for example.
[0644] Object switch 734 may manage construction, deconstruction
and other manipulation of VDE objects 300.
[0645] User Notification/Exception Interface 686 in the preferred
embodiment (which may be considered part of API 682 or another
application coupled to the API) provides "pop up" windows/displays
on display 614. This allows ROS 602 to communicate directly with a
user without having to pass information to be communicated through
applications 608. For applications that are not "VDE aware," user
notification/exception interface 686 may provide communications
between ROS 602 and the user.
[0646] API 682 in the preferred embodiment provides a standardized,
documented software interface to applications 608. In part, API 682
may translate operating system "calls" generated by applications
608 into Remote Procedure Calls ("RPCs") specifying "events." RPC
manager 732 may route these RPCs to kernel 680 or elsewhere (e.g.,
to HPE(s) 655 and/or SPE(s) 503, or to remote electronic appliances
600, processors, or VDE participants) for processing. The API 682
may also service RPC requests by passing them to applications 608
that register to receive and process specific requests.
[0647] API 682 provides an "Applications Programming Interface"
that is preferably standardized and documented. It provides a
concise set of function calls an application program can use to
access services provided by ROS 602. In at least one preferred
example, API 682 will include two parts: an application program
interface to VDE functions 604; and an application program
interface to other OS functions 606. These parts may be interwoven
into the same software, or they may be provided as two or more
discrete pieces of software (for example).
[0648] Some applications, such as application 608a(1) shown in FIG.
11, may be "VDE aware" and may therefore directly access both of
these parts of API 682. FIG. 11A shows an example of this. A "VDE
aware" application may, for example, include explicit calls to ROS
602 requesting the creation of new VDE objects 300, metering usage
of VDE objects, storing information in VDE-protected form, etc.
Thus, a "VDE aware" application can initiate (and, in some
examples, enhance and/or extend) VDE functionality provided by ROS
602. In addition, "VDE aware" applications may provide a more
direct interface between a user and ROS 602 (e.g., by suppressing
or otherwise dispensing with "pop up" displays otherwise provided
by user notification/exception interface 686 and instead providing
a more "seamless" interface that integrates application and ROS
messages).
[0649] Other applications, such as application 608b shown in FIG.
11B, may not be "VDE Aware" and therefore may not "know" how to
directly access an interface to VDE functions 604 provided by API
682. To provide for this, ROS 602 may include a "redirector" 684
that allows such "non-VDE aware" applications 608(b) to access VDE
objects 300 and functions 604. Redirector 684, in the preferred
embodiment, translates OS calls directed to the "other OS
functions" 606 into calls to the "VDE functions" 604. As one simple
example, redirector 684 may intercept a "file open" call from
application 608(b), determine whether the file to be opened is
contained within a VDE container 300, and if it is, generate
appropriate VDE function call(s) to file system 687 to open the VDE
container (and potentially generate events to HPE 655 and/or SPE
503 to determine the name(s) of file(s) that may be stored in a VDE
object 300, establish a control structure associated with a VDE
object 300, perform a registration for a VDE object 300, etc.).
Without redirector 684 in this example, a non-VDE aware application
such as 608b could access only the part of API 682 that provides an
interface to other OS functions 606, and therefore could not access
any VDE functions.
[0650] This "translation" feature of redirector 684 provides
"transparency." It allows VDE functions to be provided to the
application 608(b) in a "transparent" way without requiring the
application to become involved in the complexity and details
associated with generating the one or more calls to VDE functions
604. This aspect of the "transparency" features of ROS 602 has at
least two important advantages: [0651] (a) it allows applications
not written specifically for VDE functions 604 ("non-VDE aware
applications") to nevertheless access critical VDE functions; and
[0652] (b) it reduces the complexity of the interface between an
application and ROS 602.
[0653] Since the second advantage (reducing complexity) makes it
easier for an application creator to produce applications, even"VDE
aware" applications 608a(2) may be designed so that some calls
invoking VDE functions 604 are requested at the level of an "other
OS functions" call and then "translated" by redirector 684 into a
VDE function call (in this sense, redirector 684 may be considered
a part of API 682). FIG. 11C shows an example of this. Other calls
invoking VDE functions 604 may be passed directly without
translation by redirector 684.
[0654] Referring again to FIG. 10, ROS 620 may also include an
"interceptor" 692 that transmits and/or receives one or more real
time data feeds 694 (this may be provided over cable(s) 628 for
example), and routes one or more such data feeds appropriately
while providing "translation" functions for real time data sent
and/or received by electronic appliance 600 to allow "transparency"
for this type of information analogous to the transparency provided
by redirector 684 (and/or it may generate one or more real time
data feeds).
Secure ROS Components and Component Assemblies
[0655] As discussed above, ROS 602 in the preferred embodiment is a
component-based architecture. ROS VDE functions 604 may be based on
segmented, independently loadable executable "component assemblies"
690. These component assemblies 690 are independently securely
deliverable. The component assemblies 690 provided by the preferred
embodiment comprise code and data elements that are themselves
independently deliverable. Thus, each component assembly 690
provided by the preferred embodiment is comprised of independently
securely deliverable elements which may be communicated using VDE
secure communication techniques, between VDE secure subsystems.
[0656] These component assemblies 690 are the basic functional unit
provided by ROS 602. The component assemblies 690 are executed to
perform operating system or application tasks. Thus, some component
assemblies 690 may be considered to be part of the ROS operating
system 602, while other component assemblies may be considered to
be "applications" that run under the support of the operating
system. As with any system incorporating "applications" and
"operating systems," the boundary between these aspects of an
overall system can be ambiguous. For example, commonly used
"application" functions (such as determining the structure and/or
other attributes of a content container) may be incorporated into
an operating system. Furthermore, "operating system" functions
(such as task management, or memory allocation) may be modified
and/or replaced by an application. A common thread in the preferred
embodiment's ROS 602 is that component assemblies 690 provide
functions needed for a user to fulfill her intended activities,
some of which may be "application-like" and some of which may be
"operating system-like."
[0657] Components 690 are preferably designed to be easily
separable and individually loadable. ROS 602 assembles these
elements together into an executable component assembly 690 prior
to loading and executing the component assembly (e.g., in a secure
operating environment such as SPE 503 and/or HPE 655). ROS 602
provides an element identification and referencing mechanism that
includes information necessary to automatically assemble elements
into a component assembly 690 in a secure manner prior to, and/or
during, execution.
[0658] ROS 602 application structures and control parameters used
to form component assemblies 690 can be provided by different
parties. Because the components forming component assemblies 690
are independently securely deliverable, they may be delivered at
different times and/or by different parties ("delivery" may take
place within a local VDE secure subsystem, that is submission
through the use of such a secure subsystem of control information
by a chain of content control information handling participant for
the preparation of a modified control information set constitutes
independent, secure delivery). For example, a content creator can
produce a ROS 602 application that defines the circumstances
required for licensing content contained within a VDE object 300.
This application may reference structures provided by other
parties. Such references might, for example, take the form of a
control path that uses content creator structures to meter user
activities; and structures created/owned by a financial provider to
handle financial parts of a content distribution transaction (e.g.,
defining a credit budget that must be present in a control
structure to establish creditworthiness, audit processes which must
be performed by the licensee, etc.). As another example, a
distributor may give one user more favorable pricing than another
user by delivering different data elements defining pricing to
different users. This attribute of supporting multiple party
securely, independently deliverable control information is
fundamental to enabling electronic commerce, that is, defining of a
content and/or appliance control information set that represents
the requirements of a collection of independent parties such as
content creators, other content providers, financial service
providers, and/or users.
[0659] In the preferred embodiment, ROS 602 assembles securely
independently deliverable elements into a component assembly 690
based in part on context parameters (e.g., object, user). Thus, for
example, ROS 602 may securely assemble different elements together
to form different component assemblies 690 for different users
performing the same task on the same VDE object 300. Similarly, ROS
602 may assemble differing element sets which may include, that is
reuse, one or more of the same components to form different
component assemblies 690 for the same user performing the same task
on different VDE objects 300.
[0660] The component assembly organization provided by ROS 602 is
"recursive" in that a component assembly 690 may comprise one or
more component "subassemblies" that are themselves independently
loadable and executable component assemblies 690. These component
"subassemblies" may, in turn, be made of one or more component
"sub-sub-assemblies." In the general case, a component assembly 690
may include N levels of component subassemblies.
[0661] Thus, for example, a component assembly 690(k) that may
includes a component subassembly 690(k+1). Component subassembly
690(k+1), in turn, may include a component sub-sub-assembly 690(3),
. . . and so on to N-level subassembly 690(k+N). The ability of ROS
602 to build component assemblies 690 out of other component
assemblies provides great advantages in terms of, for example,
code/data reusability, and the ability to allow different parties
to manage different parts of an overall component.
[0662] Each component assembly 690 in the preferred embodiment is
made of distinct components. FIGS. 11D-11H are abstract depictions
of various distinct components that may be assembled to form a
component assembly 690(k) showing FIG. 11I. These same components
can be combined in different ways (e.g., with more or less
components) to form different component assemblies 690 providing
completely different functional behavior. FIG. 11J is an abstract
depiction of the same components being put together in a different
way (e.g., with additional components) to form a different
component assembly 690(j). The component assemblies 690(k) and
690(j) each include a common feature 691 that interlocks with a
"channel" 594 defined by ROS 602. This "channel" 594 assembles
component assemblies 690 and interfaces them with the (rest of) ROS
602.
[0663] ROS 602 generates component assemblies 690 in a secure
manner. As shown graphically in FIGS. 11I and 11J, the different
elements comprising a component assembly 690 may be "interlocking"
in the sense that they can only go together in ways that are
intended by the VDE participants who created the elements and/or
specified the component assemblies. ROS 602 includes security
protections that can prevent an unauthorized person from modifying
elements, and also prevent an unauthorized person from substituting
elements. One can picture an unauthorized person making a new
element having the same "shape" as the one of the elements shown in
FIGS. 11D-11H, and then attempting to substitute the new element in
place of the original element. Suppose one of the elements shown in
FIG. 11H establishes the price for using content within a VDE
object 300. If an unauthorized person could substitute her own
"price" element for the price element intended by the VDE content
distributor, then the person could establish a price of zero
instead of the price the content distributor intended to charge.
Similarly, if the element establishes an electronic credit card,
then an ability to substitute a different element could have
disastrous consequences in terms of allowing a person to charge her
usage to someone else's (or a non-existent) credit card. These are
merely a few simple examples demonstrating the importance of ROS
602 ensuring that certain component assemblies 690 are formed in a
secure manner. ROS 602 provides a wide range of protections against
a wide range of "threats" to the secure handling and execution of
component assemblies 690.
[0664] In the preferred embodiment, ROS 602 assembles component
assemblies 690 based on the following types of elements:
[0665] Permissions Records ("PERC"s) 808;
[0666] Method "Cores" 1000;
[0667] Load Modules 1100;
[0668] Data Elements (e.g., User Data Elements ("UDEs") 1200 and
Method Data Elements ("MDEs") 1202); and
[0669] Other component assemblies 690.
[0670] Briefly, a PERC 808 provided by the preferred embodiment is
a record corresponding to a VDE object 300 that identifies to ROS
602, among other things, the elements ROS is to assemble together
to form a component assembly 690. Thus PERC 808 in effect contains
a "list of assembly instructions" or a "plan" specifying what
elements ROS 602 is to assemble together into a component assembly
and how the elements are to be connected together. PERC 808 may
itself contain data or other elements that are to become part of
the component assembly 690.
[0671] The PERC 808 may reference one or more method "cores" 1000'.
A method core 1000' may define a basic "method" 1000 (e.g.,
"control," "billing," "metering," etc.)
[0672] In the preferred embodiment, a "method" 1000 is a collection
of basic instructions, and information related to basic
instructions, that provides context, data, requirements, and/or
relationships for use in performing, and/or preparing to perform,
basic instructions in relation to the operation of one or more
electronic appliances 600. Basic instructions may be comprised of,
for example: [0673] machine code of the type commonly used in the
programming of computers; pseudo-code for use by an interpreter or
other instruction processing program operating on a computer;
[0674] a sequence of electronically represented logical operations
for use with an electronic appliance 600; [0675] or other
electronic representations of instructions, source code, object
code, and/or pseudo code as those terms are commonly understood in
the arts.
[0676] Information relating to said basic instructions may
comprise, for example, data associated intrinsically With basic
instructions such as for example, an identifier for the combined
basic instructions and intrinsic data, addresses, constants, and/or
the like. The information may also, for example, include one or
more of the following: [0677] information that identifies
associated basic instructions and said intrinsic data for access,
correlation and/or validation purposes, [0678] required and/or
optional parameters for use with basic instructions and said
intrinsic data; [0679] information defining relationships to other
methods; [0680] data elements that may comprise data values, fields
of information, and/or the like; [0681] information specifying
and/or defining relationships among data elements, basic
instructions and/or intrinsic data; [0682] information specifying
relationships to external data elements; [0683] information
specifying relationships between and among internal and external
data elements, methods, and/or the like, if any exist; and [0684]
additional information required in the operation of basic
instructions and intrinsic data to complete, or attempt to
complete, a purpose intended by a user of a method, where required,
including additional instructions and/or intrinsic data.
[0685] Such information associated with a method may be stored, in
part or whole, separately from basic instructions and intrinsic
data. When these components are stored separately, a method may
nevertheless include and encompass the other information and one or
more sets of basic instructions and intrinsic data (the latter
being included because of said other information's reference to one
or more sets of basic instructions and intrinsic data), whether or
not said one or more sets of basic instructions and intrinsic data
are accessible at any given point in time.
[0686] Method core 1000' may be parameterized by an "event code" to
permit it to respond to different events in different ways. For
example, a METER method may respond to a "use" event by storing
usage information in a meter data structure. The same METER method
may respond to an "administrative" event by reporting the meter
data structure to a VDE clearinghouse or other VDE participant.
[0687] In the preferred embodiment, method core 1000' may
"contain," either explicitly or by reference, one or more "load
modules" 1100 and one or more data elements (UDEs 1200, MDEs 1202).
In the preferred embodiment, a "load module" 1100 is a portion of a
method that reflects basic instructions and intrinsic data. Load
modules 1100 in the preferred embodiment contain executable code,
and may also contain data elements ("DTDs" 1108) associated with
the executable code. In the preferred embodiment, load modules 1100
supply the program instructions that are actually "executed" by
hardware to perform the process defined by the method. Load modules
1100 may contain or reference other load modules.
[0688] Load modules 1100 in the preferred embodiment are modular
and "code pure" so that individual load modules may be renterable
and reusable. In order for components 690 to be dynamically
updatable, they may be individually addressable within a global
public name space. In view of these design goals, load modules 1100
are preferably small, code (and code-like) pure modules that are
individually named and addressable. A single method may provide
different load modules 1100 that perform the same or similar
functions on different platforms, thereby making the method
scalable and/or portable across a wide range of different
electronic appliances.
[0689] UDEs 1200 and MDEs 1202 may store data for input to or
output from executable component assembly 690 (or data describing
such inputs and/or outputs). In the preferred embodiment, UDEs 1200
may be user dependent, whereas MDEs 202 may be user
independent.
[0690] The component assembly example 690(k) shown in FIG. 11E
comprises a method core 1000', UDEs 1200a & 1200b, an MDE 1202,
load modules 1100a-1100d, and a further component assembly
690(k+1). As mentioned above, a PERC 808(k) defines, among other
things, the "assembly instructions" for component assembly 690(k),
and may contain or reference parts of some or all of the components
that are to be assembled to create a component assembly.
[0691] One of the load modules 1100b shown in this example is
itself comprised of plural load modules 1100c, 1100d. Some of the
load modules (e.g., 1100a, 1100d) in this example include one or
more "DTD" data elements 1108 (e g, 1108a, 1108b) "DTD" data
elements 1108 may be used, for example, to inform load module 1100a
of the data elements included in MDE 1202 and/or UDEs 1200a, 1200b.
Furthermore, DTDs 1108 may be used as an aspect of forming a
portion of an application used to inform a user as to the
information required and/or manipulated by one or more load modules
1100, or other component elements. Such an application program may
also include functions for creating and/or manipulating UDE(s)
1200, MDE(s) 1202, or other component elements, subassemblies,
etc.
[0692] Components within component assemblies 690 may be "reused"
to form different component assemblies. As mentioned above, FIG.
11F is an abstract depiction of one example of the same components
used for assembling component assembly 690(k) to be reused (e.g.,
with some additional components specified by a different set of
"assembly instructions" provided in a different PERC 808(1)) to
form a different component assembly 690(1). Even though component
assembly 690(1) is formed from some of the same components used to
form component assembly 690(k), these two component assemblies may
perform completely different processes in complete different
ways.
[0693] As mentioned above, ROS 602 provides several layers of
security to ensure the security of component assemblies 690. One
important security layer involves ensuring that certain component
assemblies 690 are formed, loaded and executed only in secure
execution space such as provided within an SPU 500. Components 690
and/or elements comprising them may be stored on external media
encrypted using local SPU 500 generated and/or distributor provided
keys.
[0694] ROS 602 also provides a tagging and sequencing scheme that
may be used within the loadable component assemblies 690 to detect
tampering by substitution. Each element comprising a component
assembly 690 may be loaded into an SPU 500, decrypted using
encrypt/decrypt engine 522, and then tested/compared to ensure that
the proper element has been loaded. Several independent comparisons
may be used to ensure here has been no unauthorized substitution.
For example, the public and private copies of the element ID may be
compared to ensure that they are the same, thereby preventing gross
substitution of elements. In addition, a validation/correlation tag
stored under the encrypted layer of the loadable element may be
compared to make sure it matches one or more tags provided by a
requesting process. This prevents unauthorized use of information.
As a third protection, a device assigned tag (e.g., a sequence
number) stored under an encryption layer of a loadable element may
be checked to make sure it matches a corresponding tag value
expected by SPU 500. This prevents substitution of older elements.
Validation/correlation tags are typically passed only in secure
wrappers to prevent plaintext exposure of this information outside
of SPU 500.
[0695] The secure component based architecture of ROS 602 has
important advantages. For example, it accommodates limited resource
execution environments such as provided by a lower cost SPU 500. It
also provides an extremely high level of configurability. In fact,
ROS 602 will accommodate an almost unlimited diversity of content
types, content provider objectives, transaction types and client
requirements. In addition, the ability to dynamically assemble
independently deliverable components at execution time based on
particular objects and users provides a high degree of flexibility,
and facilitates or enables a distributed database, processing, and
execution environment.
[0696] One aspect of an advantage of the component-based
architecture provided by ROS 602 relates to the ability to "stage"
functionality and capabilities over time. As designed,
implementation of ROS 602 is a finite task. Aspects of its wealth
of functionality can remain unexploited until market realities
dictate the implementation of corresponding VDE application
functionality. As a result, initial product implementation
investment and complexity may be limited. The process of
"surfacing" the full range of capabilities provided by ROS 602 in
terms of authoring, administrative, and artificial intelligence
applications may take place over tune. Moreover, already-designed
functionality of ROS 602 may be changed or enhanced at any time to
adapt to changing needs or requirements.
More Detailed Discussion of Rights Operating System 602
Architecture
[0697] FIG. 12 shows an example of a detailed architecture of ROS
602 shown in FIG. 10. ROS 602 may include a file system 687 that
includes a commercial database manager 730 and external object
repositories 728. Commercial database manager 730 may maintain
secure database 610. Object repository 728 may store, provide
access to, and/or maintain VDE objects 300.
[0698] FIG. 12 also shows that ROS 602 may provide one or more SPEs
503 and/or one or more HPEs 655. As discussed above, HPE 655 may
"emulate" an SPU 500 device, and such HPEs 655 may be integrated in
lieu of (or in addition to) physical SPUs 500 for systems that need
higher throughput. Some security may be lost since HPEs 655 are
typically protected by operating system security and may not
provide truly secure processing. Thus, in the preferred embodiment,
for high security applications at least, all secure processing
should take place within an SPE 503 having an execution space
within a physical SPU 500 rather than a HPE 655 using software
operating elsewhere in electronic appliance 600.
[0699] As mentioned above, three basic components of ROS 602 are a
kernel 680, a Remote Procedure Call (RPC) manager 732 and an object
switch 734. These components, and the way they interact with other
portions of ROS 602, will be discussed below.
Kernel 680
[0700] Kernel 680 manages the basic hardware resources of
electronic appliance 600, and controls the basic tasking provided
by ROS 602. Kernel 680 in the preferred embodiment may include a
memory manager 680a, a task manager 680b, and an I/O manager 680c.
Task manager 680b may initiate and/or manage initiation of
executable tasks and schedule them to be executed by a processor on
which ROS 602 runs (e.g., CPU 654 shown in FIG. 8). For example,
Task manager 680b may include or be associated with a "bootstrap
loader" that loads other parts of ROS 602. Task manager 680b may
manage all tasking related to ROS 602, including tasks associated
with application program(s) 608 Memory manager 680.a may manage
allocation, deallocation, sharing and/or use of memory (e.g., RAM
656 shown in FIG. 8) of electronic appliance 600, and may for
example provide virtual memory capabilities as required by an
electronic appliance and/or associated application(s). I/O manager
680c may manage all input to and output from ROS 602, and may
interact with drivers and other hardware managers that provide
communications and interactivity with physical devices.
RPC Manager 782
[0701] ROS 602 in a preferred embodiment is designed around a
"services based" Remote Procedure Call architecture/interface. All
functions performed by ROS 602 may use this common interface to
request services and share information. For example, SPE(s) 503
provide processing for one or more RPC based services. In addition
to supporting SPUs 500, the RPC interface permits the dynamic
integration of external services and provides an array of
configuration options using existing operating system components.
ROS 602 also communicates with external services through the RPC
interface to seamlessly provide distributed and/or remote
processing. In smaller scale instances of ROS 602, a simpler
message passing IPC protocol may be used to conserve resources.
This may limit the configurability of ROS 602 services, but this
possible limitation may be acceptable in some electronic
appliances.
[0702] The RPC structure allows services to be called/requested
without the calling process having to know or specify where the
service is physically provided, what system or device will service
the request, or how the service request will be fulfilled. This
feature supports families of services that may be scaled and/or
customized for specific applications. Service requests can be
forwarded and serviced by different processors and/or different
sites as easily as they can be forwarded and serviced by a local
service system. Since the same RPC interface is used by ROS 602 in
the preferred embodiment to request services within and outside of
the operating system, a request for distributed and/or remote
processing incurs substantially no additional operating system
overhead. Remote processing is easily and simply integrated as part
of the same service calls used by ROS 602 for requesting
local-based services. In addition, the use of a standard RPC
interface ("RSI") allows ROS 602 to be modularized, with the
different modules presenting a standardized interface to the
remainder of the operating system. Such modularization and
standardized interfacing permits different vendors/operating system
programmers to create different portions of the operating system
independently, and also allows the functionality of ROS 602 to be
flexibly updated and/or changed based on different requirements
and/or platforms.
[0703] RPC manager 732 manages the RPC interface. It receives
service requests in the form of one or more "Remote Procedure
Calls" (RPCs) from a service requestor, and routes the service
requests to a service provider(s) that can service the request. For
example, when rights operating system 602 receives a request from a
user application via user API 682, RPC manager 732 may route the
service request to an appropriate service through the PC service
interface" ("RSI"). The RSI is an interface between RPC manager
732, service requestors, and a resource that will accept and
service requests.
[0704] The RPC interface (RSI) is used for several major. ROS 602
subsystems in the preferred embodiment.
[0705] RPC services provided by ROS 602 in the preferred embodiment
are divided into subservices, i.e., individual instances a specific
service each of which may be tracked individually by RPC manager
732. This mechanism permits multiple instances of a specific
service on higher throughput systems while maintaining a common
interface across a spectrum of implementations. The subservice
concept extends to supporting multiple processors, multiple SPEs
503, multiple HPEs 655, and multiple communications services.
[0706] The preferred embodiment ROS 602 provides the following RPC
based service providers/requestors (each of which have an RPC
interface or "RSI" that communicates with RPC manager 732): [0707]
SPE device driver 736 (this SPE device driver is connected to an
SPE 503 in the preferred embodiment); [0708] HFE Device Driver 738
(this HPE device driver is connected to an HPE 738 in the preferred
embodiment); [0709] Notification Service 740 (this notification
service is connected to user notification interface 686 in the
preferred embodiment); [0710] API Service 742 (this API service is
connected to user API 682 in the preferred embodiment; [0711]
Redirector 684; [0712] Secure Database (File) Manager 744 (this
secure database or file manager 744 may connect to and interact
with commercial database manager 730 and secure files 610 through a
cache manager 746, a database interface 748, and a database driver
750); [0713] Name Services Manager 752; [0714] Outgoing
Administrative Objects Manager 754; [0715] Incoming Administrative
Objects Manager 756; [0716] a Gateway 734 to object switch 734
(this is a path used to allow direct communication between RPC
manager 732 and Object Switch 734); and [0717] Communications
Manager 676.
[0718] The types of services provided by HFE 655, SPE 503, User
Notification 686, API 742 and Redirector 684 have already been
described above. Here is a brief description of the type(s) of
services provided by OS resources 744, 752, 754, 756 and 776:
[0719] Secure Database Manager 744 services requests for access to
secure database 610, [0720] Name Services Manager 752 services
requests relating to user, host, or service identification, [0721]
Outgoing Administrative Objects Manager 754 services requests
relating to outgoing administrative objects, [0722] Incoming
Administrative Objects Manager 756 services requests relating to
incoming administrative objects, and [0723] Communications Manager
776 services requests relating to communications between electronic
appliance 600 and the outside world.
Object Switch 734
[0724] Object switch 734 handles, controls and communicates (both
locally and remotely) VDE objects 300. In the preferred embodiment,
the object switch may include the following elements: [0725] a
stream router 758; [0726] a real time stream interface(s) 760
(which may be connected to real time data feed(s) 694); [0727] a
time dependent stream interface(s) 762, [0728] a intercept 692;
[0729] a container manager 764; [0730] one or more routing tables
766; and [0731] buffering/storage 768.
[0732] Stream router 758 routes to/from "real time" and "time
independent" data streams handled respectively by real time stream
interface(s) 760 and tune dependent stream interface(s) 762.
Intercept 692 intercepts 110 requests that involve real-time
information streams such as, for example, real time feed 694. The
routing performed by stream router 758 may be determined by routing
tables 766. Buffering/storage 768 provides temporary
store-and-forward, buffering and related services. Container
manager 764 may (typically in conjunction with VSPE 503) perform
processes on VDE objects 300 such as constructing, deconstructing,
and locating portions of objects.
[0733] Object switch 734 communicates through an Object Switch
Interface ("OSI") with other parts of ROS 602. The Object Switch
Interface may resemble, for example, the interface for a Unix
socket in the preferred embodiment. Each of the "OSI" interfaces
shown in FIG. 12 have the ability to communicate with object switch
734.
[0734] ROS 602 includes the following object switch service
providers/resources (each of which can communicate with the object
switch 734 through an "OSI"): [0735] Outgoing Administrative
Objects Manager 754; [0736] Incoming Administrative Objects Manager
756; [0737] Gateway 734 (which may translate RPC calls into object
switch calls and vice versa so RPC manager 732 may communicate with
object switch 734 or any other element having an OSI to, for
example, provide and/or request services); [0738] External Services
Manager 772; [0739] Object Submittal Manager 774; and [0740]
Communications Manager 776.
[0741] Briefly, [0742] Object Repository Manager 770 provides
services relating to access to object repository 728; [0743]
External Services Manager 772 provides services relating to
requesting and receiving services externally, such as from a
network resource or another site; [0744] Object Submittal Manager
774 provides services relating to how a user application may
interact with object switch 734 (since the object submittal manager
provides an interface to an application program 608, it could be
considered part of user API 682); and [0745] Communications Manager
776 provides services relating to communicating with the outside
world.
[0746] In the preferred embodiment, communications manager 776 may
include a network manager 780 and a mail gateway (manager) 782.
Mail gateway 782 may include one or more mail filters 784 to, for
example, automatically route VDE related electronic mail between
object switch 734 and the outside world electronic mail services.
External Services Manager 772 may interface to communications
manager 776 through a Service Transport Layer 786. Service
Transport Layer 786a may enable External Services Manager 772 to
communicate with external computers and systems using various
protocols managed using the service transport layer 786.
[0747] The characteristics of and interfaces to the various
subsystems of ROS 680 shown in FIG. 12 are described in more detail
below.
RPC Manager 732 and its RPC Services Interface
[0748] As discussed above, the basic system services provided by
ROS 602 are invoked by using an RPC service interface (RSI). This
RPC service interface provides a generic, standardized interface
for different services systems and subsystems provided by ROS
602.
[0749] RPC Manager 732 routes RPCs requesting services to an
`appropriate RPC service interface. In the preferred embodiment,
upon receiving an RPC call, RPC manager 732 determines one or more
service managers that are to service the request. RPC manager 732
then routes a service request to the appropriate service(s) (via a
RSI associated with a service) for action by the appropriate
service manager(s).
[0750] For example, if a SPE 503 is to service a request, the RPC
Manager 732 routes the request to RSI 736a, which passes the
request on to SPE device driver 736 for forwarding to the SPE.
Similarly, if HPE 655 is to service the request, RPC Manager 732
routes the request to RSI 738a for forwarding to a HPE. In one
preferred embodiment, SPE 503 and HPE 655 may perform essentially
the same services so that RSIs 736a, 738a are different instances
of the same RSI. Once a service request has been received by SPE
503 (or HPE 655), the SPE (or HPE) typically dispatches the request
internally using its own internal RPC manager (as will be discussed
shortly). Processes within SPEs 503 and HPEs 655 can also generate
RPC requests. These requests may be processed internally by a
SPE/HPE, or if not internally serviceable, passed out of the
SPE/HPE for dispatch by RPC Manager 732.
[0751] Remote (and local) procedure calls may be dispatched by a
RPC Manager 732 using an "RPC Services Table." An RPC Services
Table describes where requests for specific services are to be
routed for processing. Each row of an RPC Services Table in the
preferred embodiment contains a services ID, the location of the
service, and an address to which control will be passed to service
a request. An RPC Services Table may also include control
information, that indicates which instance of the RPC dispatcher
controls the service. Both RPC Manager 732 and any attached SPEs
503 and HPEs 655 may have symmetric copies of the RPC Services
Table. If an RPC service is not found in the RPC services tables,
it is either rejected or passed to external services manager 772
for remote servicing.
[0752] Assuming RPC manager 732 finds a row corresponding to the
request in an RPC Services Table, it may dispatch the request to an
appropriate RSI. The receiving RSI accepts a request from the RPC
manager 732 (which may have looked up the request in an RPC service
table), and processes that request in accordance with internal
priorities associated with the specific service.
[0753] In the preferred embodiment, RPC Service Interface(s)
supported by RPC Manager 732 may be standardized and published to
support add-on service modules developed by third party vendors,
and to facilitate scalability by making it easier to program ROS
602. The preferred embodiment RSI closely follows the DOS and Unix
device driver models for block devices so that common code may be
developed for many platforms with minimum effort. An example of one
possible set of common entry points are listed below in the
table.
TABLE-US-00001 Interface call Description SVC_LOAD Load a service
manager and return its status. SVC_UNLOAD Unload a service manager.
SVC_MOUNT Mount (load) a dynamically loaded subservice and return
its status. SVC_UNMOUNT Unmount (unload) a dynamically loaded
subservice. SVC_OPEN Open a mounted subservice. SVC_CLOSE Close a
mounted subservice. SVC_READ Read a block from an opened
subservice. SVC_WRITE Write a block to an opened subservice.
SVC_IOCTL Control a subservice or a service manager.
Load
[0754] In the preferred embodiment, services (and the associated
RSIs they present to RPC manager 732) may be activated during boot
by an installation boot process that issues an RPC LOAD. This
process reads an RPC Services Table from a configuration file,
loads the service module if it is run time loadable (as opposed to
being a kernel linked device driver), and then calls the LOAD entry
point for the service. A successful return from the LOAD entry
point will indicate that the service has properly loaded and is
ready to accept requests.
RPC LOAD Call Example: SVC_LOAD (long service_id)
[0755] This LOAD interface call is called by the RPC manager 732
during rights operating system 602 initialization. It permits a
service manager to load any dynamically loadable components and to`
initialize any device and memory required by the service. The
service number that the service is loaded as is passed in as
service_id parameter. In the preferred embodiment, the service
returns 0 is the initialization process was completed successfully
or an error number if some error occurred.
Mount
[0756] Once a service has been loaded, it may not be fully
functional for all subservices. Some subservices (e.g.,
communications based services) may require the establishment of
additional connections, or they may require additional modules to
be loaded. If the service is defined as "mountable," a RPC manager
732 will call the MOUNT subservice entry point with the requested
subservice ID prior to opening an instance of a subservice.
RPC MOUNT Call Example:
[0757] SVC_MOUNT (long service_id, long subservice_id, BYTE
*buffer)
[0758] This MOUNT interface call instructs a service to make a
specific subservice ready. This may include services related to
networking, communications, other system services, or external
resources. The service_id and subservice_id parameters may be
specific to the specific service being requested. The buffer
parameter is a memory address that references a control structure
appropriate to a specific service.
Open
[0759] Once a service is loaded and "mounted," specific instances
of a service may be "opened" for use. "Opening" an instance of a
service may allocate memory to store control and status
information. For example, in a BSD socket based network connection,
a LOAD call will initialize the software and protocol control
tables, a MOUNT call will specify networks and hardware resources,
and an OPEN will actually open a socket to a remote
installation.
[0760] Some services, such as commercial database manager 730 that
underlies the secure database service, may not be "mountable." In
this case, a LOAD call will make a connection to a database manager
730 and ensure that records are readable; An OPEN call may create
instances of internal cache manager 746 for various classes of
records.
RPC OPEN Call Example:
[0761] SVC_OPEN (long service_id, long subservice_id, BYTE *buffer,
int (*receive) (long request_id))
[0762] This OPEN interface call instructs a service to open a
specific subservice. The service_id and subservice_id parameters
are specific to the specific service being requested, and the
buffer parameter is a memory address that references a control
structure appropriate to a specific service.
[0763] The optional receive parameter is the address of a
notification callback function that is called by a service whenever
a message is ready for the service to retrieve it. One call to this
address is made for each incoming message received. If the caller
passes a NULL to the interface, the software will not generate a
callback for each message.
Close, Unmount and Unload
[0764] The converse of the OPEN, MOUNT, and LOAD calls are CLOSE,
UNMOUNT, and UNLOAD. These interface calls release any allocated
resources back to ROS 602 (e.g., memory manager 680a).
RPC CLOSE Call Example: SVC_CLOSE (long svc_handle)
[0765] This LOAD interface call closes an open service "handle." A
service "handle" describes a service and subservice that a user
wants to close. The call returns 0 if the CLOSE request succeeds
(and the handle is no longer valid) or an error number.
RPC UNLOAD Call Example: SVC_UNLOAD (void)
[0766] This UNLOAD interface call is called by a RPC manager 732
during shutdown or resource reallocation of rights operating system
602. It permits a service to close any open connections, flush
buffers, and to release any operating system resources that it may
have allocated. The service returns 0.
RPC UNMOUNT Call Example: SVC_UNMOUNT (long service_id, long
subservice_id)
[0767] This UNMOUNT interface call instructs a service to
deactivate a specific subservice. The service_id and subservice_id
parameters are specific to the specific aervice being requested,
and must have been previously mounted using the SVC_MOUNT( )
request. The call releases all system resources associated with the
subservice before it returns.
Read and Write
[0768] The READ and WRITE calls provide a basic mechanism for
sending information to and receiving responses from a mounted and
opened service. For example, a service has requests written to it
in the form of an RPC request, and makes its response available to
be read by RPC Manager 732 as they become available.
RPC READ Call Example:
[0769] SVC_READ (long svc_handle, long request_id, BYTE *buffer,
long size)
[0770] This READ call reads a message response from a service. The
svc_handle and request_id parameters uniquely identify a request.
The results of a request will be stored in the user specified
buffer up to size bytes. If the buffer is too small, the first size
bytes of the message will be stored in the buffer and an error will
be returned.
[0771] If a message response was returned to the caller's buffer
correctly, the function will return 0. Otherwise, an error message
will be returned.
RPC WRITE Call Example:
[0772] SVC_write (long service_id, long subservice_id, BYTE
*buffer, long size, int (*receive) (long request_id)
[0773] This WRITE call writes a message to a service and subservice
specified by the service_id/subservice_id parameter pair. The
message is stored in buffer (and usually conforms to the VDE RPC
message format) and is size bytes long. The function returns the
request id for the message (if it was accepted, for sending) or an
error number. If a user specifies the receive callback functions,
all messages regarding a request will be sent to the request
specific callback; routine instead of the generalized message
callback.
Input/Output Control
[0774] The IOCTL ("Input/Output ConTroL") call provides a mechanism
for querying the status of and controlling a loaded service. Each
service type will respond to specific general IOCTL requests, all
required class IOCTL requests, and service specific IOCTL
requests.
RPC IOCTL Call Example: ROLSVC_IOCTL (long service_id, long
subservice_id,
[0775] int command, BYTE *buffer)
[0776] This IOCTL function provides a generalized control interface
for a RSI. A user specifies the service_id parameter and an
optional subservice_id parameter that they wish to control. They
specify the control command parameter(s), and a buffer into/from
which the command parameters may be written/read. An example of a
list of commands and the appropriate buffer structures are given
below.
TABLE-US-00002 Command Structure Description GET_iNFO SVC_INFO
Returns information about a service/subservice. GET_STATS SVC_STATS
Returns currant statistics about a service/subservice. CLR_STATS
None Clears the statistics about a service/subservice
[0777] Now that a generic RPC Service Interface provided by the
preferred embodiment has been described, the following description
relates to particular examples of services provided by ROS 602.
SPE Device Driver 736
[0778] SPE device driver 736 provides an interface between ROS 602
and SPE 503. Since SPE 503 in the preferred embodiment runs within
the confines of an SPU 500, one aspect of this device driver 736 is
to provide low level communications services with the SPU 500
hardware. Another aspect of SPE device driver 736 is to provide an
RPC service interface (RSI) 736a particular to SPE 503 (this same
RSI may be used to communicate with HPE 655 through HPE device
driver 738).
[0779] SPE RSI 736a and driver 736 isolates calling processes
within ROS 602 (or external to the ROS) from the detailed service
provided by the SPE 503 by providing a set of basic interface
points providing a concise function set. This has several
advantages. For example, it permits a full line of scaled SPUs 500
that all provide common functionality to the outside world but
which may differ in detailed internal structure and architecture.
SPU 500 characteristics such as the amount of memory resident in
the device, processor speed, and the number of services supported
within SPU 500 may be the decision of the specific SPU
manufacturer, and in any event may differ from one SPU
configuration to another. To maintain compatibility, SPE device
driver 736 and the RSI 736a it provides conform to a basic common
RPC interface standard that "hides" differences between detailed
configurations of SPUs 500 and/or the SPEs 503 they may
support.
[0780] To provide for such compatibility, SPE RSI 736a in the
preferred embodiment follows a simple block based standard. In the
preferred embodiment, an SPE RSI 736a may be modeled after the
packet interfaces for network Ethernet cards. This standard closely
models the block mode interface characteristics of SPUs 500 in the
preferred embodiment.
[0781] An SPE RSI 736a allows RPC calls from RPC manager 732 to
access specific services provided by an SPE 736. To do this, SPE
RSI 736a provides a set of "service notification address
interfaces." These provide interfaces to individual services
provided by SPE 503 to the outside world. Any calling process
within ROS 602 may access these SPE-provided services by directing
an RPC call to SPE RSI 736a and specifying a corresponding "service
notification address" in an RPC call. The specified service
notification "address" causes SPE 503 to internally route an RPC
call to a particular service within an SPE. The following is a
listing of one example of a SPE service breakdown for which
individual service notification addresses may be provided: [0782]
Channel Services Manager [0783] Authentication Manager/Secure
Communications Manager [0784] Secure Database Manager
[0785] The Channel Services Manager is the principal service
provider and access point to SPE 503 for the rest of ROS 602. Event
processing, as will be discussed later, is primarily managed (from
the point of view of processes outside SPE 503) by this service.
The Authentication Manager/Secure Communications Manager may
provide login/logout services for users of ROS 602, and provide a
direct service for managing communications (typically encrypted or
otherwise protected) related to component assemblies 690, VDE
objects 300, etc. Requests for display of information (e.g., value
remaining in a financial budget) may be provided by a direct
service request to a Secure Database Manager inside SPE 503. The
instances of Authentication Manager/Secure Communications Manager
and Secure Database Manager, if available at all, may provide only
a subset of the information and/or capabilities available to
processes operating inside SPE 503. As stated above, most
(potentially all) service requests entering SPE are routed to a
Channel Services Manager for processing. As will be discussed in
more detail later on, most control structures and event processing
logic is associated with component assemblies 690 under the
management of a Channel Services Manager.
[0786] The SPE 503 must be accessed through its associated SPE
driver 736 in this example. Generally, calls to SPE driver 736 are
made in response to RPC calls. In this example, SPE driver RSI 736a
may translate RPC calls directed to control or ascertain
information about SPE driver 736 into driver calls SPE driver RSI
736a in conjunction with driver 736 may pass RPC calls directed to
SPE 503 through to the SPE.
[0787] The following table shows one example of SPE device driver
736 calls:
TABLE-US-00003 Entry Point Description SPE_info( ) Returns summary
information about the SPE driver 736 (and SPE 503)
SPE_initialize_interface( ) Initializes SPE driver 736, and sets
the default notification address for received packets.
SPE_terminate_interface( ) Terminates SPE driver 736 and resets SPU
500 and the driver 736. SPE_reset_interface( ) Resets driver 736
without resetting SPU_500. SPE_get_stats( ) Return statistics for
notification addresses and/or an entire driver 736.
SPE_clear_stats( ) Clears statistics for a specific notification
address, and/or an entire driver 736. SPE_set_notify( ) Sets a
notification address for a specific service ID. SPE_get_notify( )
Returns a notification address for a specific service ID.
SPE_tx_pkt( ) Sends a packet (e.g., containing an RPC call) to SPE
503 for processing.
[0788] The following are more detailed examples of each of the SPE
driver calls set forth in the table above.
Example of an "SPE Information" Driver Call: SPE_info (void)
[0789] This function returns a pointer to an SPE_INFO data
structure that defines the SPE device driver 736a. This data
structure may provide certain information about SPE device driver
736, RSI 736a and/or SPU 500. An example of a SPE_INFO structure is
described below:
TABLE-US-00004 Version Number/ID for SPE Device Driver 736 Version
Number/ID for SPE Device Driver RSI 736 Pointer to name of SPE
Device Driver 736 Pointer to ID name of SPU 500 Functionality Code
Describing SPE Capabilities/functionality
Example of an SPE "Initialize Interface" Driver Call:
[0790] SPE_initialize_interface (int (fcn *receiver)(void))
[0791] A receiver function passed in by way of a parameter will be
called for all packets received from SPE 503 unless their
destination service is over-ridden using the set_notify( ) call. A
receiver function allows ROS 602 to specify a format for packet
communication between RPC manager 732 and SPE 503.
[0792] This function returns "0" in the preferred embodiment if the
initialization of the interface succeeds and non-zero if it fails.
If the function fails, it will return a code that describes the
reason for the failure as the value of the function.
Example of an SPE "Terminate Interface" Driver Call:
[0793] SPE_terminate_interface (void)
[0794] In the preferred embodiment, this function shuts down SPE
Driver 736, clears all notification addresses, and terminates all
outstanding requests between an SPE and an ROS RPC manager, 732. It
also resets an SPE 503 (e.g., by a warm reboot of SPU 500) after
all requests are resolved.
[0795] Termination of driver 736 should be performed by ROS 602
when the operating system is starting to shut down. It may also be
necessary to issue this call if an SPE 503 and ROS 602 get so far
out of synchronization that all processing in an SPE must be reset
to a known state.
Example of an SPE "Reset Interface" Driver Call:
[0796] SPE_reset_interface (void)
[0797] This function resets driver 736, terminates all outstanding
requests between SPE 503 and an ROS RPC manager 732, and clears all
statistics counts. It does not reset the SPU 500, but simply
restores driver 736 to a known stable state.
Example of an SPE "Get Statistics" Driver Call: SPE_get_stats (long
service_id)
[0798] This function returns statistics for a specific service
notification interface or for the SPE driver 736 in general. It
returns a pointer to a static buffer that contains these statistics
or NULL if statistics are unavailable (either because an interface
is not initialized or because a receiver address was not
specified). An example of the SPE_STATS structure may have the
following definition:
TABLE-US-00005 Service id # packets rx # packets tx # bytes rx #
bytes tx # errors rx # errors tx # requests tx # req tx completed #
req tx cancelled # req rx # req rx completed # req rx cancelled
[0799] If a user specifies a service ID, statistics associated with
packets sent by that service are returned. If a user specified 0 as
the parameter, the total packet statistics for the interface are
returned.
Example of an SPE "Clear Statistic" Driver Call: SPE_clear_stats
(long service_d)
[0800] This function clears statistics associated with the SPE
service_id specified. If no service_id is specified (i.e., the
caller passes in 0), global statistics will be cleared. The
function returns 0 if statistics are successfully cleared or an
error number if an error occurs.
Example of an SPE "Set Notification Address" Driver Call:
[0801] SPE_set_notify (long service_id, int (fcn*receiver)
(void))
[0802] This function sets a notification address (receiver) for a
specified service. If the notification address is set to NULL, SPE
device driver 736 will send notifications for packets to the
specified service to the default notification address.
Example of a SPE "Get Notification Address" Driver Call:
[0803] SPE_get_notify (long service_id)
[0804] This function returns a notification address associated with
the named service or NULL if no specific notification address has
been specified.
Example of an "SPE Send Packet" Driver Call:
[0805] send_pkt (BYTE *buffer, long size, int (far *receive)
(void))
[0806] This function sends a packet stored in buffer of "length"
size. It returns 0 if the packet is sent successfully, or returns
an error code associated with the failure.
Redirector Service Manager 684
[0807] The redirector 684 is a piece of systems integration
software used principally when ROS 602 is provided by "adding on"
to a pre-existing operating system or when "transparent" operation
is desired for some VDE functions, as described earlier. In one
embodiment the kernel 680, part of communications manager 776, file
system 687, and part of API service 742 may be part of a
pre-existing operating system such as DOS, Windows, UNIX, Macintosh
System, OS9, PSOS, OS/2, or other operating system platform. The
remainder of ROS 602 subsystems shown in FIG. 12 may be provided as
an "add on" to a preexisting operating system. Once these ROS
subsystems have been supplied and "add on," the integrated whole
comprises the ROS 602 shown in FIG. 12.
[0808] In a scenario of this type of integration, ROS 602 will
continue to be supported by a preexisting OS kernel 680, but may
supplement (or even substitute) many of its functions by providing
additional add-on pieces such as, for example, a virtual memory
manager.
[0809] Also in this integration scenario, an add-on portion of API
service 742 that integrates readily with a preexisting API service
is provided to support VDE function calls. A pre-existing API
service integrated with an add-on portion supports an enhanced set
of operating system calls including both calls to VDE functions 604
and calls to functions 606 other than VDE functions (see FIG. 11A).
The add-on portion of API service 742 may translate VDE function
calls into RPC calls for routing by RPC manager 732.
[0810] ROS 602 may use a standard communications manager 776
provided by the preexisting operating system, or it may provide
"add ons" and/or substitutions to it that may be readily integrated
into it. Redirector 684 may provide this integration function.
[0811] This leaves a requirement for ROS 602 to integrate with a
preexisting file system 687. Redirector 684 provides this
integration function.
[0812] In this integration scenario, file system 687 of the
preexisting operating system is used for all accesses to secondary
storage. However, VDE objects 300 may be stored on secondary
storage in the form of external object repository 728, file system
687, or remotely accessible through communications manager 776.
When object switch 734 wants to access external object repository
728, it makes a request to the object repository manager 770 that
then routes the request to object repository 728 or to redirector
692 (which in turn accesses the object in file system 687).
[0813] Generally, redirector 684 maps VDE object repository 728
content into preexisting calls to file system 687. The redirector
684 provides preexisting OS level information about a VDE object
300, including mapping the object into a preexisting OS's name
space. This permits seamless access to VDE protected content using
"normal" file system 687 access techniques provided by a
preexisting operating system.
[0814] In the integration scenarios discussed above, each
preexisting target OS file system 687 has different interface
requirements by which the redirector mechanism 684 may be "hooked."
In general, since all commercially viable operating systems today
provide support for network based volumes, file systems, and other
devices (e.g., printers, modems, etc.), the redirector 684 may use
low level network and file access "hooks" to integrate with a
preexisting operating system. "Add-ons" for supporting VDE
functions 602 may use these existing hooks to integrate with a
preexisting operating system.
User Notification Service Manager 740
[0815] User Notification Service Manager 740 and associated user
notification exception interface ("pop up") 686 provides ROS 602
with an enhanced ability to communicate with a user of electronic
appliance 600. Not all applications 608 may be designed to respond
to messaging from ROS 602 passed through API 682, and it may in any
event be important or desirable to give ROS 602 the ability to
communicate with a user no matter what state an application is in.
User notification services manager 740 and interface 686 provides
ROS 602 with a mechanism to communicate directly with a user,
instead of or in addition to passing a return call through API 682
and an application 608. This is similar, for example, to the
ability of the Windows operating system to display a user message
in a "dialog box" that displays "on top of" a running application
irrespective of the state of the application.
[0816] The User Notification 686 block in the preferred embodiment
may be implemented as application code. The implementation of
interface 740a is preferably built over notification service
manager 740, which may be implemented as part of API service
manager 742. Notification services manager 740 in the preferred
embodiment provides notification support to dispatch specific
notifications to an appropriate user process via the appropriate
API return, or by another path. This mechanism permits
notifications to be routed to any authorized process--not just back
to a process that specified a notification mechanism.
API Service Manager 742
[0817] The preferred embodiment API Service Manager 742 is
implemented as a service interface to the RPC service manager 732
All user API requests are built on top of this basic interface. The
API Service Manager 742 preferably provides a service instance for
each running user application 608.
[0818] Most RPC calls to ROS functions supported by API Service
Manager 742 in the preferred embodiment may map directly to service
calls with some additional parameter checking. This mechanism
permits developers to create their own extended API libraries with
additional or changed functionality.
[0819] In the scenario discussed above in which ROS 602 is formed
by integrating "add on" with a preexisting operating system, the
API service 742 code may be shared (eg, resident in a host
environment like a Windows DLL), or it may be directly linked with
an applications's code--depending on an application programmer's
implementation decision, and/or the type of electronic appliance
600. The Notification Service Manager 740 may be implemented within
API 682. These components interface with Notification Service
component 686 to provide a transition between system and user
space.
Secure Database Service Manager ("SDSM") 744
[0820] There are at least two ways that may be used for managing
secure database 600: [0821] a commercial database approach, and
[0822] a site record number approach.
[0823] Which way is chosen may be based on the number of records
that a VDE site stores in the secure database 610.
[0824] The commercial database approach uses a commercial database
to store securely wrappered records in a commercial database. This
way may be preferred when there are a large number of records that
are stored in the secure database 610. This way provides high speed
access, efficient updates, and easy integration to host systems at
the cost of resource usage (most commercial database managers use
many system resources).
[0825] The site record number approach uses a "site record number"
("SRN") to locate records in the system. This scheme is preferred
when the number of records stored in the secure database 610 is
small and is not expected to change extensively over time. This way
provides efficient resources use with limited update capabilities.
SRNs permit further grouping of similar data records to speed
access and increase performance.
[0826] Since VDE 100 is highly scalable, different electronic
appliances 600 may suggest one way more than the other. For
example, in limited environments like a set top, PDA, or other low
end electronic appliance, the SRN scheme may be preferred because
it limits the amount of resources (memory and processor) required.
When VDE is deployed on more capable electronic appliances 600 such
as desktop computers, servers and at clearinghouses, the commercial
database scheme may be more desirable because it provides high
performance in environments where resources are not limited.
[0827] One difference between the database records in the two
approaches is whether the records are specified using a full VDE ID
or SRN. To translate between the two schemes, a SRN reference may
be replaced with a VDE ID database reference wherever it occurs.
Similarly, VDE IDs that are used as indices or references to other
items may be replaced by the appropriate SRN value.
[0828] In the preferred embodiment, a commercially available
database manager 730 is used to maintain secure database 610. ROS
602 interacts with commercial database manager 730 through a
database driver 750 and a database interface 748. The database
interface 748 between ROS 602 and external, third party database
vendors' commercial database manager 730 may be an open standard to
permit any database vendor to implement a VDE compliant database
driver 750 for their products.
[0829] ROS 602 may encrypt each secure database 610 record so that
a VDE-provided security layer is "on top of" the commercial
database structure. In other words, SPE 736 may write secure
records in sizes and formats that may be stored within a database
record structure supported by commercial database manager 730.
Commercial database manager 730 may then be used to organize,
store, and retrieve the records. In some embodiments, it may be
desirable to use a proprietary and/or newly created database
manager in place of commercial database manager 730. However, the
use of commercial database manager 730 may provide certain
advantages such as, for example, an ability to use already existing
database management product(s).
[0830] The Secure Database Services Manager ("SDSM") 744 makes
calls to an underlying commercial database manager 730 to obtain,
modify, and store records in secure database 610. In the preferred
embodiment, "SDSM" 744 provides a layer "on top of" the structure
of commercial database manager 730. For example, all VDE-secure
information is sent to commercial database manager 730 in encrypted
form. SDSM 744 in conjunction with cache manager 746 and database
interface 748 may provide record management, caching (using cache
manager 746), and related services (on top of) commercial database
systems 730 and/or record managers. Database Interface 748 and
cache manager 746 in the preferred embodiment do not present their
own RSI, but rather the RPC Manager 732 communicates to them
through the Secure Database Manager RSI 744a.
Name Services Manager 752
[0831] The Name Services Manager 752 supports three subservices:
user name services, host name services, and services name services.
User name services provides mapping and lookup between user name
and user ID numbers, and may also support other aspects of
user-based resource and information security. Host name services
provides mapping and lookup between the names (and other
information, such as for example address, communications
connection/routing information, etc) of other processing resources
(eg, other host electronic appliances) and VDE node Ids. Services
name service provides a mapping and lookup between services names
and other pertinent information such as connection information (eg,
remotely available service routing and contact information) and
service IDs.
[0832] Name Services Manager 752 in the preferred embodiment is
connected to External Services Manager 772 so that it may provide
external service routing information directly to the external
services manager. Name services manager 752 is also connected to
secure database manager 744 to permit the name services manager 752
to access name services records stored within secure database
610.
External Services Manager 772 & Services Transport Layer
786
[0833] The External Services Manager 772 provides protocol support
capabilities to interface to external service providers. External
services manager 772 may, for example, obtain external service
routing information from name services manager 752, and then
initiate contact to a particular external service (e.g., another
VDE electronic appliance 600, a financial clearinghouse, etc.)
through communications manager 776. External services manager 772
uses a service transport layer 786 to supply communications
protocols and other information necessary to provide
communications.
[0834] There are several important examples of the use of External
Services Manager 772. Some VDE objects may have some or all of
their content stored at an Object Repository 728 on an electronic
appliance 600 other than the one operated by a user who has, or
wishes to obtain, some usage rights to such VDE objects. In this
case, External Services Manager 772 may manage a connection to the
electronic appliance 600 where the VDE objects desired (or their
content) is stored. In addition, file system 687 may be a network
file system (e.g., Netware, LANtastic, NFS, etc.) that allows
access to VDE objects using redirecter 684. Object switch 734 also
supports this capability.
[0835] If External Services Manager 772 is used to access VDE
objects, many different techniques are possible. For example, the
VDE objects may be formatted for use with the World Wide Web
protocols (HTML, HTTP, and TJRL) by including relevant headers,
content tags, host ID to URL conversion (e.g., using Name Services
Manager 752) and an HTTP-aware instance of Services Transport Layer
786.
[0836] In other examples, External Services Manager 772 may be used
to locate, connect to, and utilize remote event processing
services, smart agent execution services (both to provide these
services and locate them), certification services for Public Keys,
remote Name Services; and other remote functions either supported
by ROS 602 RPCs (e.g., have RSIs), or using protocols supported by
Services Transport Layer 786.
Outgoing Administrative Object Manager 754
[0837] Outgoing administrative object manager 754 receives
administrative objects from object switch 734, object repository
manager 770 or other source for transmission to another VDE
electronic appliance. Outgoing administrative object manager 754
takes care of sending the outgoing object to its proper
destination. Outgoing administrative object manager 754 may obtain
routing information from name services manager 752, and may use
communications service 776 to send the object. Outgoing
administrative object manager 754 typically maintains records (in
concert with SPE 503) in secure database 610 (e.g., shipping table
444) that reflect when objects have been successfully transmitted,
when an object should be transmitted, and other information related
to transmission of objects.
[0838] Incoming Administrative Object Manager 756
[0839] Incoming administrative object manager 756 receives
administrative objects from other VDE electronic appliances 600 via
communications manager 776. It may route the object to object
repository manager 770, object switch 734 or other destination.
Incoming administrative object manager 756 typically maintains
records (in concert with SPE 503) in secure database 610 (e.g.,
receiving table 446) that record which objects have been received,
objects expected for receipt, and other information related to
received and/or expected objects.
Object Repository Manager 770
[0840] Object repository manager 770 is a form of database or file
manager. It manages the storage of VDE objects 300 in object
repository 728, in a database, or in the file system 687. Object
repository manager 770 may also provide the ability to browse
and/or search information related to objects (such as summaries of
content, abstracts, reviewers' commentary, schedules, promotional
materials, etc.), for example, by using INFORMATION methods
associated with VDE objects 300.
Object Submittal Manager 774
[0841] Object submittal manager 774 in the preferred embodiment
provides an interface between an application 608 and object switch
734, and thus may be considered in some respects part of API 682.
For example, it may allow a user application to create new VDE
objects 300. It may also allow incoming/outgoing administrative
object managers 756, 754 to create VDE objects 300 (administrative
objects).
[0842] FIG. 12A shows how object submittal manager 774 may be used
to communicate with a user of electronic appliance 600 to help to
create a new VDE object 300. FIG. 12A shows that object creation
may occur in two stages in the preferred embodiment an object
definition stage 1220, and an object creation stage 1230. The role
of object submittal manager 174 is indicated by the two different
"user input" depictions (774(1), 774(2)) shown in FIG. 12A.
[0843] In one of its roles or instances, object submittal manager
774 provides a user interface 774a that allows the user to create
an object configuration file 1240 specifying certain
characteristics of a VDE object 300 to be created. This user
interface 774a may, for example, allow the user to specify that she
wants to create an object, allow the user to designate the content
the object will contain, and allow the user to specify certain
other aspects of the information to be contained within the object
(e.g., rules and control information, identifying information,
etc.).
[0844] Part of the object definition task 1220 in the preferred
embodiment may be to analyze the content or other information to be
placed within an object. Object definition user interface 774a may
issue calls to object switch 734 to analyze "content" or other
information that is to be included within the object to be created
in order to define or organize the content into "atomic elements"
specified by the user. As explained elsewhere herein, such "atomic
element" organizations might, for example, break up the content
into paragraphs, pages or other subdivisions specified by the user,
and might be explicit (e.g., inserting a control character between
each "atomic element") or implicit. Object switch 734 may receive
static and dynamic content (e.g., by way of time independent stream
interface 762 and real time stream interface 760), and is capable
of accessing and retrieving stored content or other information
stored within file system 687.
[0845] The result of object definition 1240 may be an object
configuration file 1240 specifying certain parameters relating to
the object to be created. Such parameters may include, for example,
map tables, key management specifications, and event method
parameters. The object construction stage 1230 may take the object
configuration file 1240 and the information or content to be
included within the new object as input, construct an object based
on these inputs, and store the object within object repository
728.
[0846] Object construction stage 1230 may use information in object
configuration file 1240 to assemble or modify a container. This
process typically involves communicating a series of events to SPE
503 to create one or more PERCs 808, public headers, private
headers, and to encrypt content, all for storage in the new object
300 (or within secure database 610 within records associated with
the new object).
[0847] The object configuration file 1240 may be passed to
container manager 764 within object switch 734. Container manager
734 is responsible for constructing an object 300 based on the
object configuration file 1240 and further user input. The user may
interact with the object construction 1230 through another instance
774(2) of object submittal manager 774. In this further user
interaction provided by object submittal manager 774, the user may
specify permissions, rules and/or control information to be applied
to or associated with the new object 300. To specify permissions,
rules and control information, object submittal manager 774 and/or
container manager 764 within object switch 734 generally will, as
mentioned above, need to issue calls to SPE 503 (e.g., through
gateway 734) to cause the SPE to obtain appropriate information
from secure database 610, generate appropriate database items, and
store the database items into the secure database 610 and/or
provide them in encrypted, protected form to the object switch for
incorporation into the object. Such information provided by SPE 503
may include, in addition to encrypted content or other information,
one or more PERCs 808, one or more method cores 1000', one or more
load modules 1100, one or more data structures such as UDEs 1200
and/or MDEs 1202, along with various key blocks, tags, public and
private headers, and error correction information.
[0848] The container manager 764 may, in cooperation with SPE 503,
construct an object container 302 based at least in part on
parameters about new object content or other information as
specified by object configuration file 1240. Container manager 764
may then insert into the container 302 the content or other
information (as encrypted by SPE 503) to be included in the new
object. Container manager 764 may also insert appropriate
permissions, rules and/or control information into the container
302 (this permissions, rules and/or control information may be
defined at least in part by user interaction through object
submittal manager 774, and may be processed at least in part by SPE
503 to create secure data control structures). Container manager
764 may then write the new object to object repository 687, and the
user or the electronic appliance may "register" the new object by
including appropriate information within secure database 610.
Communications Subsystem 776
[0849] Communications subsystem 776, as discussed above, may be a
conventional communications service that provides a network manager
780 and a mail gateway manager 782. Mail filters 784 may be
provided to automatically route objects 300 and other VDE
information to/tom the outside world. Communications subsystem 776
may support a real time content feed 684 from a cable, satellite or
other telecommunications link
Secure Processing Environment 503
[0850] As discussed above in connection with FIG. 12, each
electronic appliance 600 in the preferred embodiment includes one
or more SPEs 503 and/or one or more HPEs 655. These secure
processing environments each provide a protected execution space
for performing tasks in a secure manner. They may fulfill service
requests passed to them by ROS 602, and they may themselves
generate service requests to be satisfied by other services within
ROS 602 or by services provided by another VDE electronic appliance
600 or computer.
[0851] In the preferred embodiment, an SPE 503 is supported by the
hardware resources of an SPU 500. An HPE 655 may be supported by
general purpose processor resources and rely on software techniques
for security/protection. HPE 655 thus gives ROS 602 the capability
of assembling and executing certain component assemblies 690 on a
general purpose CPU such as a microcomputer, minicomputer,
mainframe computer or supercomputer processor. In the preferred
embodiment, the overall software architecture of an SPE 503 may be
the same as the software architecture of an HPE 655. An HPE 655 can
"emulate" SPE 503 and associated SPU 500, i.e., each may include
services and resources needed to support an identical set of
service requests from ROS 602 (although ROS 602 may be restricted
from sending to an HPE certain highly secure tasks to be executed
only within an SPU 500).
[0852] Some electronic appliance 600 configurations might, include
both an SPE 503 and an HPE 655. For example, the HPE 655 could
perform tasks that need lesser (or no) security protections, and
the SPE 503 could perform all tasks that require a high degree of
security. This ability to provide serial or concurrent processing
using multiple SPE and/or HPE arrangements provides additional
flexibility, and may overcome limitations imposed by limited
resources that can practically or cost-effectively be provided
within an SPU 500. The cooperation of an SPE 503 and an EPE 655
may, in a particular application, lead to a more efficient and cost
effective but nevertheless secure overall processing environment
for supporting and providing the secure processing required by VDE
100. As one example, an HPE 655 could provide overall processing
for allowing a user to manipulate released object 300 `contents,`
but use SPE 503 to access the secure object and release the
information from the object.
[0853] FIG. 13 shows the software architecture of the preferred
embodiment Secure Processing Environment (SPE) 503. This
architecture may also apply to the preferred embodiment Host,
Processing Environment (HPE) 655. "Protected Processing
Environment" ("PPE") 650 may refer generally to SPE 503 and/or HPE
655. Hereinafter, unless context indicates otherwise, references to
any of "PPE 650," "HPE 655" and "SPE 503" may refer to each of
them.
[0854] As shown in FIG. 13, SPE 503 (PPE 650) includes the
following service managers/major functional blocks in the preferred
embodiment: [0855] Kernel/Dispatcher 552 [0856] Channel Services
Manager 562 [0857] SPE RPC Manager 550' [0858] Time Base Manager
554 [0859] Encryption/Decryption Manager 556 [0860] Key and Tag
Manager 558 [0861] Summary Services Manager 560 [0862]
Authentication Manager/Service Communications [0863] Manager 564
[0864] Random Value Generator 565 [0865] Secure Database Manager
566 [0866] Other Services 592.
[0867] Each of the major functional blocks of PPE 650 is discussed
in detail below.
I. SPE Kernel/Dispatcher 552
[0868] The Kernel/Dispatcher 552 provides an operating system
"kernel" that runs on and manages the hardware resources of SPU
500. This operating system "kernel" 552 provides a self-contained
operating system for SPU 500; it is also a part of overall ROS 602
(which may include multiple OS kernels, including one for each SPE
and HPE ROS is controlling/managing). Kernel/dispatcher 552
provides SPU task and memory management, supports internal, SPU
hardware interrupts, provides certain "low level services," manages
"DTD" data structures, and manages the SPU bus interface unit 530.
Kernel/dispatcher 552 also includes a load module execution manager
568 that can load programs into secure execution space for
execution by SPU 500.
[0869] In the preferred embodiment, kernel/dispatcher 552 may
include the following software/functional components: [0870] load
module execution manager 568 [0871] task manager 576 [0872] memory
manager 578 [0873] virtual memory manager 580 [0874] "low level"
services manager 582 [0875] internal interrupt handlers 584 [0876]
BIU handler 586 (may not be present in HPE 655) [0877] Service
interrupt queues 588 [0878] DTD Interpreter 590.
[0879] At least parts of the kernel/dispatcher 552 are preferably
stored in SPU firmware loaded into SPU ROM 532. An example of a
memory map of SPU ROM 532 is shown in FIG. 14A. This memory map
shows the various components of kernel/dispatcher 552 (as well as
the other SPE services shown in FIG. 13) residing in SPU ROM 532a
and/or EEPROM 532b. The FIG. 14B example of an NVRAM 534b memory
map shows the task manager 576 and other information loaded into
NVRAM.
[0880] One of the functions performed by kernel/dispatcher 552 is
to receive RPC calls from ROS RPC manager 732. As explained above,
the ROS Kernel RPC manager 732 can route RPC calls to the SPE 503
(via SPE Device Driver 736 and its associated RSI 736a) for action
by the SPE. The SPE kernel/dispatcher 552 receives these calls and
either handles them or passes them on to SPE RPC manager 550 for
routing internally to SPE 503. SPE 503 based processes can also
generate RPC requests. Some of these requests can be processed
internally by the SPE 503. If they are not internally serviceable,
they may be passed out of the SPE 503 through SPE kernel/dispatcher
552 to ROS RPC manager 732 for routing to services external to SPE
503.
[0881] A. Kernel/Dispatcher Task Management
[0882] Kernel/dispatcher task manager 576 schedules and oversees
tasks executing within SPE 503 (PPE 650). SPE 503 supports many
types of tasks. A "channel" (a special type of task that controls
execution of component assemblies 690 in the preferred` embodiment)
is treated by task manager 576 as one type of task. Tasks are
submitted to the task manager 576 for execution. Task manager 576
in turn ensures that the SPE 503/SPU 500 resources necessary to
execute the tasks are made available, and then arranges for the SPU
microprocessor 520 to execute the task.
[0883] Any call to kernel/dispatcher 552 gives the kernel an
opportunity to take control of SPE 503 and to change the task or
tasks that are currently executing. Thus, in the preferred
embodiment kernel/dispatcher task manager 576 may (in conjunction
with virtual memory manager 580 and/or memory manager 578) "swap
out" of the execution space any or all of the tasks that are
currently active, and "swap in" additional or different tasks.
[0884] SPE tasking managed by task manager 576 may be either
"single tasking" (meaning that only one task may be active at a
time) or "multi-tasking" (meaning that multiple tasks may be active
at once). SPE 503 may support single tasking or multi-tasking in
the preferred embodiment. For example, "high end" implementations
of SPE 503 (e.g., in server devices) should preferably include
multi-tasking with "preemptive scheduling." Desktop applications
may be able to use a simpler SPE 503, although they may still
require concurrent execution of several tasks. Set top applications
may be able to use a relatively simple implementation of SPE 503,
supporting execution of only one task at a time. For example, a
typical set top implementation of SPU 500 may perform simple
metering, budgeting and billing using subsets of VDE methods
combined into single "aggregate" load modules to permit the various
methods to execute in a single tasking environment. However, an
execution environment that supports only single tasking may limit
use with more complex control structures. Such single tasking
versions of SPE 503 trade flexibility in the number and types of
metering and budgeting operations for smaller run time RAM size
requirements. Such implementations of SPE 503 may (depending upon
memory limitations) also be limited to metering a single object 300
at a time. Of course, variations or combinations are possible to
increase capabilities beyond a simple single tasking environment
without incurring the additional cost required to support "full
multitasking."
[0885] In the preferred embodiment, each task in SPE 503 is
represented by a "swap block," which may be considered a "task" in
a traditional multitasking architecture A "swap block" in the
preferred embodiment is a bookkeeping mechanism, used by task
manager 576 to keep track of tasks and subtasks. It corresponds to
a chunk of code and associated references that "fits" within the
secure execution environment provided by SPU 500. In the preferred
embodiment, it contains a list of references to shared data
elements (e.g., load modules 1100 and UDEs 1200), private data
elements (e.g., method data and local stack), and swapped process
"context" information (e.g., the register set for the process when
it is not processing). FIG. 14C shows an example of a snapshot of
SPU RAM 532 storing several examples of "swap blocks" for a number
of different tasks/methods such as a "channel" task, a "control"
task, an "event" task, a "meter" task, a "budget" task, and a
"billing" task. Depending on the size of SPU RAM 532, "swap blocks"
may be swapped out of RAM and stored temporarily on secondary
storage 652 until their execution can be continued. Thus, SPE 503
operating in a multi-tasking mode may have one or more tasks
"sleeping." In the simplest form, this involves an active task that
is currently processing, and another task (e.g., a control task
under which the active task may be running) that is "sleeping" and
is "swapped out" of active execution space. Kernel/dispatcher 522
may swap out tasks at any time.
[0886] Task manager 576 may use Memory Manager 578 to help it
perform this swapping operation. Tasks may be swapped out of the
secure execution space by reading appropriate information from RAM
and other storage internal to SPU 500, for example, and writing a
"swap block" to secondary storage 652. Kernel 552 may swap a task
back into the secure execution space by reading the swap block from
secondary storage 652 and writing the appropriate information back
into SPU RAM 532. Because secondary storage 652 is not secure, SPE
503 must encrypt and cryptographically seal (e.g., using a one-way
bash function initialized with a secret value known only inside the
SPU 500) each swap block before it writes it to secondary storage.
The SPE 503 must decrypt and verify the cryptographic seal for each
swap block read from secondary storage 652 before the swap block,
can be returned to the secure execution space for further
execution.
[0887] Loading a "swap block" into SPU memory may require one or
more "paging operations" to possibly first save, and then flush,
any "dirty pages" (i.e., pages changed by SPE 503) associated with
the previously loaded swap blocks, and to load all required pages
for the new swap block context.
[0888] Kernel/dispatcher 522 preferably manages the "swap block"
using service interrupt queues 588. These service interrupt queues
588 allow kernel/dispatcher 552 to track tasks (swap blocks) and
their status (running, "swapped out," or "asleep"). The
kernel/dispatcher 552 in the preferred embodiment may maintain the
following service interrupt queues 588 to help it manage the "swap
blocks": [0889] RUN queue [0890] SWAP queue [0891] SLEEP queue.
[0892] Those tasks that are completely loaded in the execution
space and are waiting for and/or using execution cycles from
microprocessor 502 are in the RUN queue. Those tasks that are
"swapped" out (e.g., because they are waiting for other swappable
components to be loaded) are referenced in the SWAP queue. Those
tasks that are "asleep" (e.g., because they are "blocked" on some
resource other than processor cycles or are not needed at the
moment) are referenced in the SLEEP queue. Kernel/dispatcher task
manager 576 may, for example, transition tasks between the RUN and
SWAP queues based upon a "round-robin" scheduling algorithm that
selects the next task waiting for service, swaps in any pieces that
need to be paged in, and executes the task. Kernel/dispatcher 552
task manager 576 may transition tasks between the SLEEP queue and
the "awake" (i.e., RUN or SWAP) queues as needed;
[0893] When two or more tasks try to write to the same data
structure in a multi-tasking environment, a situation exists that
may result in "deadly embrace" or "task starvation." A
"multi-threaded" tasking arrangement may be used to prevent "deadly
embrace" or "task starvation" from happening. The preferred
embodiment kernel/dispatcher 552 may support "single threaded" or
"multi-threaded" tasking.
[0894] In single threaded applications, the kernel/dispatcher 552
"locks" individual data structures as they are loaded. Once locked,
no other SPE 503 task may load them and will "block" waiting for
the data structure to become available. Using a single threaded SPE
503 may, as a practical matter, limit the ability of outside
vendors to create load modules 1100 since there can be no assurance
that they will not cause a "deadly embrace" with other VDE
processes about which outside vendors may know little or nothing.
Moreover, the context swapping of a partially updated record might
destroy the integrity of the system, permit unmetered use, and/or
lead to deadlock. In addition, such "locking" imposes a potentially
indeterminate delay into a typically time critical process, may
limit SPE 503 throughput, and may increase overhead.
[0895] This issue notwithstanding, there are other significant
processing issues related to building single-threaded versions of
SPE 503 that may limit its usefulness or capabilities under some
circumstances. For example, multiple concurrently executing tasks
may not be able to process using the same often-needed data
structure in a single-threaded SPE 503. This may effectively limit
the number of concurrent tasks to one. Additionally,
single-threadedness may eliminate the capability of producing
accurate summary budgets based on a number of concurrent tasks
since multiple concurrent tasks may not be able to effectively
share the same summary budget data structure. Single-threadedness
may also eliminate the capability to support audit processing
concurrently with other processing. For example, real-time feed
processing might have to be shut down in order to audit budgets and
meters associated with the monitoring process.
[0896] One way to provide a more workable "single-threaded"
capability is for kernel/dispatcher 552 to use virtual page
handling, algorithms to track "dirty pages" as data areas are
written to. The "dirty pages" can be swapped in and out with the
task swap block as part of local data associated with the, swap
block. When a task exits, the "dirty pages" can be merged with the
current data structure (possibly updated by another task for SPU
500) using a three-way merge algorithm (i.e., merging the original
data structure, the current data structure, and the "dirty pages"
to form a new current data structure). During the update process,
the data structure can be locked as the pages are compared and
swapped. Even though this virtual paging solution might be workable
for allowing single threading in some applications, the vendor
limitations mentioned above may limit the use of such-single
threaded implementations in some cases to dedicated hardware. Any
implementation that supports multiple users (e.g., "smart home" set
tops, many desk tops and certain PDA applications, etc.) may hit
limitations of a single threaded device in certain
circumstances.
[0897] It is preferable when these limitations are unacceptable to
use a full "multi-threaded" data structure write capabilities. For
example, a type of "two-phase commit" processing of the type used
by database vendors may be used to allow data structure sharing
between processes. To implement this "two-phase commit" process,
each swap block may contain page addresses for additional memory
blocks that will be used to store changed information. A change
page is a local copy of a piece of a data element that has been
written by an SPE process. The changed page(s) references
associated with a specific data structure are stored locally to the
swap block in the preferred embodiment.
[0898] For example, SPE 503 may support two (change pages) per data
structure. This limit is easily alterable by changing the size of
the swap block structure and allowing the update algorithm to
process all of the changed pages. The "commit" process can be
invoked when a swap block that references changed pages is about to
be discarded. The commit process takes the original data element
that was originally loaded (e.g., UDE.sub.0), the current data
element (e.g., UDE.sub.n) and the changed pages, and merges them to
create a new copy of the data element (e.g., UDE.sub.n+1).
Differences can be resolved by the DTD interpreter 590 using a DTD
for the data element. The original data element is discarded (e.g.,
as determined by its DTD use count) if no other swap block
references it.
[0899] B. Kernel/Dispatcher Memory Management
[0900] Memory manager 578 and virtual memory manager 580 in the
preferred embodiment manage ROM 532 and RAM 534 memory within SPU
500 in the preferred embodiment Virtual memory manager 580 provides
a fully "virtual" memory system to increase the amount of "virtual"
RAM available in the SPE secure execution space beyond the amount
of physical RAM 534a provided by SPU 500. Memory manager 578
manages the memory in the secure execution space, controlling how
it is accessed, allocated and deallocated. SPU MMU 540, if present,
supports virtual memory manager 580 and memory manager 578 in the
preferred embodiment. In some "minimal" configurations of SPT 500
there may be no virtual memory capability and all memory management
functions will be handled by memory manager 578. Memory management
can also be used to help enforce the security provided by SPE 503.
In some classes of SPUs 500, for example, the kernel memory manager
578 may use hardware memory management unit (MMU) 540 to provide
page level protection within the SPU 500. Such a hardware-based
memory management system provides an effective mechanism for
protecting VDE component assemblies 690 from compromise by "rogue"
load modules.
[0901] In addition, memory management provided by memory manager
578 operating at least in part based on hardware-based MMU 540 may
securely implement and enforce a memory architecture providing
multiple protection domains. In such an architecture, memory is
divided into a plurality of domains that are largely isolated from
each other and share only specific memory areas under the control
of the memory manager 578. An executing process cannot access
memory outside its domain and can only communicate with other
processes through services provided by and mediated by privileged
kernel/dispatcher software 552 within the SPU 500. Such an
architecture is more secure if it is enforced at least in part by
hardware within MMU 540 that cannot be modified by any
software-based process executing within SPU 500.
[0902] In the preferred embodiment, access to services implemented
in the ROM 532 and to physical resources such as NVRAM 534b and RTC
528 are mediated by the combination of privileged kernel/dispatcher
software 552 and hardware within MMU 540. ROM 532 and RTC 528
requests are privileged in order to protect access to critical
system component routines (e.g., RTC 528).
[0903] Memory manager 578 is responsible for allocating and
deallocating memory; supervising sharing of memory resources
`between processes; and enforcing memory access/use restriction.
The SPE kernel/dispatcher memory manager 578 typically initially
allocates all memory to kernel 552, and may be configured to permit
only process-level access to pages as they are loaded by a specific
process. In one example SPE operating system configuration, memory
manager 578 allocates memory using a simplified allocation
mechanism. A list of each memory page accessible in SPE 503 may be
represented using a bit map allocation vector, for example. In a
memory block, a group of contiguous memory pages may start at a
specific page number. The size of the block is measured by the
number of memory pages it spans. Memory allocation may be recorded
by setting/clearing the appropriate bits in the allocation
vector.
[0904] To assist in memory management functions, a "dope vector"
may be prepended to a memory block. The "dope vector" may contain
information allowing memory manager 578 to manage that memory
block. In its simplest form, a memory block may be structured as a
"dope vector" followed by the actual memory area of the block. This
"dope vector" may include the block number, support for dynamic
paging of data elements, and a marker to detect memory overwrites.
Memory manager 578 may track memory blocks by their block number
and convert the block number to an address before use. All accesses
to the memory area can be automatically offset by the size of the
"dope vector" during conversion from a block memory to a physical
address. "Dope vectors" can also be used by virtual memory manager
580 to help manage virtual memory.
[0905] The ROM 532 memory management task performed by memory
manager 578 is relatively simple in the preferred embodiment. All
ROM 532 pages may be flagged as "read only" and as "non-pagable."
EEPROM 532B memory management may be slightly more complex since
the "burn count" for each EEPROM page may need to be retained. SPU
EEPROM 532B may need to be protected from all uncontrolled writes
to conserve the limited writable lifetime of certain types of this
memory. Furthermore, EEPROM pages may in some cases not be the same
size as memory management address pages.
[0906] SPU NVRAM 534b is preferably battery backed RAM that has a
few access restrictions. Memory manager 578 can ensure control
structures that must be located in NVRAM 534b are not relocated
during "garbage collection" processes. As discussed above, memory
manager 578 (and MMU 540 if present) may protect NVRAM 534b and RAM
534a at a page level to prevent tampering by other processes.
[0907] Virtual memory manager 580 provides paging for programs and
data between SPU external memory and SPU internal RAM 534a. It is
likely that data structures and executable processes will exceed
the limits of any SPU 500 internal memory. For example, PERCs 808
and other fundamental control structures may be fairly large, and
"bit map meters" may be, or become, very large. This eventuality
may be addressed in two ways: [0908] (1) subdividing load modules
1100; and [0909] (2) supporting virtual paging.
[0910] Load modules 1100 can be "subdivided" in that in many
instances they can be broken up into separate components only a
subset of which must be loaded for execution. Load modules 1100 are
the smallest pagable executable element in this example. Such load
modules 1100 can be broken up into separate components (e.g.,
executable code and plural data description blocks), only one of
which must be loaded for simple load modules to execute. This
structure permits a load module 1100 to initially load only the
executable code and to load the data description blocks into the
other system pages on a demand basis. Many load modules 1100 that
have executable sections that are too large to fit into SPU 500 can
be restructured into two or more smaller independent load modules.
Large load modules may be manually "split" into multiple load
modules that are "chained" together using explicit load module
references.
[0911] Although "demand paging" can be used to relax some of these
restrictions, the preferred embodiment uses virtual paging to
manage large data structures and executables. Virtual Memory
Manager 580 "swaps" information (e.g., executable code and/or data
structures) into and out of SPU RAM 534a, and provides other
related virtual memory management services to allow a full virtual
memory management capability. Virtual memory management may be
important to allow limited resource SPU 500 configurations to
execute large and/or multiple tasks.
[0912] C. SPE Load Module Execution Manager 568
[0913] The SPE (HPE) load module execution manager ("LMEM") 568
loads executables into the memory managed by memory manager 578 and
executes them. LMEM 568 provides mechanisms for tracking load
modules that are currently loaded inside the protected execution
environment. LMEM 568 also provides access to basic load modules
and code fragments stored within, and thus always available to, SPE
503. LMEM 568 may be called, for example, by load modules 1100 that
want to execute other load modules.
[0914] In the preferred embodiment, the load module execution
manager 568 includes a load module executor ("program loader") 570,
one or more internal load modules 572, and library routines 574.
Load module executor 570 loads executables into memory (eg, after
receiving a memory allocation from memory manager 578) for
execution. Internal load module library 572 may provide a set of
commonly used basic load modules 1100 (stored in ROM 532 or NVRAM
534b, for example). Library routines 574 may provide a set of
commonly used code fragments/routines (e.g., bootstrap routines)
for execution by SPE 503.
[0915] Library routines 574 may provide a standard set of library
functions in ROM 532. A standard list of such library functions
along with their entry points and parameters may be used. Load
modules 1100 may call these routines (e.g., using an interrupt
reserved for this purpose). Library calls may reduce the size of
load modules by moving commonly used code into a central location
and permitting a higher degree of code reuse. All load modules 1100
for use by SPE 503 are preferably referenced by a load module
execution manager 568 that maintains and scans a list of available
load modules and selects the appropriate load module for execution.
If the load module is not present within SPE 503, the task is
"slept and LMEM 568 may request that the load module 1100 be loaded
from secondary storage 562. This request may be in the form of an
RPC call to secure database manager 566 to retrieve the load module
and associated data structures, and a call to encrypt/decrypt
manager 556 to decrypt the load module before storing it in memory
allocated by memory manager 578.
[0916] In somewhat more detail, the preferred embodiment executes a
load module 1100 by passing the load module execution manager 568
the name (e.g., VDE ID) of the desired load module 1100. LMEM 568
first searches the list of "in memory" and "built-in" load modules
572. If it cannot find the desired load module 1100 in the list, it
requests a copy from the secure database 610 by issuing an RPC
request that may be handled by ROS secure database manager 744
shown in FIG. 12. Load module execution manager 568 may then
request memory manager 578 to allocate a memory page to store the
load module 1100. The load module execution manager 568 may copy
the load module into that memory page, and queue the page for
decryption and security checks by encrypt/decrypt manager 556 and
key and tag manager 558. Once the page is decrypted and checked,
the load module execution manager 568 checks the validation tag and
inserts the load module into the list of paged in modules and
returns the page address to the caller. The caller may then call
the load module 1100 directly or allow the load module execution
module 570 to make the call for it.
[0917] FIG. 15a shows a detailed example of a possible format for a
channel header 596 and a channel 594 containing channel detail
records 594(1), 594(2), . . . 594(N). Channel header 596 may
include a channel ID field 597(1), a user ID field 597(2), an
object ID field 597(3), a field containing a reference or other
identification to a "right" (i.e., a collection of events supported
by methods referenced in a PERC 808 and/or "user rights table" 464)
597(4), an event queue 597(5), and one or more fields 598 that
cross-reference particular event codes with channel detail records
("CDRs"). Channel header 596 may also include a "jump" or reference
table 599 that permits addressing of elements within an associated
component assembly or assemblies 690. Each CDR 594(1), . . . 594(N)
corresponds to a specific event (event code) to which channel 594
may respond. In the preferred embodiment, these CDRs may include
explicitly and/or by reference each method core 1000' (or fragment
thereof), load module 1100 and data structure(s), (e.g., URT, UDE
1200 and/or MDE 1202) needed to process the corresponding event. In
the preferred embodiment, one or more of the CDRS (e.g., 594(1))
may reference a control method and a URT 464 as a data
structure.
[0918] FIG. 15b shows an example of program control steps performed
by SPE 503 to "open" a channel 594 in the preferred embodiment. In
the preferred embodiment, a channel 594 provides event processing
for a particular VDE object 300, a particular authorized user, and
a particular "right" (i.e., type of event). These three parameters
may be passed to SPE 503. Part of SPE kernel/dispatcher 552
executing within a "channel 0" constructed by low level services
582 during a "bootstrap" routine may respond initially to this
"open channel" event by allocating an available channel supported
by the processing resources of SPE 503 (block 1125). This "channel
0" "open channel" task may then issue a series of requests to
secure database manager 566 to obtain the "blueprint" for
constructing one or more component assemblies 690 to be associated
with channel 594 (block 1127). In the preferred embodiment, this
"blueprint" may comprise a PERC 808 and/or URT 464. In may be
obtained by using the "Object, User, Right" parameters passed to
the "open channel" routine to "chain" together object registration
table 460 records, user/object table 462 records, URT 464 records,
and PERC 808 records. This "open channel" task may preferably place
calls to key and tag manager 558 to validate and correlate the tags
associated with these various records to ensure that they are
authentic and match. The preferred embodiment process then may
write appropriate information to channel header 596 (block 1129).
Such information may include, for example, User ID, Object ED, and
a reference to the "right" that the channel will process. The
preferred embodiment process may next use the "blueprint" to access
(e.g., the secure database manager 566 and/or from load module
execution manager library(ies) 568) the appropriate "control
method" that may be used to, in effect, supervise execution of all
of the other methods 1000 within the channel 594 (block 1131). The
process may next "bind" this control method to the channel (block
1133), which step may include binding information from a URT 464
into the channel as a data structure for the control method. The
process may then pass an "initialization" event into channel 594
(block 1135). This "initialization" event may be created by the
channel services manager 562, the process that issued the original
call requesting a service being fulfilled by the channel being
built, or the control method just bound to the channel could itself
possibly generate an initialization event which it would iii effect
pass to itself.
[0919] In response to this "initialization" event, the control
method may construct the channel detail records 594(1), . . .
594(N) used to handle further events other than the
"initialization" event. The control method executing "within" the
channel may access the various components it needs to construct
associated component assemblies 690 based on the "blueprint"
accessed at step 1127 (block 1137). Each of these components is
bound to the channel 594 (block 1139) by constructing an associated
channel detail record specifying the method core(s) 1000', load
module(s) 1100, and associated data structure(s) (e g, UDE(s) 1200
and/or MDE(s) 1202) needed to respond to the event. The number of
channel detail records will depend on the number of events that can
be serviced by the "right," as specified by the "blueprints (i.e.,
URT 464). During this process, the control method will construct
"swap blocks" to, in effect, set up all required tasks and obtain
necessary memory allocations from kernel 562. The control method
will, as necessary, issue calls to secure database manager 566 to
retrieve necessary components from secure database 610, issue calls
to encrypt/decrypt manager 556 to decrypt retrieved encrypted
information, and issue calls to key and tag manager 558 to ensure
that all retrieved components are validated. Each of the various
component assemblies 690 so constructed are "bound" to the channel
through the channel header event code/pointer records 598 and by
constructing appropriate swap blocks referenced by channel detail
records 594(1), . . . 594(N). When this process is complete, the
channel 594 has been completely constructed and is ready to respond
to further events. As a last step, the FIG. 15b process may, if
desired, deallocate the "initialization" event task in order to
free up resources.
[0920] Once a channel 594 has been constructed in this fashion, it
will respond to events as they arrive. Channel services manager 562
is responsible for dispatching events to channel 594. Each time a
new event arrives (e.g., via an RPC call), channel services manager
562 examines the event to determine whether a channel already
exists that is capable of processing it. If a channel does exist,
then the channel services manager 562 passes the event to that
channel. To process the event, it may be necessary for task manager
576 to "swap in" certain "swappable blocks" defined by the channel
detail records as active tasks. In this way, executable component
assemblies 690 formed during the channel open process shown in FIG.
15b are placed into active secure execution space, the particular
component assembly that is activated being selected in response to
the received event code. The activated task will then perform its
desired function in response to the event.
[0921] To destroy a channel, the various swap blocks defined by the
channel detail records are destroyed, the identification
information in the channel header 596 is wiped clean, and the
channel is made available for re-allocation by the "channel 0"
"open channel" task.
[0922] D. SPE Interrupt Handlers 584
[0923] As shown in FIG. 13, kernel/dispatcher 552 also provides
internal interrupt handler(s) 584. These help to manage the
resources of SPU 500. SPU 500 preferably executes in either
"interrupt" or "polling" mode for all significant components. In
polling mode, kernel/dispatcher 552 may poll each of the
sections/circuits within SPU 500 and emulate an interrupt for them.
The following interrupts are preferably supported by SPU 500 in the
preferred embodiment: [0924] "tick" of RTC 528 [0925] interrupt
from bus interface 530 [0926] power fail interrupt [0927] watchdog
timer interrupt [0928] interrupt from encrypt/decrypt engine 522
[0929] memory interrupt (e.g., from MMU 540).
[0930] When an interrupt occurs, an interrupt controller within
microprocessor 520 may cause the microprocessor to begin executing
an appropriate interrupt handler. An interrupt handler is a piece
of software/firmware provided by kernel/dispatcher 552 that allows
microprocessor 520 to perform particular functions upon the
occurrence of an interrupt. The interrupts may be "vectored" so
that different interrupt sources may effectively cause different
interrupt handlers to be executed.
[0931] A "timer tick" interrupt is generated when the real-time RTC
528 "pulses". The timer tick interrupt is processed by a timer tick
interrupt handler to calculate internal device date/time and to
generate timer events for channel processing.
[0932] The bus interface unit 530 may generate a series of
interrupts. In the preferred embodiment, bus interface 530, modeled
after a USART, generates interrupts for various conditions (e.g.,
"receive buffer full," "transmitter buffer empty," and "status word
change"). Kernel/dispatcher 552 services the transmitter buffer
empty interrupt by sending the next character from the transmit
queue to the bus interface 530. Kernel/dispatcher interrupt handler
584 may service the received buffer full interrupt by reading a
character, appending it to the current buffer, and processing the
buffer based on the state of the service engine for the bus
interface 530. Kernel/dispatcher 552 preferably processes a status
word change interrupt and addresses the appropriate send/receive
buffers accordingly.
[0933] SPU 500 generates a power fail interrupt when it detects an
imminent power fail condition. This may require immediate action to
prevent loss of information. For example, in the preferred
embodiment, a power fail interrupt moves all recently written
information (i.e., "dirty pages") into non-volatile NVRAM 534b,
marks all swap blocks as "swapped out," and sets the appropriate
power fail flag to facilitate recovery processing.
Kernel/dispatcher 552 may then periodically poll the "power fail
bit" in a status word until the data is cleared or the power is
removed completely.
[0934] SPU 500 in the example includes a conventional watchdog
timer that generates watchdog timer interrupts on a regular basis.
A watchdog timer interrupt handler performs internal device checks
to ensure that tampering is not occurring. The internal clocks of
the watchdog timer and RTC 528 are compared to ensure SPU 500 is
not being paused or probed, and other internal checks on the
operation of SPU 500 are made to detect tampering.
[0935] The encryption/decryption engine 522 generates an interrupt
when a block of data has been processed. The kernel interrupt
handler 584 adjusts the processing status of the block being
encrypted or decrypted, and passes the block to the next stage of
processing. The next block scheduled for the encryption service
then has its key moved into the encrypt/decrypt engine 522, and the
next cryptographic process started.
[0936] A memory management unit 540 interrupt is generated when a
task attempts to access memory outside `the areas assigned to it. A
memory management interrupt handler traps the request, and takes
the necessary action (e.g., by initiating a control transfer to
memory manager 578 and/or virtual memory manager 580). Generally,
the task will be failed, a page fault exception will be generated,
or appropriate virtual memory page(s) will be paged in.
[0937] E. Kernel/Dispatcher Low Level Services 582
[0938] Low level services 582 in the preferred embodiment provide
"low level" functions. These functions in the preferred embodiment
may include, for example, power-on initialization, device POST, and
failure recovery routines. Low level services 582 may also in the
preferred embodiment provide (either by themselves or in
combination with authentication manager/service communications
manager 564) download response-challenge and authentication
communication protocols, and may provide for certain low level
management of SPU 500 memory devices such as EEPROM and FLASH
memory (either alone or in combination with memory manager 578
and/or virtual memory manager 580).
[0939] F. Kernel/Dispatcher BIU handler 586
[0940] BIU handler 586 in the preferred embodiment manages the bus
interface unit 530 (if present). It may, for` example, maintain
read and write buffers for the BIU 530, provide BIU startup
initialization, etc.
[0941] G. Kernel/Dispatcher DTD Interpreter 690
[0942] DTD interpreter 590 in the preferred embodiment handles data
formatting issues. For example, the DTD interpreter 590 may
automatically open data structures such as UDEs 1200 based on
formatting instructions contained within DTDs.
[0943] The SPE kernel/dispatcher 552 discussed above supports all
of the other services provided by SPE 503. Those other services
are, discussed below.
II. SPU Channel Services Manager 562
[0944] "Channels" are the basic task processing mechanism of SPE
503 (HPE 655) in the preferred embodiment. ROS 602 provides an
event-driven interface for "methods." A "channel" allows component
assemblies 690 to service events. A "channel" is a conduit for
passing "events" from services supported by SPE 503 (HPE 655) to
the various methods and load modules that have been specified to
process these events, and also supports the assembly of component
assemblies 690 and interaction between component assemblies. In
more detail, "channel" 594 is a data structure maintained by
channel manager 593 that "binds" together one or more load modules
1100 and data structures (e.g., UDEs 1200 and/or MDEs 1202) into a
component assembly 690. Channel services manager 562 causes load
module execution manager 569 to load the component assembly 690 for
execution, and may also be responsible for passing events into the
channel 594 for response by a component assembly 690. In the
preferred embodiment, event processing is handled as a message to
the channel service manager 562.
[0945] FIG. 15 is a diagram showing how the preferred embodiment
channel services manager 562 constructs a "channel" 594, and also
shows the relationship between the channel and component assemblies
690. Briefly, the SPE channel manager 562 establishes a "channel"
594 and an associated "channel header" 596. The channel 594 and its
header 596 comprise a data structure that "binds" or references
elements of one or more component assemblies 690. Thus, the channel
594 is the mechanism in the preferred embodiment that collects
together or assembles the elements shown in FIG. 11E into a
component assembly 690 that may be used for event processing.
[0946] The channel 594 is set up by the channel services manager
562 in response to the occurrence of an event. Once the channel is
created, the channel services manager 562 may issue function calls
to load module execution manager 568 based on the channel 594. The
load module execution manager 568 loads the load modules 1100
referenced by a channel 594, and requests execution services by the
kernel/dispatcher task manager 576. The kernel/dispatcher 552
treats the event processing request as a task, and executes it `by
executing the code within the load modules 1100 referenced by the
channel.
[0947] The channel services manager 562 may be passed an
identification of the event (e.g., the "event code"). The channel
services manager 562 parses one or more method cores' 1000' that
are part of the component assembly(ies) 690 the channel services
manager is to assemble. It performs this parsing to determine which
method(s) and data structure(s) are invoked by the type of event.
Channel manager 562 then issues calls (e.g., to secure database
manager 566) to obtain the methods and `data structure(s) needed to
build the component assembly 690. These called-for method(s) and
data structure(s) (e.g., load modules 1100, `UDEs 1200 and/or MDEs
`1202) are each decrypted using encrypt/decrypt manager 556 (if
necessary), and are then each validated using key and tag manager
558. Channel manager 562 constructs any necessary "jump table"
references to, in effect, "link" or "bind" the elements into a
single cohesive executable so the load module(s) can reference data
structures and any other load module(s) in the component assembly.
Channel manager 562 may then issue calls to LMEM 568 to load the
executable as an active task.
[0948] FIG. 15 shows that a channel 594 may reference another
channel. An arbitrary number of channels 594 may be created by
channel manager 594 to interact with one another.
[0949] "Channel header" 596 in the preferred embodiment is (or
references) the data structure(s) and associated control program(s)
that queues events from channel, event sources, processes these
events, and releases the appropriate tasks specified in the
"channel detail record" for processing. A "channel detail record"
in the preferred embodiment links an event to a "swap block" (i.e.,
task) associated with that event. The "swap block" may reference
one or more load modules 1100, UDEs 1200 and private data areas
required to properly process the event. One swap block and a
corresponding channel detail item is created for each different
event the channel can respond to.
[0950] In the preferred embodiment, Channel Services Manager 562
may support the following (internal) calls to support the creation
and maintenance `of channels 562:
TABLE-US-00006 Call Name Source Description "Write Write Writes an
event to the channel for response Event" by the channel. The Write
Event call thus permit the caller to insert an event into the event
queue associated with the channel. The event will be processed in
turn by the channel 594. "Bind Ioctl Binds an item to a channel
with the Item" Item" appropriate processing algorithm. The Bind
Item call permits the caller to bind a VDE' item ID to a channel
(e.g., to create one or more swap blocks associated with a
channel). This call may manipulate the contents of individual swap
blocks. "Unbind Ioctl Unbinds an item from a channel with the Item"
appropriate processing algorithm. The Unbind Item call permits the
caller to break the binding of an item to a swap block. This call
may manipulate the contents of individual swap blocks.
SPE RPC Manager 550
[0951] As described in connection with FIG. 12, the architecture of
ROS 602 is based on remote procedure calls in the preferred
embodiment. ROS 602 includes an RPC Manager 732 that passes RPC
calls between services each of which present an RPC service
`interface ("RSI") to the RPC manager. In the preferred embodiment,
SPE 503 (HPE 655) is also built around the same RPC concept. The
SPE 503 (HPE 655) may include a number of internal modular service
providers each presenting an RSI to an RPC manager 550 internal to
the SPE (HPE). These internal service providers may communicate
with each other and/or with ROS RPC manager 732 (and thus, with any
other service provided by ROS 602 and with external services),
using RPC service requests.
[0952] RPC manager 550 within SPE 503 (HPE 655) is not the same as
RPC manager 732 shown in FIG. 12, but it performs a similar
function within the SPE (HPE): it receives RPC requests and passes
them to the RSI presented by the service that is to fulfill the
request. In the preferred embodiment, requests are passed between
ROS RPC manager 732 and the outside world (i.e., SPE device driver
736') via the SPE (HPE) Kernel/Dispatcher 552. Kernel/Dispatcher
552 may be able to service certain RPC requests itself, but in
general it passes received requests to RPC manager 550 for routing
to the appropriate service internal to the SPE (HPE). In an
alternate embodiment, requests may be passed directly between the
HPE, SPE, API, Notification interface, and other external services
instead of routing them through the ROS RPC manager 732. The
decision on which embodiment to use is part of the scalability of
the system; some embodiments are more efficient than others under
various traffic loads and system configurations. Responses by the
services (and additional service requests they may themselves
generate) are provided to RPC Manager 550 for routing to other
service(s) internal or external to SPE 503 (HPE 655).
[0953] SPE RPC Manager 550 and its integrated service manager uses
two tables to dispatch remote procedure calls: an RPC services
table, and an optional RPC dispatch table. The RPC services table
describes where requests for specific services are to be routed for
processing. In the preferred embodiment, this table is constructed
in SPU RAM 534a or NVRAM 534b, and lists each RPC service
"registered" within SPU 500. Each row of the RPC services table
contains a service ID, its location and address, and a control
byte. In simple implementations, the control byte indicates only
that the service is provided internally or externally. In more
complex implementations, the control byte can indicate an instance
of the service (e.g., each service may have multiple "instances" in
a multi-tasking environment). ROS RPC manager 732 and SPE 503 may
have symmetric copies of the RPC services table in the preferred
embodiment. If an RPC service is not found in the RPC services
table, SPE 503 may either reject it or pass it to ROS RPC manager
732 for service.
[0954] The SPE RPC manager 550 accepts the request from the RPC
service table and processes that request in accordance with the
internal priorities associated with the specific service. In SPE
503, the RPC service table is extended by an RPC dispatch table.
The preferred embodiment RPC dispatch table is organized as a list
of Load Module references for each RPC service supported internally
by SPE-503. Each row in the table contains a load module ID that
services the call, a control byte that indicates whether the call
can be made from an external caller, and whether the load module
needed to service the call is permanently resident in SPU 500. The
RPC dispatch table may be constructed in SPU ROM 532 (or EEPROM)
when SPU firmware 508 is loaded into the SPU 500. If the RPC
dispatch table is in EEPROM, it flexibly allows for updates to the
services without load module location and version control
issues.
[0955] In the preferred embodiment, SPE RPC manager 550 first
references a service request against the RPC service table to
determine the location of the service manager that may service the
request. The RPC manager 550 then routes the service request to the
appropriate service manager for action. Service requests are
handled by the service manager within the SPE 503 using the RPC
dispatch table to dispatch the request. Once the RPC manager 550
locates the service reference in the RPC dispatch table, the load
module that services the request is called and loaded using the
load module execution manager 568. The load module execution
manager 568 passes control to the requested load module after
performing all required context configuration, or if necessary may
first issue a request to load it from the external management files
610.
SPU Time Base Manager 554
[0956] The time base manager 554 supports calls that relate to the
real time clock ("RTC") 528. In the preferred embodiment, the time
base manager 554 is always loaded and ready to respond to time
based requests.
[0957] The table below lists examples of basic calls that may be
supported by the time base manager 554:
TABLE-US-00007 Call Name Description Independent requests Get Time
Returns the time (local, GMT, or ticks). Set time Sets the time in
the RTC 528. Access to this command may be restricted to a VDE
administrator. Adjust time Changes the time in the RTC 528. Access
to this command may be restricted to a VDE administrator. Set Time
Set GMT/local time conversion and the Parameter current and
allowable magnitude of user adjustments to RTC 528 time. Channel
Services Manager Requests Bind Time Bind timer services to a
channel as an event source. Unbind Time Unbind timer services from
a channel as an event source. Set Alarm Sets an alarm notification
for a specific time. The user will be notified by an alarm event at
the time of the alarm. Parameters to this request determine the
event, frequency, and requested processing for the alarm. Clear
Alarm Cancels a requested alarm notification.
SPU Encryption/Decryption Manager 556
[0958] The Encryption/Decryption Manager 556 supports call's to the
various encryption/decryption techniques supported by SPE 503/HPE
655. It may be supported `by a hardware-based encryption/decryption
engine 522 within SPU 500. Those encryption/decryption technologies
not supported by SPU encrypt/decrypt engine 522 may be provided by
encrypt/decrypt manager 556 in software. The primary bulk
encryption/decryption load modules preferably are loaded at all
times, and `the` load modules necessary for other algorithms are
preferably paged in as needed. Thus, if the primary bulk
encryption/decryption algorithm is DES, only the DES load modules
need be permanently resident in the RAM 534a of SPE 503/HPE
655.
[0959] The following are examples of RPC calls supported by
Encrypt/Decrypt Manager 556 in the preferred embodiment
TABLE-US-00008 Call Name Description PK Encrypt Encrypt a block
using a PK (public key) algorithm. PK Decrypt Decrypt a block using
a PK algorithm. DES Encrypt Encrypt a block using DES. DES Decrypt
Decrypt a block using DES. RC-4 Encrypt Encrypt a block using the
RC-4 (or other bulk encryption) algorithm. RC-4 Decrypt Decrypt a
block using the RC-4 (or other bulk encryption) algorithm.
Initialize DES Initialize DES instance to be used. Instance
Initialize RC-4 Initialize RC-4 instance to be used. Instance
Initialize MD5 Initialize MD5 instance to be used. Instance Process
MD5 Block Process MD5 block.
[0960] The call parameters passed may include the key to be used;
mode (encryption or decryption); any needed Initialization Vectors;
the desired cryptographic operating (eg, type of feedback), the
identification of the cryptographic instance to be used, and the
start address, destination address, and length of the block to be
encrypted or decrypted.
SPU Key and Tag Manager 558
[0961] The SPU Key and Tag Manager 558 supports calls for key
storage, key and management file tag look up, key convolution, and
the generation of random keys, tags, and transaction numbers.
[0962] The following table shows an example of a list of SPE/HPE
key and tag manager service 558 calls:
TABLE-US-00009 Call Name Description Key Requests Get Key Retrieve
the requested key Set Key Set (store) the specified key Generate
Key Generate a key (pair) for a specified algorithm Get Convoluted
Generate a key using a specified convolution Key algorithm and
algorithm parameter block. Get Convolution Return the currently set
(default) convolution Algorithm parameters for a specific
convolution algorithm. Set Convolution Sets the convolution
parameters for a specific Algorithm convolution algorithm (calling
routine must provide a tag to read returned contents). Tag Requests
Get Tag Get the validation (or other) tag for a specific VDE Item
ID. Set Tag Set the validation (or other) tag for a specific VDE
Item ID to a known value. Calculate Hash Block Calculate the "hash
block number` for a Number specific VDE Item ID. Set Hash
Parameters Set the hash parameters and hash algorithm. Forces a
resynchronization of the hash table. Get Hash Parameters Retrieve
the current hash parameters/algorithm. Synchronize Synchronize the
management files and rebuild Management Files the hash block tables
based on information found in the tables. Reserved for VDE
administrator.
[0963] Keys and tags may be securely generated within SPE 503 (HPE
655) in the preferred embodiment. The key generation algorithm is
typically specific to each type of encryption supported. The
generated keys may be checked for cryptographic weakness before
they are used. A request for Key and Tag Manager 558 to generate a
key, tag and/or transaction number preferably takes a length as its
input parameter. It generates a random number (or other appropriate
key value) of the requested length as its output.
[0964] The key and tag manager 558 may support calls to retrieve
specific keys from the key storage areas in SPU 500 and any keys
stored external to the SPU. The basic format of the calls is to
request keys by key type and key number. Many of the keys are
periodically updated through contact with the VDE administrator,
and are kept within SPU 500 in NVRAM 534b or EEPROM because these
memories are secure, updatable and non-volatile.
[0965] SPE 503/HPE 655 may support both Public Key type keys and
Bulk Encryption type keys. The public key (PK) encryption type keys
stored by SPU 500 and managed by key and tag manager 558 may
include, for example, a device public key, a device private key, a
PK certificate, and a public key for the certificate. Generally,
public keys and certificates can be stored externally in
non-secured memory if desired, but the device private key and the
public key for the certificate should only be stored internally in
an SPU 500 EEPROM or NVRAM 534b. Some of the types of bulk
encryption keys used by the SPU 500 may include, for example,
general-purpose bulk encryption keys, administrative object private
header keys, stationary object private header keys, traveling
object private header keys, download/initialization keys, backup
keys, trail keys, and management file keys.
[0966] As discussed above, preferred embodiment Key and Tag Manager
558 supports requests to adjust or convolute keys to make new keys
that are produced in a deterministic way dependent on site and/or
time, for example. Key convolution is an algorithmic process that
acts on a key and some set of input parameter(s) to yield a new
key. It can be used, for example, to increase the number of keys
available for use without incurring additional key storage space.
It may also be used, for example, as a process to "age" keys by
incorporating the value of real-time RTC 528 as parameters. It can
be used to make keys site specific by incorporating aspects of the
site ID as parameters.
[0967] Key and Tag Manager 558 also provides services relating to
tag generation and management. In the preferred embodiment,
transaction and access tags are preferably stored by SPE 503 (HPE
655) in protected memory (e.g., within the NVRAM 534b of SPU 500).
These tags may be generated by key and tag manager 558. They are
used to, for example, check access rights to, validate and
correlate data elements. For example, they may be used to ensure
components of the secured data structures are not tampered with
outside of the SPU 500 Key and tag manager 558 may also support a
trail transaction tag and a communications transaction tag.
SPU Summary Services Manager 560
[0968] SPE 503 maintains an audit trail in reprogrammable
non-volatile memory within the SPU 500 and/or in secure database
610. This audit trail may consist of an audit summary of budget
activity for financial purposes, and a security summary of SPU use.
When a request is made to the SPU, it logs the request as having
occurred and then notes whether the request succeeded or failed.
All successful requests may be summed and stored by type in the SPU
500. Failure information, including the elements listed below, may
be saved along with details of the failure:
TABLE-US-00010 Control Information Retained in an SPE on Access
Failures Object ID User ID Type of failure Time of failure
[0969] This information may be analyzed to detect cracking attempts
or to determine patterns of usage outside expected (and budgeted)
norms. The audit trail histories in the SPU 500 may be retained
until the audit is reported to the appropriate parties. This will
allow both legitimate failure analysis and attempts to
cryptoanalyze the SPU to be noted.
[0970] Summary services manager 560 may store and maintain this
internal summary audit information. This audit information can be
used to check for security breaches or other aspects of the
operation of SPE 503. The event summaries may be maintained,
analyzed and used by SPE 503 (HPE 655) or a VDE administrator to
determine and potentially limit abuse of electronic appliance 600.
In the preferred embodiment, such parameters may be stored in
secure memory (e.g., within the NVRAM 534b of SPU 500).
[0971] There are two basic structures for which summary services
are used in the preferred embodiment. One (the "event summary data
structure") is VDE administrator specific and keeps track of
events. The event summary structure may be maintained and audited
during periodic contact with VDE administrators. The other is used
by VDE administrators and/or distributors for overall budget. A VDE
administrator may register for event-summaries and an overall
budget summary at the time an electronic appliance 600 is
initialized. The overall budget summary may be reported to and used
by a VDE administrator in determining distribution of consumed
budget (for example) in the case of corruption of secure management
files 610. Participants that receive appropriate permissions can
register their processes (e.g., specific budgets) with summary
services manager 560, which may then reserve protected memory space
(e.g., within NVRAM 534b) and keep desired use and/or access
parameters. Access to and modification of each summary can be
controlled by its own access tag.
[0972] The following table shows an example of a list of PPE
summary service manager 560 service calls:
TABLE-US-00011 Call Name Description Create Create a summary
service if the user has a "ticket" summary info that permits her to
request this service. Get value Return the current value of the
summary service. The caller must present an appropriate tag (and/or
"ticket") to use this request. Set value Set the value of a summary
service. Increment Increment the specified summary service(e.g., a
scalar meter summary data area). The caller must present an
appropriate tag (and/or "ticket") to use this request. Destroy
Destroy the specified summary service if the user has a tag and/or
"ticket" that permits them to request this service.
[0973] In the preferred embodiment, the event summary data
structure uses a fixed event number to index into a look up table.
The look up table contains a value that can be configured as a
counter or a counter plus limit. Counter mode may be used by VDE
administrators to determine device usage. The limit mode may be
used to limit tampering and attempts to misuse the electronic
appliance 600. Exceeding a limit will result in SPE 503 (HPE 655)
refusing to service user requests until it is reset by a VDE
administrator. Calls to the system wide event summary process may
preferably be built into all load modules that process the events
that are of interest.
[0974] The following table shows examples of events that may be
separately metered by the preferred embodiment event summary data
structure:
TABLE-US-00012 Event Type Successful Initialization completed
successfully. Events User authentication accepted. Communications
established. Channel loads set for specified values. Decryption
completed. Key Information updated. New budget created or existing
budget updated. New billing information generated or existing
billing updated. New meter set up or existing meter updated. New
PERC created or existing PERC updated. New objects registered.
Administrative objects successfully processed. Audit processed
successfully. All other events. Failed Initialization failed.
Events Authentication failed. Communication attempt failed. Request
to load a channel failed. Validation attempt unsuccessful. Link to
subsidiary item failed correlation tag match. Authorization attempt
failed. Decryption attempt failed. Available budget insufficient to
complete requested procedure. Audit did not occur. Administrative
object did not process correctly. Other failed events.
[0975] Another, "overall currency budget" summary data structure
maintained by the preferred embodiment summary services manager 560
allows registration of VDE electronic appliance 600. The first
entry is used for an overall currency budget consumed value, and is
registered by the VDE administrator that first initializes SPE 503
(HPE 655). Certain currency consuming load modules and audit load
modules that complete the auditing process for consumed currency
budget may call the summary services manager 560 to update the
currency consumed value. Special authorized load modules may have
access to the overall currency summary, while additional summaries
can be registered for by individual providers.
SPE Authentication Manager/Service Communications Manager 564
[0976] The Authentication Manager/Service Communications Manager
564 supports calls for user password validation and "ticket"
generation and validation. It may also support secure
communications between SPE 503 and an external node or device
(e.g., a VDE administrator or distributor). It may support the
following examples of authentication-related service requests in
the preferred embodiment:
TABLE-US-00013 Call Name Description User Services Create User
Creates a new user and stores Name Services Records (NSRs) for use
by the Name Services Manager 752. Authenticate User Authenticates a
user for use of the system. This request lets the caller
authenticate as a specific user ID. Group membership is also
authenticated by this request. The authentication returns a
"ticket" for the user. Delete User Deletes a user's NSR and related
records. Ticket Services Generate Ticket Generates a "ticket" for
user of one or more services. Authenticate Ticket Authenticates a
"ticket."
[0977] Not included in the table above are calls to the secure
communications service. The secure communications service provided
by manager 564 may provide (e.g., in conjunction with low-level
services manager 582 if desired) secure communications based on a
public key (or others) challenge-response protocol. This protocol
is discussed in further detail elsewhere in this document. Tickets
identify users with respect to the electronic appliance 600 in the
case where the appliance may be used by multiple users. Tickets may
be requested by and returned to VDE software applications through a
ticket-granting protocol (e.g., Kerberos). VDE components may
require tickets to be presented in order to authorize particular
services.
SPE Secure Database Manager 566
[0978] Secure database manager 566 retrieves, maintains and stores
secure database records within secure database 610 on memory
external to SPE 503. Many of these secure database files 610 are in
encrypted form. All secure information retrieved by secure database
manager 566 therefore must be decrypted by encrypt/decrypt manager
556 before use. Secure information (e.g., records of use) produced
by SPE 503 (HPE 655) which must be stored external to the secure
execution environment are also encrypted by encrypt/decrypt manager
556 before they are stored via secure database manager 566 in a
secure database file 610.
[0979] For each VDE item loaded into SPE 503, Secure Database
manager 566 in the preferred embodiment may search a master list
for the VDE item ID, and then check the corresponding transaction
tag against the one in the item to ensure that the item provided is
the current item. Secure Database Manager 566 may maintain list of
VDE item ID and transaction tags in a "hash structure" that can be
paged into SPE 503 to quickly locate the appropriate VDE item ID.
In smaller systems, a look up table approach may be used. In either
case, the list should be structured as a pagable structure that
allows VDE item ID to be located quickly.
[0980] The "hash based" approach may be used to sort the list into
"hash buckets" that may then be accessed to provide more rapid and
efficient location of items in the list. In the "hash based"
approach, the VDE item IDs are "hashed" through a subset of the
full item ID and organized as pages of the "hashed" table. Each
"hashed" page may contain the rest of the VDE item ID and current
transaction tag for each item associated with that page. The "hash"
table page number may be derived from the components of the VDE
item ID, such as distribution ID, item ID, site ID, user ID,
transaction tag, creator ID, type and/or version. The hashing
algorithm (both the algorithm itself and the parameters to be
hashed) may be configurable by a VDE administrator on a site by
site basis to provide optimum hash page use. An example of a hash
page structure appears below:
TABLE-US-00014 Field Hash Page Header Distributor ID Item ID Site
ID User ID Transaction Tag Hash Page Entry Creator ID Item ID Type
Version Transaction Tag
[0981] In this example, each hash page may contain all of the VDE
item IDs and transaction tags for items that have identical
distributor ID, item ID, and user ID fields (site ID will be fixed
for a given electronic appliance 600). These four pieces of
information may thus be used as hash algorithm parameters.
[0982] The "hash" pages may themselves be frequently updated, and
should carry transaction tags that are checked each time a "hash"
page is loaded. The transaction tag may also be updated each time a
"hash" page is written out.
[0983] As an alternative to the hash-based approach, if the number
of updatable items is kept small (such as in a dedicated consumer
electronic appliance 600), then assigning each updatable item a
unique sequential site record number as part of its VDE item ID may
allow a look up table approach to be used. Only a small number of
bytes of transaction tag are needed per item, and a table
transaction tag for all frequently updatable items can be kept in
protected memory such as SPU NVRAM 534b.
Random Value Generator Manager 565
[0984] Random Value Generator Manager 565 may generate random
values. If a hardware-based SPU random value generator 542 is
present, the Random Value Generator Manager 565 may use it to
assist in generating random values.
Other SPE RPC Services 592
[0985] Other authorized RPC services may be included in SPU 500 by
having them "register" themselves in the RPC Services Table and
adding their entries to the RPC Dispatch Table. For example, one or
more component assemblies 690 may be used to provide additional
services as an integral part of SPE 503 and its associated
operating system. Requests to services not registered in these
tables will be passed out of SPE 503 (HPE 655) for external
servicing.
SPE 503 Performance Considerations
[0986] Performance of SPE 503 (HPE 655) is a function of: [0987]
complexity of the component assemblies used [0988] number of
simultaneous component assembly operations [0989] amount of
internal SPU memory available [0990] speed of algorithm for block
encryption/decryption
[0991] The complexity of component assembly processes along with
the number of simultaneous component assembly processes is perhaps
the primary factor in determining performance. These factors
combine to determine the amount of code and data and must be
resident in SPU 500 at any one time (the minimum device size) and
thus the number of device size "chunks" the processes must be
broken down into. Segmentation inherently increases run time size
over simpler models. Of course, feature limited versions of SPU 500
may be implemented using significantly smaller amounts of RAM 534.
"Aggregate" load modules as described above may remove flexibility
in configuring VDE structures and also further limit the ability of
participants to individually update otherwise separated elements,
but may result in a smaller minimum device size. A very simple
metering version of SPU 500 can be constructed to operate with
minimal device resources.
[0992] The amount of RAM 534 internal to SPU 500 has more impact on
the performance of the SPE 503 than perhaps any other aspect of the
SPU. The flexible nature of VDE processes allows use of a large
number of load modules, methods and user data elements. It is
impractical to store more than a small number of these items in ROM
532 within SPU 500. Most of the code and data structures needed to
support a specific VDE process will need to be dynamically loaded
into the SPU 500 for the specific VDE process when the process is
invoked. The operating system within SPU 500 then may page in the
necessary VDE items to perform the process. The amount of RAM 534
within SPU 500 will directly determine how large any single VDE
load module plus its required data can be, as well as the number of
page swaps that will be necessary to run a VDE process. The SPU I/O
speed, encryption/decryption speed, and the amount of internal
memory 532, 534 will directly affect the number of page swaps
required in the device. Insecure external memory may reduce the
wait time for swapped pages to be loaded into SPU 500, but will
still incur substantial encryption/decryption penalty for each
page.
[0993] In order to maintain security, SPE 503 must encrypt and
cryptographically seal each block being swapped out to a storage
device external to a supporting SPU 500, and must similarly
decrypt, verify the cryptographic seal for, and validate each block
as it is swapped into SPU 500. Thus, the data movement and
encryption/decryption overhead for each swap block has a very large
impact on SPE performance.
[0994] The performance of an SPU microprocessor 520 may not
significantly impact the performance of the SPE 503 it supports if
the processor is not responsible for moving data through the
encrypt/decrypt engine 522.
VDE Secure Database 610
[0995] VDE 100 stores separately deliverable VDE elements in a
secure (e.g., encrypted) database 610 distributed to each VDE
electronic appliance 610. The database 610 in the preferred
embodiment may store and/or manage three basic classes of VDE
items: [0996] VDE objects, [0997] VDE process elements, and [0998]
VDE data structures.
[0999] The following table lists examples of some of the VDE items
stored in or managed by information stored in secure database
610:
TABLE-US-00015 Class Brief Description Objects Content Objects
Provide a container for content. Administrative Objects Provide a
container for information used to keep VDE 100 operating. Traveling
Objects Provide a container for content and control information.
Smart Objects Provide a container for (user-specified) processes
and data. Process Elements Method Cores Provide a mechanism to
relate events to control mechanisms and permissions. Load Modules
("LMs") Secure (tamper-resistant) executable code. Method Data
Independently deliverable data structures used to Elements ("MDEs")
control/customize methods. Data Structures Permissions Records
Permissions to use objects; "blueprints" to build ("PERCs")
component assemblies. User Data Elements Basic data structure for
storing information used in ("UDEs") conjunction with load modules.
Administrative Data Used by VDE node to maintain administrative
Structures information.
[1000] Each electronic appliance 600 may have an instance of a
secure database 610 that securely maintains the VDE items. FIG. 16
shows one example of a secure database 610. The secure database 610
shown in this example includes the following VDE-protected items:
[1001] one or more PERCs 808; [1002] methods 1000 (including static
and dynamic method "cores" 1000, and MDEs 1202); [1003] Static UDEs
1200a and Dynamic UDEs 1200b; and [1004] load modules 1100.
[1005] Secure database 610 may also include the following
additional data structures used and maintained for administrative
purposes: [1006] an "object registry" 450 that references an object
storage 728 containing one or more [1007] VDE objects; [1008] name
service records 452; and [1009] configuration records 454
(including site configuration records 456 and user configuration
records 458).
[1010] Secure database 610 in the preferred embodiment does not
include VDE objects 300, but rather references VDE objects stored,
for example, on file system 687 and/or in a separate object
repository 728. Nevertheless, an appropriate "starting point" for
understanding VDE-protected information may be a discussion of VDE
objects 300.
VDE Objects 300
[1011] VDE 100 provides a media independent container model for
encapsulating content. FIG. 17 shows an example of a "logical"
structure or format 800 for an object 300 provided by the preferred
embodiment.
[1012] The generalized "logical object" structure 800 shown in FIG.
17 used by the preferred embodiment supports digital content
delivery over any currently used media. "Logical object" in the
preferred embodiment may refer collectively to: content; computer
software and/or methods used to manipulate, record, and/or
otherwise control use of said content; and permissions,
limitations, administrative control information and/or requirements
applicable to said content, and/or said computer software and/or
methods. Logical objects may or may not be stored, and may or may
not be present in, or accessible to, any given electronic appliance
600. The content portion of a logical object may be organized as
information contained in, not contained in, or partially contained
in one or more objects.
[1013] Briefly, the FIG. 17 "logical object" structure 800 in the
preferred embodiment includes a public header 802, private header
804, a "private body" 806 containing one or more methods 1000,
permissions record(s) (PERC) 808 (which may include one or more key
blocks 810), and one or more data blocks or areas 812. These
elements may be "packaged" within a "container" 302. This
generalized, logical object structure 800 is used in the preferred
embodiment for different types of VDE objects 300 categorized by
the type and location of their content.
[1014] The "container" concept is a convenient metaphor used to
give a name to the collection of elements required to make use of
content or to perform an administrative-type activity. Container
302 typically includes identifying information, control structures
and content (e.g., a property or administrative data). The term
"container" is often (e.g., Bento/OpenDoc and OLE) used to describe
a collection of information stored on a computer system's secondary
storage system(s) or accessible to a computer system over a
communications network on a "server's" secondary storage system.
The "container" 302 provided by the preferred embodiment is not so
limited or restricted. In VDE 100, there is no requirement that
this information is stored together, received at the same time,
updated at the same time, used for only a single object, or be
owned by the same entity. Rather, in VDE 100 the container concept
is extended and generalized to include real-time content and/or
online interactive content passed to an electronic appliance over a
cable, by broadcast, or communicated by other electronic
communication means.
[1015] Thus, the "complete" VDE container 302 or logical object
structure 800 may not exist at the user's location (or any other
location, for that matter) at any one time. The "logical object"
may exist over a particular period of time (or periods of time),
rather than all at once. This concept includes the notion of a
"virtual container" where important container elements may exist
either as a plurality of locations and/or over a sequence of time
periods (which may or may not overlap). Of course, VDE 100
containers can also be stored with all required control structures
and content together. This represents a continuum: from all content
and control structures present in a single container, to no locally
accessible content or container specific control structures.
[1016] Although at least some of the data representing the object
is typically encrypted and thus its structure is not discernible,
within a PPE 650 the object may be viewed logically as a
"container" 302, because its structure and components are
automatically and transparently decrypted.
[1017] A container model merges well with the event-driven
processes and ROS 602 provided by the preferred embodiment. Under
this model, content is easily subdivided into small, easily
manageable pieces, but is stored so that it maintains the
structural richness inherent in unencrypted content. An object
oriented container model (such as Bento/OpenDoc or OLE) also
provides many of the necessary "hooks" for inserting the necessary
operating system integration components, and for defining the
various content specific methods.
[1018] In more detail, the logical object structure 800 provided by
the preferred embodiment includes a public (or unencrypted) header
802 that identifies the object and may also identify one or more
owners of rights in the object and/or one or more distributors of
the object. Private (or encrypted) header 804 may include a part or
all of the information in the public header and further, in the
preferred embodiment, will include additional data for validating
and identifying the object 300 when a user attempts to register as
a user of the object with a service clearinghouse, VDE
administrator, or an SPU 500. Alternatively, information
identifying one or more rights owners and/or distributors of the
object may be located in encrypted form within encrypted header
804, along with any of said additional validating and identifying
data.
[1019] Each logical object structure 800 may also include a
"private body" 806 containing or referencing a set of methods 1000
(i.e., programs or procedures) that control use and distribution of
the object 300. The ability to optionally incorporate different
methods 1000 with each object is important to making VDE 100 highly
configurable. Methods 1000 perform the basic function of defining
what users (including, where appropriate, distributors, client
administrators, etc.), can and cannot do with an object 300. Thus,
one object 300 may come with relatively simple methods, such as
allowing unlimited viewing within a fixed period of time for a
fixed fee (such as the newsstand price of a newspaper for viewing
the newspaper for a period of one week after the paper's
publication), while other objects may be controlled by much more
complicated (e.g., billing and usage limitation) methods.
[1020] Logical object structure 800 shown in FIG. 17 may also
include one or more PERCs 808. PERCs 808 govern the use of an
object 300, specifying methods or combinations of methods that must
be used to access or otherwise use the object or its contents. The
permission records 808 for an object may include key block(s) 810,
which may store decryption keys for accessing the content of the
encrypted content stored within the object 300.
[1021] The content portion of the object is typically divided into
portions called data blocks 812. Data blocks 812 may contain any
sort of electronic information, such as, "content," including
computer programs, images, sound, VDE administrative information,
etc. The size and number of data blocks 812 may be selected by the
creator of the property. Data blocks 812 need not all be the same
size (size may be influenced by content usage, database format,
operating system, security and/or other considerations). Security
will be enhanced by using at least one key block 810 for each data
block 812 in the object, although this is not required. Key blocks
810 may also span portions of a plurality of data blocks 812 in a
consistent or pseudo-random manner. The spanning may provide
additional security by applying one or more keys to fragmented or
seemingly random pieces of content contained in an object 300,
database, or other information entity.
[1022] Many objects 300 that are distributed by physical media
and/or by "out of channel" means (e.g., redistributed after receipt
by a customer to another customer) might not include key blocks 810
in the same object 300 that is used to transport the content
protected by the key blocks. This is because VDE objects may
contain data that can be electronically copied outside the confines
of a VDE node. If the content is encrypted, the copies will also be
encrypted and the copier cannot gain access to the content unless
she has the appropriate decryption key(s). For objects in which
maintaining security is particularly important, the permission
records 808 and key blocks 810 will frequently be distributed
electronically, using secure communications techniques (discussed
below) that are controlled by the VDE nodes of the sender and
receiver. As a result, permission records 808 and key blocks 810
will frequently, in the preferred embodiment, be stored only on
electronic appliances 600 of registered users (and may themselves
be delivered to the user as part of a registration/initialization
process). In this instance, permission records 808 and key blocks
810 for each property can be encrypted with a private DES key that
is stored only in the secure memory of an SPU 500, making the key
blocks unusable on any other user's VDE node. Alternately, the key
blocks 810 can be encrypted with the end user's public key, making
those key blocks usable only to the SPU 500 that stores the
corresponding private key (or other, acceptably secure,
encryption/security techniques can be employed).
[1023] In the preferred embodiment, the one or more keys used to
encrypt each permission record 808 or other management information
record will be changed every time the record is updated (or after a
certain one or more events). In this event, the updated record is
re-encrypted with new one or more keys. Alternately, one or more of
the keys used to encrypt and decrypt management information may be
"time aged" keys that automatically become invalid after a period
of time. Combinations of time aged and other event triggered keys
may also be desirable; for example keys may change after a certain
number of accesses, and/or after a certain duration of time or
absolute point in time. The techniques may also be used together
for any given key or combination of keys. The preferred embodiment
procedure for constructing time aged keys is a one-way convolution
algorithm with input parameters including user and site information
as well as a specified portion of the real time value provided by
the SPU RTC 528. Other techniques for time aging may also be used,
including for example techniques that use only user or site
information, absolute points in time, and/or duration of time
related to a subset of activities related to using or decrypting
VDE secured content or the use of the VDE system.
[1024] VDE 100 supports many different types of "objects" 300
having the logical object structure 800 shown in FIG. 17. Objects
may be classified in one sense based on whether the protection
information is bound together with the protected information. For
example, a container that is bound by its control(s) to a specific
VDE node is called a "stationary object" (see FIG. 18). A container
that is not bound by its control information to a specific VDE node
but rather carries sufficient control and permissions to permit its
use, in whole or in part, at any of several sites is called a
"Traveling Object" (see FIG. 19).
[1025] Objects may be classified in another sense based on the
nature of the information they contain. A container with
information content is called a "Content Object" (see FIG. 20). A
container that contains transaction information, audit trails, VDE
structures, and/or other VDE control/administrative information is
called an "Administrative Object" (see FIG. 21). Some containers
that contain executable code operating under VDE control (as
opposed to being VDE control information) are called "Smart
Objects." Smart Objects support user agents and provide control for
their execution at remote sites. There are other categories of
objects based upon the location, type and access mechanism
associated with their content, that can include combinations of the
types mentioned above. Some of these objects supported by VDE 100
are described below. Some or all of the data blocks 812 shown in
FIG. 17 may include "embedded" content, administrative, stationary,
traveling and/or other objects.
[1026] 1. Stationary Objects
[1027] FIG. 18 shows an example of a "Stationary Object" structure
850 provided by the preferred embodiment. "Stationary Object"
structure 850 is intended to be used only at specific VDE
electronic appliance/installations that have received explicit
permissions to use one or more portions of the stationary object.
Therefore, stationary object structure 850 does not contain a
permissions record (PERC) 808; rather, this permissions record is
supplied and/or delivered separately (e.g., at a different time,
over a different path, and/or by a different party) to the
appliance/installation 600. A common PERC 808 may be used with many
different stationary objects.
[1028] As shown in FIG. 18, public header 802 is preferably
"plaintext" (i.e., unencrypted). Private header 804 is preferably
encrypted using at least one of many "private header keys." Private
header 804 preferably also includes a copy of identification
elements from public header 802, so that if the identification
information in the plaintext public header is tampered with, the
system can determine precisely what the tamperer attempted to
alter. Methods 1000 may be contained in a section called the
"private body" 806 in the form of object local methods, load
modules, and/or user data elements. This private body (method)
section 806 is preferably encrypted using one or more private body
keys contained in the separate permissions record 808. The data
blocks 812 contain content (information or administrative) that may
be encrypted using one or more content keys also provided in
permissions record 808.
[1029] 2. Traveling Objects
[1030] FIG. 19 shows an example of a "traveling object" structure
860 provided by the preferred embodiment. Traveling objects are
objects that carry with them sufficient information to enable at
least some use of at least a portion of their content when they
arrive at a VDE node.
[1031] Traveling object structure 860 may be the same as stationary
object structure 850 shown in FIG. 18 except that the traveling
object structure includes a permissions record (PERC) 808 within
private header 804. The inclusion of PERC 808 within traveling
object structure 860 permits the traveling object to be used at any
VDE electronic appliance/participant 600 (in accordance with the
methods 1000 and the contained PERC 808).
[1032] "Traveling" objects are a class of VDE objects 300 that can
specifically support "out of channel" distribution. Therefore, they
include key block(s) 810 and are transportable from one electronic
appliance 600 to another. Traveling objects may come with a quite
limited usage related budget so that a user may use, in whole or
part, content (such as a computer program, game, or database) and
evaluate whether to acquire a license or further license or
purchase object content. Alternatively, traveling object PERCs 808
may contain or reference budget records with, for example: [1033]
(a) budget(s) reflecting previously purchased rights or credit for
future licensing or purchasing and enabling at least one or more
types of object content usage, and/or [1034] (b) budget(s) that
employ (and may debit) available credit(s) stored on and managed by
the local VDE node in order to enable object content use, and/or
[1035] (c) budget(s) reflecting one or more maximum usage criteria
before a report to a local VDE node (and, optionally, also a report
to a clearinghouse) is required and which may be followed by a
reset allowing further usage, and/or modification of one or more of
the original one or more budget(s).
[1036] As with standard VDE objects 300, a user may be required to
contact a clearinghouse service to acquire additional budgets if
the user wishes to continue to use the traveling object after the
exhaustion of an available budget(s) or if the traveling object (or
a copy thereof) is moved to a different electronic appliance and
the new appliance does not have a available credit budget(s) that
corresponds to the requirements stipulated by permissions record
808.
[1037] For example, a traveling object PERC 808 may include a
reference to a required budget VDE 1200 or budget options that may
be found and/or are expected to be available. For example, the
budget VDE may reference a consumer's VISA, MC, AMEX, or other
"generic" budget that may be object independent and may be applied
towards the use of a certain or classes of traveling object content
(for example any movie object from a class of traveling objects
that might be Blockbuster Video rentals). The budget VDE itself may
stipulate one or more classes of objects it may be used with, while
an object may specifically reference a certain one or more generic
budgets. Under such circumstances, VDE providers will typically
make information available in such a manner as to allow correct
referencing and to enable billing handling and, resulting
payments.
[1038] Traveling objects can be used at a receiving VDE node
electronic appliance 600 so long as either the appliance carries
the correct budget or budget type (e.g. sufficient credit available
from a clearinghouse such as a VISA budget) either in general or
for specific one or more users or user classes, or so long as the
traveling object itself carries with it sufficient budget allowance
or an appropriate authorization (e.g., a stipulation that the
traveling object may be used on certain one or more installations
or installation classes or users or user classes where classes
correspond to a specific subset of installations or users who are
represented by a predefined class identifiers stored in a secure
database 610). After receiving a traveling object, if the user
(and/or installation) doesn't have the appropriate budget(s) and/or
authorizations, then the user could be informed by the electronic
appliance 600 (using information stored in the traveling object) as
to which one or more parties the user could contact. The party or
parties might constitute a list of alternative clearinghouse
providers for the traveling object from which the user selects his
desired contact).
[1039] As mentioned above, traveling objects enable objects 300 to
be distributed "Out-Of-Channel;" that is, the object may be
distributed by an unauthorized or not explicitly authorized
individual to another individual. "Out of channel" includes paths
of distribution that allow, for example, a user to directly
redistribute an object to another individual. For example, an
object provider might allow users to redistribute copies of an
object to their friends and associates (for example by physical
delivery of storage media or by delivery over a computer network)
such that if a friend or associate satisfies any certain criteria
required for use of said object, he may do so.
[1040] For example, if a software program was distributed as a
traveling object, a user of the program who wished to supply it or
a usable copy of it to a friend would normally be free to do so.
Traveling Objects have great potential commercial significance,
since useful content could be primarily distributed by users and
through bulletin boards, which would require little or no
distribution overhead apart from registration with the "original"
content provider and/or clearinghouse.
[1041] The "out of channel" distribution may also allow the
provider to receive payment for usage and/or elsewise maintain at
least a degree of control over the redistributed object. Such
certain criteria might involve, for example, the registered
presence at a user's VDE node of an authorized third party
financial relationship, such as a credit card, along with
sufficient available credit for said usage.
[1042] Thus, if the user had a VDE node, the user might be able to
use the traveling object if he had an appropriate, available budget
available on his VDE node (and if necessary, allocated to him),
and/or if he or his VDE node belonged to a specially authorized
group of users or installations and/or if the traveling object
carried its own budget(s).
[1043] Since the content of the traveling object is encrypted, it
can be used only under authorized circumstances unless the
traveling object private header key used with the object is
broken--a potentially easier task with a traveling object as
compared to, for example, permissions and/or budget information
since many objects may share the same key, giving a cryptoanalyst
both more information in cyphertext to analyze and a greater
incentive to perform cryptoanalysis.
[1044] In the case of a "traveling object," content owners may
distribute information with some or all of the key blocks 810
included in the object 300 in which the content is encapsulated.
Putting keys in distributed objects 300 increases the exposure to
attempts to defeat security mechanisms by breaking or
cryptoanalyzing the encryption algorithm with which the private
header is protected (e.g., by determining the key for the header's
encryption). This breaking of security would normally require
considerable skill and time, but if broken, the algorithm and key
could be published so as to allow large numbers of individuals who
possess objects that are protected with the same key(s) and
algorithm(s) to illegally use protected information. As a result,
placing keys in distributed objects 300 may be limited to content
that is either "time sensitive" (has reduced value after the
passage of a certain period of time), or which is somewhat limited
in value, or where the commercial value of placing keys in objects
(for example convenience to end-users, lower cost of eliminating
the telecommunication or other means for delivering keys and/or
permissions information and/or the ability to supporting objects
going "out-of-channel") exceeds the cost of vulnerability to
sophisticated hackers. As mentioned elsewhere, the security of keys
may be improved by employing convolution techniques to avoid
storing "true" keys in a traveling object, although in most cases
using a shared secret provided to most or all VDE nodes by a VDE
administrator as an input rather than site ID and/or time in order
to allow objects to remain independent of these values.
[1045] As shown in FIG. 19 and discussed above, a traveling object
contains a permissions record 808 that preferably provides at least
some budget (one, the other, or both, in a general case).
Permission records 808 can, as discussed above, contain a key
block(s) 810 storing important key information. PERC 808 may also
contain or refer to budgets containing potentially valuable
quantities/values. Such budgets may be stored within a traveling
object itself, or they may be delivered separately and protected by
highly secure communications keys and administrative object keys
and management database techniques.
[1046] The methods 1000 contained by a traveling object will
typically include an installation procedure for "self registering"
the object using the permission records 808 in the object (e.g., a
REGISTER method). This may be especially useful for objects that
have time limited value, objects (or properties) for which the end
user is either not charged or is charged only a nominal fee (e.g.,
objects for which advertisers and/or information publishers are
charged based on the number of end users who actually access
published information), and objects that require widely available
budgets and may particularly benefit from out-of-channel
distribution (e.g., credit card derived budgets for objects
containing properties such as movies, software programs, games,
etc.). Such traveling objects may be supplied with or without
contained budget UDEs.
[1047] One use of traveling objects is the publishing of software,
where the contained permission record(s) may allow potential
customers to use the software in a demonstration mode, and possibly
to use the full program features for a limited time before having
to pay a license fee, or before having to pay more than an initial
trial fee. For example, using a time based billing method and
budget records with a small pre-installed time budget to allow full
use of the program for a short period of time. Various control
methods may be used to avoid misuse of object contents. For
example, by setting the minimum registration interval for the
traveling object to an appropriately large period of time (e.g., a
month, or six months or a year), users are prevented from re-using
the budget records in the same traveling object.
[1048] Another method for controlling the use of traveling objects
is to include time-aged keys in the permission records that are
incorporated in the traveling object. This is useful generally for
traveling objects to ensure that they will not be used beyond a
certain date without re-registration, and is particularly useful
for traveling objects that are electronically distributed by
broadcast, network, or telecommunications (including both one and
two way cable), since the date and time of delivery of such
traveling objects aging keys can be set to accurately correspond to
the time the user came into possession of the object.
[1049] Traveling objects can also be used to facilitate "moving" an
object from one electronic appliance 600 to another. A user could
move a traveling object, with its incorporated one or more
permission records 808 from a desktop computer, for example, to his
notebook computer. A traveling object might register its user
within itself and thereafter only be useable by that one user. A
traveling object might maintain separate budget information, one
for the basic distribution budget record, and another for the
"active" distribution budget record of the registered user. In this
way, the object could be copied and passed to another potential
user, and then could be a portable object for that user.
[1050] Traveling objects can come in a container which contains
other objects. For example, a traveling object container can
include one or more content objects and one or more administrative
objects for registering the content object(s) in an end user's
object registry and/or for providing mechanisms for enforcing
permissions and/or other security functions. Contained
administrative object(s) may be used to install necessary
permission records and/or budget information in the end user's
electronic appliance.
[1051] Content Objects
[1052] FIG. 20 shows an example of a VDE content object structure
880. Generally, content objects 880 include or provide information
content. This "content" may be any sort of electronic information.
For example, content may include: computer software, movies, books,
music, information databases, multimedia information, virtual
reality information, machine instructions, computer data files,
communications messages and/or signals, and other information, at
least a portion of which is used and/or manipulated by one or more
electronic appliances. VDE 100 can also be configured for
authenticating, controlling, and/or auditing electronic commercial
transactions and communications such as inter-bank transactions,
electronic purchasing communications, and the transmission of,
auditing of, and secure commercial archiving of, electronically
signed contracts and other legal documents; the information used
for these transactions may also be termed "content." As mentioned
above, the content need not be physically stored within the object
container but may instead be provided separately at a different
time (e.g., a real time feed over a cable).
[1053] Content object structure 880 in the particular example shown
in FIG. 20 is a type of stationary object because it does not
include a PERC 808. In this example, content object structure 880
includes, as at least part of its content 812, at least one
embedded content object 882 as shown in FIG. 5A. Content object
structure 880 may also include an administrative object 870. Thus,
objects provided by the preferred embodiment may include one or
more "embedded" objects.
[1054] Administrative Objects
[1055] FIG. 21 shows an example of an administrative object
structure 870 provided by the preferred embodiment. An
"administrative object" generally contains permissions,
administrative control information, computer software and/or
methods associated with the operation of VDE 100. Administrative
objects may also or alternatively contain records of use, and/or
other information used in, or related to, the operation of VDE 100.
An administrative object may be distinguished from a content object
by the absence of VDE protected "content" for release to an end
user for example. Since objects may contain other objects, it is
possible for a single object to contain one or more content
containing objects and one or more administrative objects.
Administrative objects may be used to transmit information between
electronic appliances for update, usage reporting, billing and/or
control purposes. They contain information that helps to administer
VDE 100 and keep it operating properly. Administrative objects
generally are sent between two VDE nodes, for example, a VDE
clearinghouse service, distributor, or client administrator and an
end user's electronic appliance 600.
[1056] Administrative object structure 870 in this example includes
a public header 802, private header 804 (including a "PERC" 808)
and a "private body" 806 containing methods 1000. Administrative
object structure 870 in this particular example shown in FIG. 20 is
a type of traveling object because it contains a PERC 808, but the
administrative object could exclude the PERC 808 and be a
stationary object. Rather than storing information content,
administrative object structure 870 stores "administrative
information content" 872. Administrative information content 872
may, for example, comprise a number of records 872a, 872b, . . .
872n each corresponding to a different "event." Each record 872a,
872b, . . . 872n may include an "event" field 874, and may
optionally include a parameter field 876 and/or a data field 878.
These administrative content records 872 may be used by VDE 100 to
define events that may be processed during the course of
transactions, e.g., an event designed to add a record to a secure
database might include parameters 896 indicating how and where the
record should be stored and data field 878 containing the record to
be added. In another example, a collection of events may describe a
financial transaction between the creator(s) of an administrative
object and the recipient(s), such as a purchase, a purchase order,
or an invoice. Each event record 872 may be a set of instructions
to be executed by the end user's electronic appliance 600 to make
an addition or modification to the end user's secure database 610,
for example. Events can perform many basic management functions,
for example: add an object to the object registry, including
providing the associated user/group record(s), rights records,
permission record and/or method records; delete audit records (by
"rolling up" the audit trail information into, for example, a more
condensed, e.g. summary form, or by actual deletion); add or update
permissions records 808 for previously registered objects; add or
update budget records; add or update user rights records; and add
or update load modules.
[1057] In the preferred embodiment, an administrative object may be
sent, for example, by a distributor, client administrator, or,
perhaps, a clearinghouse or other financial service provider, to an
end user, or, alternatively, for example, by an object creator to a
distributor or service clearinghouse. Administrative objects, for
example, may increase or otherwise adjust budgets and/or
permissions of the receiving VDE node to which the administrative
object is being sent. Similarly, administrative objects containing
audit information in the data area 878 of an event record 872 can
be sent from end users to distributors, and/or clearinghouses
and/or client administrators, who might themselves further transmit
to object creators or to other participants in the object's chain
of handling.
[1058] Methods
[1059] Methods 1000 in the preferred embodiment support many of the
operations that a user encounters in using objects and
communicating with a distributor. They may also specify what method
fields are displayable to a user (e.g., use events, user request
events, user response events, and user display events).
Additionally, if distribution capabilities are supported in the
method, then the method may support distribution activities,
distributor communications with a user about a method, method
modification, what method fields are displayable to a distributor,
and any distribution database checks and record keeping (e.g.,
distribution events, distributor request events, and distributor
response events).
[1060] Given the generality of the existing method structure, and
the diverse array of possibilities for assembling methods, a
generalized structure may be used for establishing relationships
between methods. Since methods 1000 may be independent of an object
that requires them during any given session, it is not possible to
define the relationships within the methods themselves. "Control
methods" are used in the preferred embodiment to define
relationships between methods. Control methods may be object
specific, and may accommodate an individual object's requirements
during each session.
[1061] A control method of an object establishes relationships
between other methods. These relationships are parameterized with
explicit method identifiers when a record set reflecting desired
method options for each required method is constructed during a
registration process.
[1062] An "aggregate method" in the preferred embodiment represents
a collection of methods that may be treated as a single unit. A
collection of methods that are related to a specific property, for
example, may be stored in an aggregate method. This type of
aggregation is useful from an implementation point of view because
it may reduce bookkeeping overhead and may improve overall database
efficiency. In other cases, methods may be aggregated because they
are logically coupled. For example, two budgets may be linked
together because one of the budgets represents an overall
limitation, and a second budget represents the current limitation
available for use. This would arise if, for example, a large budget
is released in small amounts over time.
[1063] For example, an aggregate method that includes meter,
billing and budget processes can be used instead of three separate
methods. Such an aggregate method may reference a single "load
module" 1100 that performs all of the functions of the three
separate load modules and use only one user data element that
contains meter, billing and budget data. Using an aggregate method
instead of three separate methods may minimize overall memory
requirements, database searches, decryptions, and the number of
user data element writes back to a secure database 610. The
disadvantage of using an aggregate method instead of three separate
methods can be a loss of some flexibility on the part of a provider
and user in that various functions may no longer be independently
replaceable.
[1064] FIG. 16 shows methods 1000 as being part of secure database
610.
[1065] A "method" 1000 provided by the preferred embodiment is a
collection of basic instructions and information related to the
basic instructions, that provides context, data, requirements
and/or relationships for use in performing, and/or preparing to
perform, the basic instructions in relation to the operation of one
or more electronic appliances 600. As shown in FIG. 16, methods
1000 in the preferred embodiment are represented in secure database
610 by: [1066] method "cores" 1000'; [1067] Method Data Elements
(MDEs) 1202; [1068] User Data Elements (UDEs) 1200; and [1069] Data
Description Elements (DTDs).
[1070] Method "core" 1000' in the preferred embodiment may contain
or reference one or more data elements such as MDEs 1202 and UDEs
1200. In the preferred embodiment, MDEs 1202 and UDEs 1200 may have
the same general characteristics, the main difference between these
two types of data elements being that a UDE is preferably tied to a
particular method as well as a particular user or group of users,
whereas an MDE may be tied to a particular method but may be user
independent. These MDE and UDE data structures 1200, 1202 are used
in the preferred embodiment to provide input data to methods 1000,
to receive data outputted by methods, or both. MDEs 1202 and UDEs
1200 may be delivered independently of method cores 1000' that
reference them, or the data structures may be delivered as part of
the method cores. For example, the method core 1000' in the
preferred embodiment may contain one or more MDEs 1202 and/or UDEs
1200 (or portions thereof). Method core 1000' may, alternately or
in addition, reference one or more MDE and/or UDE data structures
that are delivered independently of method core(s) that reference
them.
[1071] Method cores 1000' in the preferred embodiment also
reference one or more "load modules" 1100. Load modules 1100 in the
preferred embodiment comprise executable code, and may also include
or reference one or more data structures called "data descriptor"
("DTD") information. This "data descriptor" information may, for
example, provide data input information to the DTD interpreter 590.
DTDs may enable load modules 1100 to access (e.g., read from and/or
write to) the MDE and/or UDE data elements 1202, 1200.
[1072] Method cores 1000' may also reference one or more DTD and/or
MDE data structures that contain a textual description of their
operations suitable for inclusion as part of an electronic
contract. The references to the DTD and MDE data structures may
occur in the private header of the method core 1000', or may be
specified as part of the event table, described below.
[1073] FIG. 22 shows an example of a format for a method core 1000'
provided by the preferred embodiment. A method core 1000' in the
preferred embodiment contains a method event table 1006 and a
method local data area 1008. Method event table 1006 lists
"events." These "events" each reference "load modules" 1100 and/or
PERCs 808 that control processing of an event. Associated with each
event in the list is any static data necessary to parameterize the
load module 1000 or permissions record 808, and reference(s) into
method user data area 1008 that are needed to support that event.
The data that parameterizes the load module 1100 can be thought of,
in part, as a specific function call to the load module, and the
data elements corresponding to it may be thought of as the input
and/or output data for that specific function call.
[1074] Method cores 1000' can be specific to a single user, or they
may be shared across a number of users (e.g., depending upon the
uniqueness of the method core and/or the specific user data
element). Specifically, each user/group may have its own UDE 1200
and use a shared method core 1000'. This structure allows for lower
database overhead than when associating an entire method core 1000'
with a user/group. To enable a user to use a method, the user may
be sent a method core 1000' specifying a UDE 1200. If that method
core 1000' already exists in the site's secure database 610, only
the UDE 1200 may need to be added. Alternately, the method may
create any required UDE 1200 at registration time.
[1075] The FIG. 22 example of a format for a method core 1000'
provided by the preferred embodiment includes a public
(unencrypted) header 802, a private (encrypted) header 804, method
event table 1006, and a method local data area 1008.
[1076] An example of a possible field layout for method core 1000'
public header 802 is shown in the following table:
TABLE-US-00016 Field Type Description Method ID Creator ID Site ID
of creator of this method. Distributor ID Distributor of this
method (e.g., last change). Type ID Constant, indicates method
"type." Method ID Unique sequence number for this method. Version
ID Version number of this method. Other Class ID ID to support
different method classification "classes." information Type ID ID
to support method type compatible searching. Descriptive
Description(s) Textual description(s) of the method. Information
Event Summary Summary of event classes (e.g., USE) that this method
supports.
[1077] An example of a possible field layout for private header 804
is shown below:
TABLE-US-00017 Field Type Description Copy of Public Header 802
Method ID from Public Header Method ID and "Other Classification
Information" Descriptive # of Events # of events supported in this
method. Information Access and Access tag Tags used to determine if
this method Reference Tags Validation tag is the correct method
under Correlation tag management by the SPU; ensure that the method
core 1000' is used only under appropriate circumstances. Data
Structure Reference Optional Reference to DTD(s) and/or MDE(s)
Check Value Check value for Private Header and method event table.
Check Value for Public Header Check Value for Public Header
[1078] Referring once again to FIG. 22, method event table 1006 may
in the preferred embodiment include from 1 to N method event
records 1012. Each of these method event records 1012 corresponds
to a different event the method 1000 represented by method core
1000' may respond to.
[1079] Methods 1000 in the preferred embodiment may have completely
different behavior depending upon the event they respond to. For
example, an AUDIT method may store information in an audit trail
UDE 1200 in response to an event corresponding to a user's use of
an object or other resource. This same AUDIT method may report the
stored audit trail to a VDE administrator or other participant in
response to an administrative event such as, for example, a timer
expiring within a VDE node or a request from another VDE
participant to report the audit trail. In the preferred embodiment,
each of these different events may be represented by an "event
code." This "event code" may be passed as a parameter to a method
when the method is called, and used to "look up" the appropriate
method event record 1012 within method event table 1006. The
selected method event record 1012, in turn, specifies the
appropriate information (e.g., load module(s) 1100, data element
UDE(s) and MDE(s) 1200, 1202, and/or PERC(s) 808) used to construct
a component assembly 690 for execution in response to the event
that has occurred.
[1080] Thus, in the preferred embodiment, each method event record
1012 may include an event field 1014, a LM/PERC reference field
1016, and any number of data reference fields 1018. Event fields
1014 in the preferred embodiment may contain a "event code" or
other information identifying the corresponding event. The LM/PERC
reference field 1016 may provide a reference into the secure
database 610 (or other "pointer" information) identifying a load
module 1100 and/or a PERC 808 providing (or referencing) executable
code to be loaded and executed to perform the method in response to
the event. Data reference fields 1018 may include information
referencing a UDE 1200 or a MDE 1202. These data structures may be
contained in the method local data area 1008 of the method core
1000', or they may be stored within the secure database 610 as
independent deliverables.
[1081] The following table is an example of a possible more
detailed field layout for a method event record 1012:
TABLE-US-00018 Field Type Description Event Field 1014 Identifies
corresponding event. Access tag Secret tag to grant access to this
row of the method event record. LM/PERC DB ID or offset/size
Database reference (or local pointer). Reference Field Correlation
tag Correlation tag to assert when referencing this 1016 element. #
of Data Element Reference Fields Count of data reference fields in
the method event record. Data Reference UDE ID or offset/size
Database 610 reference (or local pointer). Field 1 Correlation tag
Correlation tag to assert when referencing this element. ! . . .
Data Reference UDE ID or offset/size Database 610 reference (or
local pointer). Field n Correlation tag Correlation tag to assert
when referencing this element.
Load Modules
[1082] FIG. 23 is an example of a load module 1100 provided by the
preferred embodiment. In general, load modules 1100 represent a
collection of basic functions that are used for control
operations.
[1083] Load module 1100 contains code and static data (that is
functionally the equivalent of code), and is used to perform the
basic operations of VDE 100. Load modules 1100 will generally be
shared by all the control structures for all objects in the system,
though proprietary load modules are also permitted. Load modules
1100 may be passed between VDE participants in administrative
object structures 870, and are usually stored in secure database
610. They are always encrypted and authenticated in both of these
cases. When a method core 1000' references a load module 1100, a
load module is loaded into the SPE 503, decrypted, and then either
passed to the electronic appliance microprocessor for executing in
an HPE 655 (if that is where it executes), or kept in the SPE (if
that is where it executes). If no SPE 503 is present, the load
module may be decrypted by the HPE 655 prior to its execution.
[1084] Load module creation by parties is preferably controlled by
a certification process or a ring based SPU architecture. Thus, the
process of creating new load modules 1100 is itself a controlled
process, as is the process of replacing, updating or deleting load
modules already stored in a secured database 610.
[1085] A load module 1100 is able to perform its function only when
executed in the protected environment of an SPE 503 or an HPE 655
because only then can it gain access to the protected elements
(e.g., UDEs 1200, other load modules 1100) on which it operates.
Initiation of load module execution in this environment is strictly
controlled by a combination of access tags, validation tags,
encryption keys, digital signatures and/or correlation tags. Thus,
a load module 1100 may only be referenced if the caller knows its
ID and asserts the shared secret correlation tag specific to that
load module. The decrypting SPU may match the identification token
and local access tag of a load module after decryption. These
techniques make the physical replacement of any load module 1100
detectable at the next physical access of the load module.
Furthermore, load modules 1100 may be made "read only" in the
preferred embodiment. The read-only nature of load modules 1100
prevents the write-back of load modules that have been tampered
with in non-secure space.
[1086] Load modules are not necessarily directly governed by PERCs
808 that control them, nor must they contain any time/date
information or expiration dates The only control consideration in
the preferred embodiment is that one or more methods 1000 reference
them using a correlation tag (the value of a protected object
created by the load module's owner, distributed (to authorized
parties for inclusion in their methods, and to which access and use
is controlled by one or more PERCs 808). If a method core 1000'
references a load module 1100 and asserts the proper correlation
tag (and the load module satisfies the internal tamper checks for
the SPE 503), then that load module can be loaded and executed, or
it can be acquired from, shipped to, updated, or deleted by, other
systems.
[1087] As shown in FIG. 23, load modules 1100 in the preferred
embodiment may be constructed of a public (unencrypted) header 802,
a private (encrypted) header 804, a private body 1106 containing
the encrypted executable code, and one or more data description
elements ("DTDs") 1108. The DTDs 1108 may be stored within load
module 1100, or they may be references to static data elements
stored in secure database 610.
[1088] The following is an example of a possible field layout for
load module public header 802:
TABLE-US-00019 Field Type Description LM ID VDE ID of Load Module.
Creator ID Site ID of creator of this load module. Type ID Constant
indicates load module type. LM ID Unique sequence number for this
load module, which uniquely identifies the load module in a
sequence of load modules created by an authorized VDE participant.
Version ID Version number of this load module. Other Class ID ID to
support different load module classes. classification Type ID ID to
support method type compatible searching. information Descriptive
Description Textual description of the load module. Information
Execution space code Value that describes what execution space
(e.g., SPE or HPE) this load module.
[1089] Many load modules 1100 contain code that executes in an SPE
503. Some load modules 1100 contain code that executes in an HPE
655. This allows methods 1000 to execute in whichever environment
is appropriate. For example, an INFORMATION method 1000 can be
built to execute only in SPE 503 secure space for government
classes of security, or in an HPE 655 for commercial applications.
As described above, the load module public header 802 may contain
an "execution space code" field that indicates where the load
module 1100 needs to execute. This functionality also allows for
different SPE instruction set as well as different user platforms,
and allows methods to be constructed without dependencies on the
underlying load module instruction set.
[1090] Load modules 1100 operate on three major data areas: the
stack, load module parameters, and data structures. The stack and
execution memory size required to execute the load module 1100 are
preferably described in private header 804, as are the data
descriptions from the stack image on load module call, return, and
any return data areas. The stack and dynamic areas are described
using the same DTD mechanism. The following is an example of a
possible layout for a load module private header 1104:
TABLE-US-00020 Field Type Description Copy of some or all of
information from Object ID from Public Header. public header 802
Other Check Value Check Value for Public Header. classification
information Descriptive LM Size Size of executable code block.
Information LM Exec Size Executable code size for the load module.
LM Exec Stack Stack size required for the load module. Execution
space code Code that describes the execution space for this load
module. Access and Access tag Tags used to determine if the load
module is the reference tags Validation tag correct LM requested by
the SPE. Correlation tag Tag used to determine if the caller of the
LM has the right to execute this LM. Digital Signature Used to
determine if the LM executable content is intact and was created by
a trusted source (one with a correct certificate for creating LMs).
Data record DTD count Number of DTDs that follow the code block.
descriptor DTD 1 reference If locally defined, the physical size
and offset in information bytes of the first DTD defined for this
LM. If publicly referenced DTD, this is the DTD ID and the
correlation tag to permit access to the record. *** DTD N reference
If locally defined, the physical size and offset in bytes of the
Nth DTD defined for this LM. If publicly referenced DTD, this is
the DTD ID and the correlation tag to permit access to the record.
Check Value Check Value for entire LM.
[1091] Each load module 1100 also may use DTD 1108 information to
provide the information necessary to support building methods from
a load module. This DTD information contains the definition
expressed in a language such as SGML for the names and data types
of all, of the method data fields that the load module supports,
and the acceptable ranges of values that can be placed in the
fields. Other DTDs may describe the function of the load module
1100 in English for inclusion in an electronic contract, for
example.
[1092] The next section of load module 1100 is an encrypted
executable body 1106 that contains one or more blocks of encrypted
code. Load modules 1100 are preferably coded in the "native"
instruction set of their execution environment for efficiency and
compactness. SPU 500 and platform providers may provide versions of
the standard load modules 1100 in order to make their products
cooperate with the content in distribution mechanisms contemplated
by VDE 100. The preferred embodiment creates and uses native mode
load modules 1100 in lieu of an interpreted or "p-code" solution to
optimize the performance of a limited resource SPU. However, when
sufficient SPE (or HPE) resources exist and/or platforms have
sufficient resources, these other implementation approaches may
improve the cross platform utility of load module code.
[1093] The following is an example of a field layout for a load
module DTD 1108:
TABLE-US-00021 Field Type Description DTD ID Uses Object ID from
Private Headev. Creator ID Site ID of creator of this DTD. Type ID
Constant. DTD ID Unique sequence number for this DTD. Version ID
Version number of this DTD. Descriptive DTD Size Size of DTD block.
Information Access and Access tag Tags used to determine if the DTD
is reference tags Validation tag the correct DTD requested by the
SPE. Correlation tag Tag used to determine if the caller of this
DTD has the right to use the DTD. DTD Body DTD Data Definition 1
DTD Data Definition 2 ! DTD Data Definition N Check Value Check
Value for entire DTD record.
[1094] Some examples of how load modules 1100 may use DTDs 1108
include: [1095] Increment data element (defined by name in DTD3)
value in data area DTD4 by value in DTD1 [1096] Set data element
(defined by name in DTD3) value in data area DTD4 to value in DTD3
[1097] Compute atomic element from event in DTD1 from table in DTD3
and return in DTD2 [1098] Compute atomic element from event in DTD1
from equation in DTD3 and return in DTD2 [1099] Create load module
from load module creation template referenced in DTD3 [1100] Modify
load module in DTD3 using content in DTD4 [1101] Destroy load
module named in DTD3
[1102] Commonly used load modules 1100 may be built into a SPU 500
as space permits. VDE processes that use built-in load modules 1100
will have significantly better performance than processes that have
to find, load and decrypt external load modules. The most useful
load modules 1100 to build into a SPU might include scaler meters,
fixed price billing, budgets and load modules for aggregate methods
that perform these three processes.
[1103] User Data Elements (UDEs) 1200 and Method Data Elements
(MDEs) 1202
[1104] User Data Elements (UDEs) 1200 and Method Data Elements
(MDEs) 1202 in the preferred embodiment store data. There are many
types of UDEs 1200 and MDEs 1202 provided by the preferred
embodiment. In the preferred embodiment, each of these different
types of data structures shares a common overall format including a
common header definition and naming scheme. Other UDEs 1200 that
share this common structure include "local name services records"
(to be explained shortly) and account information for connecting to
other VDE participants. These elements are not necessarily
associated with an individual user, and may therefore be considered
MDEs 1202. All UDEs 1200 and all MDEs 1202 provided by the
preferred embodiment may, if desired, (as shown in FIG. 16) be
stored in a common physical table within secure database 610, and
database access processes may commonly be used to access all of
these different types of data structures.
[1105] In the preferred embodiment, PERCs 808 and user rights table
records are types of UDE 1200. There are many other types of UDEs
1200/MDEs 1202, including for example, meters, meter trails,
budgets, budget trails, and audit trails. Different formats for
these different types of UDEs/MDEs are defined, as described above,
by SGML definitions contained within DTDs 1108. Methods 1000 use
these DTDs to appropriately access UDEs/MDEs 1200, 1202.
[1106] Secure database 610 stores two types of items: static and
dynamic. Static data structures and other items are used for
information that is essentially static information. This includes
load modules 1100, PERCs 808, and many components of methods. These
items are not updated frequently and contain expiration dates that
can be used to prevent "old" copies of the information from being
substituted for newly received items. These items may be encrypted
with a site specific secure database file key when they are stored
in the secure database 610, and then decrypted using that key--when
they are loaded into the SPE.
[1107] Dynamic items are used to support secure items that must be
updated frequently. The UDEs 1200 of many methods must be updated
and written out of the SPE 503 after each use. Meters and budgets
are common examples of this. Expiration dates cannot be used
effectively to prevent substitution of the previous copy of a
budget UDE 1200. To secure these frequently updated items, a
transaction tag is generated and included in the encrypted item
each time that item is updated. A list of all VDE item IDs and the
current transaction tag for each item is maintained as part of the
secure database 610.
[1108] FIG. 24 shows an example of a user data element ("UDE") 1200
provided by the preferred embodiment. As shown in FIG. 24, UDE 1200
in the preferred embodiment includes a public header 802, a private
header 804, and a data area 1206. The layout for each of these user
data elements 1200 is generally defined by an SGML data definition
contained within a DTD 1108 associated with one or more load
modules 1100 that operate on the UDE 1200.
[1109] UDEs 1200 are preferably encrypted using a site specific key
once they are loaded into a site. This site-specific key masks a
validation tag that may be derived from a cryptographically strong
pseudo-random sequence by the SPE 503 and updated each time the
record is written back to the secure database 610. This technique
provides reasonable assurance that the UDE 1200 has not been
tampered with nor substituted when it is requested by the system
for the next use.
[1110] Meters and budgets are perhaps among the most common data
structures in VDE 100. They are used to count and record events,
and also to limit events. The data structures for each meter and
budget are determined by the content provider or a
distributor/redistributor authorized to change the information.
Meters and budgets, however, generally have common information
stored in a common header format (e.g., user ID, site ID and
related identification information).
[1111] The content provider or distributor/redistributor may
specify data structures for each meter and budget UDE. Although
these data structures vary depending upon the particular
application, some are more common than others. The following table
lists some of the more commonly occurring data structures for METER
and BUDGET methods:
TABLE-US-00022 Field type Format Typical Use Description or Use
Ascending Use byte, short, long, or Meter/Budget Ascending count of
uses. Counter unsigned versions of the same widths Descending Use
byte, short, long, or Budget Descending count of permitted Counter
unsigned versions use; eg., remaining budget. of the same widths
Counter/Limit 2, 4 or 8 byte Meter/Budget usage limits since a
specific integer split into time; generally used in two related
bytes or compound meter data structures. words Bitmap Array bytes
Meter/Budget Bit indicator of use or ownership. Wide bitmap Array
of bytes Meter/Budget Indicator of use or ownership that may age
was time. Last Use Date time_t Meter/Budget Date of last use. Start
Date time_t Budget Date of first allowable use. Expiration Date
time_t Meter/Budget Expiration Date. Last Audit Date time_t
Meter/Budget Date of last audit. Next Audit Date time_t
Meter/Budget Date of next required. Auditor VDE ID Meter/Budget VDE
ID of authorized auditor.
[1112] The information in the table above is not complete or
comprehensive, but rather is intended to show some examples of
types of information that may be stored in meter and budget related
data structures. The actual structure of particular meters and
budgets is determined by one or more DTDs 1108 associated with the
load modules 1100 that create and manipulate the data structure. A
list of data types permitted by the DTD interpreter 590 in VDE 100
is extensible by properly authorized parties.
[1113] FIG. 25 shows an example of one particularly advantageous
kind of UDE 1200 data area 1206. This data area 1206 defines a
"map" that may be used to record usage information. For example, a
meter method 1000 may maintain one or more "usage map" data areas
1206. The usage map may be a "usage bit map" in the sense that it
stores one or more bits of information (i.e., a single or
multi-dimensional bit image) corresponding to each of several types
or categories of usage. Usage maps are an efficient means for
referencing prior usage. For example, a usage map data area may be
used by a meter method 1000 to record all applicable portions of
information content that the user has paid to use, thus supporting
a very efficient and flexible means for allowing subsequent user
usage of the same portions of the information content. This may
enable certain VDE related security functions such as
"contiguousness," "logical relatedness," randomization of usage,
and other usage types. Usage maps may be analyzed for other usage
patterns (e.g., quantity discounting, or for enabling a user to
reaccess information content for which the user previously paid for
unlimited usage).
[1114] The "usage map" concept provided by the preferred embodiment
may be tied to the concept of "atomic elements." In the preferred
embodiment, usage of an object 300 may be metered in terms of
"atomic elements." In the preferred embodiment, an "atomic element"
in the metering context defines a unit of usage that is
"sufficiently significant" to be recorded in a meter. The
definition of what constitutes an "atomic element" is determined by
the creator of an object 300. For instance, a "byte" of information
content contained in an object 300 could be defined as an "atomic
element," or a record of a database could be defined as an "atomic
element," or each chapter of an electronically published book could
be defined as an "atomic element."
[1115] An object 300 can have multiple sets of overlapping atomic
elements. For example, an access to any database in a plurality of
databases may be defined as an "atomic element." Simultaneously, an
access to any record, field of records, sectors of informations,
and/or bytes contained in any of the plurality of databases might
also be defined as an "atomic element." In an electronically
published newspaper, each hundred words of an article could be
defined as an "atomic element," while articles of more than a
certain length could be defined as another set of "atomic
elements." Some portions of a newspaper (e.g., advertisements, the
classified section, etc.) might not be mapped into an atomic
element.
[1116] The preferred embodiment provides an essentially unbounded
ability for the object creator to define atomic element types. Such
atomic element definitions may be very flexible to accommodate a
wide variety of different content usage. Some examples of atomic
element types supported by the preferred embodiment include bytes,
records, files, sectors, objects, a quantity of bytes, contiguous
or relatively contiguous bytes (or other predefined unit types),
logically related bytes containing content that has some logical
relationship by topic, location or other user specifiable logic of
relationship, etc. Content creators preferably may flexibly define
other types of atomic elements.
[1117] The preferred embodiment of the present invention provides
EVENT methods to provide a mapping between usage events and atomic
elements. Generally, there may be an EVENT method for each
different set of atomic elements defined for an object 300. In many
cases, an object 300 will have at least one type of atomic element
for metering relating to billing, and at least one other atomic
element type for non-billing related metering (e.g., used to, for
example; detect fraud, bill advertisers, and/or collect data on end
user usage activities).
[1118] In the preferred embodiment, each EVENT method in a usage
related context performs two functions: (1) it maps an accessed
event into a set of zero or more atomic elements, and (2) it
provides information to one or more METER methods for metering
object usage. The definition used to define this mapping between
access events and atomic elements may be in the form of a
mathematical definition, a table, a load module, etc. When an EVENT
method maps an access request into "zero" atomic elements, a user
accessed event is not mapped into any atomic element based on the
particular atomic element definition that applies. This can be, for
example, the object owner is not interested in metering usage based
on such accesses (e.g., because the object owner deems such
accesses to be insignificant from a metering standpoint).
[1119] A "usage map" may employ a "bit map image" for storage of
usage history information in a highly efficient manner. Individual
storage elements in a usage map may correspond to atomic elements.
Different elements within a usage map may correspond to different
atomic elements (e.g., one map element may correspond to number of
bytes read, another map element may correspond to whether or not a
particular chapter was opened, and yet another map element may
correspond to some other usage event.)
[1120] One of the characteristics of a usage map provided by the
preferred embodiment of the present invention is that the
significance of a map element is specified, at least in part, by
the position of the element within the usage map. Thus, in a usage
map provided by the preferred embodiment, the information indicated
or encoded by a map element is a function of its position (either
physically or logically) within the map structure. As one simple
example, a usage map for a twelve-chapter novel could consist of
twelve elements, one for each chapter of the novel. When the user
opens the first chapter, one or more bits within the element
corresponding to the first chapter could be changed in value (e.g.,
set to "one"). In this simple example where the owner of the
content object containing the novel was interested only in metering
which chapters had been opened by the user, the usage map element
corresponding to a chapter could be set to "one" the first time the
user opened that corresponding chapter, and could remain "one" no
matter how many additional times the user opened the chapter. The
object owner or other interested VDE participant would be able to
rapidly and efficiently tell which chapter(s) had been opened by
the user simply by examining the compact usage map to determine
which elements were set to "one."
[1121] Suppose that the content object owner wanted to know how
many times the user had opened each chapter of the novel. In this
case, the usage map might comprise, for a twelve-chapter novel,
twelve elements each of which has a one-to-one correspondence with
a different one of the twelve chapters of the novel. Each time a
user opens a particular chapter, the corresponding METER method
might increment the value contained in the corresponding usage map
element. In this way, an account could be readily maintained for
each of the chapters of the novel.
[1122] The position of elements within a usage map may encode a
multi-variable function. For example, the elements within a usage
map may be arranged in a two-dimensional array as shown in FIG.
25B. Different array coordinates could correspond to independent
variables such as, for example, atomic elements and time. Suppose,
as an example, that a content object owner distributes an object
containing a collection of audio recordings. Assume further that
the content object owner wants to track the number of times the
user listens to each recording within the collection, and also
wants to track usage based on month of the year. Thus, assume that
the content object owner wishes to know how many times the user
during the month of January listened to each of the recordings on a
recording-by-recording basis, similarly wants to know this same
information for the month of February, March, etc. In this case,
the usage map (see FIG. 25B) might be defined as a two-dimensional
array of elements. One dimension of the array might encode audio
recording number. The other dimension of the array might encode
month of the year. During the month of January, the corresponding
METER method would increment elements in the array in the "January"
column of the array, selecting which element to increment as a
function of recording number. When January comes to an end, the
METER method might cease writing into the array elements in the
January column, and instead write values into a further set of.
February array elements--once again selecting the particular array
element in this column as a function of recording number. This
concept may be extended to N dimensions encoding N different
variables.
[1123] Usage map meters are thus an efficient means for referencing
prior usage. They may be used to enable certain VDE related
security functions such as testing for contiguousness (including
relative contiguousness), logical relatedness (including relative
logical relatedness), usage randomization, and other usage
patterns. For example, the degree or character of the "randomness"
of content usage by a user might serve as a potential indicator of
attempts to circumvent VDE content budget limitations. A user or
groups of users might employ multiple sessions to extract content
in a manner which does not violate contiguousness, logical
relatedness or quantity limitations, but which nevertheless enables
reconstruction of a material portion or all of a given, valuable
unit of content. Usage maps can be analyzed to determine other
patterns of usage for pricing such as, for example, quantity
discounting after usage of a certain quantity of any or certain
atomic units, or for enabling a user to reaccess an object for
which the user previously paid for unlimited accesses (or unlimited
accesses over a certain time duration). Other useful analyses might
include discounting for a given atomic unit for a plurality of
uses.
[1124] A further example of a map meter includes storing a record
of all applicable atomic elements that the user has paid to use (or
alternatively, has been metered as having used, though payment may
not yet have been required or made). Such a usage map would support
a very efficient and flexible way to allow subsequent user usage of
the same atomic elements.
[1125] A further usage map could be maintained to detect fraudulent
usage of the same object. For example, the object might be stored
in such a way that sequential access of long blocks should never
occur. A METER method could then record all applicable atomic
elements accesses during, for example, my specified increment of
time, such as ten minutes, an hour, a day, a month, a year, or
other time duration). The usage map could be analyzed at the end of
the specified time increment to check for an excessively long
contiguous set of accessed blocks, and/or could be analyzed at the
initiation of each access to applicable atomic elements. After each
time duration based analysis, if no fraudulent use is detected, the
usage map could be cleared (or partially cleared) and the mapping
process could begin in whole or in part anew. If a fraudulent use
pattern is suspected or detected, that information might be
recorded and the use of the object could be halted. For example,
the user might be required to contact a content provider who might
then further analyze the usage information to determine whether or
not further access should be permitted.
[1126] FIG. 25c shows a particular type of "wide bit map" usage
record 1206 wherein each entry in the usage record corresponds to
usage during a particular time period (e.g., current month usage,
last month's usage, usage in the month before last, etc.). The
usage record shown thus comprises an array of "flags" or fields
1206, each element in the array being used to indicate usage in a
different time period in this particular example. When a time
period ends, all elements 1206 in the array may be shifted one
position, and thus usage information (or the purchase of user
access rights) over a series of time periods can be reflected by a
series of successive array elements. In the specific example shown
in FIG. 25c, the entire wide array 1206 is shifted by one array
position each month, with the oldest array element being deleted
and the new array element being "turned" in a new array map
corresponding to the current time period. In this example, record
1302 tracks usage access rights and/or other usage related
activities during the present calendar month as well for the five
immediately prior calendar months. Corresponding billing and/or
billing method 406 may inspect the map, determine usage as related
to billing and/or security monitoring for current usage based on a
formula that employs the usage data stored in the record, and
updates the wide record to indicate the applicable array elements
for which usage occurred or the like. A wide bit map may also be
used for many other purposes such as maintaining an element by
element count of usage, or the contiguousness, relatedness, etc.
function described above, or some combination of functionality.
[1127] Audit trail maps may be generated at any frequency
determined by control, meter, budget and billing methods and load
modules associated with those methods. Audit trails have a similar
structure to meters and budgets and they may contain user specific
information in addition to information about the usage event that
caused them to be created. Like meters and budgets, audit trails
have a dynamic format that is defined by the content provider or
their authorized designee, and share the basic element types for
meters and budgets shown in the table above. In addition to these
types, the following table lists some examples of other significant
data fields that may be found in audit trails.
TABLE-US-00023 Field type Format Typical Use Description of Use Use
Event ID unsigned long Meter/Budget/Billing Event ID that started a
processing sequence. Internal Sequence unsigned long
Meter/Budget/Billing Transaction number to help Number detect
audits that have been tampered with. Atomic Element(s) Unsigned
Meter/Billing Atomic element(s) and ID of & Object ID
integer(s) of object that was used. appropriate width Personal User
Character or Budget/Billing Personal information about user.
Information other information Use Date/Time time_t
Meter/Budget/Billing Date/time of use. Site ID/User ID VDE ID
Meter/Budget/Billing VDE ID of user.
[1128] Audit trail records may be automatically combined into
single records to conserve header space. The combination process
may, for example, occur under control of a load module that creates
individual audit trail records.
[1129] Permissions Record Overview
[1130] FIG. 16 also shows that PERCs 808 may be stored as part of
secure database 610. Permissions records ("PERCs") 808 are at the
highest level of the data driven control hierarchy provided by the
preferred embodiment of VDE 100. Basically, there is at least one
PERC 808 that corresponds to each information and/or transactional
content distributed by VDE 100. Thus, at least one PERC 808 exists
for each VDE object 300 in the preferred embodiment. Some objects
may have multiple corresponding PERCs 808. PERC 808 controls how
access and/or manipulation permissions are distributed and/or how
content and/or other information may otherwise be used. PERC 808
also specifies the "rights" of each VDE participant in and to the
content and/or other information.
[1131] In the preferred embodiment, no end user may use or access a
VDE object unless a permissions record 808 has been delivered to
the end user. As discussed above, a PERC 808 may be delivered as
part of a traveling object 860 or it may be delivered separately
(for example, within an administrative object). An electronic
appliance 600 may not access an object unless a corresponding PERC
808 is present, and may only use the object and related information
as permitted by the control structures contained within the
PERC.
[1132] Briefly, the PERC 808 stores information concerning the
methods, method options, decryption keys and rights with respect to
a corresponding VDE object 300.
[1133] PERC 808 includes control structures that define high level
categories or classifications of operations. These high level
categories are referred to as "rights." The "right" control
structures, in turn, provide internal control structures that
reference "methods" 1000. The internal structure of preferred
embodiment PERC 808 organizes the "methods" that are required to
perform each allowable operation on an object or associated control
structure (including operations performed on the PERC itself). For
example, PERC 808 contains decryption keys or the object, and usage
of the keys is controlled by the methods that are required by the
PERC for performing operations associated with the exercise of a
"right."
[1134] PERC 808 for an object is typically created when the object
is created, and future substantive modifications of a PERC, if
allowed, are controlled by methods associated with operations using
the distribution right(s) defined by the same (or different)
PERC.
[1135] FIG. 22 shows the internal structures present in an example
of a PERC 808 provided by the preferred embodiment. All of the
structures shown represent (or reference) collections of methods
required to process a corresponding object in some specific way.
PERCs 808 are organized as a hierarchical structure, and the basic
elements of the hierarchy are as follows: [1136] "rights" records
906 [1137] "control sets" 914 [1138] "required method" records 920
and [1139] "required method options" 924.
[1140] There are other elements that may be included in a PERC 808
hierarchy that describe rules and the rule options to support the
negotiation of rule sets and control information for smart objects
and for the protection of a user's personal information by a
privacy filter. These alternate elements may include: [1141]
optional rights records [1142] optional control sets [1143]
optional method records [1144] permitted rights records [1145]
permitted rights control sets [1146] permitted method records
[1147] required DTD descriptions [1148] optional DTD descriptions
[1149] permitted DTD descriptions
[1150] These alternate fields can control other processes that may,
in part, base negotiations or decisions regarding their operation
on the contents of these fields. Rights negotiation, smart object
control information, and related processes can use these fields for
more precise control of their operation.
[1151] The PERC 808 shown in FIG. 26 includes a PERC header 900, a
CSO ("control set 0") 902, private body keys 904, and one or more
rights sub-records 906. Control set 0 902 in the preferred
embodiment contains information that is common to one or more
"rights" associated with an object 300. For example, a particular
"event" method or methods might be the same for usage rights,
extraction rights, and/or other rights. In that case, "control set
0" 902 may reference this event that is common across multiple
"rights." The provision of "control set 0" 902 is actually an
optimization, since it would be possible to store different
instances of a commonly-used event within each of plural "rights"
records' 906 of a PERC 808.
[1152] Each rights record 906 defines a different "right"
corresponding to an object. A "right" record 906 is the highest
level of organization present in PERC 808. There can be several
different rights in a PERC 808. A "right" represents a major
functional partitioning desired by a participant of the basic
architecture of VDE 100. For example, the right to use an object
and the right to distribute rights to use an object are major
functional groupings within VDE 100. Some examples of possible
rights include access to content, permission to distribute rights
to access content, the ability to read and process audit trails
related to content and/or control structures, the right to perform
transactions that may or may not be related to content and/or
related control structures (such as banking transactions, catalog
purchases, the collection of taxes, EDI transactions, and such),
and the ability to change some or all of the internal structure of
PERCs created for distribution to other users. PERC 808 contains a
rights record 906 for each type of right to object access/use the
PERC grants.
[1153] Normally, for VDE end users, the most frequently granted
right is a usage right. Other types of rights include the
"extraction right," the "audit right" for accessing audit trail
information, of end users, and a "distribution right" to distribute
an object. Each of these different types of rights may be embodied
in a different rights record 906 (or alternatively, different PERCs
808 corresponding to an object may be used to grant different
rights).
[1154] Each rights record 906 includes a rights record header 908,
a CSR ("control set for right") 910, one or more "right `keys" 912,
and one or more "control sets" 914. Each "rights" record 906
contains one or more control sets 914 that are either required or
selectable options to control an object in the exercise of that
"right." Thus, at the next level, inside of a "right" 906, are
control sets 914. Control sets 914, in turn, each includes a
control set header 916, a control method 918, and one or more
required methods records 920. Required methods records 920, in
turn, each includes a required method header 922 and one or more
required method options 924.
[1155] Control sets 914 exist in two types in VDE 100: common
required control sets which are given designations "control set 0"
or "control set for right," and a set of control set options.
"Control set 0" 902 contains a list of required methods that are
common to all control set options, so that the common required
methods do not have to be duplicated in each control set option. A
"control set for right" ("CSR") 910 contains a similar list for
control sets within a given right. "Control set 0" and any "control
sets for rights" are thus, as mentioned above, optimizations; the
same functionality for the control sets can be accomplished by
listing all the common required methods in each control set option
and omitting "control set 0" and any "control sets for rights."
[1156] One of the control set options, "control set 0" and the
appropriate "control set for right" together form a complete
control set necessary to exercise a right.
[1157] Each control set option contains a list of required methods
1000 and represents a different way the right may be exercised.
Only one of the possible complete control sets 914 is used at any
one time to exercise a right in the preferred embodiment.
[1158] Each control set 914 contains as many required methods
records 920 as necessary to satisfy all of the requirements of the
creators and/or distributors for the exercise of a right. Multiple
ways a right may be exercised, or multiple control sets that govern
how a given right is exercised, are both supported. As an example,
a single control set 914 might require multiple meter and budget
methods for reading the object's content, and also require
different meter and budget methods for printing an object's
content. Both reading and printing an object's content can be
controlled in a single control set 914.
[1159] Alternatively, two different control set options could
support reading an object's content by using one control set option
to support metering and budgeting the number of bytes read, and the
other control set option to support metering and budgeting the
number of paragraphs read. One or the other of these options would
be active at a time.
[1160] Typically, each control set 914 will reference a set of
related methods, and thus different control sets can offer a
different set of method options. For example, one control set 914
may represent one distinct kind of metering methodology, and
another control set may represent another, entirely different
distinct metering methodology.
[1161] At the next level inside a control set 914 are the required
methods records 920. Methods records 920 contain or reference
methods 1000 in the preferred embodiment. Methods 1000 are a
collection of "events," references to load modules associated with
these events, static data, and references to a secure database 610
for automatic retrieval of any other separately deliverable data
elements that may be required for processing events (e.g., UDEs). A
control set 914 contains a list of required methods that must be
used to exercise a specific right (i.e., process events associated
with a right). A required method record 920 listed in a control set
914 indicates that a method must exist to exercise the right that
the control set supports. The required methods may reference "load
modules" 1100 to be discussed below. Briefly, load modules 1100 are
pieces of executable code that may be used to carry out required
methods.
[1162] Each control set 914 may have a control method record 918 as
one of its required methods. The referenced control method may
define the relationships between some or all of the various methods
1000 defined by a control set 906. For example, a control method
may indicate which required methods are functionally grouped
together to process particular events, and the order for processing
the required methods. Thus, a control method may specify that
required method referenced by record 920(a)(1)(i) is the first to
be called and then its output is to go to required method
referenced by record 920(a)(1)(ii) and so on. In this way, a meter
method may be tied to one or more billing methods and then the
billing methods may be individually tied to different budget
methods, etc.
[1163] Required method records 920 specify one or more required
method options 924. Required method options are the lowest level of
control structure in a preferred embodiment PERC 808. By
parameterizing the required methods and specifying the required
method options 924 independently of the required methods, it
becomes possible to reuse required methods in many different
circumstances.
[1164] For example, a required method record 920 may indicate that
an actual budget method ID must be chosen from the list of budget
method IDs in the required method option list for that required
method. Required method record 920 in this case does not contain
any method IDs for information about the type of method required,
it only indicates that a method is required. Required method option
924 contains the method ID of the method to be used if this
required method option is selected. As a further optimization, an
actual method ID may be stored if only one option exists for a
specific required method. This allows the size of this data
structure to be decreased.
[1165] PERC 808 also contains the fundamental decryption keys for
an object 300, and any other keys used with "rights" (for encoding
and/or decoding audit trails, for example). It may contain the keys
for the object content or keys to decrypt portions of the object
that contain other keys that then can be used to decrypt the
content of the object. Usage of the keys is controlled by the
control sets 914 in the same "right" 906 within PERC 808.
[1166] In more detail, FIG. 26 shows PERC 808 as including private
body keys 904, and right keys 912. Private body keys 904 are used
to decrypt information contained within a private body 806 of a
corresponding VDE object 300. Such information may include, for
example, methods 1000, load modules 1100 and/or UDEs 1200, for
example. Right keys 912 are keys used to exercise a right in the
preferred embodiment. Such right keys 912 may include, for example,
decryption keys that enable a method specified by PERC 808 to
decrypt content for release by a VDE node to an end user. These
right keys 912 are, in the preferred embodiment, unique to an
object 300. Their usage is preferably controlled by budgets in the
preferred embodiment.
Detailed Example of a PERC 808
[1167] FIGS. 26A and 26B show one example of a preferred embodiment
PERC 808. In this example, PERC header 900 includes: [1168] a site
record number 926, [1169] a field 928 specifying the length of the
private body key block, [1170] a field 930 specifying the length of
the PERC, [1171] an expiration date/time field 932 specifying the
expiration date and/or time for the PERC, [1172] a last
modification date/time field 934 specifying the last date and/or
time the PERC 808 was modified, [1173] the original distributor ID
field 936 that specifies who originally distributed the PERC and/or
corresponding object, [1174] a last distributor field 938 that
specifies who was the last distributor of the PERC and/or the
object, [1175] an object ID field 940 identifying the corresponding
VDE object 300, [1176] a field 942 that specifies the class and/or
type of PERC and/or the instance ID for the record class to
differentiate the PERCs of the same type that may differ in their
particulars, [1177] a field 944 specifying the number of "rights"
sub-records 906 within the PERC, and [1178] a validation tag
948.
[1179] The PERC 808 shown in FIGS. 26a, 26b also has private both
keys stored in a private body key block 950.
[1180] This PERC 808 includes a control set 0 sub-record 914(0)
that may be used commonly by all of rights 906 within the PERC.
This control set 0 record 914(0) may include the following fields:
[1181] a length field 952 specifying the length of the control set
0 record [1182] a field 954 specifying the number of required
method records 920 within the control set [1183] an access tag
field 956 specifying an access tag to control modification of the
record and [1184] one or more required method records 920.
[1185] Each required method record 920, in turn may include: [1186]
a length field 958 specifying the length of the required method
record [1187] a field 960 specifying the number of method option
records within the required method record 920 [1188] an access tag
field 962 specifying an access tag to control modification of the
record and [1189] one or more method option records 924.
[1190] Each method option sub-record 924 may include: [1191] a
length field 964 specifying the length of the method option record
[1192] a length field 966 specifying the length of the data area
(if any) corresponding to the method option record [1193] a method
ID field 968 specifying a method ID (e.g.,
type/owner/class/instance) [1194] a correlation tag field 970
specifying a correlation tag for correlating with the method
specified in field 968 [1195] an access tag field 972 specifying an
access tag to control modification of this record [1196] a method
specific attributes field 974 [1197] a data area 976 and [1198] a
check value field 978 for validation purposes
[1199] In this example of PERC 808 also includes one or more rights
records 906, and an overall check value field 980. FIG. 23b is an
example of one of right records 906 shown in FIG. 16a. In this
particular example, rights record 906a includes a rights record
header 908 comprising: [1200] a length field 982 specifying the
length of the rights key block 912 [1201] a length field 984
specifying the length of the rights record 908 [1202] an expiration
date/time field 986 specifying the expiration date and/or time for
the rights record [1203] a right ID field 988 identifying a right
[1204] a number field 990 specifying the number of control sets 914
within the rights record 906, and [1205] an access tag field 992
specifying an access tag to control modification of the right
record.
[1206] This example of rights record 906 includes: [1207] a control
set for this right (CSR) 910 [1208] a rights key block 912 [1209]
one or more control sets 914, and [1210] a check value field
994.
Object Registry
[1211] Referring once again to FIG. 16, secure database 610
provides data structures that support a "lookup" mechanism for
"registered" objects. This "lookup" mechanism permits electronic
appliance 600 to associate, in a secure way, VDE objects 300 with
PERCs 808, methods 1000 and load modules 1100. In the preferred
embodiment, this lookup mechanism is based in part on data
structures contained within object registry 450.
[1212] In one embodiment, object registry 450 includes the
following tables: [1213] an object registration table 460; [1214] a
subject table 462; [1215] a User Rights Table ("URT") 464; [1216]
an Administrative Event Log 442; [1217] a shipping table 444; and
[1218] a receiving table 446.
[1219] Object registry 460 in the example embodiment is a database
of information concerning registered VDE objects 300 and the rights
of users and user groups with regard to those objects. When
electronic appliance 600 receives an object 300 containing a new
budget or load module 1100, the electronic appliance usually needs
to add the information contained by the object to secure database
610. Moreover, when any new VDE object 300 arrives at an electronic
appliance 600, the electronic appliance must "register" the object
within object registry 450 so that it can be accessed. The lists
and records for a new object 300 are built in the preferred
embodiment when the object is "registered" by the electronic
appliance 600. The information for the object may be obtained from
the object's encrypted private header, object body, and encrypted
name services record. This information may be extracted or derived
from the object 300 by SPE 503, and, then stored within secure
database 610 as encrypted records.
[1220] In one embodiment, object registration table 460 includes
information identifying objects within object storage (repository)
728. These VDE objects 300 stored within object storage 728 are
not, in the example embodiment, necessarily part of secure database
610 since the objects typically incorporate their own security (as
necessary and required) and are maintained using different
mechanisms than the ones used to maintain the secure database. Even
though VDE objects 300 may not strictly be part of secure database
610, object registry 450 (and in particular, object registration
table 460) refers to the objects and thus "incorporates them by
reference" into the secure database. In the preferred embodiment,
an electronic appliance 600 may be disabled from using any VDE
object 300 that has not been appropriately registered with a
corresponding registration record stored within object registration
table 460.
[1221] Subject table 462 in the example embodiment establishes
correspondence between objects referred to by object registration
table 460 and users (or groups of users) of electronic appliance
600.
[1222] Subject table 462 provides many of the attributes of an
access control list ("ACL"), as will be explained, below.
[1223] User rights table 464 in the example embodiment provides
permissioning and other information specific to particular users or
groups of users and object combinations set forth in subject table
462. In the example embodiment, permissions records 808 (also shown
in FIG. 16 and being stored within secure database 610) may provide
a universe of permissioning for a particular object-user
combination. Records within user rights table 464 may specify a
sub-set of this permissioning universe based on, for example,
choices made by users during interaction at time of object
registration.
[1224] Administrative event log 442, shipping table 444, and
receiving table 446 provide information about receipts and
deliveries of VDE objects 300. These data structures keep track of
administrative objects sent or received by electronic appliance 600
including, for example, the purpose and actions of the
administrative objects in summary and detailed form. Briefly,
shipping table 444 includes a shipping record for each
administrative object sent (or scheduled to be sent) by electronic
appliance, 600 to another VDE participant. Receiving table 446 in
the preferred embodiment includes a receiving record for each
administrative object received (or scheduled to be received) by
electronic appliance 600. Administrative event log 442 includes an
event log record for each shipped and each received administrative
object, and may include details concerning each distinct event
specified by received administrative objects.
Administrative Object Shipping and Receiving
[1225] FIG. 27 is an example of a detailed format for a shipping
table 444. In the preferred embodiment shipping table 444 includes
a header 444A and any number of shipping records 445. Header 444A
includes information used to maintain shipping table 444. Each
shipping record 445 within shipping table 444 provides details
concerning a shipping event (i.e., either a completed shipment of
an administrative object to another VDE participant, or a scheduled
shipment of an administrative object).
[1226] In the example embodiment of the secure database 610,
shipping table header 444A may include a site record number
444A(1), a user (or group) ID 444A(2), a series of reference fields
444A(3)-444A(6), validation tags 444A(7)-444A(8), and a check value
field 444A(9). The fields 444A(3)-444A(6) reference certain recent
IDs that designate lists of shipping records 445 within shipping
table 444. For example, field 444A(3) may reference to a "first"
shipping record representing a completed outgoing shipment of an
administrative object, and field 444A(4) may reference to a "last"
shipping record representing a completed outgoing shipment of an
administrative object. In this example, "first" and "last" may, if
desired, refer to time or order of shipment as one example.
Similarly, fields 444A(5) and 444A(6) may reference to "first" and
"last" shipping records for scheduled outgoing shipments.
Validation tag 444A(7) may provide validation from a name services
record within name services record table 452 associated with the
user (group) ID in the header. This permits access from the
shipping record back to the name services record that describes the
sender of the object described by the shipping records. Validation
tag 444A(8) provides validation for a "first" outgoing shipping
record referenced by one or more of pointers 444A(3)-444A(6). Other
validation tags may be provided for validation of scheduled
shipping record(s).
[1227] Shipping record 444(1) shown includes a site record number
445(1)(A). It also includes first and last scheduled shipment
date/times 445(1)(B), 445(1)(C) providing a window of time used for
scheduling administrative object shipments. Field 445(1)(D) may
specify an actual date/time of a completed shipment of an
administrative object. Field 445(1)(E) provides an ID of an
administrative object shipped or to be shipped, and thus identifies
which administrative object within object storage 728 pertains to
this particular shipping record. A reference field 445(1)(G)
references a name services record within name services record table
452 specifying the actual or intended recipient of the
administrative object shipped or to be shipped. This information
within name services record table 452 may, for example, provide
routing information sufficient to permit outgoing administrative
objects manager 754 shown in FIG. 12 to inform object switch 734 to
ship the administrative object to the intended recipient. A field
445(1)(H) may specify (e.g., using a series of bit flags) the
purpose of the administrative object shipment, and a field
445(1)(I) may specify the status of the shipment. Reference fields
445(1)(J), 445(1)(K) may reference "previous" and "next" shipping
records 445 in a linked list (in the preferred embodiment, there
may be two linked lists, one for completed shipping records and the
other for scheduled shipping records). Fields 445(1)(L)-445(1)(P)
may provide validation tags respectively from header 444A, to a
record within administrative event log 442 pointed to by pointer
445(1)(F); to the name services record referenced by field
445(1)(G); from the previous record referenced by 445(1)(J); and to
the next record referenced by field 445(1)(K). A check value field
445(1)(Q) may be used for validating shipping record 445.
[1228] FIG. 28 shows an example of one possible detailed format for
a receiving table 446. In one embodiment, receiving table 446 has a
structure that is similar to the structure of the shipping table
444 shown in FIG. 27. Thus, for example, receiving table 446 may
include a header 446a and a plurality of receiving records 447,
each receiving record including details about a particular
reception or scheduled reception of an administrative object.
Receiving table 446 may include two linked lists, one for completed
receptions and another for schedule receptions. Receiving table
records 447 may each reference an entry within name services record
table 452 specifying an administrative object sender, and may each
point to an entry within administrative event log 442. Receiving
records 447 may also include additional details about scheduled
and/or completed reception (e.g., scheduled or actual date/time of
reception, purpose of reception and status of reception), and they
may each include validation tags for validating references to other
secure database records.
[1229] FIG. 29 shows an example of a detailed format for an
administrative event log 442. In the preferred embodiment,
administrative event log 442 includes an event log record 442(1) .
. . 442(N) for each shipped administrative object and for each
received administrative object. Each administrative event log
record may include a header 443a and from 1 to N sub-records
442(J)(1) . . . 442(J)(N). In the preferred embodiment, header 443a
may include a site record number field 443A(1), a record length
field 443A(2), an administrative object ID field 443A(3), a field
443A(4) specifying a number of events, a validation tag 443A(5)
from shipping table 444 or receiving table 446, and a check sum
field 443A(6). The number of events specified in field 443A(4)
corresponds to the number of sub-records 442(J)(1) . . . 442(J)(N)
within the administrative event log record 442(J). Each of these
sub-records specifies information about a particular "event"
affected or corresponding to the administrative object specified
within field 443(A)(3). Administrative events are retained in the
administrative event log 442 to permit the reconstruction (and
preparation for construction or processing) of the administrative
objects that have been sent from or received by the system. This
permits lost administrative objects to be reconstructed at a later
time.
[1230] Each sub-record may include a sub-record length field
442(J)(1)(a), a data area length field 442(J)(1)(b), an event ID
field 442(J)(1)(c), a record type field 442(J)(1)(d), a record ID
field 442(J)(1)(e), a data area field 442(J)(1)(f), and a check
value field 442(J)(1)(g). The data area 442(J)(1)(f) may be used to
indicate which information within secure database 610 is affected
by the event specified in the event ID field 442(J)(1)(c), or what
new secure database item(s) were added, and may also specify the
outcome of the event.
[1231] The object registration table 460 in the preferred
`embodiment includes a record corresponding to each VDE object 300
within object storage (repository) 728. When a new object arrives
or is detected (e.g., by redirector 684), a preferred embodiment
electronic appliance 600 "registers" the object by creating an
appropriate object registration record and storing it in the object
registration table 460. In the preferred embodiment, the object
registration table stores information that is user independent, and
depends only on the objects that are registered at a given VDE
electronic appliance 600. Registration activities are typically
managed by a REGISTER method associated with an object.
[1232] In the example, subject table 462 associates users (or
groups of users) with registered objects. The example subject table
462 performs the function of an access control list by specifying
which users are authorized to access which registered VDE objects
300.
[1233] As described above, secure database 610 stores at least one
PERC 808 corresponding to each registered VDE object 300. PERCS 808
specify a set of rights that may be exercised to use or access the
corresponding VDE object 300. The preferred embodiment allows user
to "customize" their access rights by selecting a subset of rights
authorized by a corresponding PERC 808 and/or by specifying
parameters or choices that correspond to some or all of the rights
granted by PERC 808. These user choices are set forth in a user
rights table 464 in the preferred embodiment. User rights table
(URT) 464 includes URT records, each of which corresponds to a user
(or group of users). Each of these URT records specifies user
choices for a corresponding VDE object 300. These user choices may,
either independently or in combination with a PERC 808, reference
one or more methods 1000 for exercising the rights granted to the
user by the PERC 808 in a way specified by the choices contained
within the URT record.
[1234] FIG. 30 shows an example of how these various tables may
interact with one another to provide a secure database lookup
mechanism. FIG. 30 shows object registration table 460 as having a
plurality of object registration records 460(1), 460(2), . . . .
These records correspond to VDE objects 300(1), 300(2), . . .
stored within object repository 728. FIG. 31 shows an example
format for an object registration record 460 provided by the
preferred embodiment. Object registration record 460(N) may include
the following fields: [1235] site record number field 466(1) [1236]
object type field 466(2) [1237] creator ID field 466(3) [1238]
object ID field 466(4) [1239] a reference field 466(5) that
references subject table 462 [1240] an attribute field 466(6)
[1241] a minimum registration interval field 466(7) [1242] a tag
466(8) to a subject table record, and [1243] a check value field
466(9).
[1244] The site record number field 466(1) specifies the site
record number for this object registration record 460(N). In one
embodiment of secure database 610, each record stored within the
secure database is identified by a site record number. This site
record number may be used as part of a database lookup process in
order to keep track of all of the cords with in the secure database
610.
[1245] Object type field 466(2) may specify the type of registered
VDE object 300 (e.g., a content object, an administrative object,
etc.).
[1246] Creator ID field 466(3) in the example may identify the
creator of the corresponding VDE object 300.
[1247] Object ID field 466(4) in the example uniquely identifies
the registered VDE object 300.
[1248] Reference field 466(5) in the preferred embodiment
identifies a record within the subject table 462. Through use of
this reference, electronic appliance 600 may determine all users
(or user groups) listed in subject table 462 authorized to access
the corresponding VDE object 300. Tag 466(8) is used to validate
that the subject table records accessed using field 466(5) is the
proper record to be used with the object registration record
460(N).
[1249] Attribute field 466(6) may store one or more attributes or
attribute flags corresponding to VDE object 300.
[1250] Minimum registration interval field 466(7) may specify how
often the end user may re-register as a user of the VDE object 300
with a clearinghouse service, VDE administrator, or VDE provider.
One reason to prevent frequent re-registration is to foreclose
users from reusing budget quantities in traveling objects until a
specified amount of time has elapsed. The minimum registration
interval field 466(7) maybe left unused when the object owner does
not wish to restrict re-registration.
[1251] Check value field 466(9) contains validation information
used for detecting corruption or modification of record 460(N) to
ensure security and integrity of the record. In the preferred
embodiment, many or all of the fields within record 460(N) (as with
other records within the secure database 610) may be fully or
partially encrypted and/or contain fields that are stored
redundantly in each record (once in unencrypted form and once in
encrypted form). Encrypted and unencrypted versions of the same
fields may be cross checked at various times to detect corruption
or modification of the records.
[1252] As mentioned above, reference field 466(5) references
subject table 462, and in particular, references one or more
user/object records 460(M) within the subject table. FIG. 32 shows
an example of a format for a user/object record 462(M) provided by
the example. Record 462(M) may include a header 468 and a subject
record portion 470. Header 468 may include a field 468(6)
referencing a "first" subject record 470 contained within the
subject registration table 462. This "first" subject record 470(1)
may, in turn, include a reference field 470(5) that references a
"next" subject record 470(2) within the subject registration table
462, and so on. This "linked list" structure permits a single
object registration record 460(N) to reference to from one to N
subject records 470.
[1253] Subject registration table header 468 in the example
includes a site record number field 468(1) that may uniquely
identify the header as a record within secure database 610. Header
468 may also include a creator ID field 468(2) that may be a copy
of the content of the object registration table creator ID field
466(3). Similarly, subject registration table header 468 may
include an object ID field 468(5) that may be a copy of object ID
field 466(4) within object registration table 460. These fields
468(2), 468(5) make user/object registration records explicitly
correspond to particular VDE objects 300.
[1254] Header 468 may also include a tag 468(7) that permits
validation. In one example arrangement, the tag 468(7) within the
user/object registration header 468 may be the same as the tag
466(8) within the object registration record 460(N) that points to
the user/object registration header. Correspondence between these
tags 468(7) and 466(8) permits validation that the object
registration record and user/object registration header match
up.
[1255] User/object header 468 also includes an original distributor
ID field 468(3) indicating the original distributor of the
corresponding VDE object 300, and the last distributor ID field
468(4) that indicates the last distributor within the chain of
handling of the object prior to its receipt by electronic appliance
600.
[1256] Header 468 also includes a tag 468(8) allowing validation
between the header and the "first" subject record 470(1) which
field 468(6) references.
[1257] Subject record 470(1) includes a site record number 472(1),
a user (or user group) ID field 472(2), a user (or user group)
attributes field 472(3), a field 472(4) referencing user rights
table 464, a field 472(5) that references to the "next" subject
record 470(2) (if there is one), a tag 472(6) used to validate with
the header tag 468(8), a tag 472(7) used to validate with a
corresponding tag in the user rights table record referenced by
field 472(4), a tag 472(9) used to validate with a tag in the
"next" subject record referenced to by field 472(5) and a check
value field 472(9).
[1258] User or user group ID 472(2) identifies a user or a user
group authorized to use the object identified in field 468(5).
Thus, the fields 468(5) and 472(2) together form the heart of the
access control list provided by subject table 462. User attributes
field 472(3) may specify attributes pertaining to use/access to
object 300 by the user or user group specified in fields 472(2).
Any number of different users or user groups may be added to the
access control list (each with a different set of attributes
472(3)) by providing additional subject records 470 in the "linked
list" structure.
[1259] Subject record reference field 472(4) references one or more
records within user rights table 464. FIG. 33 shows an example of a
preferred format for a user rights table record 464(k). User rights
record 464(k) may include a URT header 474, a record rights header
476, and a set of user choice records 478. URT header 474 may
include a site record number field, a field 474(2) specifying the
number of rights records within the URT record 464(k), a field
474(3) referencing a "first" rights record (i.e., to rights record
header 476), a tag 474(4) used to validate the lookup from the
subject table 462, a tag 474(5) used to validate the lookup to the
rights record header 476, and a check value field 474(6).
[1260] Rights record header 476 in the preferred embodiment may
include site record number field 476(1), a right ID field 476(2), a
field 476(3) referencing the "next" rights record 476(2), a field
476(4) referencing a first set of user choice records 478(1), a tag
476(5) to allow validation with URT header tag 474(5), a tag 476(6)
to allow validation with a user choice record tag 478(6), and a
check value field 476(7). Right ID field 476(2) may, for example,
specify the type of right conveyed by the rights record 476 (e.g.,
right to use, right to distribute, right to read, right to audit,
etc.).
[1261] The one or more user choice records 478 referenced by rights
record header 476 sets forth the user choices corresponding to
access and/or use of the corresponding VDE object 300. There will
typically be a rights record 476 for each right authorized to the
corresponding user or user group. These rights govern use of the
VDE object 300 by that user or user group. For instance, the user
may have an "access" right, and an "extraction" right, but not a
"copy" right. Other rights controlled by rights record 476 (which
is derived from PERC 808 using a REGISTER method in the preferred
embodiment) include distribution rights, audit rights, and pricing
rights. When an object 300 is registered with the electronic
appliance 600 and is registered with a particular user or user
group, the user may be permitted to select among various usage
methods set forth in PERC 808. For instance, a VDE object 300 might
have two required meter methodologies: one for billing purposes,
and one for accumulating data concerning the promotional materials
used by the user. The user might be given the choice of a variety
of meter/billing methods, such as: payment by VISA or MasterCard;
choosing between billing based upon the quantity of material
retrieved from an information database, based on the time of use,
and/or both. The user might be offered a discount on time and/or
quantity billing if he is willing to allow certain details
concerning his retrieval of content to be provided to third parties
(e.g., for demographic purposes). At the time of registration of an
object and/or user for the object, the user would be asked to
select a particular meter methodology as the "active metering
method" for the first acquired meter. A VDE distributor might
narrow the universe of available choices for the user to a subset
of the original selection array stipulated by PERC 808. These user
selection and configuration settings are stored within user choice
records 480(1), 480(2), 480(N). The user choice records need not be
explicitly set forth within user rights table 464; instead, it is
possible for user choice records 480 to refer (e.g., by site
reference number) to particular VDE methods and/or information
parameterizing those methods. Such reference by user choice records
480 to method 1000 should be validated by validation tags contained
within the user choice records. Thus, user choice records 480 in
the preferred embodiment may select one or more methods 1000 for
use with the corresponding VDE object 300 (as is shown in FIG. 27).
These user choice records 480 may themselves fully define the
methods 1000 and other information used to build appropriate
components assemblies 690 for implementing the methods.
Alternatively, the user/object record 462 used to reference the
user rights record 464 may also reference the PERC 808
corresponding to VDE object 300 to provide additional information
needed to build the component assembly 690 and/or otherwise access
the VDE object 300. For example, PERC 808 may be accessed to obtain
MDEs 1202 pertaining to the selected methods, private body and/or
rights keys for decrypting and/or encrypting object contents, and
may also be used to provide a checking capability ensuring that the
user rights record conveys only those rights authorized by a
current authorization embodied within a PERC.
[1262] In one embodiment provided by the present invention, a
conventional database engine may be used to store and organize
secure database 610, and the encryption layers discussed above may
be "on top of" the conventional database structure. However, if
such a conventional database engine is unable to organize the
records in secure database 610 and support the security
considerations outlined above, then electronic appliance 600 may
maintain separate indexing structures in encrypted form. These
separate indexing structures can be maintained by SPE 503. This
embodiment would require SPE 503 to decrypt the index and search
decrypted index blocks to find appropriate "site record IDs" or
other pointers. SPE 503 might then request the indicated record
from the conventional database engine. If the record ID cannot be
checked against a record list, SPE 503 might be required to ask for
the data file itself so it can retrieve the desired record SPE 503
would then perform appropriate authentication to ensure that the
file has not been tampered with and that the proper block is
returned. SPE 503 should not simply pass the index to the
conventional database engine (unless the database engine is itself
secure) since this would allow an incorrect record to be swapped
for the requested one.
[1263] FIG. 34 is an example of how the site record numbers
described above may be used to access the various data structures
within secure database 610. In this example, secure database 610
further includes a site record table 482 that stores a plurality of
site record numbers. Site record table 482 may store what is in
effect a "master list" of all records within secure database 610.
These site record numbers stored by site record table 482 permit
any record within secure database 610 to be accessed. Thus, some of
the site records within site record table 482 may index records
with an object registration table 460, other site record numbers
within the site record table may index records within the
user/object table 462, still other site record numbers within the
site record table may access records within URT 464, and still
other site record numbers within the site record table may access
PERCs 808. In addition, each of method cores 1000' may also include
a site record number so they may be accessed by site record table
482.
[1264] FIG. 34A shows an example of a site record 482(j) within
site record table 482. Site record 482(j) may include a field
484(1) indicating the type of record, a field 484(2) indicating the
owner or creator of the record, a "class" field 484(3) and an
"instance" field 484(4) providing additional information about the
record to which the site record 482(j) points; a specific
descriptor field 484(5) indicating some specific descriptor (e.g.,
object ID) associated with the record; an identification 484(6) of
the table or other data structure which the site record references;
a reference and/or offset within that data structure indicating
where the record begins; a validation tag 484(8) for validating the
record being looked up, and a check value field 484(9). Fields
484(6) and 484(7) together may provide the mechanism by which the
record referenced to by the site record 484(j) is actually
physically located within the secure database 610.
Updating Secure Database 610
[1265] FIG. 35 show an example of a process 1150 which can be used
by a clearinghouse, VDE administrator or other VDE participant to
update the secure database 610 maintained by an end user's
electronic appliance 600. For example, the process 1500 shown in
FIG. 35 might be used to collect "audit trail" records within
secure database 610 and/or provide new budgets and permissions
(e.g, PERCs 808) in response to an end user's request.
[1266] Typically, the end user's electronic appliance 600 may
initiate communications with a clearinghouse (Block 1152). This
contact may, for example, be established automatically or in
response to a user command. It may be initiated across the
electronic highway 108, or across other communications networks
such as a LAN, WAN, two-way cable or using portable media exchange
between electronic appliances. The process of exchanging
administrative information need not occur in a single "on line"
session, but could instead occur over time based on a number of
different one-way and/or two-way communications over the same or
different communications means. However, the process 1150 shown in
FIG. 35 is a specific example where the end user's electronic
appliance 600 and the other VDE participant (e.g., a clearinghouse)
establish a two-way real-time interactive communications exchange
across a telephone line, network, electronic highway 108, etc.
[1267] The end user's electronic appliance 600 generally contacts a
particular VDE administrator or clearinghouse. The identity of the
particular clearinghouse is based on the VDE object 300 the user
wishes to access or has already accessed. For example, suppose the
user has already accessed a particular VDE object 300 and has run
out of budget for further access. The user could issue a request
which will cause her electronic appliance 600 to automatically
contact the VDE administrator, distributor and/or financial
clearinghouse that has responsibility for that particular object.
The identity of the appropriate VDE participants to contact is
provided in the example by information within UDEs 1200, MDEs 1202,
the Object Registration Table 460 and/or Subject Table 462, for
example. Electronic appliance 600 may have to contact multiple VDE
participants (e.g., to distribute audit records to one participant,
obtain additional budgets or other permissions from another
participant, etc.). The contact 1152 may in one example be
scheduled in accordance with the FIG. 27 Shipping, Table 444 and
the FIG. 29 Administrative Event Log 442.
[1268] Once contact is established, the end user's electronic
appliance and the clearinghouse typically authenticate one another
and agree on a session key to use for the real-time information
exchange (Block 1154). Once a secure connection is established, the
end user's electronic appliance may determine (e.g., based on
Shipping Table 444) whether it has any administrative object(s)
containing audit information that it is supposed to send to the
clearinghouse (decision Block 1156). Audit information pertaining
to several VDE objects 300 may be placed within the same
administrative object for transmission, or different administrative
objects may contain audit information about different objects.
Assuming the end user's electronic appliance has at least one such
administrative object to send to this particular clearinghouse
("yes" exit to decision Block 1156), the electronic appliance sends
that administrative object to the clearinghouse via the now
established secure real-time communications (Block 1158). In one
specific example, a single administrative object may be sent an
administrative object containing audit information pertaining to
multiple VDE objects, with the audit information for each different
object compromising a separate "event" within the administrative
object.
[1269] The clearinghouse may receive the administrative object and
process its contents to determine whether the contents are "valid"
and "legitimate." For example, the clearinghouse may analyze the
contained audit information to determine whether it indicates
misuse of the applicable VDE object 300. The clearinghouse may, as
a result of this analysis, may generate one or more responsive
administrative objects that it then sends to the end user's
electronic appliance 600 (Block 1160). The end user's electronic
appliance 600 may process events that update its secure database
610 and/or SPU 500 contents based on the administrative object
received (Block 1162). For example, if the audit information
received by the clearinghouse is legitimate, then the clearinghouse
may send an administrative object to the end user's electronic
appliance 600 requesting the electronic appliance to delete and/or
compress the audit information that has been transferred.
Alternatively or in addition, the clearinghouse may request
additional information from the end-user electronic appliance 600
at this stage (e.g., retransmission of certain information that was
corrupted during the initial transmission, transmission of
additional information not earlier transmitted, etc.). If the
clearinghouse detects misuse based on the received audit
information, it may transmit an administrative object that revokes
or otherwise modifies the end user's right to further access the
associated VDE objects 300.
[1270] The clearinghouse may, in addition or alternatively, send an
administrative object to the end user's electronic appliance 600
that instructs the electronic appliance to display one or more
messages to the user. These messages may inform the user about
certain conditions and/or they may request additional information
from the user. For example, the message may instruct the end user
to contact the clearinghouse directly by telephone or otherwise to
resolve an indicated problem, enter a PIN, or it may instruct the
user to contact a new service company to re-register the associated
VDE object. Alternatively, the message may tell the end user that
she needs to acquire new usage permissions for the object, and may
inform the user of cost, status and other associated
information.
[1271] During the same or different communications exchange, the
same or different clearinghouse may handle the end user's request
for additional budget and/or permission pertaining to VDE object
300. For example, the end user's electronic appliance 600 may
(e.g., in response to a user input request to access a particular
VDE object 300) send an administrative object to the clearinghouse
requesting budgets and/or other permissions allowing access (Block
1164). As mentioned above, such requests may be transmitted in the
form of one or more administrative objects, such as, for example, a
single administrative object having multiple "events" associated
with multiple requested budgets, and/or other permissions for the
same or different VDE objects 300. The clearinghouse may upon
receipt of such a request, check the end user's credit, financial
records, business agreements and/or audit histories to determine
whether the requested budgets and/or permissions should be given.
The clearinghouse may, based on this analysis, send one or more
responsive administrative objects which cause the end user's
electronic appliance 600 to update its secure database in response
(Block 1166, 1168). This updating might, for example, comprise
replacing an expired PERC 808 with a fresh one, modifying a PERC to
provide additional (or lesser) rights, etc. Steps 1164-1168 may be
repeated multiple times in the same or different communications
session to provide further updates to the end user's secure
database 610.
[1272] FIG. 36 shows an example of how a new record or element may
be inserted into secure database 610. The load process 1070 shown
in FIG. 35 checks each data element or item as it is loaded to
ensure that it has not been tampered with, replaced or substituted.
In the process 1070 shown in FIG. 35, the first step that is
performed is to check to see if the current user of electronic
appliance 600 is authorized to insert the item into secure database
610 (block 1072). This test may involve, in the preferred
embodiment, loading (or using already loaded) appropriate methods
1000 and other data structures such as UDEs 1200 into an SPE 503,
which then authenticates user authorization to make the change to
secure database 610 (block 1074). If the user is approved as being
authorized to make the change to secure database 610, then SPE 503
may check the integrity of the element to be added to the secure
database by decrypting it (block 1076) and determining whether it
has become damaged or corrupted (block 1078). The element is
checked to ensure that it decrypts properly using a predetermined
management file key, and the check value may be validated. In
addition, the public and private header ID tags (if present) may be
compared to ensure that the proper element has been provided and
had not been substituted, and the unique element tag ID compared
against the predetermined element tag. If any of these tests fail,
the element may be automatically rejected, error corrected, etc.
Assuming the element is found to have integrity, SPE 503 may
re-encrypt the information (block 1080) using a new key for example
(see FIG. 37 discussion below) In the same process step an
appropriate tag is preferably provided so that the information
becomes encrypted within a security wrapper having appropriate tags
contained therein (block 1082). SPE 503 may retain appropriate tag
information so that it can later validate or otherwise authenticate
the item when it is again read from secure database 610 (block
1084). The now-secure element within its security wrapper may then
be stored within secure database 610.
[1273] FIG. 37 shows an example of a process 1050 used in the
preferred embodiment database to securely access an item stored in
secure database 610. In the preferred embodiment, SPE 503 first
accesses and reads in the item from secure database 610 records.
SPE 503 reads this information from secure database 610 in
encrypted form, and may "unwrap" it (block 1052) by decrypting it
(block 1053) based on access keys internally stored within the
protected memory of an SPU 500. In the preferred embodiment, this
"unwrap" process 1052 involves sending blocks of information to
encrypt/decrypt engine 522 along with a management file key and
other necessary information needed to decrypt. Decrypt engine 522
may return "plaintext" information that SPE 503 then checks to
ensure that the security of the object has not been breached and
that the object is the proper object to be used (block 1054). SPE
503 may then check all correlation and access tags to ensure that
the read-in element has not been substituted and to guard against
other security threats (block 1054). Part of this "checking"
process involves checking the tags obtained from the secure
database 610 with tags contained within the secure memory or an SPU
500 (block 1056). These tags stored within SPU 500 may be accessed
from SPU protected memory (block 1056) and used to check further
the now-unwrapped object. Assuming this "checking" process 1054
does not reveal any improprieties (and block 1052 also indicates
that the object has not become corrupted or otherwise damaged), SPE
503 may then access or otherwise use the item (block 1058). Once
use of the item is completed, SPE 503 may need to store the item
back into secure database 610 if it has changed. If the item has
changed, SPE 503 will send the item in its changed form to
encrypt/decrypt engine 522 for encryption (block 1060), providing
the appropriate necessary information to the encrypt/decrypt engine
(e.g., the appropriate same or different management file key and
data) so that the object is appropriately encrypted. A unique, new
tag and/or encryption key may be used at this stage to uniquely tag
and/or encrypt the item security wrapper (block 1062, see also
detailed FIG. 37 discussion below). SPE 503 may retain a copy of
the key and/or tag within a protected memory of SPU 500 (block
1064) so that the SPE can decrypt and validate the object when it
is again read from secure database 610.
[1274] The keys to decrypt secure database 610 records are, in the
preferred embodiment, maintained solely within the protected memory
of an SPU 500. Each index or record update that leaves the SPU 500
may be time stamped, and then encrypted with a unique key that is
determined by the SPE 503. For example, a key identification number
may be placed "in plain view" at the front of the records of secure
database 610 so the SPE 503 can determine which key to use the next
time the record is retrieved SPE 503 can maintain the site ID of
the record or index, the key identification number associated with
it, and the actual keys in the list internal to the SPE. At some
point, this internal list may fill up. At this point, SPE 503 may
call a maintenance routine that re-encrypts items within secure
database 610 containing changed information. Some or all of the
items within the data structure containing changed information may
be read in, decrypted, and then re-encrypted with the same key.
These items may then be issued the same key identification number.
The items may then be written out of SPE 503 back into secure
database 610. SPE 503 may then clear the internal list of item IDs
and corresponding key identification numbers. It may then begin
again the process of assigning a different key and a new key
identification number to each new or changed item. By using this
process, SPE 503 can protect the data structures (including the
indexes) of secure database 610 against substitution of old items
and against substitution of indexes for current items. This process
also allows SPE 503 to validate retrieved item IDs against the
encrypted list of expected IDs.
[1275] FIG. 38 is a flowchart showing this process in more detail.
Whenever a secure database 610 item is updated or modified, a new
encryption key can be generated for the updated item. Encryption
using a new key is performed to add security and to prevent misuse
of backup of secure database 610 records. The new encryption key
for each updated secure database 610 record may be stored in SPU
500 secure memory with an indication of the secure database record
or record(s) to which it applies.
[1276] SPE 503 may generate a new encryption/decryption key for
each new item it is going to store within secure database 610
(block 1086). SPE 503 may use this new key to encrypt the record
prior to storing it in the secure database (block 1088). SPE 503
make sure that it retains the key so that it can later read and
decrypt the record. Such decryption keys are, in the preferred
embodiment, maintained within protected non-volatile memory (e.g.,
NVRAM 534b) within SPU 500. Since this protected memory has a
limited size, there may not be enough room within the protected
memory to store a new key. This condition is tested for by decision
block 1090 in the preferred embodiment. If there is not enough room
in memory for the new key (or some other event such as the number
of keys stored in the memory exceeding a predetermined number, a
timer has expired, etc), then the preferred embodiment handles the
situation by re-encrypting other records with secure database 610
with the same new key in order to reduce the number of (or change)
encryption/decryption keys in use. Thus, one or more secure
database 610 items may be read from the secure database (block
1092), and decrypted using the old key(s) used to encrypt them the
last time they were stored. In the preferred embodiment, one or
more "old keys" are selected, and all secure database items
encrypted using the old key(s) are read and decrypted. These
records may now be re-encrypted using the new key that was
generated at block 1086 for the new record (block 1094). The old
key(s) used to decrypt the other record(s) may now be removed from
the SPU protected memory (block 1096), and the new key stored in
its place (block 1097). The old key(s) cannot be removed from
secure memory by block 1096 unless SPE 503 is assured that all
records within the secure database 610 that were encrypted using
the old key(s) have been read by block 1092 and re-encrypted by
block 1904 using the new key. All records encrypted (or
re-encrypted) using the new key may now be stored in secure
database 610 (block 1098). If decision block 1090 determines there
is room within the SPU 500 protected memory to store the new key,
then the operations of blocks 1092, 1094, 1096 are not needed and
SPE 503 may instead simply store the new key within the protected
memory (block 1097) and store the new encrypted records into secure
database 610 (block 1098).
[1277] The security of secure database 610 files may be further
improved by segmenting the records into "compartments." Different
encryption/decryption keys may be used to protect different
"compartments." This strategy can be used to limit the amount of
information within secure database 610 that is encrypted with a
single key. Another technique for increasing security of secure
database 610 may be to encrypt different portions of the same
records with different keys so that more than one key may be needed
to decrypt those records.
Backup of Secure Database 610
[1278] Secure database 610 in the preferred embodiment is backed up
at periodic or other time intervals to protect the information the
secure database contains. This secure database information may be
of substantial value to many VDE participants. Back ups of secure
database 610 should occur without significant inconvenience to the
user, and should not breach any security.
[1279] The need to back up secure database 610 may be checked at
power on of electronic appliance 600, when SPE 503 is initially
invoked, at periodic time intervals, and if "audit roll up" value
or other summary services information maintained by SPE 503 exceeds
a user set or other threshold, or triggered by criteria established
by one or more content publishers and/or distributors and/or
clearinghouse service providers and/or users. The user may be
prompted to backup if she has failed to do so by or at some certain
point in time or after a certain duration of time or quantity of
usage, or the backup may proceed automatically without user
intervention.
[1280] Referring to FIG. 8, backup storage 668 and storage media
670 (e.g., magnetic tape) may be used to store backed up
information. Of course, any non-volatile media (e.g., one or more
floppy diskettes, a writable optical diskette, a hard drive, or the
like) may be used for backup storage 668.
[1281] There are at least two scenarios to backing up secure
database 610. The first scenario is "site specific," and uses the
security of SPU 500 to support restoration of the backed up
information. This first method is used in case of damage to secure
database 610 due for example to failure of secondary storage device
652, inadvertent user damage to the files, or other occurrences
that may damage or corrupt some or all of secure database 610. This
first, site specific scenario of back up assumes that an SPU 500
still functions properly and is available to restore backed up
information.
[1282] The second back up scenario assumes that the user's SPU 500
is no longer operational and needs to be, or has been, replaced.
This second approach permits an authorized VDE administrator or
other authorized VDE participant to access the stored back up
information in order to prevent loss of critical data and/or assist
the user in recovering from the error.
[1283] Both of these scenarios are provided by the example of
program control steps performed by ROS 602 shown in FIG. 39. FIG.
39 shows an example back up routine 1250 performed by an electronic
appliance 600 to back up secure database 610 (and other
information) onto back up storage 668. Once a back up has been
initiated, as discussed above, back up routine 1250 generates one
or more back up keys (block 1252). Back up routine 1250 then reads
all secure database items, decrypts each item using the original
key used to encrypt them before they were stored in secure database
610 (block 1254). Since SPU 500 is typically the only place where
the keys for decrypting this information within an instance of
secure database 610 are stored, and since one of the scenarios
provided by back up routine 1250 is that SPU 500 completely failed
or is destroyed, back up routine 1250 performs this reading and
decrypting step 1254 so that recovery from a backup is not
dependent on knowledge of these keys within the SPU. Instead, back
up routine 1250 encrypts each secure database 610 item with a newly
generated back up key(s) (block 1256) and writes the encrypted item
to back up store 668 (block 1258). This process continues until all
items within secure database 610 have been read, decrypted,
encrypted with a newly generated back up key(s), and written to the
back up store (as tested for by decision block 1260).
[1284] The preferred embodiment also reads the summary services
audit information stored within the protected memory of SPU 500 by
SPE summary services manager 560, encrypts this information with
the newly generated back up key(s), and writes this summary
services information to back up store 668 (block 1262).
[1285] Finally, back up routine 1250 saves the back up key(s)
generated block 1252 and used to encrypt in blocks 1256, 1262 onto
back up store 668. It does this in two secure ways in order to
cover both of the restoration scenarios discussed above. Back up
routine 1250 may encrypt the back up key(s) (along with other
information such as the time of back up and other appropriate
information to identify the back up) with a further key or keys
such that only SPU 500 can decrypt (block 1264). This encrypted
information is then written to back up store 668 (block 1264). For
example, this step may include multiple encryptions using one or
more public keys with corresponding private keys known only to SPU
500. Alternatively, a second back up key generated by the SPU 500
and kept only in the SPU may be used for the final encryption in
place of a public key. Block 1264 preferably includes multiple
encryption in order to make it more difficult to attack the
security of the back up by "cracking" the encryption used to
protect the back up keys. Although block 1262 includes encrypted
summary services information on the back up, it preferably does not
include SF15 device private keys, shared keys, SF15 code and other
internal security information to prevent this information from ever
becoming available to users even in encrypted form.
[1286] The information stored by block 1264 is sufficient to allow
the same SPU 500 that performed (or at least in part performed)
back up routine 1250 to recover the backed up information. However,
this information is useless to any device other than that same SPU
because only that SPU knows the particular keys used to protect the
back up keys. To cover the other possible scenario wherein the SPU
500 fails in a non-recoverable way, back up routine 1250 provides
an additional step (block 1266) of saving the back up key(s) under
protection of one or more further set of keys that may be read by
an authorized VDE administrator. For example, block 1266 may
encrypt the back up keys with an "download authorization key"
received during initialization of SPU 500 from a VDE administrator.
This encrypted version of back up keys is also written to back up
store 668 (block 1266). It can be used to support restoration of
the back up files in the event of an SPU 500 failure. More
specifically, a VDE administrator that knows the download
authorization (or other) keys(s) used by block 1266 may be able to
recover the back up key(s) in the back up store 668 and proceed to
restore the backed up secure database 610 to the same or different
electronic appliance 600.
[1287] In the preferred embodiment, the information saved by
routine 1250 in back up files can be restored only after receiving
a back up authorization from an authorized VDE administrator. In
most cases, the restoration process will simply be a restoration of
secure database 610 with some adjustments to account for any usage
since the back up occurred. This may require the user to contact
additional providers to transmit audit and billing data and receive
new budgets to reflect activity since the last back up. Current
summary services information maintained within SPU 500 may be
compared to the summary services information stored on the back up
to determine or estimate most recent usage activity.
[1288] In case of an SPU 500 failure, an authorized VDE
administrator must be contacted to both initialize the replacement
SPU 500 and to decrypt the back up files. These processes allow for
both SPU failures and upgrades to new SPUs. In the case of
restoration, the back up files are used to restore the necessary
information to the user's system. In the case of upgrades, the back
up files may be used to validate the upgrade process.
[1289] The back up files may in some instances be used to transfer
management information between electronic appliances 600. However,
the preferred embodiment may restrict some or all information from
being transportable between electronic appliances with appropriate
authorizations. Some or all of the back up files may be packaged
within an administrative object and transmitted for analysis,
transportation, or other uses.
[1290] As a more detailed example of a need for restoration from
back up files, suppose an electronic appliance 600 suffers a hard
disk failure or other accident that wipes out or corrupts part or
all of the secure database 610, but assume that the SPU 500 is
still functional SPU 500 may include all of the information (e.g.,
secret keys and the like) it needs to restore the secure database
610. However, ROS 602 may prevent secure database restoration until
a restoration authorization is received from a VDE administrator. A
restoration authorization may comprise, for example, a "secret
value" that must match a value expected by SPE 503. A VDE
administrator may, if desired, only provide this restoration
authorization after, for example, summary services information
stored within SPU 500 is transmitted to the administrator in an
administrative object for analysis. In some circumstances, a VDE
administrator may require that a copy (partial or complete) of the
back up files be transmitted to it within an administrative object
to check for indications of fraudulent activities by the user. The
restoration process, once authorized, may require adjustment of
restored budget records and the like to reflect activity since the
last back up, as mentioned above.
[1291] FIG. 40 is an example of program controlled "restore"
routine 1268 performed by electronic appliance 600 to restore
secure database 610 based on the back up provided by the routine
shown in FIG. 38. This restore may be used, for example, in the
event that an electronic appliance 600 has failed but can be
recovered or "reinitialized" through contact with a VDE
administrator for example. Since the preferred embodiment does not
permit an SPU 500 to restore from backup unless and until
authorized by a VDE administrator, restore routine 1268 begins by
establishing a secure communication with a VDE administrator that
can authorize the restore, to occur (block 1270). Once SPU 500 and
the VDE administrator authenticate one another (part of block
1270), the VDE administrator may extract "work in progress" and
summary values from the SPU 500's internal non-volatile memory
(block 1272). The VDE administrator may use, this extracted
information to help determine, for example, whether there has been
security violation, and also permits a failed SPU 500 to
effectively "dump" its contents to the VDE administrator to permit
the VDE administrator to handle the contents. The SPU 500 may
encrypt this information and provide it to the VDE administrator
packaged in one or more administrative objects. The VDE
administrator may then request a copy of some or all of the current
backup of secure database 610 from the SPU 500 (block 1274). This
information may be packaged by SPU 500 into one or more
administrative objects, for example, and sent to the VDE
administrator. Upon receiving the information, the VDE
administrator may read the summary services audit information from
the backup volume (i.e., information stored by FIG. 38 block 1262)
to determine the summary values and other information stored at
time of backup. The VDE administrator may also determine the time
and date the backup was made by reading the information stored by
FIG. 38 block 1264.
[1292] The VDE administrator may at this point restore the summary
values and other information within SPU 500 based on the
information obtained by block 1272 and from the backup (block
1276). For example, the VDE administrator may reset SPU internal
summary values and counters so that they are consistent with the
last backup. These values may be adjusted by the VDE administrator
based on the "work in progress" recovered by block 1272, the amount
of time that has passed since the backup, etc. The goal may
typically be to attempt to provide internal SPU values that are
equal to what they would have been had the failure not
occurred.
[1293] The VDE administrator may then authorize SPU 500 to recover
its secure database 610 from the backup files (block 1278). This
restoration process replaces all secure database 610 records with
the records from the backup. The VDE administrator may adjust these
records as needed by passing commands to SPU 500 during or after
the restoration process.
[1294] The VDE administrator may then compute bills based on the
recovered values (block 1280), and perform other actions to recover
from SPU downtime (block 1282). Typically, the goal is to bill the
user and adjust other VDE 100 values pertaining to the failed
electronic appliance 600 for usage that occurred subsequent to the
last backup but prior to the failure. This process may involve the
VDE administrator obtaining, from other VDE participants, reports
and other information pertaining to usage by the electronic
appliance prior to its failure and comparing it to the secure
database backup to determine which usage and other events are not
yet accounted for.
[1295] In one alternate embodiment, SPU 500 may have sufficient
internal, non-volatile memory to allow it to store, some or all of
secure database 610. In this embodiment, the additional memory may
be provided by additional one or more integrated circuits that can
be contained within a secure enclosure, such as a tamper resistant
metal container or some form of a chip pack containing multiple
integrated circuit components, and which impedes and/or evidences
tampering attempts, and/or disables a portion or all of SPU 500 or
associated critical key and/or other control information in the
event of tampering. The same back up routine 1250 shown in FIG. 38
may be used to back up this type of information, the only
difference being that block 1254 may read the secure database item
from the SPU internal memory and may not need to decrypt it before
encrypting it with the back up key(s).
Event-Driven VDE Processes.
[1296] As discussed above, processes provided by/under the
preferred embodiment rights operating system (ROS) 602 may be
"event driven." This "event driven" capability facilitates
integration and extendibility.
[1297] An "event" is a happening at a point in time. Some examples
of "events" are a user striking a key of a keyboard, arrival of a
message or an object 300, expiration of a timer, or a request from
another process.
[1298] In the preferred embodiment, ROS 602 responds to an "event"
by performing a process in response to the event ROS 602
dynamically creates active processes and tasks in response to the
occurrence of an event. For example, ROS 602 may create and begin
executing one or more component assemblies 690 for performing a
process or processes in response to occurrence of an event. The
active processes and tasks may terminate once ROS 602 has responded
to the event. This ability to dynamically create (and end) tasks in
response to events provides great flexibility, and also permits
limited execution resources such as those provided by an SPU 500 to
perform a virtually unlimited variety of different processes in
different contexts.
[1299] Since an "event" may be any type of happening, there are an
unlimited number of different events. Thus, any attempt to
categorize events into different types will necessarily be a
generalization. Keeping this in mind, it is possible to categorize
events provided/supported by the preferred embodiment into two
broad categories: [1300] user-initiated events, and [1301]
system-initiated events.
[1302] Generally, "user-initiated" events are happenings
attributable to a user (or a user application). A common
"user-initiated" event is a user's request (e.g., by pushing a
keyboard button, or transparently using redirector 684) to access
an object 300 or other VDE-protected information.
[1303] "System-initiated" events are generally happenings, not
attributable to a user. Examples of system initiated events include
the expiration of a timer indicating that information should be
backed to non-volatile memory, receipt of a message from another
electronic appliance 600, and a service call generated by another
process (which may have been started to respond to a
system-initiated event and/or a user-initiated event).
[1304] ROS 602 provided by the preferred embodiment responds to an
event by specifying and beginning processes to process the event.
These processes are, in the preferred embodiment, based on methods
1000. Since there are an unlimited number of different types of
events, the preferred embodiment supports an unlimited number of
different processes to process events. This flexibility is
supported by the dynamic creation of component assemblies 690 from
independently deliverable modules such as method cores 1000', load
modules 1100, and data structures such as UDEs 1200. Even though
any categorization of the unlimited potential types of processes
supported/provided by the preferred embodiment will be a
generalization, it is possible to generally classify processes as
falling within two categories: [1305] processes relating to use of
VDE protected information; and [1306] processes relating to VDE
administration.
"Use" and "Administrative" Processes
[1307] "Use" processes relate in some way to use of VDE-protected
information. Methods 1000 provided by the preferred embodiment may
provide processes for creating and maintaining a chain of control
for use of VDE-protected information. One specific example of a
"use" type process is processing to permit a user to open a VDE
object 300 and access its contents. A method 1000 may provide
detailed use-related processes such as, for example, releasing
content to, the user as requested (if permitted), and updating
meters, budgets, audit trails, etc. Use-related processes are often
user-initiated, but some use processes may be system-initiated.
Events that trigger a VDE use-related process may be called "use
events."
[1308] An "administrative" process helps to keep VDE 100 working.
It provides processing that helps support the transaction
management "infrastructure" that keeps VDE 100 running securely and
efficiently. Administrative processes may, for example, provide
processing relating to some aspect of creating, modifying and/or
destroying VDE-protected data structures that establish and
maintain VDE's chain of handling and control. For example,
"administrative" processes may store, update, modify or destroy
information contained within a VDE electronic appliance 600 secure
database 610. Administrative processes also may provide
communications services that establish, maintain and support secure
communications between different VDE electronic appliances 600.
Events that trigger administrative processes may be called
"administrative events."
Reciprocal Methods
[1309] Some VDE processes are paired based on the way they interact
together. One VDE process may "request" processing services from
another VDE process. The process that requests processing services
may be called a "request process." The "request" constitutes an
"event" because it triggers processing by the other VDE process in
the pair. The VDE process that responds to the "request event" may
be called a "response process." The "request process" and "response
process" may be called "reciprocal processes."
[1310] The "request event" may comprise, for example, a message
issued by one VDE node electronic appliance 600 or process for
certain information. A corresponding "response process" may respond
to the "request event" by, for example, sending the information
requested in the message. This response may itself constitute a
"request event" if it triggers a further VDE "response process."
For example, receipt of a message in response to an
earlier-generated request may trigger a "reply process." This,
"reply process" is a special type of "response process" that is
triggered in response to a "reply" from another "response process."
There may be any number of "request" and "response" process pairs
within a given VDE transaction.
[1311] A "request process" and its paired "response process" may be
performed on the same VDE electronic appliance 600, or the two
processes may be performed on different VDE electronic appliances.
Communication between the two processes in the pair may be by way
of a secure (VDE-protected) communication, an "out of channel"
communication, or a combination of the two.
[1312] FIGS. 41a-41d are a set of examples that show how the chain
of handling and control is enabled using "reciprocal methods." A
chain of handling and control is constructed, in part, using one or
more pairs of "reciprocal events" that cooperate in
request-response manner. Pairs of reciprocal events may be managed
in the preferred embodiment in one or more "reciprocal methods." As
mentioned above, a "reciprocal method" is a method 1000 that can
respond to one or more "reciprocal events." Reciprocal methods
contain the two halves of a cooperative process that may be
securely executed at physically and/or temporally distant VDE
nodes. The reciprocal processes may have a flexibly defined
information passing protocols and information content structure.
The reciprocal methods may, in fact, be based on the same or
different method core 1000' operating in the same or different VDE
nodes 600. VDE nodes 600A and 600B shown in FIG. 41a may be the
same physical electronic appliance 600 or may be separate
electronic appliances.
[1313] FIG. 41a is an example of the operation of a single pair of
reciprocal events. In VDE node 600A, method 1000a is processing an
event that has a request that needs to be processed at VDE node
600B. The method 1000a (e.g., based on a component assembly 690
including its associated load modules 1100 and data) that responds
to this "request" event is shown in FIG. 41a as 1450. The process
1450 creates, a request (1452) and, optionally, some information or
data that will be sent to the other VDE node 1000b for processing
by a process associated with the reciprocal event. The request and
other information may be transmitted by any of the transport
mechanisms described elsewhere in this disclosure.
[1314] Receipt of the request by VDE node 600b comprises a response
event at that node. Upon receipt of the request, the VDE node 600b
may perform a "reciprocal" process 1454 defined by the same or
different method 1000b to respond to the response event. The
reciprocal process 1454 may be based on a component assembly 690
(e.g., one or more load modules 1100, data, and optionally other
methods present in the VDE node 600B).
[1315] FIG. 41b extends the concepts presented in FIG. 41a to
include a response from VDE node 600B back to VDE node 600A. The
process starts as described for FIG. 41a through the receipt and
processing of the request event and information 1452 by the
response process 1454 in VDE node 600B. The response process 1454
may, as part of its processing, cooperate with another request,
process (1468) to send a response 1469 back to the initiating VDE
node 600A. A corresponding reciprocal process 1470 provided by
method 1000A may respond to and process this request event 1469. In
this manner, two or more VDE nodes 600A, 600B may cooperate and
pass configurable information and requests between methods 10004,
1000B executing in the nodes. The first and second request-response
sequences [(1450, 1452, 1454) and (1468, 1469, 1470)] may be
separated by temporal and spatial distances. For efficiency, the
request (1468) and response (1454) processes may be based on the
same method 1000 or they may be implemented as two methods in the
same or different method core, 1000. A method 1000 may be
parameterized by an "event code" so it may provide different
behaviors/results for different events, or different methods may be
provided for different events.
[1316] FIG. 41c shows the extension the control mechanism described
in FIGS. 41a-41b to three nodes (600A, 600B, 600C). Each
request-response pair operates in the manner as described for FIG.
41b, with several, pairs linked together to form a chain of control
and handling between several VDE nodes 600A, 600B, 600C. This
mechanism may be used to extend the chain of handling and control
to an arbitrary number of VDE nodes using any configuration of
nodes. For example, VDE node 600C might communicate directly to VDE
node 600A and communicate directly to VDE 600B, which in turn
communicates with VDE node 600A. Alternately, VDE node 600C might
communicate directly with VDE node 600A, VDE node 600A may
communicate with VDE node 600B, and VDE node 600B may communicate
with VDE node 600C.
[1317] A method 1000 may be parameterized with sets of events that
specify related or cooperative functions. Events may be logically
grouped by function (e.g., use, distribute), or a set of reciprocal
events that specify processes that may operate in conjunction with
each other. FIG. 41d illustrates a set of "reciprocal events" that
support cooperative processing between several VDE nodes 102, 106,
112 in a content distribution model to support the distribution of
budget. The chain of handling and control, in this example, is
enabled by using a set of "reciprocal events" specified within a
BUDGET method. FIG. 41d is an example of how the reciprocal event
behavior within an example BUDGET method (1510) work in cooperation
to establish a chain of handling and control between several VDE
nodes. The example BUDGET method 1510 responds to a "use" event
1478 by performing a "use" process 1476 that defines the mechanism
by which processes are budgeted. The BUDGET method 1510 might, for
example, specify a use process 1476 that compares a meter count to
a budget value and fail the operation if the meter count exceeds
the budget value. It might also write an audit trail that describes
the results of said BUDGET decisions. Budget method 1510 may
respond to a "distribute" event by performing a distribute process
1472 that defines the process and/or control information for
further distribution of the budget. It may respond to a "request"
event 1480 by performing a request process 1480 that specifies how
the user might request use and/or distribution rights from a
distributor. It may respond to a "response" event 1482 by
performing a response process 1484 that specifies the manner in
which a distributor would respond to requests from other users to
whom they have distributed some (or all) of their budget to. It may
respond to a "reply" event 1474 by performing a reply process 1475
that might specify how the user should respond to message
regranting or denying (more) budget.
[1318] Control of event processing, reciprocal events, and their
associated methods and method components is provided by PERCs 808
in the preferred embodiment. These PERCs (808) might, reference
administrative methods that govern the creation, modification, and
distribution of the data structures and administrative methods that
permit access, modification, and, further distribution of these
items. In this way, each link in the chain of handling and control
might, for example, be able to customize audit information, alter
the budget requirements for using the content, and/or control
further distribution of these rights in a manner specified by prior
members along the distribution chain.
[1319] In the example shown in FIG. 41d, a distributor at a VDE
distributor node (106) might request budget from a content creator
at another node (102). This request may be made in the context of a
secure VDE communication or it may be passed in an "out-of-channel"
communication (e.g. a telephone call or letter). The creator 102
may decide to grant budget to the distributor 106 and processes a
distribute event (1452 in BUDGET method 1510 at VDE node 102). A
result of processing the distribute event within the BUDGET method
might be a secure communication (1454) between VDE nodes 102 and
106 by which a budget granting use and redistribute rights to the
distributor 106 may be transferred from the creator 102 to the
distributor. The distributor's VDE node 106 may respond to the
receipt of the budget information by processing the communication
using the reply process 1475B of the BUDGET method 1510. The reply
event processing 1415B might, for example, install a budget and
PERC 808 within the distributor's VDE 106 node to permit the
distributor to access content or processes for which access is
control at least in part by the budget and/or PERC. At some point,
the distributor 106 may also desire to use the content to which she
has been granted rights to access.
[1320] After registering to use the content object, the user 112
would be required to utilize an array of "use" processes 1476C to,
for example, open, read, write, and/or close the content object as
part of the use process.
[1321] Once the distributor 106 has used some or all of her budget,
she may desire to obtain additional budget. The distributor 106
might then initiate a process using the BUDGET method request
process (1480B). Request process 1480B might initiate a
communication (1482AB) with the content creator VDE node 102
requesting more budget and perhaps providing details of the use
activity to date (e.g., audit trails). The content creator 102
processes the `get more budget` request event 1482AB using the
response process (1484A) within the creator's BUDGET method 1510A.
Response process 1484A might, for example, make a determination if
the use information indicates proper use of the content, and/or if
the distributor is credit worthy for more budget. The BUDGET method
response process 1484A might also initiate a financial transaction
to transfer funds from the distributor to pay for said use, or use
the distribute process 1472A to distribute budget to the
distributor 106. A response to the distributor 106 granting more
budget (or denying more budget) might be sent immediately as a
response to the request communication 1482AB or it might be sent at
a later time as part of a separate, communication. The response
communication, upon being received at the distributor's VDE node
106, might be processed using the reply process 1475B within the
distributor's copy of the BUDGET method 1510B. The reply process
1475B might then process the additional budget in the same manner
as described above.
[1322] The chain of handling and control may, in addition to
posting budget information, also pass control information that
governs the manner in which said budget maybe utilized. For
example, the control information specified in the above example may
also contain control information describing the process and limits
that apply to the distributor's redistribution of the right to use
the creator's content object. Thus, when the distributor responds
to a budget request from a user (a communication between a user at
VDE node 112 to the distributor at VDE node 106 similar in nature
to the one described above between VDE nodes 106 and 102) using the
distribute process 1472B within the distributor's copy of the
BUDGET method 1510B, a distribution and request/response/reply
process similar to the one described above might be initiated.
[1323] Thus, in this example, a single method can provide multiple
dynamic behaviors based on different "triggering" events. For
example, single BUDGET method 1510 might support any or all of the
events listed below:
TABLE-US-00024 Event Type Event Process Description "Use" Events
use budget Use budget. Request Events request more budget Request
more money for budget. Processed by User Node request audit by
auditor #1 Request that auditor #1 audit the budget Request Process
1480c use. request budget deletion Request that budget be deleted
from system. request method updated Update method used for auditing
request to change auditors Change from auditor 1 to auditor 2, or
vice versa. request different audit Change time interval between
audits interval request ability to provide Request ability to
provide copies of a budget copies budget. request ability to
distribute Request ability to distribute a budget to budget other
users. request account status Request information on current status
of an account. Request New Method Request new method. Request
Method Update Request update of method. Request Method Deletion
Request deletion of method. Response Events receive more budget
Allocate more money to budget. Processed by User Node receive
method update Update method. Request Process 1480C receive auditor
change Change from one auditor to another. receive change to audit
Change interval between audits. interval receive budget deletion
Delete budget. provide audit to auditor #1 Forward audit
information to auditor #1. provide audit to auditor #2 Forward
audit information to auditor #2. receive account status Provide
account status. Receive New Receive new budget. Receive Method
Update Receive updated information. Receive More Receive more for
budget. Sent Audit Send audit information. Perform Deletion Delete
information. "Distribute" Events Create New Create new budget
Provide More Provide more for budget. Audit Perform audit. Delete
Delete information. Reconcile Reconcile budget and auditing. Copy
Copy budget. Distribute Distribute budget. Method Modification
Modify method. Display Method Display requested method. "Request"
Events Delete Delete information. Processed by Distributor Get New
Get new budget Node Request Process Get More Get more for budget.
1484B Get Updated Get updated information. Get Audited Get audit
information. "Response Events" Provide New to user. Provide new
budget to user. Processed by Distributor Provide More to user
Provide more budget to user. Node Request Process Provide Update to
user Provide updated budget to user. 1484B Audit user Audit a
specified user. Delete user's method Delete method belonging to
user.
[1324] Examples of Reciprocal Method Processes
A. BUDGET
[1325] FIGS. 42a, 42b, 42c and 42d, respectively, are flowcharts of
example process control steps performed by a representative example
of BUDGET method 2250 provided by the preferred embodiment. In the
preferred embodiment, BUDGET method 2250 may operate in any of four
different modes: [1326] use (see FIG. 42a) [1327] administrative
request (see FIG. 42b) [1328] administrative response (see FIG.
42c) [1329] administrative reply (see FIG. 42d).
[1330] In general, the "use" mode of BUDGET method 2250 is invoked
in response to an event relating to the use of an object or its
content. The "administrative request" mode of BUDGET method 2250 is
invoked by or on behalf of the user in response to some user action
that requires contact with a VDE financial provider, and basically
its task is to send an administrative request to the VDE financial
provider. The "administrative response" mode of BUDGET method 2250
is performed at the VDE financial provider in response to receipt
of an administrative request sent from a VDE node to the VDE
financial provider by the "administrative request" invocation of
BUDGET method 2250 shown in FIG. 42b. The "administrative response"
invocation of BUDGET method 2250 results in the transmission of an
administrative object from VDE financial provider to the VDE user
node. Finally, the "administrative reply" invocation of BUDGET
method 2250 shown in FIG. 42d is performed at the user VDE node
upon receipt of the administrative object sent by the
"administrative response" invocation of the method shown in FIG.
42c.
[1331] In the preferred embodiment, the same BUDGET method 2250
performs each of the four different step sequences shown in FIGS.
42a-42d. In the preferred embodiment, different event codes may be
passed to the BUDGET in method 2250 to invoke these various
different modes. Of course, it would be possible to use four
separate BUDGET methods instead of a single BUDGET method with four
different "dynamic personalities," but the preferred embodiment
obtains certain advantages by using the same BUDGET method for each
of these four types of invocations.
[1332] Looking at FIG. 42a, the "use" invocation of BUDGET method
2250 first primes the Budget Audit Trail (blocks 2252, 2254). It
then obtains the DTD for the Budget UDE, which it uses to obtain
and read the Budget UDE blocks 2256-2262). BUDGET method 2250 in
this "use" invocation may then determine whether a Budget Audit
date has expired, and terminate if it has ("yes" exit to decision
block 2264; blocks 2266, 2268). So long as the Budget Audit date
has not expired, the method may then update the Budget using the
atomic element and event counts (and possibly other information)
(blocks 2270, 2272), and may then save a Budget User Audit record
in a Budget Audit Trail UDE (blocks 2274, 2276) before terminating
(at terminate point 2278).
[1333] Looking at FIG. 42b, the first six steps (blocks 2280-2290)
may be performed by the user VDE node in response to some user
action (e.g., request to access new information, request for a new
budget, etc.). This "administrative request" invocation of BUDGET
method 2250 may prime an audit trail (blocks 2280, 2282). The
method may then place a request for administrative processing of an
appropriate Budget onto a request queue (blocks 2284, 2286).
Finally, the method may save appropriate audit trail information
(blocks 2288, 2290). Sometime later, the user VDE node may prime a
communications audit trail (blocks 2292, 2294), and may then write
a Budget Administrative Request into an administrative object
(block 2296). This step may obtain information from the secure
database as needed from such sources such as, for example, Budget
UDE, Budget Audit Trail UDE(s); and Budget Administrative Request
Record(s) (block 2298).
[1334] Block 2296 may then communicate the administrative object to
a VDE financial provider, or alternatively, block 2296 may pass
administrative object to a separate communications process or
method that arranges for such communications to occur. If desired,
method 2250 may then save a communications audit trail (blocks
2300, 2302) before terminating (at termination point 2304).
[1335] FIG. 42c is a flowchart of an example of process control
steps performed by the example of BUDGET method 2250 provided by
the preferred embodiment operating in an "administrative response"
mode. Steps shown in FIG. 42c would, for example, be performed by a
VDE financial provider who has received an administrative object
containing a Budget administrative request as created (and
communicated to a VDE administrator for example) by FIG. 42b (block
2296).
[1336] Upon receiving the administrative object, BUDGET method 250
at the VDE financial provider site may prime a budget
communications and response audit trail (blocks 2306, 2308), and
may then unpack the administrative object and retrieve the budget
request(s), audit trail(s) and record(s) it contains (block 2310).
This information retrieved from the administrative object may be
written by the VDE financial provider into its secure database
(block 2312). The VDE financial provider may then retrieve the
budget request(s) and determine the response method it needs to
execute to process the request (blocks 2314, 2316). BUDGET method
2250 may send the event(s) contained in the request record(s) to
the appropriate response method and may generate response records
and response requests based on the RESPONSE method (block 2318).
The process performed by block 2318 may satisfy the budget request
by writing appropriate new response records into the VDE financial
provider's secure database (block 2320). BUDGET method 2250 may
then write these Budget administrative response records into an
administrative object (blocks 2322, 2324), which it may then
communicate back to the user node that initiated the budget
request. BUDGET method 2250 may then save communications and
response processing audit trail information into appropriate audit
trail UDE(s) (blocks 2326, 2328) before terminating (at termination
point 2330).
[1337] FIG. 42d is a flowchart of an example of program control
steps performed by a representative example of BUDGET method 2250
operating in an "administrative reply" mode. Steps shown in FIG.
42d might be performed, for example, by a VDE user node upon
receipt of an administrative object containing budget-related
information. BUDGET method 2250 may first prime a Budget
administrative and communications audit trail (blocks 2332, 2334).
BUDGET method 2250 may then extract records and requests from a
received administrative object and write the reply record to the
VDE secure database (blocks 2336, 2338). The VDE user node may then
save budget administrative and communications audit trail
information in an appropriate audit trail UDE(s) (blocks 2340,
2341).
[1338] Sometime later, the VDE user node may retrieve the reply
record from the secure database and determine what method is
required to process it (blocks 2344,2346). The VDE user node may,
optionally, prime an audit trail (blocks 2342, 2343) to record the
results of the processing of the reply event. The BUDGET method
2250 may then send event(s) contained in the reply record(s) to the
REPLY method, and may generate/update the secure database records
as necessary to, for example, insert new budget records, delete old
budget records and/or apply changes to budget records (blocks 2348,
2350). BUDGET method 2250 may then delete the reply record from the
secure data base (blocks 2352, 2353) before writing the audit trail
(if required) (blocks 2354, 2355) terminating (at terminate point
2356).
B. REGISTER
[1339] FIGS. 43a-43d are flowcharts of an example of program
control steps performed by a representative example of a REGISTER
method 2400 provided by the preferred embodiment. In this example,
the REGISTER method 2400 performs the example steps shown in FIG.
43a when operating in a "use" mode, performs the example steps
shown in FIG. 43b when operating in an "administrative request"
mode, performs the steps shown in FIG. 43c when operating in an
"administrative response" mode, and performs the steps shown in
FIG. 43d when operating in an "administrative reply" mode.
[1340] The steps shown in FIG. 43a may be, for example, performed
at a user VDE node in response to some action by or on behalf of
the user. For example the user may ask to access an object that has
not yet been (or is not now) properly registered to her. In
response to such a user request, the REGISTER method 2400 may prime
a Register Audit Trail UDE (blocks 2402, 2404) before determining
whether the object being requested has already been registered
(decision block 2406). If the object has already been registered
("yes" exit to decision block 2406), the REGISTER method may
terminate (at termination point 2408). If the object is not already
registered ("no" exit to decision block 2406), then REGISTER method
2400 may access the VDE node secure database PERC 808 and/or
Register MDE (block 2410). REGISTER method 2400 may extract an
appropriate Register Record Set from this PERC 808 and/or Register
MDE (block 2412), and determine whether all of the required
elements are present that are needed to register the object
(decision block 2414). If some piece(s) is missing ("no" exit to
decision block 2414), REGISTER method 2400 may queue a Register
request record to a communication manager and then suspend the
REGISTER method until the queued request is satisfied (blocks 2416,
2418). Block 2416 may have the effect of communicating a register
request to a VDE distributor, for example. When the request is
satisfied and the register request record has been received (block
2420), then the test of decision block 2414 is satisfied ("yes"
exit to decision block 2414), and REGISTER method 2400 may proceed.
At this stage, the REGISTER method 2400 may allow the user to
select Register options from the set of method options allowed by
PERC 808 accessed at block 2410 (block 2422). As one simple
example, the PERC 808 may permit the user to pay by VISA or
MasterCard but not by American Express; block 2422 may display a
prompt asking the user to select between paying using her VISA card
and paying using her MasterCard (block 2424). The REGISTER method
2400 preferably validates the user selected registration options
and requires the user to select different options if the initial
user options were invalid (block 2426, "no" exit to decision block
2428). Once the user has made all required registration option
selections and those selections have been validated ("yes" exit to
decision block 2428), the REGISTER method 2400 may write an User
Registration Table (URT) corresponding to this object and this user
which embodies the user registration selections made by the user
along with other registration information required by PERC 808
and/or the Register MDE (blocks 2430, 2432). REGISTER method 2400
may then write a Register audit record into the secure database
(blocks 2432, 2434) before terminating (at terminate point
2436).
[1341] FIG. 43b shows an example of an "administrative request"
mode of REGISTER method 2400. This Administrative Request Mode may
occur on a VDE user system to generate an appropriate
administrative object for communication to a VDE distributor or
other appropriate VDE participant requesting registration
information. Thus, for example, the steps shown in FIG. 43b may be
performed as part of the "queue register request record" block 2416
shown in FIG. 43a. To make a Register administrative request,
REGISTER method 2400 may first prime a communications audit trail
(blocks 2440, 2442), and then access the secure database to obtain
data about registration (block 2444). This secure database access
may, for example, allow the owner and/or publisher of the object
being registered to find out demographic, user or other information
about the user. As a specific example, suppose that the object
being registered is a spreadsheet software program. The distributor
of the object may want to know what other software the user has
registered. For example, the distributor may be willing to give
preferential pricing if the user registers a "suite" of multiple
software products distributed by the same distributor. Thus, the
sort of information solicited by a "user registration" card
enclosed with most standard software packages may be solicited and
automatically obtained by the preferred embodiment at registration
time. In order to protect the privacy rights of the user, REGISTER
method 2400 may pass such user-specific data through a privacy
filter that may be at least in part customized by the user so the
user can prevent certain information from being revealed to the
outside world (block 2446). The REGISTER method 2400 may write the
resulting information along with appropriate Register Request
information identifying the object and other appropriate parameters
into an administrative object (blocks 2448, 2450). REGISTER method
2400 may then pass this administrative object to a communications
handler REGISTER method 2400 may then save a communications audit
trail (blocks 2452, 2454) before terminating (at terminate point
2456).
[1342] FIG. 43c includes REGISTER method 2400 steps that may be
performed by a VDE distributor node upon receipt of Register
Administrative object sent by block 2448, FIG. 43b. REGISTER method
2400 in this "administrative response" mode may prime appropriate
audit trails (blocks 2460, 2462), and then may unpack the received
administrative object and write the associated register request(s)
configuration information into the secure database (blocks 2464,
2466). REGISTER method 2400 may then retrieve the administrative
request from the secure database and determine which response
method to run to process the request (blocks 2468, 2470). If the
user fails to provide sufficient information to register the
object, REGISTER method 2400 may fail (blocks 2472, 2474).
Otherwise, REGISTER method 2400 may send event(s) contained in the
appropriate request record(s) to the appropriate response method,
and generate and write response records and response requests
(e.g., PERC(s) and/or UDEs) to the secure database (blocks 2476,
2478). REGISTER method 2400 may then write the appropriate Register
administrative response record into an administrative object
(blocks 2480, 2482). Such information may include, for example, one
or more replacement PERC(s) 808, methods, UDE(s), etc. (block
2482). This enables, for example, a distributor to distribute
limited right permissions giving users only enough information to
register an object, and then later, upon registration, replacing
the limited right permissions with wider permissioning scope
granting the user more complete access to the objects. REGISTER
method 2400 may then save the communications and response
processing audit trail (blocks 2484, 2486), before terminating (at
terminate point 2488).
[1343] FIG. 43d shows steps that may be performed by the VDE user
node upon receipt of the administrative object
generated/transmitted by FIG. 43c block 2480. The steps shown in
FIG. 43d are very similar to those shown in FIG. 42d for the BUDGET
method administrative reply process.
C. AUDIT
[1344] FIGS. 44a-44c are flowcharts of examples of program control
steps performed by a representative example of an AUDIT method 2520
provided by the preferred embodiment. As in the examples above, the
AUDIT method 2520 provides three different operational modes in
this preferred embodiment example: FIG. 44a shows the steps
performed by the AUDIT method in an "administrative request" mode;
FIG. 44b shows steps performed by the method in the "administrative
response" mode; and FIG. 44c shows the steps performed by the
method in an "administrative reply" mode.
[1345] The AUDIT method 2520 operating in the "administrative
request" mode as shown in FIG. 44a is typically performed, for
example, at a VDE user node based upon some request by or on behalf
of the user. For example, the user may have requested an audit, or
a timer may have expired that initiates communication of audit
information to a VDE content provider or other VDE participant. In
the preferred embodiment, different audits of the same overall
process may be performed by different VDE participants. A
particular "audit" method 2520 invocation may be initiated for any
one (or all) of the involved VDE participants. Upon invocation of
AUDIT method 2520, the method may prime an audit administrative
audit trail (thus, in the preferred embodiment, the audit
processing may itself be audited) (blocks 2522, 2524). The AUDIT
method 2520 may then queue a request for administrative processing
(blocks 2526, 2528), and then may save the audit administrative
audit trail in the secure database (blocks 2530, 2532). Sometime
later, AUDIT method 2520 may prime a communications audit trail
(blocks 2534, 2536), and may then write Audit Administrative
Request(s) into one or more administrative object(s) based on
specific UDE, audit trail UDE(s), and/or administrative record(s)
stored in the secure database (blocks 2538, 2540). The AUDIT method
2520 may then save appropriate information into the communications
audit trail (blocks 2542, 2544) before terminating (at terminate
point 2546).
[1346] FIG. 44b shows example steps performed by a VDE content
provider, financial provider or other auditing VDE node upon
receipt of the administrative object generated and communicated by
FIG. 44a block 2538. The AUDIT method 2520 in this "administrative
response" mode may first prime an Audit communications and response
audit trail (blocks 2550, 2552), and may then unpack the received
administrative object and retrieve its contained Audit request(s)
audit trail(s) and audit record(s) for storage into the secured
database (blocks 2554, 2556). AUDIT method 2520 may then retrieve
the audit request(s) from the secure database and determine the
response method to run to process the request (blocks 2558, 2560).
AUDIT method 2520 may at this stage send event(s) contained in the
request record(s) to the appropriate response method, and generate
response record(s) and requests based on this method (blocks 2562,
2564). The processing block 2562 may involve a communication to the
outside world.
[1347] For example, AUDIT method 2520 at this point could call an
external process to perform, for example, an electronic funds
transfer against the user's bank account or some other bank
account. The AUDIT administrative response can, if desired, call an
external process that interfaces VDE to one or more existing
computer systems. The external process could be passed the user's
account number, PIN, dollar amount, or any other information
configured in, or associated with, the VDE audit trail being
processed. The external process can communicate with non-VDE hosts
and use the information passed to it as part of these
communications. For example, the external process could generate
automated clearinghouse (ACH) records in a file for submittal to a
bank. This mechanism would provide the ability to automatically
credit or debit a bank account in any financial institution. The
same mechanism could be used to communicate with the existing
credit card (e.g. VISA) network by submitting VDE based charges
against the charge account.
[1348] Once the appropriate Audit response record(s) have been
generated, AUDIT method 2520 may write an Audit administrative
record(s) into an administrative object for communication back to
the VDE user node that generated the Audit request (blocks 2566,
2568). The AUDIT method 2520 may then save communications and
response processing audit information in appropriate audit trail(s)
(blocks 2570, 2572) before terminating (at terminate point
2574).
[1349] FIG. 44c shows an example of steps that may be performed by
the AUDIT method 2520 back at the VDE user node upon receipt of the
administrative object generated and sent by FIG. 44b, block 2566.
The steps 2580-2599 shown in FIG. 44c are similar to the steps
shown in FIG. 43d for the REGISTER method 2400 in the
"administrative reply" mode. Briefly, these steps involve receiving
and extracting appropriate response records from the administrative
object (block 2584), and then processing the received information
appropriately to update secure database records and perform any
other necessary actions (blocks 2595, 2596).
Examples of Event-Driven Content-Based Methods
[1350] VDE methods 1000 are designed to provide a very flexible and
highly modular approach to secure processing. A complete VDE
process to service a "use event" may typically be constructed as a
combination of methods 1000. As one example, the typical process
for reading content or other information from an object 300 may
involve the following methods: [1351] an EVENT method [1352] a
METER method [1353] a BILLING method [1354] a BUDGET method.
[1355] FIG. 45 is an example of a sequential series of methods
performed by VDE 100 in response to an event. In this example, when
an event occurs, an EVENT method 402 may "qualify" the event to
determine whether it is significant or not. Not all events are
significant. For example, if the EVENT method 1000 in a control
process dictates that usage is to be metered based upon number of
pages read, then user request "events" for reading less than a page
of information may be ignored. In another example, if a system
event represents a request to read a certain number of bytes, and
the EVENT method 1000 is part of a control process designed to
meter paragraphs, then the EVENT method may evaluate the read
request to determine how many paragraphs are represented in the
bytes requested. This process may involve mapping to "atomic
elements" to be discussed in more detail below.
[1356] EVENT method 402 filters out events that are not significant
with regard to the specific control method involved. EVENT method
402 may pass on qualified events to a METER process 1404, which
meters or discards the event based on its own particular
criteria.
[1357] In addition, the preferred embodiment provides an
optimization called "precheck." EVENT method/process 402 may
perform this "precheck" based on metering, billing and budget
information to determine whether processing based on an event will
be allowed. Suppose, for example, that the user has already
exceeded her budget with respect to accessing certain information
content so that no further access is permitted. Although BUDGET
method 408 could make this determination, records and processes
performed by BUDGET method 404 and/or BILLING method 406 might have
to be "undone" to, for example, prevent the user from being charged
for an access that was actually denied. It may be more efficient to
perform a "precheck" within EVENT method 402 so that fewer
transactions have to be "undone."
[1358] METER method 404 may store an audit record in a meter
"trail" UDE 1200, for example, and may also record information
related to the event in a meter UDE 1200. For example, METER method
404 may increment or decrement a "meter" value within a meter UDE
1200 each time content is accessed. The two different data
structures (meter UDE and meter trail UDE) may be maintained to
permit record keeping for reporting purposes to be maintained
separately from record keeping for internal operation purposes, for
example.
[1359] Once the event is metered by METER method 404, the metered
event may be processed by a BILLING method 406. BILLING method 406
determines how much budget is consumed by the event, and keeps
records that are useful for reconciliation of meters and budgets.
Thus, for example, BILLING method 406 may read budget information
from a budget UDE, record billing information in a billing UDE, and
write one or more audit records in a billing trail UDE. While some
billing trail information may duplicate meter and/or budget trail
information, the billing trail information is useful, for example,
to allow a content creator 102 to expect a payment of a certain
size, and serve as a reconciliation check to reconcile meter trail
information sent to creator 102 with budget trail information sent
to, for example, an independent budget provider.
[1360] BILLING method 406 may then pass the event on to a BUDGET
method 408. BUDGET method 408 sets limits and records transactional
information associated with those limits. For example, BUDGET
method 408 may store budget information in a budget UDE, and may
store an audit record in a budget trail UDE. BUDGET method 408 may
result in a "budget remaining" field in a budget UDE being
decremented by an amount specified by BILLING method 406.
[1361] The information content may be released, or other action
taken, once the various methods 402, 404, 406, 408 have processed
the event.
[1362] As mentioned above, PERCs 808 in the preferred embodiment
may be provided with "control methods" that in effect "oversee"
performance of the other required methods in a control process.
FIG. 46 shows how the required methods/processes 402, 404, 406, and
408 of FIG. 45 can be organized and controlled by a control method
410. Control method 410 may call, dispatch events, or otherwise
invoke the other methods 402, 404, 406, 408 and otherwise supervise
the processing performed in response to an "event".
[1363] Control methods operate at the level of control sets 906
within PERCs 808. They provide structure, logic, and flow of
control between disparate acquired methods 1000. This mechanism
permits the content provider to create any desired chain of
processing, and also allows the specific chain of processing to be
modified (within permitted limits) by downstream/redistributors.
This control structure concept provides great flexibility.
[1364] FIG. 47 shows an example of an "aggregate" method 412 which
collects METER method 404, BUDGET method 406 and BILLING method 408
into an "aggregate" processing flow. Aggregate method 412 may, for
example, combine various elements of metering, budgeting and
billing into a single method 1000. Aggregate method 412 may provide
increased efficiency as a result of processing METER method 404,
BUDGET method 406 and BILLING method 408 aggregately, but may
decrease flexibility because of decreased modularity.
[1365] Many different methods can be in effect simultaneously. FIG.
48 shows an example of preferred embodiment event processing using
multiple METER methods 404 and multiple BUDGET methods 1408. Some
events may be subject to many different required methods operating
independently or cumulatively. For example, in the example shown in
FIG. 48, meter method 404a may maintain meter trail and meter
information records that are independent from the meter trail and
meter information records maintained by METER method 404b.
Similarly, BUDGET method 408a may maintain records independently of
those records maintained by BUDGET method 408b. Some events may
bypass BILLING method 408 while nevertheless being processed by
meter method 404a and BUDGET method 408a. A variety of different
variations are possible.
Representative Examples of VDE Methods
[1366] Although methods 1000 can have virtually unlimited variety
and some may even be user-defined, certain basic "use" type methods
are preferably used in the preferred embodiment to control most of
the more fundamental object manipulation and other functions
provided by VDE 100. For example, the following high level methods
would typically be provided for object manipulation: [1367] OPEN
method [1368] READ method [1369] WRITE method [1370] CLOSE
method
[1371] An OPEN method is used to control opening a container so its
contents may be accessed. A READ method is used to control the
access to contents in a container. A WRITE method is used to
control the insertion of contents into a container. A CLOSE method
is used to close a container that has been opened.
[1372] Subsidiary methods are provided to perform some of the steps
required by the OPEN, READ, WRITE and/or CLOSE methods. Such
subsidiary methods may include the following [1373] ACCESS method
[1374] PANIC method [1375] ERROR method [1376] DECRYPT method
[1377] ENCRYPT method [1378] DESTROY content method [1379]
INFORMATION method [1380] OBSCURE method [1381] FINGERPRINT method
[1382] EVENT method [1383] CONTENT method [1384] EXTRACT method
[1385] EMBED method [1386] METER method [1387] BUDGET method [1388]
REGISTER method [1389] BILLING method [1390] AUDIT method
[1391] An ACCESS method may be used to physically access content
associated with an opened container (the content can be anywhere).
A PANIC method may be used to disable at least a portion of the VDE
node if a security violation is detected. An ERROR method may be
used to handle error conditions A DECRYPT method is used to decrypt
encrypted information. An ENCRYPT method is used to encrypt
information. A DESTROY content method is used to destroy the
ability to access specific content within a container. An
INFORMATION method is used to provide public information about the
contents of a container. An OBSCURE method is used to devalue
content read from an opened container (e.g., to write the word
"SAMPLE" over a displayed image). A FINGERPRINT method is used to
mark content to show who has released it from the secure container.
An event method is used to convert events into different events for
response by other methods.
Open
[1392] FIG. 49 is a flowchart of an example of preferred embodiment
process control steps for an example of an OPEN method 1500.
Different OPEN methods provide different detailed steps. However,
the OPEN method shown in FIG. 49 is a representative example of a
relatively full-featured "open" method provided by the preferred
embodiment. FIG. 49 shows a macroscopic view of the OPEN method.
FIGS. 49a-49f are together an example of detailed program
controlled steps performed to implement the method shown in FIG.
49.
[1393] The OPEN method process starts with an "open event." This
open event may be generated by a user application, an operating
system intercept or various other mechanisms for capturing or
intercepting control. For example, a user application may issue a
request for access to a particular content stored within the VDE
container. As another example, another method may issue a
command.
[1394] In the example shown, the open event is processed by a
control method 1502. Control method 1502 may call other methods to
process the event. For example, control method 1502 may call an
EVENT method 1504, a METER method 1506, a BILLING method 1508, and
a BUDGET method 1510. Not all OPEN control methods necessarily call
of these additional methods, but the OPEN method 1500 shown in FIG.
49 is a representative example.
[1395] Control method 1502 passes a description of the open event
to EVENT method 1504. EVENT method 1504 may determine, for example,
whether the open event is permitted and whether the open event is
significant in the sense that it needs to be processed by METER
method 1506, BILLING method 1508, and/or BUDGET method 1510. EVENT
method 1504 may maintain audit trail information within an audit
trail UDE, and may determine permissions and significance of the
event by using an Event Method Data Element (MDE). EVENT method
1504 may also map the open event into an "atomic element" and count
that may be processed by METER method 1506, BILLING method 1508,
and/or BUDGET method 1510.
[1396] In OPEN method 1500, once EVENT method 1504 has been called
and returns successfully, control method 1502 then may call METER
method 1506 and pass the METER method, the atomic element and count
returned by EVENT method 1504. METER method 1506 may maintain audit
trail information in a METER method Audit Trail UDE, and may also
maintain meter information in a METER method UDE. In the preferred
embodiment, METER method 1506 returns a meter value to control
method 1502 assuming successful completion.
[1397] In the preferred embodiment, control method 1502 upon
receiving an indication that METER method 1506 has completed
successfully, then calls BILLING method 1508. Control method 1502
may pass to BILLING method 1508 the meter value provided by METER
method 1506. BILLING method 1508 may read and update billing
information maintained in a BILLING method map MDE, and may also
maintain and update audit trail in a BILLING method Audit Trail
UDE. BILLING method 1508 may return a billing amount and a
completion code to control method 1502.
[1398] Assuming BILLING method 1508 completes successfully, control
method 1502 may pass the billing value provided by BILLING method
1508 to BUDGET method 1510. BUDGET method 1510 may read and update
budget information within a BUDGET method UDE, and may also
maintain audit trail information in a BUDGET method Audit Trail
UDE. BUDGET method 1510 may return a budget value to control method
1502, and may also return a completion code indicating whether the
open event exceeds the user's budget (for this type of event).
[1399] Upon completion of BUDGET method 1510, control method 1502
may create a channel and establish read/use control information in
preparation for subsequent calls to the READ method.
[1400] FIGS. 49a-49f are a more detailed description of the OPEN
method 1500 example shown in FIG. 49. Referring to FIG. 49a, in
response to an open event, control method 1502 first may determine
the identification of the object to be opened and the
identification of the user that has requested the object to be
opened (block 1520). Control method 1502 then determines whether
the object to be opened is registered for this user (decision block
1522). It makes this determination at least in part in the
preferred embodiment by reading the PERC 808 and the User Rights
Table (URT) element associated with the particular object and
particular user determined by block 1520 (block 1524). If the user
is not registered for this particular object ("no" exit to decision
block 1522), then control method 1502 may call the REGISTER method
for the object and restart the OPEN method 1500 once registration
is complete (block 1526). The REGISTER method block 1526 may be an
independent process and may be time independent. It may, for
example, take a relatively long time to complete the REGISTER
method (say if the VDE distributor or other participant responsible
for providing registration wants to perform a credit check on the
user before registering the user for this particular object).
[1401] Assuming the proper URT for this user and object is present
such that the object is registered for this user ("yes" exit to
decision block 1522), control method 1502 may determine whether the
object is already open for this user (decision block 1528). This
test may avoid creating a redundant channel for opening an object
that is already open. Assuming the object is not already open ("no"
exit to decision block 1528), control method 1502 creates a channel
and binds appropriate open control elements to it (block 1530). It
reads the appropriate open control elements from the secure
database (or the container, such as, for example, in the case of a
travelling object), and "binds" or "links" these particular
appropriate control elements together in order to control opening
of the object for this user. Thus, block 1530 associates an event
with one or more appropriate method core(s), appropriate load
modules, appropriate User Data Elements, and appropriate Method
Data Elements read from the secure database (or the container)
(block 1532). At this point, control method 1502 specifies the open
event (which started the OPEN method to begin with), the object ID
and user ID (determined by block 1520), and the channel ID of the
channel created by block 1530 to subsequent EVENT method 1504,
METER method 1506, BILLING method 1508 and BUDGET method 1510 to
provide a secure database "transaction" (block 1536). Before doing
so, control method 1502 may prime an audit process (block 1533) and
write audit information into an audit UDE (block 1534) so a record
of the transaction exists even if the transaction fails or is
interfered with.
[1402] The detail steps performed by EVENT method 1504 are set
forth on FIG. 49b. EVENT method 1504 may first prime an event audit
trail if required (block 1538) which may write to an EVENT Method
Audit Trail UDE (block 1540). EVENT method 1504 may then perform
the step of mapping the open event to an atomic element number and
event count using a map MDE (block 1542). The EVENT method map MDE
may be read from the secure database (block 1544). This mapping
process performed by block 1542 may, for example, determine whether
or not the open event is meterable, billable, or budgetable, and
may transform the open event into some discrete atomic element for
metering, billing and/or budgeting. As one example, block 1542
might perform a one-to-one mapping between open events and "open"
atomic elements, or it may only provide an open atomic element for
every fifth time that the object is opened. The map block 1542
preferably returns the open event, the event count, the atomic
element number, the object ID, and the user ID. This information
may be written to the EVENT method Audit Trail UDE (block 1546,
1548). In the preferred embodiment, a test (decision block 1550) is
then performed to determine whether the EVENT method failed.
Specifically, decision block 1550 may determine whether an atomic
element number was generated. If no atomic element number was
generated (e.g., meaning that the open event is not significant for
processing by METER method 1506, BILLING method 1508 and/or BUDGET
method 1510), then EVENT method 1504 may return a "fail" completion
code to control method 1502 ("no" exit to decision block 1550).
[1403] Control method 1502 tests the completion code returned by
EVENT method 1504 to determine whether it failed or was successful
(decision block 1552). If the EVENT method failed ("no" exit to
decision block 1552), control method 1502 may "roll back" the
secure database transaction (block 1554) and return itself with an
indication that the OPEN method failed (block 1556). In this
context, "rolling back" the secure database transaction means, for
example, "undoing" the changes made to audit trail UDE by blocks
1540, 1548. However, this "roll back" performed by block 1554 in
the preferred embodiment does not "undo" the changes made to the
control method audit UDE by blocks 1532, 1534.
[1404] Assuming the EVENT method 1504 completed successfully,
control method 1502 then calls the METER method 1506 shown on FIG.
49c. In the preferred embodiment, METER method 1506 primes the
meter audit trail if required (block 1558), which, typically
involves writing to a METER method audit trail UDE (block 1560).
METER method 1506 may then read a METER method UDE from the secure
database (block 1562), modify the meter UDE by adding an
appropriate event count to the meter value contained in the meter
UDE (block 1564), and then writing the modified meter UDE back to
the secure database (block 1562). In other words, block 1564 may
read the meter UDE, increment the meter count it contains, and
write the changed meter UDE back to the secure database. In the
preferred embodiment, METER method 1506 may then write meter audit
trail information to the METER method audit trail UDE if required
(blocks 1566, 1568). METER method 1506 preferably next performs a
test to determine whether the meter increment succeeded (decision
block 1570). METER method 1506 returns to control method 1502 with
a completion code (e.g., succeed or fail) and a meter value
determined by block 1564.
[1405] Control method 1502 tests whether the METER method succeeded
by examining the completion code, for example (decision block
1572). If the METER method failed ("no" exit to decision block
1572), then control method 1502 "rolls back" a secure database
transaction (block 1574), and returns with an indication that the
OPEN method failed (block 1576). Assuming the METER method
succeeded ("yes" exit to decision block 1572), control method 1502
calls the BILLING method 1508 and passes it the meter value
provided by METER method 1506.
[1406] An example of steps performed by BILLING method 1508 is set
forth in FIG. 49d. BILLING method 1508 may prime a billing audit
trail if required (block 1578) by writing to a BILLING method Audit
Trail UDE within the secure database (block 1580). BILLING method
1508 may then map the atomic element number, count and meter value
to a billing amount using a BILLING method map MDE read from the
secure database (blocks 1582, 1584). Providing an independent
BILLING method map MDE containing, for example, price list
information, allows separately deliverable pricing for the billing
process. The resulting billing amount generated by block 1582 may
be written to the BILLING method Audit Trail UDE (blocks 1586,
1588), and may also be returned to control method 1502. In
addition, BILLING method 1508 may determine whether a billing
amount was properly selected by block 1582 (decision block 1590).
In this example, the test performed by block 1590 generally
requires more than mere examination of the returned billing amount,
since the billing amount may be changed in unpredictable ways as
specified by BILLING method map MDE. Control then returns to
control method 1502, which tests the completion code provided by
BILLING method 1508 to determine whether the BILLING method
succeeded or failed (block 1592). If the BILLING method failed
("no" exit to decision block 1592), control method 1502 may "roll
back" the secure database transaction (block 1594), and return an
indication that the OPEN method failed (block 1596). Assuming the
test performed by decision block 1592 indicates that the BILLING
method succeeded ("yes" exit to decision block 1592), then control
method 1502 may call BUDGET method 1510.
[1407] Other BILLING methods may use site, user and/or usage
information to establish, for example, pricing information. For
example, information concerning the presence or absence of an
object may be used in establishing "suite" purchases, competitive
discounts, etc. Usage levels may be factored into a BILLING method
to establish price breaks for different levels of usage. A currency
translation feature of a BILLING method may allow purchases and/or
pricing in many different currencies. Many other possibilities
exist for determining an amount of budget consumed by an event that
may be incorporated into BILLING methods.
[1408] An example of detailed control steps performed by BUDGET
method 1510 is set forth in FIG. 49e. BUDGET method 1510 may prime
a budget audit trail if required by writing to a budget trail UDE
(blocks 1598, 1600). BUDGET method 1510 may next perform a billing
operation by adding a billing amount to a budget value (block
1602). This operation may be performed, for example, by reading a
BUDGET method UDE from the secure database, modifying it, and
writing it back to the secure database (block 1604). BUDGET method
1510 may then write the budget audit trail information to the
BUDGET method Audit Trail UDE (blocks 1606, 1608). BUDGET method
1510 may finally, in this example, determine whether the user has
run out of budget by determining whether the budget value
calculated by block 1602 is out of range (decision block 1610). If
the user has run out of budget ("yes" exit to decision block 1610),
the BUDGET method 1510 may return a "fail completion" code to
control method 1502. BUDGET method 1510 then returns to control
method 1502, which tests whether the BUDGET method completion code
was successful (decision block 1612). If the BUDGET method failed
("no" exit to decision block 1612), control method 1502 may "roll
back" the secure database transaction and itself return with an
indication that the OPEN method failed (blocks 1614, 1616).
Assuming control method 1502 determines that the BUDGET method was
successful, the control method may perform the additional steps
shown on FIG. 49f. For example, control method 1502 may write an
open audit trail if required by writing audit information to the
audit UDE that was primed at block 1532 (blocks 1618, 1620).
Control method 1502 may then establish a read event processing
(block 1622), using the User Right Table and the PERC associated
with the object and user to establish the channel (block 1624).
This channel may optionally be shared between users of the VDE node
600, or may be used only by a specified user.
[1409] Control method 1502 then, in the preferred embodiment, tests
whether the read channel was established successfully (decision
block 1626). If the read channel was not successfully established
("no" exit to decision block 1626), control method 1502 "rolls
back" the secured database transaction and provides an indication
that the OPEN method failed (blocks 1628, 1630). Assuming the read
channel was successfully established ("yes" exit to decision block
1626), control method 1502 may "commit" the secure database
transaction (block 1632). This step of "committing" the secure
database transaction in the preferred embodiment involves, for
example, deleting intermediate values associated with the secure
transaction that has just been performed and, in one example,
writing changed UDEs and MDEs to the secure database. It is
generally not possible to "roll back" a secure transaction once it
has been committed by block 1632. Then, control method 1502 may
"tear down" the channel for open processing (block 1634) before
terminating (block 1636). In some arrangements, such as
multi-tasking VDE node environments, the open channel may be
constantly maintained and available for use by any OPEN method that
starts. In other implementations, the channel for open processing
may be rebuilt and restarted each time an OPEN method starts.
Read
[1410] FIG. 50, 50a-50f show examples of process control steps for
performing a representative example of a READ method 1650.
Comparing FIG. 50 with FIG. 49 reveals that the same overall high
level processing may typically be performed for READ method 1650 as
was described in connection with OPEN method 1500. Thus, READ
method 1650 may call a control method 1652 in response to a read
event, the control method in turn invoking an EVENT method 1654, a
METER method 1656, a BILLING method 1658 and a BUDGET method 1660.
In the preferred embodiment, READ control method 1652 may request
methods to fingerprint and/or obscure content before releasing the
decrypted content.
[1411] FIGS. 50a-50e are similar to FIGS. 49a-49e. Of course, even
though the same user data elements may be used for both the OPEN
method 1500 and the READ method 1650, the method data elements for
the READ method may be completely different, and in addition, the
user data elements may provide different auditing, metering,
billing and/or budgeting criteria for read as opposed to open
processing.
[1412] Referring to FIG. 50f, the READ control method 1652 must
determine which key to use to decrypt content if it is going to
release decrypted content to the user (block 1758) READ control
method 1652 may make this key determination based, in part, upon
the PERC 808 for the object (block 1760). READ control method 1652
may then call an ACCESS method to actually obtain the encrypted
content to be decrypted (block 1762). The content is then decrypted
using the key determined by block 1758. (block 1764). READ control
method 1652 may then determine whether a "fingerprint" is desired
(decision block 1766). If fingerprinting of the content is desired
("yes" exit of decision block 1766), READ control method 1652 may
call the FINGERPRINT method (block 1768). Otherwise, READ control
method 1652 may determine whether it is desired to obscure the
decrypted content (decision block 1770). If so, READ control method
1652 may call an OBSCURE method to perform this function (block
1772). Finally, READ control method 1652 may commit the secure
database transaction (block 1774), optionally tear down the read
channel (not shown), and terminate (block 1776).
Write
[1413] FIGS. 51, 51a-51f are flowcharts of examples of process
control steps used to perform a representative example of a WRITE
method 1780 in the preferred embodiment. WRITE method 1780 uses a
control method 1782 to call an EVENT method 1784, METER method
1786, BILLING method 1788, and BUDGET method 1790 in this example.
Thus, writing information into a container (either by overwriting
information already stored in the container or adding new
information to the container) in the preferred embodiment may be
metered, billed and/or budgeted in a manner similar to the way
opening a container and reading from a container can be metered,
billed and budgeted. As shown in FIG. 51, the end result of WRITE
method 1780 is typically to encrypt content, update the container
table of contents and related information to reflect the new
content, and write the content to the object.
[1414] FIG. 51a for the WRITE control method 1782 is similar to
FIG. 49a and FIG. 50a for the OPEN control method and the READ
control method, respectively. However, FIG. 51b is slightly
different from its open and read counterparts. In particular, block
1820 is performed if the WRITE EVENT method 1784 fails. This block
1820 updates `the EVENT method map MDE to reflect new data. This is
necessary to allow information written by block 1810 to be-read by
FIG. 51b READ method block 1678 based on the same (but now updated)
EVENT method map MDE.
[1415] Looking at FIG. 51f, once the EVENT, METER, BILLING and
BUDGET methods have returned successfully to WRITE control method
1782, the WRITE control method writes audit information to Audit
UDE (blocks 1890, 1892), and then determines (based on the PERC for
the object and user and an optional algorithm) which key should be
used to encrypt the content before it is written to the container
(blocks 1894, 1896). CONTROL method 1782 then encrypts the content
(block 1898) possibly by calling an ENCRYPT method, and writes the
encrypted content to the object (block 1900). CONTROL method 1782
may then update the table of contents (and related information) for
the container to reflect the newly written information (block
1902), commit the secure database transaction (block 1904), and
return (block 1906).
Close
[1416] FIG. 52 is a flowchart of an example of process control
steps to perform a representative example of a CLOSE method 1920 in
the preferred embodiment. CLOSE method 1920 is used to close an
open object. In the preferred embodiment, CLOSE method 1920 primes
an audit trail and writes audit information to an Audit UDE (blocks
1922, 1924). CLOSE method 1920 then may destroy the current
channel(s) being used to support and/or process one or more open
objects (block 1926). As discussed above, in some (e g, multi-user
or multi-tasking) installations, the step of destroying a channel
is not needed because the channel may be left operating for
processing additional objects for the same or different users.
CLOSE method 1920 also releases appropriate records and resources
associated with the object at this time (block 1926). The CLOSE
method 1920 may then write an audit trail (if required) into an
Audit UDE (blocks 1928, 1930) before completing.
Event
[1417] FIG. 53a is a flowchart of example process control steps
provided by a more general example of an EVENT method 1940 provided
by the preferred embodiment. Examples of EVENT methods are set
forth in FIGS. 49b, 50b and 51b and are described above. EVENT
method 1940 shown in FIG. 53a is somewhat more generalized than the
examples above. Like the EVENT method examples above, EVENT method
1940 receives an identification of the event along with an event
count and event parameters. EVENT method 1940 may first prime an
EVENT audit trail (if required) by writing appropriate information
to an EVENT method Audit Trail UDE (blocks 1942, 1944). EVENT
method 1940 may then obtain and load an EVENT method map DTD from
the secure database (blocks 1946, 1948). This EVENT method map DTD
describes, in this example, the format of the EVENT method map MDE
to be read and accessed immediately subsequently (by blocks 1950,
1952). In the preferred embodiment, MDEs and UDEs may have any of
various different formats, and their formats may be flexibly
specified or changed dynamically depending upon the installation,
user, etc. The DTD, in effect, describes to the EVENT method 1940
how to read from the EVENT method map MDE. DTDs are also used to
specify how methods should write to MDEs and UDEs, and thus may be
used to implement privacy filters by, for example, preventing
certain confidential user information from being written to data
structures that will be reported to third parties.
[1418] Block 1950 ("map event to atomic element # and event count
using a Map MDE") is in some sense the "heart" of EVENT method
1940. This step "maps" the event into an "atomic element number" to
be responded to by subsequently called methods. An example of
process control steps performed by a somewhat representative
example of this "mapping" step 1950 is shown in FIG. 53b.
[1419] The FIG. 53b example shows the process of converting a READ
event that is associated with requesting byte range 1001-1500 from
a specific piece of content into an appropriate atomic element. The
example EVENT method mapping process (block 1950 in FIG. 53a) can
be detailed as the representative process shown in FIG. 53b.
[1420] EVENT method mapping process 1950 may first look up the
event code (READ) in the EVENT method MDE (1952) using the EVENT
method map DTD (1948) to determine the structure and contents of
the MDE. A test might then be performed to determine if the event
code was found in the MDE (1956), and if not ("No" branch), the
EVENT method mapping process may the terminate (1958) without
mapping the event to an atomic element number and count. If the
event was found in the MDE ("Yes" branch), the EVENT method mapping
process may then compare the event range (e.g., bytes 1001-1500)
against the atomic element to event range mapping table stored in
the MDE (block 1960). The comparison might yield one or more atomic
element numbers or the event range might not be found in the
mapping table. The result of the comparison might then be tested
(block 1962) to determine if any atomic element numbers were found
in the table. If not ("No" branch), the EVENT method mapping
process may terminate without selecting any atomic element numbers
or counts (1964). If the atomic element numbers were found, the
process might then calculate the atomic element count from the
event range (1966). In this example, the process might calculate
the number of bytes requested by subtracting the upper byte range
from the lower byte range (e.g., 1500-1001+1=500). The example
EVENT method mapping process might then terminate (block 1968) and
return the atomic element number(s) and counts.
[1421] EVENT method 1940 may then write an EVENT audit trail if
required to an EVENT method Audit Trail UDE (block 1970, 1972).
EVENT method 1940 may then prepare to pass the atomic element
number and event count to the calling CONTROL method (or other
control process) (at exit point 1978). Before that, however, EVENT
method 1940 may test whether an atomic element was selected
(decision block 1974). If no atomic element was selected, then the
EVENT method may be failed (block 1974). This may occur for a
number of reasons. For example, the EVENT method may fail to map an
event into an atomic element if the user is not authorized to
access the specific areas of content that the EVENT method MDE does
not describe. This mechanism could be used, for example, to
distribute customized versions of a piece of content and control
access to the various versions in the content object by altering
the EVENT method MDE delivered to the user. A specific use of this
technology might be to control the distribution of different
language (e.g., English, French, Spanish) versions of a piece of
content.
Billing
[1422] FIG. 53c is a flowchart of an example of process control
steps performed by a BILLING method 1980. Examples of BILLING
methods are set forth in FIGS. 49d, 50d, and 51d and are described
above. BILLING method 1980 shown in FIG. 53c is somewhat more
generalized than the examples above. Like the BILLING method
examples above, BILLING method 1980 receives a meter value to
determine the amount to bill. BILLING method 1980 may first prime a
BILLING audit trail (if required) by writing appropriate
information to the BILLING method Audit. Trail UDE (blocks 1982,
1984). BILLING method 1980 may then obtain and load a BILLING
method map DTD from the secure database (blocks 1985, 1986), which
describes the BILLING method map MDE (e.g., a price list, table, or
parameters to the billing amount calculation algorithm) that should
be used by this BILLING method. The BILLING method map MDE may be
delivered either as part of the content object or as a separately
deliverable component that is combined with the control information
at registration.
[1423] The BILLING method map MDE in this example may describe the
pricing algorithm that should be used in this BILLING method (e.g.,
bill $0.001 per byte of content released). Block 1988 ("Map meter
value to billing amount") functions in the same manner as block
1950 of the EVENT method; it maps the meter value to a billing
value. Process step 1988 may also interrogate the secure database
(as limited by the privacy filter) to determine if other objects or
information (e.g., user information) are present as part of the
BILLING method algorithm.
[1424] BILLING method 1980 may then write a BILLING audit trail if
required to a BILLING method Audit Trail UDE (block 1990, 1992),
and may prepare to return the billing amount to the calling CONTROL
method (or other control process). Before that, however, BILLING
method 1980 may test whether a billing amount was determined
(decision block 1994). If no billing amount was determined, then
the BILLING method may be failed (block 1996). This may occur if
the user is not authorized to access the specific areas of the
pricing table that the BILLING method MDE describes (e.g., you may
purchase not more than $100.00 of information from this content
object).
Access
[1425] FIG. 54 is a flowchart of an example of program control
steps performed by an ACCESS method 2000. As described above, an
ACCESS method may be used to access content embedded in an object
300 so it can be written to, read from, or otherwise manipulated or
processed. In many cases, the ACCESS method may be relatively
trivial since the object may, for example, be stored in a local
storage that is easily accessible. However, in the general case, an
ACCESS method 2000 must go through a more complicated procedure in
order to obtain the object. For example, some objects (or parts of
objects) may only be available at remote sites or may be provided
in the form of a real-time download or feed (e.g, in the case of
broadcast transmissions). Even if the object is stored locally to
the VDE node, it may be stored as a secure or protected object so
that it is not directly accessible to a calling process. ACCESS
method 2000 establishes the connections, routings, and security
requisites needed to access the object. These steps may be
performed transparently to the calling process so that the calling
process only needs to issue an access request and the particular
ACCESS method corresponding to the object or class of objects
handles all of the details and logistics involved in actually
accessing the object.
[1426] ACCESS method 2000 may first prime an ACCESS audit trail (if
required) by writing to an ACCESS Audit Trail UDE (blocks 2002,
2004). ACCESS method 2000 may then read and load an ACCESS method
DTD in order to determine the format of an ACCESS MDE (blocks 2006,
2008). The ACCESS method MDE specifies the source and routing
information for the particular object to be accessed in the
preferred embodiment. Using the ACCESS method DTD, ACCESS method
2000 may load the correction parameters (e.g., by telephone number,
account ID, password and/or a request script in the remote resource
dependent language).
[1427] ACCESS method 2000 reads the ACCESS method MDE from the
secure database, reads it in accordance with the ACCESS method DTD,
and loads encrypted content source and routing information based on
the MDE (blocks 2010, 2012). This source and routing information
specifies the location of the encrypted content. ACCESS method 2000
then determines whether a connection to the content is available
(decision block 2014). This "connection" could be, for example, an
on-line connection to a remote site, a real-time information feed,
or a path to a secure/protected resource, for example. If the
connection to the content is not currently available ("No" exit of
decision block 2014), then ACCESS method 2000 takes steps to open
the connection (block 2016). If the connection fails (e.g., because
the user is not authorized to access a protected secure resource),
then the ACCESS method 2000 returns with a failure indication
(termination point 2018). If the open connection succeeds, on the
other hand, then ACCESS method 2000 obtains the encrypted content
(block 2020). ACCESS method 2000 then writes an ACCESS audit trail
if required to the secure database ACCESS method Audit Trail UDE
(blocks 2022, 2024), and then terminates (terminate point
2026).
Decrypt and Encrypt
[1428] FIG. 55a is a flowchart of an example of process control
steps performed by a representative example of a DECRYPT method
2030 provided by the preferred embodiment. DECRYPT method 2030 in
the preferred embodiment obtains or derives a decryption key from
an appropriate PERC 808, and uses it to decrypt a block of
encrypted content. DECRYPT method 2030 is passed a block of
encrypted content or a pointer to where the encrypted block is
stored. DECRYPT 2030 selects a key number from a key block (block
2032). For security purposes, a content object may be encrypted
with more than one key. For example, a movie may have the first 10
minutes encrypted using a first key, the second 10 minutes
encrypted with a second key, and so on. These keys are stored in a
PERC 808 in a structure called a "key block." The selection process
involves determining the correct key to use from the key block in
order to decrypt the content. The process for this selection is
similar to the process used by EVENT methods to map events into
atomic element numbers. DECRYPT method 2030 may then access an
appropriate PERC 808 from the secure database 610 and loads a key
(or "seed") from a PERC (blocks 2034, 2036). This key information
may be the actual decryption key to be used to decrypt the content,
or it may be information from which the decryption key may be at
least in part derived or calculated. If necessary, DECRYPT method
2030 computes the decryption key based on the information read from
PERC 808 at block 2034 (block 2038). DECRYPT method 2030 then uses
the obtained and/or calculated decryption key to actually decrypt
the block of encrypted information (block 2040). DECRYPT method
2030 outputs the decrypted block (or the pointer indicating where
it may be found), and terminates (termination point 2042).
[1429] FIG. 55b is a flowchart of an example of process control
steps performed by a representative example of an ENCRYPT method
2050. ENCRYPT method 2050 is passed as an input, a block of
information to encrypt (or a pointer indicating where it may be
found). ENCRYPT method 2050 then may determine an encryption key to
use from a key block (block 2052). The encryption key selection
makes a determination if a key for a specific block of content to
be written already exists in a key block stored in PERC 808. If the
key already exists in the key block then the appropriate key number
is selected. If no such key exists in the key block, a new key is
calculated using an algorithm appropriate to the encryption
algorithm. This key is then stored in the key block of PERC 808 so
that DECRYPT method 2030 may access the key in order to decrypt the
content stored in the content object ENCRYPT method 2050 then
accesses the appropriate PERC to obtain, derive and/or compute an
encryption key to be used to encrypt the information block (blocks
2054, 2056, 2058, which are similar to FIG. 55a blocks 2034, 2036,
2038). ENCRYPT method 2050 then actually encrypts the information
block using the obtained and/or derived encryption key (block 2060)
and outputs the encrypted information block or a pointer where it
can be found before terminating (termination point 2062).
Content
[1430] FIG. 56 is a flowchart of an example of process control
steps performed by a representative of a CONTENT method 2070
provided by the preferred embodiment. CONTENT method 2070 in the
preferred embodiment builds a "synopsis" of protected content using
a secure process. For example, CONTENT method 2070 may be used to
derive unsecure ("public") information from secure content. Such
derived public information might include, for example, an abstract,
an index, a table of contents, a directory of files, a schedule
when content may be available, or excerpts such as for example, a
movie "trailer."
[1431] CONTENT method 2070 begins by determining whether the
derived content to be provided must be derived from secure
contents, or whether it is already available in the object in the
form of static values (decision block 2070). Some objects may, for
example, contain prestored abstracts, indexes, tables of contents,
etc., provided expressly for the purpose of being extracted by the
CONTENT method 2070. If the object contains such static values
("static" exit to decision block 2072), then CONTENT method 2070
may simply read this static value content information from the
object (block 2074), optionally decrypt, and release this content
description (block 2076). If, on the other hand, CONTENT method
2070 must derive the synopsis/content description from the secure
object ("derived" exit to decision block 2072), then the CONTENT
method may then securely read information from the container
according to a synopsis algorithm to produce the synopsis (block
2078).
Extract and Embed
[1432] FIG. 57a is a flowchart of an example of process control
steps performed by a representative example of an EXTRACT method
2080 provided by the preferred embodiment. EXTRACT method 2080 is
used to copy or remove content from an object and place it into a
new object. In the preferred embodiment, the EXTRACT method 2080
does not involve any release of content, but rather simply takes
content from one container and places it into another container,
both of which may be secure. Extraction of content differs from
release in that the content is never exposed outside a secure
container. Extraction and Embedding are complementary functions;
extract takes content from a container and creates a new container
containing the extracted content and any specified control
information associated with that content. Embedding takes content
that is already in a container and stores it (or the complete
object) in another container directly and/or by reference,
integrating the control information associated with existing
content with those of the new content.
[1433] EXTRACT method 2080 begins by priming an Audit UDE (blocks
2082, 2084). EXTRACT method then calls a BUDGET method to make sure
that the user has enough budget for (and is authorized to) extract
content from the original object (block 2086). If the user's budget
does not permit the extraction ("no" exit to decision block 2088),
then EXTRACT method 2080 may write a failure audit record (block
2090), and terminate (termination point 2092). If the user's budget
permits the extraction ("yes" exit to decision block 2088), then
the EXTRACT method 2080 creates a copy of the extracted object with
specified rules and control information (block 2094). In the
preferred embodiment, this step involves calling a method that
actually controls the copy. This step may or may not involve
decryption and encryption, depending on the particular the PERC 808
associated with the original object, for example. EXTRACT method
2080 then checks whether any control changes are permitted by the
rights authorizing the extract to begin with (decision block 2096).
In some cases, the extract rights require an exact copy of the PERC
808 associated with the original object (or a PERC included for
this purpose) to be placed in the new (destination) container ("no"
exit to decision block 2096). If no control changes are permitted
then extract method 2080 may simply write audit information to the
Audit UDE (blocks 2098, 2100) before terminating (terminate point
2102). If, on the other hand, the extract rights permit the user to
make control changes ("yes" to decision block 2096), then EXTRACT
method 2080 may call a method or load module that solicits new or
changed control information (e.g., from the user, the distributor
who created/granted extract rights, or from some other source) from
the user (blocks 2104, 2106). EXTRACT method 2080 may then call a
method or load module to create a new PERC that reflects these
user-specified-control information (block 2104). This new PERC is
then placed in the new (destination) object, the auditing steps are
performed, and the process terminates.
[1434] FIG. 57b is an example of process control steps performed by
a representative example of an EMBED method 2110 provided by the
preferred embodiment. EMBED method 2110 is similar to EXTRACT
method 2080 shown in FIG. 57a. However, the EMBED method 2110
performs a slightly different function--it writes an object (or
reference) into a destination container. Blocks 2112-2122 shown in
FIG. 57b are similar to blocks 2082-2092 shown in FIG. 57a. At
block 2124, EMBED method 2110 writes the source object into the
destination container, and may at the same time extract or change
the control information of the destination container. One
alternative is to simply leave the control information of the
destination container alone, and include the full set of control
information associated with the object being embedded in addition
to the original container control information. As an optimization,
however, the preferred embodiment provides a technique whereby the
control information associated with the object being embedded are
"abstracted" and incorporated into the control information of the
destination container. Block 2124 may call a method to abstract or
change this control information. EMBED method 2110 then performs
steps 2126-2130 which are similar to steps 2096, 2104, 2106 shown
in FIG. 57a to allow the user, if authorized, to change and/or
specify control information associated with the embedded object
and/or destination container. EMBED method 2110 then writes audit
information into an Audit UDE (blocks 2132, 2134), before
terminating (at termination point 2136).
Obscure
[1435] FIG. 58a is a flowchart of an example of process control
steps performed by a representative example of an OBSCURE method
2140 provided by the preferred embodiment. OBSCURE method 2140 is
typically used to release secure content in devalued form. For
example, OBSCURE method 2140 may release a high resolution image in
a lower resolution so that a viewer can appreciate the image but
not enjoy its full value. As another example, the OBSCURE method
2140 may place an obscuring legend (e.g., "COPY," "PROOF," etc.)
across an image to devalue it. OBSCURE method 2140 may "obscure"
text, images, audio information, or any other type of content.
[1436] OBSCURE method 2140 first calls an EVENT method to determine
if the content is appropriate and in the range to be obscured
(block 2142). If the content is not appropriate for obscuring, the
OBSCURE method terminates (decision block 2144 "no" exit, terminate
point 2146). Assuming that the content is to be obscured ("yes"
exit to decision block 2144), then OBSCURE method 2140 determines
whether it has previously been called to obscure this content
(decision block 2148). Assuming the OBSCURE 2140 has not previously
called for this object/content. ("yes" exit to decision block
2148), the OBSCURE method 2140 reads an appropriate OBSCURE method
MDE from the secure database and loads an obscure formula and/or
pattern from the MDE (blocks 2150, 2152). The OBSCURE method 2140
may then apply the appropriate obscure transform based on the
patters and/or formulas loaded by block 2150 (block 2154). The
OBSCURE method then may terminate (terminate block 2156).
Fingerprint
[1437] FIG. 58b is a flowchart of an example of process control
steps performed by a representative example of a FINGERPRINT method
2160 provided by the preferred embodiment. FINGERPRINT method 2160
in the preferred embodiment operates to "mark" released content
with a "fingerprint" identification of who released the content
and/or check for such marks. This allows one to later determine who
released unsecured content by examining the content. FINGERPRINT
method 2160 may, for example, insert a user ID within a datastream
representing audio, video, or binary format information.
FINGERPRINT method 2160 is quite similar to OBSCURE method 2140
shown in FIG. 58a except that the transform applied by FINGERPRINT
method block 2174 "fingerprints" the released content rather than
obscuring it.
[1438] FIG. 58c shows an example of a "fingerprinting" procedure
2160 that inserts into released content "fingerprints" 2161 that
identify the object and/or property and/or the user that requested
the released content and/or the date and time of the release and/or
other identification criteria of the released content.
[1439] Such fingerprints 2161 can be "buried"--that is inserted in
a manner that hides the fingerprints from typical users,
sophisticated "hackers," and/or from all users, depending on the
file format, the sophistication and/or variety of the insertion
algorithms, and on the availability of original, non-fingerprinted
content (for comparison for reverse engineering of algorithm(s)).
Inserted or embedded fingerprints 2161, in a preferred embodiment,
may be at least in part encrypted to make them more secure. Such
encrypted fingerprints 2161 may be embedded within released content
provided in "clear" (plaintext) form.
[1440] Fingerprints 2161 can be used for a variety of purposes
including, for example, the often related purposes of proving
misuse of released materials and proving the source of released
content. Software piracy is a particularly good example where
fingerprinting can be very useful. Fingerprinting can also help to
enforce content providers' rights for most types of electronically
delivered information including movies, audio recordings,
multimedia, information databases, and traditional "literary"
materials. Fingerprinting is a desirable alternative or addition to
copy protection.
[1441] Most piracy of software applications, for example, occurs
not with the making of an illicit copy by an individual for use on
another of the individual's own computers, but rather in giving a
copy to another party. This often starts a chain (or more
accurately a pyramid) of illegal copies, as copies are handed from
individual to individual. The fear of identification resulting from
the embedding of a fingerprint 2161 will likely dissuade most
individuals from participating, as many currently do, in
widespread, "casual" piracy. In some cases, content may be checked
for the presence of a fingerprint by a fingerprint method to help
enforce content providers' rights.
[1442] Different fingerprints 2161 can have different levels of
security (e.g., one fingerprint 2161(1) could be
readable/identifiable by commercial concerns, while another
fingerprint 2161(2) could be readable only by a more trusted
agency. The methods for generating the more secure fingerprint 2161
might employ more complex encryption techniques (e.g., digital
signatures) and/or obscuring of location methodologies. Two or more
fingerprints 2161 can be embedded in different locations and/or
using different techniques to help protect fingerprinted
information against hackers. The more secure fingerprints might
only be employed periodically rather than each time content release
occurs, if the technique used to provide a more secure fingerprint
involves an undesired amount of additional overhead. This may
nevertheless be effective since a principal objective of
fingerprinting is deterrence--that is the fear on the part of the
creator of an illicit copy that the copying will be found out.
[1443] For example, one might embed a copy of a fingerprint 2161
which might be readily identified by an authorized party--for
example a distributor, service personal, client administrator, or
clearinghouse using a VDE electronic appliance 600. One might embed
one or more additional copies or variants of a fingerprint 2161
(e.g., fingerprints carrying information describing some or all
relevant identifying information) and this additional one or more
fingerprints 2161 might be maintained in a more secure manner.
[1444] Fingerprinting can also protect privacy concerns. For
example, the algorithm and/or mechanisms needed to identify the
fingerprint 2161 might be available only through a particularly
trusted agent.
[1445] Fingerprinting 2161 can take many forms. For example, in an
image, the color of every N pixels (spread across an image, or
spread across a subset of the image) might be subtly shifted in a
visually unnoticeable manner (at least according to the normal,
unaided observer). These shifts could be interpreted by analysis of
the image (with or without access to the original image), with each
occurrence or lack of occurrence of a shift in color (or greyscale)
being one or more binary "on or off" bits for digital information
storage. The N pixels might be either consistent, or alternatively,
pseudo-random in order (but interpretable, at least in part, by a
object creator, object provider, client administrator, and/or VDE
administrator).
[1446] Other modifications of an image (or moving image, audio
etc.) which provide a similar benefit (that is, storing information
in a form that is not normally noticeable as a result of a certain
modification of the source information) may be appropriate
depending on the application. For example, certain subtle
modifications in the frequency of stored audio information can be
modified so as to be normally unnoticeable to the listener while
still being readable with the proper tools. Certain properties of
the storage of information might be modified to provide such slight
but interpretable variations in polarity of certain information
which is optically stored to achieve similar results. Other
variations employing other electronic, magnetic, and/or optical
characteristic may be employed.
[1447] Content stored in files that employ graphical formats, such
as Microsoft Windows word processing files, provide significant
opportunities for "burying" a fingerprint 2161. Content that
includes images and/or audio provides the opportunity to embed
fingerprints 2161 that may be difficult for unauthorized
individuals to identify since, in the absence of an
"unfingerprinted" original for purposes of comparison, minor subtle
variations at one or more time instances in audio frequencies, or
in one or more video images, or the like, will be in themselves
undiscernible given the normally unknown nature of the original and
the large amounts of data employed in both image and sound data
(and which is not particularly sensitive to minor variations). With
formatted text documents, particularly those created with graphical
word processors (such as Microsoft Windows or Apple MacIntosh word
processors and their DOS and Unix equivalents), fingerprints 216
can normally be inserted unobtrusively into portions of the
document data representation that are not normally visible to the
end user (such as in a header or other non-displayed data
field).
[1448] Yet another form of fingerprinting, which may be
particularly suitable for certain textual documents, would employ
and control the formation of characters for a given font.
Individual characters may have a slightly different visual
formation which connotes certain "fingerprint" information. This
alteration of a given character's form would be generally
undiscernible, in part because so many slight variations exist in
versions of the same font available from different suppliers, and
in part because of the smallness of the variation. For example, in
a preferred embodiment, a program such as Adobe Type Align could be
used which, in its off-the-shelf versions, supports the ability of
a user to modify font characters in a variety of ways. The
mathematical definition of the font character is modified according
to the user's instructions to produce a specific set of
modifications to be applied to a character or font. Information
content could be used in an analogous manner (as an alternative to
user selections) to modify certain or all characters too subtly for
user recognition under normal circumstances but which nevertheless
provide appropriate encoding for the fingerprint 2161. Various
subtly different versions of a given character might be used within
a single document so as to increase the ability to carry
transaction related font fingerprinted information.
[1449] Some other examples of applications for fingerprinting might
include: [1450] 1. In software programs, selecting certain
interchangeable code fragments in such a way as to produce more or
less identical operation, but on analysis, differences that detail
fingerprint information. [1451] 2. With databases, selecting to
format certain fields, such as dates, to appear in different way.
[1452] 3. In games, adjusting backgrounds, or changing order of
certain events, including noticeable or very subtle changes in
timing and/or ordering of appearance of game elements, or slight
changes in the look of elements of the game.
[1453] Fingerprinting method 2160 is typically performed (if at
all) at the point at which content is released from a content
object 300. However, it could also be performed upon distribution
of an object to "mark" the content while still in encrypted form.
For example, a network-based object repository could embed
fingerprints 2161 into the content of an object before transmitting
the object to the requester, the fingerprint information could
identify a content requester/end user. This could help detect
"spoof" electronic appliances 600 used to release content without
authorization.
Destroy
[1454] FIG. 59 is a flowchart of an example of process control
steps performed by a representative performed by a DESTROY method
2180 provided by the preferred embodiment DESTROY method 2180
removes the ability of a user to use an object by destroying the
URT the user requires to access the object. In the preferred
embodiment, a DESTROY method 2180 may first write audit information
to an Audit UDE (blocks 2182, 2184). DESTROY method 2180 may than
call a WRITE and/or ACCESS method to write information which will
corrupt (and thus destroy) the header and/or other important parts
of the object (block 2186). DESTROY method 2180 may then mark one
or more of the control structures (e.g., the URT) as damaged by
writing appropriate information to the control structure (blocks
2188, 2190). DESTROY method 2180, finally, may write additional
audit information to Audit UDE (blocks 2192, 2194) before
terminating (terminate point 2196).
Panic
[1455] FIG. 60 is a flowchart of an example of process control
steps performed by a representative example of a PANIC method 2200
provided by the preferred embodiment. PANIC method 2200 may be
called when a security violation is detected. PANIC method 2200 may
prevent the user from further accessing the object currently being
accessed by, for example, destroying the channel being used to
access the object and marking one or more of the control structures
(e.g., the URT) associated with the user and object as damaged
(blocks 2206, and 2208-2210, respectively). Because the control
structure is damaged, the VDE node will need to contact an
administrator to obtain a valid control structure(s) before the
user may access the same object again. When the VDE node contacts
the administrator, the administrator may request information
sufficient to satisfy itself that no security violation occurred,
or if a security violation did occur, take appropriate steps to
ensure that the security violation is not repeated.
Meter
[1456] FIG. 61 is a flowchart of an example of process control
steps performed by a representative example of a METER method
provided by the preferred embodiment. Although METER methods were
described above in connection with FIGS. 49, 50 and 51, the METER
method 2220 shown in FIG. 61 is possibly a somewhat more
representative example. In the preferred embodiment, METER method
2220 first primes an Audit Trail by accessing a METER Audit Trail
UDE (blocks 2222, 2224). METER method 2220 may then read the DTD
for the Meter UDE from the secure database (blocks 2226, 2228).
METER method 2220 may then read the Meter UDE from the secure
database (blocks 2230, 2232). METER method 2220 next may test the
obtained Meter UDE to determine whether it has expired (decision
block 2234). In the preferred embodiment, each Meter UDE may be
marked with an expiration date. If the current date/time is later
than the expiration date of the Meter UDE ("yes" exit to decision
block 2234), then the METER method 2220 may record a failure in the
Audit Record and terminate with a failure condition (block 2236,
2238).
[1457] Assuming the Meter UDE is not yet expired, the meter method
2220 may update it using the atomic element and event count passed
to the METER method from, for example, an EVENT method (blocks
2239, 2240). The METER method 2220 may then save the Meter Use
Audit Record in the Meter Audit Trail UDE (blocks 2242, 2244),
before terminating (at terminate point 2246).
Additional Security Features Provided by the Preferred
Embodiment
[1458] VDE 100 provided by the preferred embodiment has sufficient
security to help ensure that it cannot be compromised short of a
successful "brute force attack," and so that the time and cost to
succeed in such a "brute force attack" substantially exceeds any
value to be derived. In addition, the security provided by VDE 100
compartmentalizes the internal workings of VDE so that a successful
"brute force attack" would compromise only a strictly bounded
subset of protected information, not the entire system.
[1459] The following are among security aspects and features
provided by the preferred embodiment: [1460] security of PPE 650
and the processes it performs [1461] security of secure database
610 [1462] security of encryption/decryption performed by PPE 650
[1463] key management; security of encryption/decryption keys and
shared secrets [1464] security of authentication/external
communications [1465] security of secure database backup [1466]
secure transportability of VDE internal information between
electronic appliances 600 [1467] security of permissions to access
VDE secure information [1468] security of VDE objects 300 [1469]
integrity of VDE security.
[1470] Some of these security aspects and considerations are
discussed above. The following provides an expanded discussion of
preferred embodiment security features not fully addressed
elsewhere.
Management of Keys and Shared Secrets
[1471] VDE 100 uses keys and shared secrets to provide security.
The following key usage features are provided by the preferred
embodiment: [1472] different cryptosystem/key types [1473] secure
key length [1474] key generation [1475] key "convolution" and key
"aging."
[1476] Each of these types are discussed below.
A. Public-Key and Symmetric Key Cryptosystems
[1477] The process of disguising or transforming information to
hide its substance is called encryption. Encryption produces
"ciphertext." Reversing the encryption process to recover the
substance from the ciphertext is called "decryption." A
cryptographic algorithm is the mathematical function used for
encryption and decryption.
[1478] Most modern cryptographic algorithms use a "key." The "key"
specifies one of a family of transformations to be provided. Keys
allow a standard, published and tested cryptographic algorithm to
be used while ensuring that specific transformations performed
using the algorithm are kept secret. The secrecy of the particular
transformations thus depends on the secrecy of the key, not on the
secrecy of the algorithm.
[1479] There are two general forms of key-based algorithms, either
or both of which may be used by the preferred embodiment PPE
650:
[1480] symmetric; and
[1481] public-key ("PK").
[1482] Symmetric algorithms are algorithms where the encryption key
can be calculated from the decryption key and vice versa. In many
such systems, the encryption and decryption keys are the same. The
algorithms, also called "secret-key", "single key" or "shared
secret" algorithms, require a sender and receiver to agree on a key
before ciphertext produced by a sender can be decrypted by a
receiver. This key must be kept secret. The security of a symmetric
algorithm rests in the key: divulging the key means that anybody
could encrypt and decrypt information in such a cryptosystem. See
Schneier, Applied Cryptography at Page 3. Some examples of
symmetric key algorithms that the preferred embodiment may use
include DES, Skipjack/Clipper, IDEA, RC2, and RC4.
[1483] In public-key cryptosystems, the key used for encryption is
different from the key used for decryption. Furthermore, it is
computationally infeasible to derive one key from the other. The
algorithms used in these cryptosystems are called "public key"
because one of the two keys can be made public without endangering
the security of the other key. They are also sometimes called
"asymmetric" cryptosystems because they use different keys for
encryption and decryption. Examples of public key algorithms
include RSA, El Gamal and LUC.
[1484] The preferred embodiment PPE 650 may operate based on only
symmetric key cryptosystems, based on public-key cryptosystems, or
based on both symmetric key cryptosystems and public key
cryptosystems. VDE 100 does not require any specific encryption
algorithms; the architecture provided by the preferred embodiment
may support numerous algorithms including PK and/or secret key (non
PK) algorithms. In some cases, the choice of encryption/decryption
algorithm will be dependent on a number of business decisions such
as cost, market demands, compatibility with other commercially
available systems, export laws, etc.
[1485] Although the preferred embodiment is not dependent on any
particular type of cryptosystem or encryption/decryption
algorithm(s), the preferred example uses PK cryptosystems for
secure communications between PPEs 650, and uses secret key
cryptosystems for "bulk" encryption/decryption of VDE objects 300.
Using secret key cryptosystems (e.g., DES implementations using
multiple keys and multiple passes, Skipjack, RC2, or RC4) for
"bulk" encryption/decryption provides efficiencies in encrypting
and decrypting large quantities of information, and also permits
PPEs 650 without PK-capability to deal with VDE objects 300 in a
variety of applications. Using PK cryptosystems for communications
may provide advantages such as eliminating reliance on secret
shared external communication keys to establish communications,
allowing for a challenge/response that doesn't rely on shared
internal secrets to authenticate PPEs 650, and allowing for a
publicly available "certification" process without reliance on
shared secret keys.
[1486] Some content providers may wish to restrict use of their
content to PK implementations This desire can be supported by
making the availability of PK capabilities, and the specific nature
or type of PK capabilities, in PPEs 650 a factor in the
registration of VDE objects 300, for example, by including a
requirement in a REGISTER method for such objects in the form of a
load module that examines a PPE 650 for specific or general PK
capabilities before allowing registration to continue.
[1487] Although VDE 100 does not require any specific algorithm, it
is highly desirable that all PPEs 650 are capable of using the same
algorithm for bulk encryption/decryption. If the bulk
encryption/decryption algorithm used for encrypting VDE objects 300
is not standardized, then it is possible that not all VDE
electronic appliances 600 will be capable of handling all VDE
objects 300. Performance differences will exist between different
PPEs 650 and associated electronic appliances 600 if standardized
bulk encryption/decryption algorithms are not implemented in whole
or in part by hardware-based encrypt/decrypt engine 522, and
instead are implemented in software. In order to support algorithms
that are not implemented in whole or in part by encrypt/decrypt
engine 522, a component assembly that implements such an algorithm
must be available to a PPE 650.
B. Key Length
[1488] Increased key length may increase security. A "brute-force"
attack of a cryptosystem involves trying every possible key. The
longer the key, the more possible keys there are to try. At some
key length, available computation resources will require an
impractically large amount of time for a "brute force" attacker to
try every possible key.
[1489] VDE 100 provided by the preferred embodiment accommodates
and can use many different key lengths. The length of keys used by
VDE 100 in the preferred embodiment is determined by the
algorithm(s) used for encryption/decryption, the level of security
desired, and, throughput requirements. Longer keys generally
require additional processing power to ensure fast
encryption/decryption response times. Therefore, there is a
tradeoff between (a) security, and (b) processing time and/or
resources. Since a hardware-based PPE encrypt/decrypt engine 522
may provide faster processing than software-based
encryption/decryption, the hardware-based approach may, in general,
allow use of longer keys.
[1490] The preferred embodiment may use a 1024 bit modulus (key)
RSA cryptosystem implementation for PK encryption/decryption, and
may use 56-bit DES for "bulk" encryption/decryption. Since the
56-bit key provided by standard DES may not be long enough to
provide sufficient security for at least the most sensitive VDE
information, multiple DES encryptions using multiple passes and
multiple DES keys may be used to provide additional security. DES
can be made significantly more secure if operated in a manner that
uses multiple passes with different keys. For example, three passes
with 2 or 3 separate keys is much more secure because it
effectively increases the length of the key. RC2 and RC4
(alternatives to DES) can be exported for up to 40-bit key sizes,
but the key size probably needs to be much greater to provide even
DES level security. The 80-bit key length provided by NSA's
Skipjack may be adequate for most VDE security needs.
[1491] The capability of downloading code and other information
dynamically into PPE 650 allows key length to be adjusted and
changed dynamically even after a significant number of VDE
electronic appliances 600 are in use. The ability of a VDE
administrator to communicate with each PPE 650 efficiently makes
such after-the-fact dynamic changes both possible and
cost-effective. New or modified cryptosystems can be downloaded
into existing PPEs 650 to replace or add to the cryptosystem
repertoire available within the PPE, allowing older PPEs to
maintain compatibility with newer PPEs and/or newly released VDE
objects 300 and other VDE-protected information. For example,
software encryption/decryption algorithms may be downloaded into
PPE 650 at any time to supplement the hardware-based functionality
of encrypt/decrypt engine 522 by providing different key length
capabilities. To provide increased flexibility, PPE encrypt/decrypt
engine 522 may be configured to anticipate multiple passes and/or
variable and/or longer key lengths. In addition, it may be
desirable to provide PPEs 650 with the capability to internally
generate longer PK keys.
C. Key Generation
[1492] Key generation techniques provided by the preferred
embodiment permit PPE 650 to generate keys and other information
that are "known" only to it.
[1493] The security of encrypted information rests in the security
of the key used to encrypt it. If a cryptographically weak process
is used to generate keys, the entire security is weak. Good keys
are random bit strings so that every possible key in the key space
is equally likely. Therefore, keys should in general be derived
from a reliably random source, for example, by a cryptographically
secure pseudo-random number generator seeded from such a source.
Examples of such key generators are described in Schneier, Applied
Cryptography (John Wiley and Sans, 1994), chapter 15. If keys are
generated outside a given PPE 650 (e.g., by another PPE 650), they
must be verified to ensure they come from a trusted source before
they can be used. "Certification" may be used to verify keys.
[1494] The preferred embodiment PPE 650 provides for the automatic
generation of keys. For example, the preferred embodiment PPE 650
may generate its own public/private key pair for use in protecting
PK-based external communications and for other reasons. A PPE 650
may also generate its own symmetric keys for various purposes
during and after initialization. Because a PPE 650 provides a
secure environment, most key generation in the preferred embodiment
may occur within the PPE (with the possible exception of initial
PPE keys used at manufacturing or installation time to allow a PPE
to authenticate initial download messages to it).
[1495] Good key generation relies on randomness. The preferred
embodiment PPE 650--may, as mentioned above in connection with FIG.
9, includes a hardware-based random number generator 542 with the
characteristics required to generate reliable random numbers. These
random numbers may be used to "seed" a cryptographically strong
pseudo-random number generator (e.g., DES operated in Output
Feedback Mode) for generation of additional key values derived from
the random seed. In the preferred embodiment, random number
generator 542 may consist of a "noise diode" or other
physically-based source of random values (e.g., radioactive
decay).
[1496] If no random number generator 542 is available in the PPE
650, the SPE 503 may employ a cryptographic algorithm (e.g., DES in
Output Feedback Mode) to generate a sequence of pseudo-random
values derived from a secret value protected within the SPE.
Although these numbers are pseudo-random rather than truly random,
they are cryptographically derived from a value unknown outside the
SPE 503 and therefore may be satisfactory in some applications.
[1497] In an embodiment incorporating an HPE 655 without an SPE
503, the random value generator 565 software may derive reliably
random numbers from unpredictable external physical events (e.g.,
high-resolution timing of disk I/O completions or of user
keystrokes at an attached keyboard 612).
[1498] Conventional techniques for generating PK and non-PK keys
based upon such "seeds" may be used. Thus, if performance and
manufacturing costs permit, PPE 650 in the preferred embodiment
will generate its own public/private key pair based on such random
or pseudo-random "seed" values. This key pair may then be used for
external communications between the PPE 650 that generated the key
pair and other PPEs that wish to communicate with it. For example,
the generating PPE 650 may reveal the public key of the key pair to
other PPEs. This allows other PPEs 650 using the public key to
encrypt messages that may be decrypted only by the generating PPE
(the generating PPE is the only PPE that "knows" the corresponding
"private key"). Similarly, the generating PPE 650 may encrypt
messages using its private key that, when decrypted successfully by
other PPEs with the generating PPE's public key, permit the other
PPEs to authenticate that the generating PPE sent the message.
[1499] Before one PPE 650 uses a public key generated by another
PPE, a public key certification process should be used to provide
authenticity certificates for the public key. A public-key
certificate is someone's public key "signed" by a trustworthy
entity such as an authentic PPE 650 or a VDE administrator.
Certificates are used to thwart attempts to convince a PPE 650 that
it is communicating with an authentic PPE when it is not (e.g., it
is actually communicating with a person attempting to break the
security of PPE 650). One or more VDE administrators in the
preferred embodiment may constitute a certifying authority. By
"signing" both the public key generated by a PPE 650 and
information about the PPE and/or the corresponding VDE electronic
appliance 600 (e.g., site ID, user ID, expiration date, name,
address, etc), the VDE administrator certifying authority can
certify that information about the PPE and/or the VDE electronic
appliance is correct and that the public key belongs to that
particular VDE mode.
[1500] Certificates play an important role in the trustedness of
digital signatures, and also are important in the public-key
authentication communications protocol (to be discussed below). In
the preferred embodiment, these certificates may include
information about the trustedness/level of security of a particular
VDE electronic appliance 600 (e.g., whether or not it has a
hardware-based SPE 503 or is instead a less trusted software
emulation type HPE 655) that can be used to avoid transmitting
certain highly/secure information to less trusted/secure VDE
installations.
[1501] Certificates can also play an important role in
decommissioning rogue users and/or sites. By including a site
and/or user ID in a certificate, a PPE can evaluate this
information as an aspect of authentication. For example, if a VDE
administrator or clearinghouse encounters a certificate bearing and
ID (or other information) that meets certain criteria (e.g., is
present on a list of decommissioned and/or otherwise suspicious
users and/or sites), they may choose to take actions based on those
criteria such as refusing to communicate, communicating disabling
information, notifying the user of the condition, etc. Certificates
also typically include an expiration date to ensure that
certificates must be replied periodically, for example, to ensure
that sites and/or users must stay in contact with a VDE
administrator and/or to allow certification keys to be changed
periodically. More than one certificate based on different keys may
be issued for sites and/or users so-that if a given certification
key is compromised, one or more "backup" certificates may be used.
If a certification key is compromised, A VDE administrator may
refuse to authenticate based on certificates generated with such a
key, and send a signal after authenticating with a "backup"
certificate that invalidates all use of the compromised key and all
certificates associated with it in further interactions with VDE
participants. A new one or more "backup" certificates and keys may
be created and sent to the authenticated site/user after such a
compromise.
[1502] If multiple certificates are available, some of the
certificates may be reserved as backups. Alternatively or in
addition, one certificate from a group of certificates may be
selected (e.g., by using RNG 542) in a given authentication,
thereby reducing the likelihood that a certificate associated with
a compromised certification key will be used. Still alternatively,
more than one certificate may be used in a given
authentication.
[1503] To guard against the possibility of compromise of the
certification algorithm (e.g., by an unpredictable advance in the
mathematical foundations on which the algorithm is based), distinct
algorithms may used for different certificates that are based on
different mathematical foundations.
[1504] Another technique that may be employed to decrease the
probability of compromise is to keep secret (in protected storage
in the PPE 650) the "public" values on which the certificates are
based, thereby denying an attacker access to values that may aid in
the attack. Although these values are nominally "public," they need
be known only to those components which actually validate
certificates (i.e., the PPE 650)
[1505] In the preferred embodiment, PPE 650 may generate its own
certificate, or the certificate may be obtained externally, such as
from a certifying authority VDE administrator. Irrespective of
where the digital certificate is generated, the certificate is
eventually registered by the VDE administrator certifying authority
so that other VDE electronic appliances 600 may have access to (and
trust) the public key. For example, PPE 650 may communicate its
public key and other information to a certifying authority which
may then encrypt the public key and other information using the
certifying authority's private key. Other installations 600 may
trust the "certificate" because it can be authenticated by using
the certifying authority's public key to decrypt it. As another
example, the certifying authority may encrypt the public key it
receives from the generating PPE 650 and use it to encrypt the
certifying authority's private, key. The certifying authority may
then send this encrypted information back to the generating PPE
650. The generating PPE 650 may then use the certifying authority's
private key to internally create a digital certificate, after which
it may destroy its copy of the certifying authority's private key.
The generating PPE 650 may then send out its digital certificate to
be stored in a certification repository at the VDE administrator
(or elsewhere) if desired. The certificate process can also be
implemented with an external key pair generator and certificate
generator, but might be somewhat less secure depending on the
nature of the secure facility. In such a case, a manufacturing key
should be used in PPE 650 to limit exposure to the other keys
involved.
[1506] A PPE 650 may need more than one certificate. For example, a
certificate may be needed to assure other users that a PPE is
authentic, and to identify the PPE. Further certificates may be
needed for individual users of a PPE 650. These certificates may
incorporate both user and site information or may only include user
information. Generally, a certifying authority will require a valid
site certificate to be presented prior to creating a certificate
for a given user. Users may each require their own public
key/private key pair in order to obtain certificates. VDE
administrators, clearinghouses, and other participants may normally
require authentication of both the site (PPE 650) and of the user
in a communication or other interaction. The processes described
above for key generation and certification for PPEs 650 may also be
used to form site/user certificates or user certificates.
[1507] Certificates as described above may also be used to certify
the origin of load modules 1100 and/or the authenticity of
administrative operations. The security and assurance techniques
described above may be employed to decrease the probability of
compromise for any such certificate (including certificates other
than the certificate for a VDE electronic appliance 600's
identity).
D. Key Aging and Convolution
[1508] PPE 650 also has the ability in the preferred embodiment to
generate secret keys and other information that is shared between
multiple PPEs 650. In the preferred embodiment, such secret keys
and other information may be shared between multiple VDE electronic
appliances 600 without requiring the shared secret information to
ever be communicated explicitly between the electronic appliances.
More specifically, PPE 650 uses a technique called "key
convolution" to derive keys based on a deterministic process in
response to seed information shared between multiple VDE electronic
appliances 600. Since the multiple electronic appliances 600 "know"
what the "seed" information is and also "know" the deterministic
process used to generate keys based on this information, each of
the electronic appliances may independently generate the "true
key." This permits multiple VDE electronic appliances 600 to share
a common secret keys without potentially compromising its security
by communicating it over an insecure channel.
[1509] No encryption key should be used for an indefinite period.
The longer a key is used, the greater the chance that it may be
compromised and the greater the potential loss if the key is
compromised but still in use to protect new information. The longer
a key is used, the more information it may protect and therefore
the greater the potential rewards for someone to spend the effort
necessary to break it. Further, if a key is used for a long time,
there may be more ciphertext available to an attacker attempting to
break the key using a ciphertext based attack. See Schneier at
150-151. Key convolution in the preferred embodiment provides a way
to efficiently change keys stored in secure database 610 on a
routine periodic or other basis while--simplifying key management
issues surrounding the change of keys. In addition, key convolution
may be used to provide "time aged keys" (discussed below) to
provide "expiration dates" for key usage and/or validity.
[1510] FIG. 62 shows an example implementation of key convolution
in the preferred embodiment. Key convolution may be performed using
a combination of a site ID 2821 and the high-order bits of the RTC
528 to yield a site-unique value "V" that is time dependent on a
large scale (e.g., hours or days). This value "V" may be used as
the key for an encryption process 2871 that transforms a
convolution seed value 2861 into a "current convolution key" 2862.
The seed value 2861 may be a universe-wide or group-wide shared
secret value, and may be stored in secure key storage (e.g.,
protected memory within PPE 650). The seed value 2861 is installed
during the manufacturing process and may be updated occasionally by
a VDE administrator. There may be a plurality of seed values 2861
corresponding to different sets of objects 300
[1511] The current convolution key 2862 represents an encoding of
the site ID 2821 and current time. This transformed value 2862 may
be used as a key for another encryption process 2872 to transform
the stored key 810 in the object's PERC 808 into the true private
body key 2863 for the object's contents.
[1512] The "convolution function" performed by blocks 2861, 2871
may, for example, be a one-way function that can be performed
independently at both the content creator's site and at the content
user's site. If the content user does not use precisely the same
convolution function and precisely the same input values (e.g.,
time and/or site and/or other information) as used by the content
creator, then the result of the convolution function performed by
the content user will be different from the content creator's
result. If the result is used as a symmetrical key for encryption
by the content creator, the content user will not be able to
decrypt unless the content user's result is the same as the result
of the content creator.
[1513] The time component for input to the key convolution function
may be derived from RTC 528 (care being taken to ensure that slight
differences in RTC synchronization between VDE electronic
appliances will not cause different electronic appliances to use
different time components). Different portions of the RTC 528
output may be used to provide keys with different valid durations,
or some tolerance can be built into the process to try several
different key values. For example, a "time granularity" parameter
can be adjusted to provide time tolerance in terms of days, weeks,
or any other time period. As one example, if the "time granularity"
is set to 2 days, and the tolerance is .+-.2 days, then three
real-time input values can be tried as input to the convolution
algorithm. Each of the resulting key values may be tried to
determine which of the possible keys is actually used. In this
example, the keys will have only a 4 day life span.
[1514] FIG. 63 shows how an appropriate convoluted key may be
picked in order to compensate for skew between the user's RTC 528
and the producer's RTC 528. A sequence of convolution keys
2862(a-e) may be, generated by using different input values
2881(a-e), each derived from the site ID 2821 and the RTC 528 value
plus or minus a differential (e.g., 2 days, -1 days, no delta, +1
days, +2 days). The convolution steps 2871(a-e) are used to
generate the sequence of keys 2862(a-e).
[1515] Meanwhile, the creator site may use the convolution step
2871(z) based on his RTC 528 value (adjusted to correspond to the
intended validity time for the key) to generate a convoluted key
2862(z), which may then be used to generate the content key 2863 in
the object's PERC 808. To decrypt the object's content, the user
site may use each of its sequence of convolution key 2862(a-e) to
attempt to generate the master content key 810. When this is
attempted, as long as the RTC 538 of the creator site is within
acceptable tolerance of the RTC 528 at the user site, one of keys
2862(a-e) will match key 2862(z) and the decryption will be
successful. In this example, matching is determined by validity of
decrypted output, not by direct comparison of keys.
[1516] Key convolution as described above need not use both site ID
and time as a value. Some keys may be generated based on current
real time, other keys might be generated on site ID, and still
other keys might be generated based on both current real-time and
site ID.
[1517] Key convolution can be used to provide "time-aged" keys.
Such "time-aged" keys provide an automatic mechanism for allowing
keys to expire and be replaced by "new" keys. They provide a way to
give a user time-limited rights to make time-limited use of an
object, or portions of an object, without requiring user
re-registration but retaining significant control in the hands of
the content provider or administrator. If secure database 610 is
sufficiently secure, similar capabilities can be accomplished by
checking an expiration date/time associated with a key, but this
requires using more storage space for each key or group of
keys.
[1518] In the preferred embodiment, PERCs, 808 can include an
expiration date and/or time after which access to the VDE-protected
information they correspond to is no longer authorized.
Alternatively or in addition, after a duration of time related to
some aspect of the use of the electronic appliance 600 or one or
more VDE objects 300, a PERC 808 can force a user to send audit
history information to a clearinghouse, distributor, client
administrator, or object creator in order to regain or retain the
right to use the object(s). The PERC 808 can enforce such
time-based restrictions by checking/enforcing parameters that limit
key usage and/or availability past time of authorized use. "Time
aged" keys may be used to enforce or enhance this type of
time-related control of access to VDE protected information.
[1519] "Time aged" keys can be used to encrypt and decrypt a set of
information for a limited period of time, thus requiring
re-registration or the receipt of new permissions or the passing of
audit information, without which new keys are not provided for user
use. Time aged keys can also be used to improve system security
since one or more keys would be automatically replaced based on the
time ageing criteria--and thus, cracking secure database 610 and
locating one or more keys may have no real value. Still another
advantage of using time aged keys is that they can be generated
dynamically--thereby obviating the need to store decryption keys in
secondary and/or secure memory.
[1520] A "time aged key" in the preferred embodiment is not a "true
key" that can be used for encryption/decryption, but rather is a
piece of information that a PPE 650, in conjunction with other
information, can use to generate a "true key." This other
information can be time-based, based on the particular "ID" of the
PPE 650, or both. Because the "true key" is never exposed but is
always generated within a secure PPE 650 environment, and because
secure PPEs are required to generate the "true key," VDE 100 can
use "time aged" keys to significantly enhance security and
flexibility of the system.
[1521] The process of "aging" a key in the preferred embodiment
involves generating a time-aged "true key" that is a function of:
(a) a "true key," and (b) some other information (e.g., real time
parameters, site ID parameters, etc.) This information is
combined/transformed (e.g., using the "key convolution" techniques
discussed above) to recover or provide a "true key." Since the
"true key" can be recovered, this avoids having to store the "true
key" within PERC 808, and allow different "true keys" to correspond
to the same information within PERC 808. Because the "true key" is
not stored in the PERC 808, access to the PERC does not provide
access to the information protected by the "true key." Thus, "time
aged" keys allows content creators/providers to impose a limitation
(e.g., site based and/or time based) on information access that is,
in a sense, "external of" or auxiliary to the permissioning
provided by one or more PERCs 808. For example, a "time aged" key
may enforce an additional time limitation on access to certain
protected information, this additional time limitation being
independent of any information or permissioning contained within
the PERC 808 and being instead based on one or more time and/or
site ID values.
[1522] As one example, time-aged decryption keys may be used to
allow the purchaser of a "trial subscription" of an electronically
published newspaper to access each edition of the paper for a
period of one week, after which the decryption keys will no longer
work. In this example, the user would need to purchase one or more
new PERCs 808, or receive an update to an existing one or more
permissions records, to access editions other than the ones from
that week. Access to those other editions which might be handled
with a totally different pricing structure (e.g., a "regular"
subscription rate as opposed to a free or minimal "trial"
subscription rate).
[1523] In the preferred embodiment, time-aged-based "true keys" can
be generated using a one-way or invertible "key convolution"
function. Input parameters to the convolution function may include
the supplied time-aged keys; user and/or site specific values; a
specified portion (e.g., a certain number of high order bits) of
the time value from an RTC 528 (if present) or a value derived from
such time value in a predefined manner; and a block or record
identifier that may be used to ensure that each time aged key is
unique. The output of the "key convolution" function may be a "true
key" that is used for decryption purposes until discarded. Running
the function with a time-aged key and inappropriate time values
typically yields a useless key that will not decrypt.
[1524] Generation of a new time aged key can be triggered based on
some value of elapsed, absolute or relative time (e.g., based on a
real time value from a clock such as RTC 528). At that time, the
convolution would produce the wrong key and decryption could not
occur until the time-aged key is updated. The criteria used to
determine when a new "time aged key" is to be created may itself be
changed based on time or some other input variable to provide yet
another level of security. Thus, the convolution function and/or
the event invoking it may change, shift or employ a varying
quantity as a parameter.
[1525] One example of the use of time-aged keys is as follows:
[1526] 1) A creator makes a "true" key, and encrypts content with
it. [1527] 2) A creator performs a "reverse convolution" to yield a
"time aged key" using, as input parameters to the "reverse
convolution": [1528] a) the "true" key, [1529] b) a time parameter
(e.g., valid high-order time bits of RTC 528), and [1530] c)
optional other information (e.g., site ID and/or user ID). [1531]
3) The creator distributes the "time-aged key" to content users
(the creator may also need to distribute the convolution algorithm,
and/or parameters if she is not using a convolution algorithm
already available to the content users' PPE 650). [1532] 4) The
content user's PPE 650 combines: [1533] a) "time-aged" key [1534]
b) high-order time bits` [1535] c) required other information (same
as 2c).
[1536] It performs a convolution function (i.e., the inverse of
reverse convolution" algorithm in step (2) above) to obtain the
"true" key. If the supplied time and/or other information is
"wrong," the convolution function will not yield the "true" key,
and therefore content cannot be decrypted.
[1537] Any of the key blocks associated with VDE objects 300 or
other items can be either a regular key block or a time-aged key
block, as specified by the object creator during the object
configuration process, or where appropriate, a distribution or
client administrator.
[1538] "Time aged" keys can also be used as part of protocols to
provide secure communications between PPEs 650. For example,
instead of providing "true" keys to PPE 650 for communications, VDE
100 may provide only "partial" communication keys to the PPE. These
"partial" keys may be provided to PPE 650 during initialization,
for example. A predetermined algorithm may produce "true keys" for
use to encrypt/decrypt information for secure communications. The
predetermined algorithm can "age" these keys the same way in all
PPEs 650, or PPEs 650 can be required to contact a VDE
administrator at some predetermined time so a new set of partial
communications keys can be downloaded to the PPEs. If the PPE 650
does not generate or otherwise obtain "new" partial keys, then it
will be disabled from communicating with other PPEs (a further,
"fail safe" key may be provided to ensure that the PPE can
communicate with a VDE administrator for reinitialization
purposes). Two sets of partial keys can be maintained within a PPE
650 to allow a fixed amount of overlap time across all VDE
appliances 600. The older of the two sets of partial keys can be
updated periodically.
[1539] The following additional types of keys (to be discussed
below) can also be "aged" in the preferred embodiment:
[1540] individual message keys (i.e., keys used for a particular
message),
[1541] administrative, stationary and travelling object shared
keys, secure database keys, and
[1542] private body and content keys.
Initial Installation Key Management
[1543] FIG. 64 shows the flow of universe-wide, or "master," keys
during creating of a PPE 650. In the preferred embodiment, the PPE
650 contains a secure non-volatile key storage 2802 (e.g. SPU 500
non-volatile RAM 534 B or protected storage maintained by HPE 655)
that is initialized with keys generated by the manufacturer and, by
the PPE itself.
[1544] The manufacturer possesses (i.e., knows, and protects from
disclosure or modification) one or more public key 2811/private key
2812 key pairs used for signing and validating site identification
certificates 2821. For each site, the manufacturer generates a site
ID 2821 and list of site characteristics 2822. In addition, the
manufacturer possesses the public keys 2813, 2814 for validating
load modules and initialization code downloads. To enhance
security, there may be a plurality of such certification keys, and
each PPE 650 may be initialized using only a subset of such keys of
each type.
[1545] As part of the initialization process, the PPE 650 may
generate internally or the manufacturer may generate and supply,
one or more pairs of site-specific public keys 2815 and private
keys 2816. These are used by the PPE 650 to prove its identity.
Similarly, site-specific database key(s) 2817 for the site are
generated, and if needed (i.e., if a Random Number Generator 542 is
not available), a random initialization seed 2818 is generated.
[1546] The initialization may begin by generating site ID 2821 and
characteristics 2822 and the site, public key 2815/private key 2816
pair(s). These values are combined and may be used to generate one
or more site identity certificates 2823. The site identity
certificates 2823 may be generated by the public key generation
process 2804, and may be stored both in the PPE's protected key
storage 2802 and in the manufacturer's VDE site certificate
database 2803.
[1547] The certification process 2804 maybe performed either by the
manufacturer or internally to the PPE 650. If performed by the PPE
650, the PPE will temporarily receive the identity certification
private key(s) 2812, generate the certificate 2823, store the
certificate in local key storage 2802 and transmit it to the
manufacturer, after which the PPE 650 must erase its copy of the
identity certification private key(s) 2812.
[1548] Subsequently, initialization may require generation, by the
PPE 650 or by the manufacturer, of site-specific database key(s)
2817 and of site-specific seed value(s) 2818, which are stored in
the `key storage 2802. In addition, the download certification
key(s) 2814 and the load module certification key(s) 2813 maybe
supplied by the manufacturer and stored in the key storage
2802.
[1549] These may be used by the PPE 650 to validate all further
communications with external entities.
[1550] At this point, the PPE 650 may be further initialized with
executable code and data by downloading information certified by
the load module key(s) 2813 and download key(s) 2814. In the
preferred embodiment, these keys may be used to digitally sign data
to be loaded into the PPE 650, guaranteeing its validity, and
additional key(s) encrypted using the site-specific public key(s)
2815 may be used to encrypt such data and protect it from
disclosure.
Installation and Update Key Management
[1551] FIG. 65 illustrates an example of further key installation
either by the manufacturer or by a subsequent update by a VDE
administrator. The manufacturer or administrator may supply initial
or new values for private header key(s) 2831, external
communication key(s) 2832, administrative object keys 2833, or
other shared key(s) 2834. These keys may be universe-wide in the
same sense as the global certification keys 2811, 2813, and 2814,
or they may be restricted to use within a defined group of VDE
instances.
[1552] To perform this installation, the installer retrieves the
destination site's identity certificate(s) 2823, and from that
extracts the site public key(s) 2815. These key(s) may be used in
an encryption process 2841 to protect the keys being installed. The
key(s) being installed are then transmitted inside the destination
site's PPE 650. Inside the PPE 650, the decryption process 2842 may
use the site private key(s) 2816 to decrypt the transmission. The
PPE 650 then stores the installed or updated keys in its key
storage 2802.
Object-Specific Key Use
[1553] FIGS. 66 and 67 illustrate the use of keys in protecting
data and control information associated with VDE objects 300.
[1554] FIG. 66, shows use of a stationary content object 850 whose
control information is derived from an administrative object 870.
The objects may be received by the PPE 650 (e.g., by retrieval from
an object repository 728 over a network or retrieved from local
storage). The administrative object decryption process 2843 may use
the private header key(s) 2815 to decrypt the administrative object
870, thus retrieving the PERC 808 governing access to the content
object 850. The private body key(s) 810 may then be extracted from
the PERC 808 and used by the content decryption process 2845 to
make the content available outside the PPE 650. In addition, the
database key(s) 2817 may be used by the encryption process 2844 to
prepare the PERC for storage outside the PPE 650 in the secure
database 610. In subsequent access to the content object 850, the
PERC 808 may be retrieved from the secure database 610, decrypted
with database key(s) 2817, and used directly, rather than being
extracted from administrative object 870.
[1555] FIG. 67 shows the similar process involving a traveling
object 860. The principal distinction between FIGS. 66 and 67 is
that the PERC 808 is stored directly within the traveling object
860, and therefore may be used immediately after the decryption
process 2843 to provide a private header key(s) 2831. This private
header key 2831 is used to process content within the traveling
object 860.
Secret-Key Variations
[1556] FIGS. 64 through 67 illustrate the preferred public-key
embodiment, but may also be used to help understand the secret-key
versions. In secret-key embodiments, the certification process and
the public key encryptions/decryptions are replaced with
private-key encryptions, and the public key/private-key pairs are
replaced with individual secret keys that are shared between the
PPE 650 instance and the other parties (e.g., the load module
supplier(s), the PPE manufacturer). In addition, the certificate
generation process 2804 is not performed in secret-key embodiments,
and no site identity certificates 2823 or VDE certificate database
2803 exist.
Key Types
[1557] The detailed descriptions of key types below further explain
secret-key embodiments, this summary is not intended as a complete
description. The preferred embodiment PPE 650 can use different
types of keys and/or different "shared secrets" for different
purposes. Some key types apply to a Public-Key/Secret Key
implementation, other keys apply to a Secret Key only
implementation, and still other key types apply to both. The
following table lists examples of various key and "shared secret"
information used in the preferred embodiment, and where this
information is used and stored:
TABLE-US-00025 Used in Example Storage Key/Secret Information Type,
PK or Non-PK Location(s) Master Key(s) (may include Both PPE some
of the specific keys Manufacturing mentioned below) facility VDE
administrator Manufacturing Key Both PPE (PK case) (PK optional)
Manufacturing facility Certification key pair PK PPE Certification
repository Public/private key pair PK PPE Certification repository
(Public Key only) Initial secret key Non-PK PPE PPE manufacturing
ID Non-PK PPE Site ID, shared code, shared Both PPE keys and shared
secrets Download authorization key Both PPE VDE administrator
External communication keys Both PPE Secure and other info Database
Administrative object keys Both Permission record Stationary object
keys Both Permission record Traveling object shared keys Both
Permission record Secure database keys Both PPE Private body keys
Both Secure database Some objects Content keys Both Secure database
Some objects Authorization shared secrets Both Permission record
Secure Database Back up keys Both PPE Secure database
Master Keys
[1558] A "master" key is a key used to encrypt other keys. An
initial or "master" key may be provided within PPE 650 for
communicating other keys in a secure way. During initialization of
PPE 650, code and shared keys are downloaded to the PPE. Since the
code contains secure convolution algorithms and/or coefficients, it
is comparable to a "master key" The shared keys may also be
considered "master keys."
[1559] If public-key cryptography is used as the basis for external
communication with PPE 650, then a master key is required during
the PPE Public-key pair certification process. This master key may
be, for example, a private key used by the manufacturer or VDE
administrator to establish the digital certificate (encrypted
public key and other information of the PPE), or it may, as another
example, be a private key used by a VDE administrator to encrypt
the entries in a certification repository. Once certification has
occurred, external communications between PPEs 650 may be
established using the certificates of communicating PPEs.
[1560] If shared secret keys are used as the basis for external
communications, then an initial secret key is required to establish
external communications for PPE 650 initialization. This initial
secret key is a "master key" in the sense that it is used to
encrypt other keys. A set of shared partial external communications
keys (see discussion above) may be downloaded during the PPE
initialization process, and these keys are used to establish
subsequent external PPE communications.
Manufacturing Key
[1561] A manufacturing key is used at the time of PPE manufacture
to prevent knowledge by the manufacturing staff of PPE-specific key
information that is downloaded into a PPE at initialization time.
For example, a PPE 650 that operates as part of the manufacturing
facility may generate information for download into the PPE being
initialized. This information must be encrypted during
communication between the PPEs 650 to keep it confidential, or
otherwise the manufacturing staff could read the information. A
manufacturing key is used to protect the information. The
manufacturing key maybe used, to protect various other keys
downloaded into the PPE such as, for example, a certification
private key, a PPE public/private key pair, and/or other keys such
as shared secret keys specific to the PPE. Since the manufacturing
key is used to encrypt other keys, it is a "master key."
[1562] A manufacturing key may be public-key based, or it may be
based on a shared secret. Once the information is downloaded, the
now initialized PPE 650 can discard (or simply not use) the
manufacturing key. A manufacturing key may be hardwired into PPE
650 at manufacturing time, or sent to the PPE as its first key and
discarded after it is no longer needed. As indicated in the table
above and in the preceding discussion, a manufacturing key is not
required if PK capabilities are included in the PPE.
Certification Key Pair
[1563] A certification key pair may be used as part of a
"certification" process for PPEs 650 and VDE electronic appliances
600. This certification process in the preferred embodiment may be
used to permit a VDE electronic appliance to present one or more
"certificates" authenticating that it (or its key) can be trusted.
As described above, this "certification" process may be used by one
PPE 650 to "certify" that it is an authentic VDE PPE, it has a
certain level of security and capability set (e.g., it is hardware
based rather than merely software based), etc. Briefly, the
"certification" process may involve using a certificate private key
of a certification key pair to encrypt a message including another
VDE node's public-key. The private key of a certification key pair
is preferably used to generate a PPE certificate. It is used to
encrypt a public-key of the PPE. A PPE certificate can either be
stored in the PPE, or it may be stored in a certification
repository.
[1564] Depending on the authentication technique chosen, the,
public key and the private key of a certification key pair may need
to be protected. In the preferred embodiment, the certification
public key(s) is distributed amongst PPEs such that they may make
use of them in decrypting certificates as an aspect of
authentication. Since, in the preferred embodiment, this public key
is used inside a PPE 650, there is no need for this public key to
be available in plaintext, and in any event it is important that
such key be maintained and transmitted with integrity (e.g., during
initialization and/or update by a VDE administrator). If the
certification public key is kept confidential (i.e., only available
in plaintext inside the PPE 650), it may make cracking security
much more difficult. The private key of a certification key pair
should be kept confidential and only be stored by a certifying
authority (i.e., should not be distributed).
[1565] In order to allow, in the preferred embodiment, the ability
to differentiate installations with different levels/degrees of
trustedness/security, different certification key pairs may be used
(e.g., different certification keys may be used to certify SPEs 503
then are used to certify HPEs 655).
PPE Public/Private Key Pair
[1566] In the preferred embodiment, each PPE 650 may have its own
unique "device" (and/or user) public/private key pair. Preferably,
the private key of this key pair is generated within the PPE and is
never exposed in any form outside of the PPE. Thus, in one
embodiment, the PPE 650 may be provided with an internal capability
for generating key pairs internally. If the PPE generates its own
public-key cryptosystem key pairs internally, a manufacturing key
discussed above may not be needed. If desired, however, for cost
reasons a key pair may be exposed only at the time a PPE 650 is
manufactured, and may be protected at that time using a
manufacturing key. Allowing PPE 650 to generate its public key pair
internally allows the key pair to be concealed, but may in some
applications be outweighed by the cost of putting a public-key key
pair generator into PPE 650.
Initial Secret Key
[1567] The initial secret key is used as a master key by a secret
key only based PPE 650 to protect information downloaded into the
PPE during initialization. It is generated by the PPE 650, and is
sent from the PPE to a secure manufacturing database encrypted
using a manufacturing key. The secure database sends back a unique
PPE manufacturing ID encrypted using the initial secret key in
response.
[1568] The initial secret key is likely to be a much longer key
than keys used for "standard" encryption due to its special role in
PPE initialization. Since the resulting decryption overhead occurs
only during the initialization process, multiple passes through the
decryption hardware with selected portions of this key are
tolerable.
PPE Manufacturing ID
[1569] The PPE manufacturing ID is not a "key," but, does fall
within the classic definition of a "shared secret." It preferably
uniquely identifies a PPE 650 and may be used by the secure
database 610 to determine the PPE's initial secret key during the
PPE initialization process.
Site ID, Shared Code, Shared Keys and Shared Secrets
[1570] The VDE site ID along with shared code, keys and secrets are
preferably either downloaded into PPE 650 during the PPE
initialization process, or are generated internally by a PPE as
part of that process. In the preferred embodiment, most or all of
this information is downloaded.
[1571] The PPE site ID uniquely identifies the PPE 650. The site ID
is preferably unique so as to uniquely identify the PPE 650 and
distinguish that PPE from all other PPEs. The site ID in the
preferred embodiment provides a unique address that may be used for
various purposes, such as for example to provide "address privacy"
functions. In some cases, the site ID may be the public key of the
PPE 650. In other cases, the PPE site ID may be assigned during the
manufacturing and/or initialization process. In the case of a PPE
650 that is not public-key capable, it would not be desirable to
use the device secret key as the unique site ID because this would
expose too many bits of the key--and therefore a different
information string should be used as the site ID.
[1572] Shared code comprises those code fragments that provide at
least a portion of the control program for the PPE 650. In the
preferred embodiment, a basic code fragment is installed during PPE
manufacturing that permits the PPE to bootstrap and begin the
initialization process. This fragment can be replaced during the
initialization process, or during subsequent download processing,
with updated control logic.
[1573] Shared keys may be downloaded into PPE 650 during the
initialization process. These keys may be used, for example, to
decrypt the private headers of many object structures.
[1574] When PPE 650 is operating in a secret key only mode, the
initialization and download processes may import shared secrets
into the PPE 650. These shared secrets may be used during
communications processes to permit PPEs 650 to authenticate the
identity of other PPEs and/or users.
Download Authorization Key
[1575] The download authorization key is received by PPE 650 during
the initialization download process. It is used to authorize
further PPE 650 code updates, key updates, and may also be used to
protect PPE secure database 610 backup to allow recovery by a VDE
administrator (for example) if the PPE fails. It may be used along
with the site ID, time and convolution algorithm to derive a site
ID specific key. The download authorization key may also be used to
encrypt the key block used to encrypt secure database 610 backups.
It may also be used to form a site specific key that is used to
enable future downloads to the PPE 650. This download authorization
key is not shared among all PPEs 650 in the preferred embodiment;
it is specific to functions performed by authorized VDE
administrators.
External Communications Keys and Related Secret and Public
Information
[1576] There are several cases where keys are required when PPEs
650 communicate. The process of establishing secure communications
may also require the use of related public and secret information
about the communicating electronic appliances 600. The external
communication keys and other information are used to support and
authenticate secure communications. These keys comprise a
public-key pair in the preferred embodiment although shared secret
keys may be used alternatively or in addition.
Administrative Object Keys
[1577] In the preferred embodiment, an administrative object shared
key may be used to decrypt the private header of an administrative
object 870. In the case of administrative objects, a permissions
record 808 may be present in the private header. In some cases, the
permissions record 808 may be distributed as (or within) an
administrative object that performs the function of providing a
right to process the content of other administrative objects. The
permissions record 808 preferably contains the keys for the private
body, and the keys for the content that can be accessed would be
budgets referenced in that permissions record 808. The
administrative object shared keys may incorporate tune as a
component, and may be replaced when expired.
Stationary Object Keys
[1578] A stationary object shared key may be used to decrypt a
private header of stationary objects 850. As explained above, in
some cases a permissions record 808 may be present in the private
header of stationary objects. If present, the permissions record
808 may contain the keys for the private body but will not contain
the keys for the content. These shared keys may incorporate time a
component, and may be replaced when expired.
Traveling Object Shared Keys
[1579] A traveling object shared key may be used to decrypt the
private header of traveling objects 860. In the preferred
embodiment, traveling objects contain permissions record 808 in
their private headers. The permissions record 808 preferably
contains the keys for the private body and the keys for the content
that can be accessed as permitted by the permissions record 808.
These shared keys may incorporate time as a component, and may be
replaced when expired.
Secure Database Keys
[1580] PPE 650 preferably generates these secure database, keys and
never exposes them outside of the PPE. They are site-specific in
the preferred embodiment, and may be "aged" as described above. As
described above, each time an updated record is written to secure
database 610, a new key may be used and kept in a key list within
the PPE. Periodically (and when the internal list has no more
room), the PPE 650 may generate a new key to encrypt new or old
records. A group of keys may be used instead of a single key,
depending on the size of the secure database 610.
Private Body Keys
[1581] Private body keys are unique to an object 300, and are not
dependent on key information shared between PPEs 650. They are
preferably generated by the PPE 650 at the time the private body is
encrypted, and may incorporate real time as a component to "age"
them. They are received in permissions records 808, and their usage
may be controlled by budgets.
Content Keys
[1582] Content Keys are unique to an object 300, and are not
dependent on key information shared between PPEs 650. They are
preferably generated by the PPE 650 at the time the content is
encrypted. They may incorporate time as a component to "age" them.
They are received in permissions records 808, and their usage may
be controlled by budgets.
Authorization Shared Secrets
[1583] Access to and use of information within a PPE 650 or within
a secure database 610 may be controlled using authorization "shared
secrets" rather than keys. Authorization shared secrets may be
stored within the records they authorize (permissions records 808,
budget records, etc.). The authorization shared secret may be
formulated when the corresponding record is created. Authorization
shared secrets can be generated by an authorizing PPE 650, and may
be replaced when record updates occur. Authorization shared secrets
have some characteristics associated with "capabilities" used in
capabilities based operating systems. Access tags (described below)
are an important set of authorization shared secrets in the
preferred embodiment.
Backup Keys
[1584] As described above, the secure database 610 backup consists
of reading all secure database records and current audit "roll ups"
stored in both PPE 650 and externally. Then, the backup process
decrypts and re-encrypts this information using a new set of
generated keys. These keys, the time of the backup, and other
appropriate information to identify the backup, may be encrypted
multiple times and stored with the previously encrypted secure
database files and roll up data within the backup files. These
files may then all be encrypted using a "backup key" that is
generated, and stored within PPE 650. This backup key 500 may be
used by the PPE to recover a backup if necessary. The backup keys
may also be securely encrypted (e.g., using a download
authentication key and/or a VDE administrator public key) and
stored within the backup itself to permit a VDE administrator to
recover the backup in case of PPE 650 failure.
Cryptographic Sealing
[1585] Sealing is used to protect the integrity of information when
it may be subjected to modifications outside the control of the PPE
650, either accidentally or as an attack on the VDE security. Two
specific applications may be the computation of check values for
database records and the protection of data blocks that are swapped
out of an SPE 500.
[1586] There are two types of sealing: keyless sealing, also known
as cryptographic hashing, and keyed sealing. Both employ a
cryptographically strong hash function, such as MD5 or SHA. Such a
function takes an input of arbitrary size and yields a size hash,
or "digest." The digest has the property that it is infeasible to
compute two inputs that yield the same digest, and infeasible to
compute one input that yields a specific digest value, where
"infeasible" is with reference to a work factor based on the size
of the digest value in bits. If, for example, a 256 bit hash
function is to be called strong, it must require approximately on
average 10 38 (2 128) trials before a duplicated or specified
digest value is likely to be produced.
[1587] Keyless seals may be employed as check values in database
records (e.g., in PERC 808) and similar applications. A keyless
seal may be computed based on the content of the body of the
record, and the seal stored with the rest of the record. The
combination of seal and record may be encrypted to protect it in
storage. If someone modifies the encrypted record without knowing
the encryption key (either in the part representing the data or the
part representing the seal), the decrypted content will be
different, and the decrypted check value will not match the digest
computed from the record's data. Even though the hash algorithm is
known, it is not feasible to modify both the record's data and its
seal to correspond because both are encrypted.
[1588] Keyed seals may be employed as protection for data stored
outside a protected environment without encryption, or as a
validity proof between two protected environments. A keyed seal is
computed similarly to a keyless seal, except that a secret initial
value is logically prefixed to the data being sealed. The digest
value thus depends both on the secret and the data, and it is
infeasible to compute a new seal to correspond to modified data
even though the data itself is visible to an attacker. A keyed seal
may protect data in storage with a single secret value, or may
protect data in transit between two environments that share a
single secret value.
[1589] The choice of keys or keyless seals depends on the nature of
the data being protected and whether it is additionally protected
by encryption.
Tagging
[1590] Tagging is particularly useful for supporting the secure
storage of important component assembly and related information on
secondary storage memory 652. Integrated use of information
"tagging" and encryption strategies allows use of inexpensive mass
storage devices to securely store information that, in part
enables, limits and/or records the configuration, management and
operation of a VDE node and the use of VDE protected content.
[1591] When encrypted or otherwise secured information is delivered
into a user's secure VDE processing area (e.g., PPE 650), a portion
of this information can be used as a "tag" that is first decrypted
or otherwise unsecured and then compared to an expected value to
confirm that the information represents expected information. The
tag thus can be used as a portion of a process confirming the
identity and correctness of received, VDE protected,
information.
[1592] Three classes of tags that may be included in the control
structures of the preferred embodiment: [1593] access tags [1594]
validation tags [1595] correlation tags. These tags have distinct
purposes.
[1596] An access tag may be used as a "shared secret" between VDE
protected elements and entities authorized to read and/or modify
the tagged element(s). The access tag may be broken into separate
fields to control different activities independently. If an access
tag is used by an element such as a method core 1000',
administrative events that affect such an element must include the
access tag (or portion of the access tag) for the affected
element(s) and assert that tag when an event is submitted for
processing. If access tags are maintained securely (e.g., created
inside a PPE 650 when the elements are created, and only released
from PPE 650 in encrypted structures), and only distributed to
authorized parties, modification of structures can be controlled
more securely. Of course, control structures (e.g., PERCs 808) may
further limit or qualify modifications or other actions expressed
in administrative events.
[1597] Correlation tags are used when one element references
another element. For example, a creator might be required by a
budget owner to obtain permission and establish a business
relationship prior to referencing their budget within the creator's
PERCs. After such relationship was formed, the budget owner might
transmit one or more correlation tags to the creator as one aspect
of allowing the creator to produce PERCs that reference the budget
owner's budget.
[1598] Validation tags may be used to help detect record
substitution attempts on the part of a tamperer.
[1599] In some respects, these three classes of tags overlap in
function. For example, a correlation tag mismatch may prevent some
classes of modification attempts that would normally be prevented
by an access tag mismatch before an access tag check is performed.
The preferred embodiment may use this overlap in some cases to
reduce overhead by, for example, using access tags in a role
similar to validation tags as described above.
[1600] In general, tagging procedures involve changing, within SPE
503, encryption key(s), securing techniques(s), and/or providing
specific stored tag(s). These procedures can be employed with
secure database 610 information stored on said inexpensive mass
storage 652 and used within a hardware SPU 500 for authenticating,
decrypting, or otherwise analyzing, using and making available VDE
protected content and management database information. Normally,
changing validation tags involves storing within a VDE node
hardware (e.g., the PPE 650) one or more elements of information
corresponding to the tagging changes. Storage of information
outside of the hardware SPE's physically secure, trusted
environment is a highly cost savings means of secure storage, and
the security of important stored management database information is
enhanced by this tagging of information. Performing this tagging
"change" frequently (for example, every time a given record is
decrypted) prevents the substitution of "incorrect" information for
"correct" information, since said substitution will not carry
information which will match the tagging information stored within
the hardware SPE during subsequent retrieval of the
information.
[1601] Another benefit of information tagging is the use of tags to
help enforce and/or verify information and/or control mechanisms in
force between two or more parties. If information is tagged by one
party, and then passed to another party or parties, a tag can be
used as an expected value associated with communications and/or
transactions between the two parties regarding the tagged
information. For example, if a tag is associated with a data
element that is passed by Party A to Party B, Party B may require
Party A to prove knowledge of the correct value of at least a
portion of a tag before information related to, and/or part of,
said data element is released by Party B to Party A, or vice versa.
In another example, a tag may be used by Party A to verify that
information sent by Party B is actually associated with, and/or
part of, a tagged data element, or vice versa.
Establishing a Secure, Authenticated, Communication Channel
[1602] From time to time, two parties (e.g., PPEs A and B), will
need to establish a communication channel that is known by both
parties to be secure from eavesdropping, secure from tampering, and
to be in use solely by the two parties whose identifies are
correctly known to each other.
[1603] The following describes an example process for establishing
such a channel and identifies how the requirements for security and
authentication may be established and validated by the parties. The
process is described in the abstract, in terms of the claims and
belief each party must establish, and is not to be taken as a
specification of any particular protocol. In particular, the
individual sub-steps of each step are not required to be
implemented using distinct operations; in practice, the
establishment and validation of related proofs is often combined
into a single operation.
[1604] The sub-steps need not be performed in the order detailed
below, except to the extent that the validity of a claim cannot be
proven before the claim is made by the other party. The steps may
involve additional communications between the two parties than are
implied by the enumerated sub-steps, as the "transmission" of
information may itself be broken into sub-steps. Also, it is not
necessary to protect the claims or the proofs from disclosure or
modification during transmission. Knowledge of the claims
(including the specific communication proposals and
acknowledgements thereof) is not considered protected information.
Any modification of the proofs will cause the proofs to become
invalid and will cause the process, to fail.
[1605] Standard public-key or secret-key cryptographic techniques
can be used to implement this process (e.g., X.509, Authenticated
Diffie-Heliman, Kerberos). The preferred embodiment uses the
three-way X.509 public key protocol steps.
[1606] The following may be the first two steps in the example
process: [1607] A. (precursor step): Establish means of creating
validatable claims by A [1608] B. (precursor step): Establish means
of creating validatable claims by B
[1609] These two steps ensure that each party has a means of making
claims that can be validated by the other party, for instance, by
using `a public key signature scheme in which both parties maintain
a private key and make available, a public key that itself is
authenticated by the digital signature of a certification
authority.
[1610] The next steps may be:
[1611] A (propoosal step): [1612] 1. Determine B's identity [1613]
2. Acquire means of validating claims made by B [1614] 3. Create a
unique identity for this specific proposed communication [1615] 4.
Create a communication proposal identifying the parties and the
specific communication [1616] 5. Create validatable proof of A's
identity and the origin of the communication proposal [1617] 6.
Deliver communication proposal and associated proof to B.
[1618] These steps establish the identity of the correspondent
party B and proposes a communication. Because establishment of the
communication will require validation of claims made by B, a means
must be provided for A to validate such claims. Because the
establishment of the communication must be unique to a specific
requirement by A for communication, this communication proposal and
all associated traffic must be unambiguously distinguishable from
all other such traffic. Because B must validate the proposal as a
legitimate proposal from A, a proof must be provided that the
proposal is valid.
[1619] The next steps may be as follows:
[1620] B (acknowledgement step): [1621] 1. Extract A's identity
from the communication proposal [1622] 2. Acquire means of
validating claims made by A [1623] 3. Validate A's claim of
identity and communication proposal origin [1624] 4. Determine the
unique identification of the communication proposal [1625] 5.
Determine that the communication proposal does not duplicate an
earlier proposal [1626] 6. Create an acknowledgement identifying
the specific communication proposal [1627] 7. Create validatable
proof of B's identity and the origin of the acknowledgement [1628]
8. Deliver the acknowledgement and associated proof to A.
[1629] These steps establish that party B has received A's
communication proposal and is prepared to act on it. Because B must
validate the proposal, B must first determine its origin and
validate its authenticity. B must ensure that its response is
associated with a specific proposal, and that the proposal is not a
replay. If B accepts the proposal, it must prove both B's own
identity and that B has received a specific proposal.
[1630] The next steps may be:
[1631] A (establishment step): [1632] 1. Validate B's claim
acknowledgement of A's specific proposal [1633] 2. Extract the
identity of the specific communication proposal from the
acknowledgement [1634] 3. Determine that the acknowledgement is
associated with an outstanding communication proposal [1635] 4.
Create unique session key to be used for the proposed communication
[1636] 5. Create proof of session key's creation by A [1637] 6.
Create proof of session key's association with the specific
communication proposal [1638] 7. Create proof of receipt of B's
acknowledgement [1639] 8. Protect the session key from disclosure
in transmission [1640] 9. Protect the session key from modification
in transmission [1641] 10. Deliver protected session key and all
proofs to B.
[1642] These steps allows A to specify a session key to be
associated with all further traffic related to A's specific
communication proposal. A must create the key, prove that A created
it, and prove that it is associated with the specific proposed
communication. In addition, A must prove that the session key is
generated in response to B's acknowledgement of the proposal. The
session key must be protected from disclosure of modification to
ensure that an attacker cannot substitute a different value.
Transportability of VDE Installations Between PPEs 650
[1643] In a preferred embodiment, VDE objects 300 and other secure
information may if appropriate, be transported from one PPE 650 to
another securely using the various keys outlined above. VDE 100
uses redistribution of VDE administrative information to exchange
ownership of VDE object 300, and to allow the portability of
objects between electronic appliances 600.
[1644] The permissions record 808 of VDE objects 300 contains
rights information that may be used to determine whether an object
can be redistributed in whole, in part, or at all. If a VDE object
300 can be redistributed, then electronic appliance 600 normally
must have a "budget" and/or other permissioning that allows it to
redistribute the object. For example, an electronic appliance 600
authorized to redistribute an object may create an administrative
object containing a budget or rights less than or equal to the
budget or rights that it owns. Some administrative objects may be
sent to other PPEs 650. A PPE 650 that receives one of the
administrative objects may have the ability to use at least a
portion of the budgets, or rights, to related objects.
[1645] Transfer of ownership of a VDE object 300 is a special case
in which all of the permissions and/or budgets for a VDE object are
redistributed to a different PPE 650. Some VDE objects may require
that all object-related information be delivered (e.g., it's
possible to "sell" all rights to the object). However, some VDE
objects 300 may prohibit such a transfer. In the case of ownership
transfer, the original providers for a VDE object 300 may need to
be contacted by the new owner, informed of the transfer, and
validated using an authorization shared secret that accompanies
reauthorization, before transfer of ownership can be completed.
[1646] When an electronic appliance 600 receives a component
assembly, an encrypted part of the assembly may contain a value
that is known only to the party or PPE 650 that supplied the
assembly. This value may be saved with information that must
eventually returned to the assembly supplier (e.g., audit, billing
and related information). When a component supplier requests that
information be reported, the value may be provided by the supplier
so that the local electronic appliance 600 can check it against the
originally supplied value to ensure that the request is legitimate.
When a new component is received, the value may be checked against
an old component to determine whether the new component is
legitimate (e.g., the new value for use in the next report process
may be included with the new component).
Integrity of VDE Security
[1647] There are many ways in which a PPE 650 might be compromised.
The goal of the security provided by VDE 100 is to reduce the
possibility that the system will be compromised, and minimize the
adverse effects if it is compromised.
[1648] The basic cryptographic algorithm that are used to implement
VDE 100 are assumed to be safe (cryptographically strong). These
include the secret-key encryption of content, public-key signatures
for integrity verification, public-key encryption for privacy
between PPEs 650 or between a PPE and a VDE administrator, etc.
Direct attack on these algorithms is assumed to be beyond the
capabilities of an attacker. For domestic versions of VDE 100 some
of this is probably a safe assumption since the basic building
blocks for control information have sufficiently long keys and are
sufficiently proven.
[1649] The following risks of threat or attacks may be significant:
[1650] Unauthorized creation or modification of component
assemblies (e.g., budgets) [1651] Unauthorized bulk disclosure of
content [1652] Compromise of one or more keys [1653] Software
emulation of a hardware PPE [1654] Substitution of older records in
place of newer records [1655] Introduction of "rogue" (i.e.,
unauthentic) load modules [1656] Replay attacks [1657] Defeating
"fingerprinting" [1658] Unauthorized disclosure of individual
content items [1659] Redistribution of individual content
items.
[1660] A significant potential security breach would occur if one
or more encryption keys are compromised. As discussed above,
however, the encryption keys used by VDE 100 are sufficiently
varied and compartmentalized so that compromising one key would
have only limited value to an attacker in most cases. For example,
if a certification private key is exposed, an attacker could pass
the challenge/response protocol as discussed above but would then
confront the next level of security that would entail cracking
either the initialization challenge/response or the external
communication keys. If the initialization challenge/response
security is also defeated, the initialization code and various
initialization keys would also be exposed. However, it would still
be necessary to understand the code and data to find the shared VDE
keys and to duplicate the key-generation ("convolution")
algorithms. In addition, correct real-time clock values must be
maintained by the spoof. If the attacker is able to accomplish all
of this successfully, then all secure communications to the bogus
PPE would be compromised. An object would be compromised if
communications related to the permissions record 808 of that object
are sent to the bogus PPE.
[1661] Knowledge of the PPE download authorization key and the
algorithms that are used to derive the key that encrypts the keys
for backup of secured database 610 would compromise the entire
secured database at a specific electronic appliance 600. However,
in order to use this information to compromise content of VDE
objects 300, an understanding of appropriate VDE internals would
also be required. In a preferred embodiment, the private body keys
and content keys stored in a secured database 610 are "aged" by
including a time component. Time is convoluted with the stored
values to derive the "true keys" needed to decrypt content. If this
process is also compromised, then object content or methods would
be revealed. Since a backup of secured database 610 is not ever
restored to a PPE 650 in the preferred embodiment without the
intervention of an authorized VDE administrator, a "bogus" PPE
would have to be used to make use of this information.
[1662] External communication shared keys are used in the preferred
embodiment in conjunction with a key convolution algorithm based on
site ID and time. If compromised, all of the steps necessary to
allow communications with PPEs 650 must also be known to take
advantage of this knowledge. In addition, at least one of the
administrative object shared keys must be compromised to gain
access to a decrypted permissions record 808.
[1663] Compromising an administrative object shared key has no
value unless the "cracker" also has knowledge of external
communication keys. All administrative objects are encrypted by
unique keys exchanged using the shared external communications
keys, site ID and time. Knowledge of PPE 650 internal details would
be necessary to further decrypt the content of administrative
objects.
[1664] The private header of a stationary object (or any other
stationary object that uses the same shared key) if compromised,
may provide the attacker with access to content until the shared
key "ages" enough to no longer decrypt the private header. Neither
the private body nor the content of the object is exposed unless a
permissions record 808 for that object is also compromised. The
private headers of these objects may remain compromised until the
key "ages" enough to no longer decrypt the private header.
[1665] Secure database encryption keys in the preferred embodiment
are frequently changing and are also site specific. The
consequences of compromising a secured database 610 file or a
record depends on the information that has been compromised. For
example, permissions record 808 contain keys for the public body
and content of a VDE object 300. If a permissions record 808 is
compromised, the aspects of that object protected by the keys
provided by the permissions record are also compromised--if the
algorithm that generates the "true keys" is also known. If a
private body key becomes known, the private body of the object is
compromised until the key "ages" and expires. If the "aging"
process for that key is also compromised, the breach is permanent.
Since the private body may contain methods that are shared by a
number of different objects, these methods may also become
compromised. When the breach is detected, all administrative
objects that provide budgets and permissions record should update
the compromised methods. Methods stored in secure database 610 are
only replaced by more recent versions, so the compromised version
becomes unusable after the update is completed.
[1666] If a content key becomes compromised, the portion of the
content encrypted with the key is also compromised until the key
"ages" and expires. If the "aging" process for that key also
becomes compromised, then the breach becomes permanent. If multiple
levels of encryption are used, or portions of the content are
encrypted with different keys, learning a single key would be
insufficient to release some or all, of the content.
[1667] If an authorization shared secret (e.g., an access tag)
becomes known, the record containing the secret may be modified by
an authorized means if the "cracker" knows how to properly use the
secret. Generally speaking, the external communications keys, the
administrative object keys and the management file keys must also
be "cracked" before a shared secret is useful. Of course, any
detailed knowledge of the protocols would also be required to make
use of this information.
[1668] In the preferred embodiment, PPE 650 may detect whether or
not it has become compromised. For example, by comparing
information stored in an SPE 503 (e.g., summary service
information) with information stored in secure database 610 and/or
transmitted to a VDE participant (e.g., a VDE clearinghouse),
discrepancies may become evident. If PPE 650 (or a VDE
administrator watching its activities or communicating with it)
detects that it has been compromised, it may be updated with an
initialization to use new code, keys and new encryption/decryption
algorithms. This would limit exposure to VDE objects 300 that
existed at the time the encryption scheme was broken. It is
possible to require the PPE 650 to cease functioning after a
certain period of time unless new code and key downloads occur. It
is also possible to have VDE administrators force updates to occur.
It is also likely that the desire to acquire a new VDE object 300
will provide an incentive for users to update their PPEs 650 at
regular time intervals.
[1669] Finally, the end-to-end nature of VDE applications, in which
content 108 flows in one direction, generating reports and bills
118 in the other, makes it possible to perform "backend"
consistency checks. Such checks, performed in clearinghouses 116,
can detect patterns of use that may or do indicate fraud (e.g.,
excessive acquisition of protected content without any
corresponding payment, usage records without corresponding billing
records). The fine grain of usage reporting and the ready
availability of usage records and reports in electronic form
enables sophisticated fraud detection mechanisms to be built so
that fraud related costs can be kept to an acceptable level.
PPE Initialization
[1670] Each PPE 650 needs to be initialized before it can be used.
Initialization may occur at the manufacturer site, after the PPE
650 has been placed out in the field, or both. The manufacturing
process for PPE 650 typically involves embedding within the PPE
sufficient software that will allow the device to be more
completely initialized at a later time. This manufacturing process
may include, for example, testing the bootstrap loader and
challenge response software permanently stored within PPE 650, and
loading the PPE's unique ID. These steps provide a basic
VDE-capable PPE 650 that may be further initialized (e.g., after it
has been installed within an electronic appliance 600 and placed in
the field). In some cases, the manufacturing and further
initialization processes may be combined to produce "VDE ready"
PPEs 65. This description elaborates on the summary presented above
with respect to FIGS. 64 and 65.
[1671] FIG. 68 shows an example of steps that may be performed in
accordance with one preferred embodiment to initialize a PPE 650.
Some of the steps shown in this flowchart may be performed at the
manufacturing site, and some may be performed remotely through
contact between a VDE administrator and the PPE 650. Alternatively,
all of the steps shown in the diagram may be performed at the
manufacturing site, or all of the steps shown may be performed
through remote communications between the PPE 500 and a VDE
administrator
[1672] If the initialization process 1370 is being performed at the
manufacturer, PPE 650 may first be attached to a testbed. The
manufacturing testbed may first reset the PPE 650 (e.g., with a
power on clear) (Block 1372). If this reset is being performed at
the manufacturer, then the PPE 650 preferably executes a special
testbed bootstrap code that completely tests the PPE operation from
a software standpoint and fails if something is wrong with the PPE.
A secure communications exchange may then be established between
the manufacturing testbed and the PPE 650 using an initial
challenge-response interaction (Block 1374) that is preferably
provided as part of the testbed bootstrap process. Once this secure
communications has been established, the PPE 650 may report the
results of the bootstrap tests it has performed to the
manufacturing testbed. Assuming the PPE 650 has tested
successfully, the manufacturing testbed may download new code into
the PPE 650 to update its internal bootstrap code (Block 1376) so
that it does not go through the testbed bootstrap process upon
subsequent resets (Block 1376). The manufacturing testbed may then
load new firmware into the PPE internal nonvolatile memory in order
to provide additional standard and/or customized capabilities
(Block 1378). For example, the manufacturing testbed may preload
PPE 650 with the load modules appropriate for the particular
manufacturing lot. This step permits the PPE 500 to be customized
at the factory for specific applications.
[1673] The manufacturing testbed may next load a unique device ID
into PPE 650 (Block 1380). PPE 650 now carries a unique ID that can
be used for further interactions.
[1674] Blocks 1372-1380R typically are, in the preferred
embodiment, performed at the manufacturing site. Blocks 1374 and
13821388 may be performed either at the manufacturing site, after
the PPE 650 has been deployed, or both.
[1675] To further initialize PPE 650, once a secure communications
has been established between the PPE and the manufacturing testbed
or a VDE administrator (Block 1374), any required keys, tags or
certificates are loaded into PPE 650 (Block 1382). For example, the
manufacturing test bed may load its information into PPE 650 so the
PPE may be initialized at a later time. Some of these values may be
generated internally within PPE 650. The manufacturing testbed or
VDE administrator may then initialize the PPE real time clock 528
to the current real time value (Block 1384). This provides a time
and date reference for the PPE 650. The manufacturing testbed or
the VDE administrator may next initialize the summary values
maintained internally to the PPE 500 (Block 1386). If the PPE 650
is already installed as part of an electronic appliance 600, the
PPE may at this point initialize its secure database 610 (Block
1388).
[1676] FIG. 69 shows an example of program control steps performed
by PPE 650 as part of a firmware download process (See FIG. 68,
Block 1378). The PPE download process is used to load externally
provided firmware and/or data elements into the PPE. Firmware loads
may take two forms: permanent loads for software that remains
resident in the PPE 650; and transient loads for software that is
being loaded for execution. A related process for storing into the
secure database 610 is performed for elements that have been sent
to a VDE electronic appliance 600.
[1677] PPE 650 automatically performs several checks to ensure that
firmware being downloaded into the PPE has not been tampered with,
replaced, or substituted before it was loaded. The download routine
1390 shown in the figure illustrates an example of such checks.
Once the PPE 650 has received a new firmware item (Block 1392), it
may check the item to ensure that it decrypts properly using the
predetermined download or administrative object key (depending on
the source of the element) (decision Block 1394). If the firmware
decrypts properly ("yes" exits to decision Block 1394), the
firmware as check valve may be calculated and compared against the,
check valve stored under the encryption wrapper of the firmware
(decision Block 1396). If the two check summed values compare
favorably ("yes" exit to decision Block 1396, then the PPE 650 may
compare the public and private header identification tags
associated with the firmware to ensure that the proper firmware was
provided and had not been substituted (step not shown in the
figure). Assuming this test also passes, the PPE 500 may calculate
the digital signatures of the firmware (assuming digital signatures
are supported by the PPE 650 and the firmware is "signed") and may
check the calculated signature to ensure that it compares favorably
to the digital signatures under the firmware encryption wrapper
(Blocks 1398, 1400). If any of these tests fail, then the download
will be aborted ("fail" termination 1401).
[1678] Assuming all of the tests described above pass, then PPE 650
determines whether the firmware is to be stored within the PPE
(e.g., an internal non-volatile memory), or whether it is to be
stored in the secure database 610 (decision Block 1402). If the
firmware is to be stored within the PPE ("yes" exit to decision
Block 1402), then the PPE 500 may simply store the information
internally (Block 1404). If the firmware is to be stored within the
secure database 610 ("no" exit to decision Block 1402), then the
firmware may be tagged with a unique PPE specific tag designed to
prevent record substitution (Block 1406), and the firmware may then
be encrypted using the appropriate secure database key and released
to the secure database 610 (Block 1408).
Networking SPUs 500 and/or VDE Electronic Appliances 600
[1679] In the context of many computers interconnected by a local
or wide area network, it would be possible for one or a few of them
to be VDE electronic appliances 600. For example, a VDE capable
server might include one or more SPUs 500. This centralized VDE
server could provide all VDE services required within the network
or it can share VDE service with VDE server nodes; that is, it can
perform a few, some, or most VDE service activities. For example, a
user's non-VDE computer could issue a request over the network for
VDE protected content. In response to the request, the VDE server
could comply by accessing the appropriate VDE object 300, releasing
the requested content and delivering the content over the network
672 to the requesting user. Such an arrangement would allow VDE
capabilities to be easily integrated into existing networks without
requiring modification or replacement of the various computers and
other devices connected to the networks.
[1680] For example, a VDE server having one or more protected
processing environments 650 could communicate over a network with
workstations that do not have a protected processing environment.
The VDE server could perform all secure VDE processing, and release
resulting content and other information to the workstations on the
network. This arrangement would require no hardware or, software
modification to the workstations.
[1681] However, some applications may require greater security,
flexibility and/or performance that may be obtained by providing
multiple VDE electronic appliances 600 connected to the same
network 672. Because commonly used local area networks constitute
an insecure channel that may be subject to tampering and/or
eavesdropping, it is desirable in most secure applications to
protect the information communicated across the network. It would
be possible to use conventional network security techniques to
protect VDE released-content or other VDE information communicated
across a network 672 between a VDE electronic appliance 600 and a
non-VDE electronic appliance. However, advantages are obtained by
providing multiple networked VDE electronic appliances 600 within
the same system.
[1682] As discussed above in connection with FIG. 8, multiple VDE
electronic appliances 600 may communicate with one another over a
network 672 or other communications path. Such networking of VDE
electronic appliances 600 can provide advantages. Advantages
include, for example, the possibility of centralizing VDE
resources, storing and/or archiving metering information on a
server VDE and delivering information and services efficiently
across the network 672 to multiple electronic appliances 600.
[1683] For example, in a local area network topology, a "VDE
server" electronic appliance 600 could store VDE protected
information and make it available to one or more additional
electronic appliances 600 or computers that may communicate with
the server over network 672. As one example, an object repository
728 storing VDE objects could be maintained at the centralized
server, and each of many networked electronic appliance 600 users
could access the centralized object repository over the network 672
as needed. When a user needs to access a particular VDE object 300,
her electronic appliance 600 could issue a request over network 672
to obtain a copy of the object. The "VDE server" could deliver all
or a portion of the requested object 300 in response to the
request. Providing such a centralized object repository 728 would
have the advantage of minimizing mass storage requirements local to
each electronic appliance 600 connected to the network 672,
eliminate redundant copies of the same information, ease
information management burdens, provide additional physical and/or
other security for particularly important VDE processes and/or
information occurring at the server, where providing such security
at VDE nodes may be commercially impractical for certain business
models, etc.
[1684] It may also be desirable to centralize secure database 610
in a local area network topology. For example, in the context of a
local area network, a secure database 610 server could be provided
at a centralized location. Each of several electronic appliances
600 connected to a local area network 672 could issue requests for
secure database 610 records over the network, and receive those
records via the network. The records could be provided over the
network in encrypted form. "Keys" needed to decrypt the records
could be shared by transmitting them across the network in secure
communication exchanges. Centralizing secure database 610 in a
network 672 has potential advantages of minimizing or eliminating
secondary storage and/or other memory requirements for each of the
networked electronic appliances 600, avoiding redundant information
storage, allowing centralized backup services to be provided,
easing information management burdens, etc.
[1685] One way to inexpensively and conveniently deploy multiple
instances of VDE electronic appliances 600 across a network would
be to provide network workstations with software defining an HPE
655. This arrangement requires no hardware modification of the
workstations; an HPE 655 can be defined using, software only. An
SPE(s) 503 and/or HPE(s) 655 could also be provided within a VDE
server. This arrangement has the advantage of allowing distributed
VDE network processing without requiring workstations to be
customized or modified (except for loading a new program(s) into
them). VDE functions requiring high levels of security may be
restricted to an SPU-based VDE server. "Secure" HPE-based
workstations could perform VDE functions requiring less security,
and could also coordinate their activities with the VDE server.
[1686] Thus, it may be advantageous to provide multiple VDE
electronic appliances 600 within the same network. It may also be
advantageous to provide multiple VDE electronic appliances 600
within the same workstation or other electronic appliance 600. For
example, an electronic appliance 600 may include multiple
electronic appliances 600 each of which have a SPU 500 and are
capable of performing VDE functions.
[1687] For example, one or more VDE electronic appliances 600 can
be used as input/output device(s) of a computer system. This may
eliminate the need to decrypt information in one device and then
move it in unencrypted form across some bus or other unsecured
channel to another device such as a peripheral. If the peripheral
device itself is a VDE electronic appliance 600 having a SPU 500,
VDE protected information may be securely sent to the peripheral
across the insecure channel for processing (e.g., decryption) at
the peripheral device. Giving the peripheral device the capability
of handling VDE protected information directly also increases
flexibility. For example, the VDE electronic appliance 600
peripheral device may control VDE object 300 usage. It may, for
example, meter the usage or other parameters associated with the
information it processes, and it may gather audit trials and other
information specific to the processing it performs in order to
provide greater information gathering about VDE object usage.
Providing multiple cooperating VDE electronic appliances 600 may
also increase performance by eliminating the need to move encrypted
information to a VDE electronic appliance 600 and then move it
again in unencrypted form to a non-VDE device. The VDE protected
information can be moved directly to its destination device which,
if VDE capable, may directly process it without requiring
involvement by some other VDE electronic appliance 600.
[1688] FIG. 70 shows an example of an arrangement 2630 comprising
multiple VDE electronic appliances 600(1), 600(2), 600(3), . . . ,
600(N). VDE electronic appliances 600(1) . . . 600(N) may
communicate with one another over a communications path 2631 (e.g.,
the system bus of a work station, a telephone or other wire, a
cable, a backplane, a network 672, or any other communications
mechanism). Each of the electronic appliances 600 shown in the
figure may have the same general architecture shown in FIG. 8,
i.e., they may each include a CPU (or microcontroller) 654, SPU
500, RAM 656, ROM 658, and system bus 653. Each of the electronic
appliances 600 shown in the figure may have an interface/controller
2632 (which may be considered to be a particular kind of I/O
controller 660 and/or communications controller 666 shown in FIG.
8). This interface/controller 2632 provides an interface between
the electronic appliance system bus 653 and an appropriate
electrical connector 2634. Electrical connectors 2634 of each of
the respective electronic appliances 600(1), . . . 600(N) provide a
connection to a common network 672 or other communication
paths.
[1689] Although each of electronic appliances 600 shown in the
figure may have a generally similar architecture, they may perform
different specialized tasks. For example, electronic appliance
600(1) might comprise a central processing section of a workstation
responsible for managing the overall operation of the workstation
and providing computation resources. Electronic appliance 600(2)
might be a mass storage device 620 for the same workstation, and
could provide a storage mechanism 2636 that might, for example,
read information from and write information to a secondary storage
device 652. Electronic appliance 600(3) might be a display device
614 responsible for performing display tasks, and could provide a
displaying mechanism 2638 such as a graphics controller and
associated video or other display. Electronic appliance 600(N)
might be a printer 622 that performs printing related tasks and
could include, for example, a print mechanism 2640.
[1690] Each of electronic appliances 600(1), . . . 600(N) could
comprise a different module of the same workstation device all
contained within a common housing, or the different electronic
appliances could be located within different system components. For
example, electronic appliance 600(2) could be disposed within a
disk controller unit, electronic appliance 600(3) could be disposed
within a display device 614 housing, and the electronic appliance
600(N) could be disposed within the housing of a printer 622.
Referring back to FIG. 7, scanner 626, modem 618, telecommunication
means 624, keyboard 612 and/or voice recognition box 613 could each
comprise a VDE electronic appliance 600 having its own SPU 500.
Additional examples include RF or otherwise wireless interface
controller, a serial interface controller, LAN controllers, MPEG
(video) controllers, etc.
[1691] Because electronic appliances 600(1) . . . 600(N) are each
VDE-capable, they each have the ability to perform encryption
and/or decryption of VDE-protected information. This means that
information communicated across network 672 or other communications
path 2631 connecting the electronic appliances can be VDE-protected
(e.g., it may be packaged in the form of VDE administrative and/or
content objects and encrypted as discussed above). One of the
consequences of this arrangement is that an eavesdropper who taps
into communications path 2631 will not be able obtain information
except in VDE-protected form. For example, information generated by
electronic appliance 600(1) to be printed could be packaged in a
VDE content object 300 and transmitted over path 2631 to electronic
appliance 600(N) for printing. An attacker would gain little
benefit from intercepting this information since it is transmitted
in protected form; she would have to compromise electronic
appliance 600(1) or 600(N) (or the SPU 500(1), 500(N)) in order to
access this information in unprotected form.
[1692] Another advantage provided by the arrangement shown in the
diagram is that each of electronic appliances 600(1), . . . 600(N)
may perform their own metering, control and/or other VDE-related
functions. For example, electronic appliance 600(N) may meter
and/or perform any other VDE control functions related to the
information to be printed, electronic appliance 600(3) may meter
and/or perform any other VDE control functions related to the
information to be displayed, electronic appliance 600(2) may meter
and/or perform any other VDE control functions related to the
information to be stored and/or retrieved from mass storage 620,
and electronic appliance 600(1) may meter and/or perform any other
VDE control functions related to the information it processes.
[1693] In one specific arrangement, each of electronic appliances
600(1), 600(N) would receive a command that indicates that the
information received by or sent to the electronic appliance is to
use its SPU 500 to process the information to follow. For example,
electronic appliance 600(N) might receive a command that indicates
that information it is about to receive for printing is in
VDE-protected form (or the information that is sent to it may
itself indicate this). Upon receiving this command or other
information, electronic appliance 600(N) may decrypt the received
information using SPU 500, and might also meter the information the
SPU provides to the print mechanism 2644 for printing. An
additional command might be sent to electronic appliance 600(N) to
disable the decryption process or 600(N)'s VDE secure subsystem may
determine that the information should not be decrypted and/or
printed. Additional commands, for example, may exist to load
encryption/decryption keys, load "limits," establish
"fingerprinting" requirements, and read metered usage. These
additional commands may be sent in encrypted or unencrypted form as
appropriate.
[1694] Suppose, for example, that electronic appliance 600(1)
produces information it wishes to have printed by a VDE-capable
printer 622. SPU 500(1) could establish a secure communications
across path 2631 with SPU 500(N) to provide a command instructing
SPU 500(N) to decrypt the next block of data and store it as a
decryption key and a limit. SPU 500(1) might then send a further
command to SPU 500(N) to use the decryption key and associated
limit to process any following encrypted print stream (or this
command could be sent by CPU 654(1) to microcontroller 654(N)).
Electronic appliance 600(1) could then begin sending encrypted
information on path 672 for decryption and printing by printer 622.
Upon receipt of each new block of information by printer 622, SPU
500(N) might first check to ensure that the limit is greater than
zero. SPU 500(N) could then increment a usage meter value it
maintains, and decrement the limit value. If the limit value is
non-zero, SPU 500(N) could decrypt the information it has received
and provide it to print mechanism 2640 for printing. If the limit
is zero, then SPU 500(N) would not send the received information to
the print mechanism 2640, nor would it decrypt it. Upon receipt of
a command to stop, printer 622 could revert to a "non-secure" mode
in which it would print everything received by it across path 2631
without permitting VDE processing.
[1695] The SPU 500(N) associated with printer 622 need not
necessarily be disposed within the housing of the printer, but
could instead be placed within an I/O controller 660 for example
(see FIG. 8). This would allow at least some of the advantages
similar to the ones discussed above to be provided without
requiring a special VDE-capable printer 622. Alternatively, a SPU
500(N) could be provided both within printer 622 and within I/O
controller 660 communicating with the printer to provide advantages
in terms of coordinating I/O control and relieving processing
burdens from the SPU 500 associated with the central processing
electronic appliance 600(1). When multiple VDE instances occur
within an electronic appliance, one or more VDE secure subsystems
may be "central" subsystems, that is "secondary" VDE instances may
pass encrypted usage related information to one or more central
secure subsystems so as to allow said central subsystem to directly
control storage of said usage related information. Certain control
information may also be centrally stored by a central subsystem and
all or a portion of such information may be securely provided to
the secondary secure subsystem upon its secure VDE request.
Portable Electronic Appliance
[1696] Electronic appliance 600 provided by the present invention
may be portable. FIG. 71 shows one example of a portable electronic
appliance 2600. Portable appliance 2600 may include a portable
housing 2602 that may be about the size of a credit card in one
example. Housing 2602 may connect to the outside world through, for
example, an electrical connector 2604 having one or more electrical
contact pins (not shown). Connector 2604 may electrically connect
an external bus interface 2606 internal to housing 2602 to a mating
connector 2604a of a host system 2608. External bus interface 2606
may, for example, comprise a PCMCIA (or other standard) bus
interface to allow portable appliance 2600 to interface with and
communicate over a bus 2607 of host system 2608. Host 2608 may, for
example, be almost any device imaginable, such as a computer, a pay
telephone, another VDE electronic appliance 600, a television, an
arcade video game, or a washing machine, to name a few
examples.
[1697] Housing 2602 may be tamper resistant. (See discussion above
relating to tamper resistance of SPU barrier 502.)
[1698] Portable appliance 2600 in the preferred embodiment includes
one or more SPUs 500 that may be disposed within housing 2602. SPU
500 may be connected to external bus interface 2606 by a bus 2610
internal to housing 2602. SPU 500 communicates with host 2608
(through external bus interface 2606) over this internal bus
2610.
[1699] SPU 500 may be powered by a battery 2612 or other portable
power supply that is preferably disposed within housing 2602.
Battery 2612 may be, for example, a miniature battery of the type
found in watches or credit card sized calculators. Battery 2612 may
be supplemented (or replaced) by solar cells, rechargeable
batteries, capacitive storage cells, etc.
[1700] A random access memory (RAM) 2614 is preferably provided
within housing 2602. RAM 2614 may be connected to SPU 500 and not
directly connected to bus 2610, so that the contents of RAM 2614
may be accessed only by the SPU and not by host 2608 (except
through and as permitted by the SPU). Looking at FIG. 9 for a
moment, RAM 2614 may be part of RAM 534 within the SPU 500,
although it need not necessarily be contained within the same
integrated circuit or other package that houses the rest of the
SPU.
[1701] Portable appliance 2600 RAM 534 may contain, for example,
information which can be used to uniquely identify each instance of
the portable appliance. This information may be employed (e.g. as
at least a portion of key or password information) in
authentication, verification, decryption, and/or encryption
processes.
[1702] Portable appliance 2600 may, in one embodiment, comprise
means to perform substantially all of the functions of a VDE
electronic appliance 600. Thus, for example, portable appliance
2600 may include the means for storing and using permissions,
methods, keys, programs, and/or other information, and can be
capable of operating as a "stand alone" VDE node.
[1703] In a further embodiment, portable appliance 2600 may perform
preferred embodiment VDE functions once it has been coupled to an
additional external electronic appliance 600. Certain information,
such as database management permission(s), method(s), key(s),
and/or other important information (such as at least a portion of
other VDE programs administrative, user-interface, analysis, etc.)
may be stored (for example as records) at an external VDE
electronic appliance 600 that may share information with portable
appliance 2600.
[1704] One possible "stand alone" configuration for
tamper-resistant, portable appliance 2600 arrangements includes a
tamper-resistant package (housing 2602) containing one or more
processors (500, 2616) and/or other computing devices and/or other
control logic, along with random-access-memory 2614. Processors
500, 2616 may execute permissions and methods wholly (or at least
in part) within the portable appliance 2600. The portable appliance
2600 may have the ability to encrypt information before the
information is communicated outside of the housing 2602 and/or
decrypt received information when said received information is
received from outside of the housing. This version would also
possess the ability to store at least a portion of permission,
method, and/or key information securely within said tamper
resistant portable housing 2602 on non-volatile memory.
[1705] Another version of portable appliance 2600 may obtain
permissions and/or methods and/or keys from a local VDE electronic
appliance 600 external to the portable appliance 2600 to control,
limit, or otherwise manage a user's use of a VDE protected object.
Such a portable appliance 600 may be contained within, received by,
installed in, or directly connected to, another electronic
appliance 2600.
[1706] One example of a "minimal" configuration of portable
appliance 2600 would include only SPU 500 and battery 2612 within
housing 2602 (the external bus interface 2606 and the RAM 2614
would in this case each be incorporated into the SPU block shown in
the Figure). In other, enhanced examples of portable appliance
2600, any or all of the following optional components may also be
included within housing 2602: [1707] one or more CPUs 2616 (with
associated support components such as RAM-ROM 2617, I/O controllers
(not shown), etc.); [1708] one or more display devices 2618; [1709]
one or more keypads or other user input buttons/control information
2620; [1710] one or more removable/replaceable memory device(s)
2622; and [1711] one or more printing device(s) 2624.
[1712] In such more enhanced versions, the display 2618, keypad
2620, memory device 2622 and printer 2624 may be connected to bus
2610 or they might be connected to CPU 2616 through an I/O
port/controller portion (not shown) of the CPU. Display 2618 may be
used to display information from SPU 500, CPU 2616 and/or host
2608. Keypad 2620 may be used to input information to SPU 500, CPU
2616 and/or host 2608. Printer 2624 may be used to print
information from any/all of these sources. Removable/replaceable
memory 2622 may comprise a memory cartridge or memory medium such
as a bulk storage device, for providing additional long-term or
short-term storage. Memory 2622 may be easily removable from
housing 2602 if desired.
[1713] In one example embodiment, portable appliance 2600 may have
the form factor of a "smart card" (although a "smart card" form
factor may provide certain advantages, housing 2602 may have the
same or different form factor as "conventional" smart cards).
Alternatively, such a portable electronic appliance 2600 may, for
example, be packaged in a PCMCIA card configuration (or the like)
which is currently becoming quite popular on personal computers and
is predicted to become common for desk-top computing devices and
Personal Digital Assistants. One advantageous form factor for the
portable electronic appliance housing 2602 may be, for example, a
Type 1, 2, or 3 PCMCIA card (or other derivations) having credit
card or somewhat larger dimensions. Such a form factor is
conveniently portable, and may be insertable into a wide array of
computers and consumer appliances, as well as receptacles at
commercial establishments such as retail establishments and banks,
and at public communications points, such as telephone or other
telecommunication "booths."
[1714] Housing 2602 may be insertable into and removable from a
port, slot or other receptacle provided by host, 2608 so as to be
physically (or otherwise operatively) connected to a computer or
other electronic appliance. The portable appliance connector 2604
may be configured to allow easy removability so that appliance 2600
may be moved to another computer or other electronic appliance at a
different location for a physical connection or other operative
connection with that other device.
[1715] Portable electronic appliance 2600 may provide a valuable
and relatively simple means for a user to move permissions and
methods between their (compatible) various electronic appliances
600, such as between a notebook computer, a desktop computer and an
office computer. It could also be used, for example, to allow a
consumer to visit a next door neighbor and allow that neighbor to
watch a movie that the consumer had acquired a license to view, or
perhaps to listen to an audio record on a large capacity optical
disk that the consumer had licensed for unlimited plays.
[1716] Portable electronic appliance 2600 may also serve as a
"smart card" for financial and other transactions for users to
employ in a variety of other applications such as, for example,
commercial applications. The portable electronic appliance 2600
may, for example, carry permission and/or method information used
to authorize (and possibly record) commercial processes and
services.
[1717] An advantage of using the preferred embodiment VDE portable
appliance 2600 for financial transactions such as those typically
performed by banks and credit card companies is that VDE allows
financial clearinghouses (such as VISA, MasterCard, or American
Express) to experience significant reductions in operating costs.
The clearinghouse reduction in costs result from the fact that the
local metering and budget management that occurs at the user site
through the use of a VDE electronic appliance 600 such as portable
appliance 2600 frees the clearinghouse from being involved in every
transaction. In contrast to current requirements, clearinghouses
will be able to perform their functions by periodically updating
their records (such as once a month). Audit and/or budget "rollups"
may occur during a connection initiated to communicate such audit
and/or budget information and/or through a connection that can
occur at periodic or relatively periodic intervals and/or during a
credit updating, purchasing, or other portable appliance 2600
transaction.
[1718] Clearinghouse VDE digital distribution transactions would
require only occasional authorization and/or audit or other
administrative "roll-ups" to the central service, rather than far
more costly connections during each session. Since there would be
no requirement for the maintenance of a credit card purchase "paper
trail" (the authorization and then forwarding of the credit card
slip), there could be substantial cost reductions for
clearinghouses (and, potentially, lower costs to users) due to
reduction in communication costs, facilities to handle concurrent
processing of information, and paper handling aspects of
transaction processing costs. This use of a portable appliance 2600
would allow credit enforcement to exploit distributed processing
employing the computing capability in each VDE electronic appliance
600. These credit cost and processing advantages may also apply to
the use of non-smart card and non-portable VDE electronic appliance
600s.
[1719] Since VDE 100 may be configured as a highly secure
commercial environment, and since the authentication processes
supported by VDE employ digital signature processes which provide a
legal validation that should be equivalent to paper documentation
and handwritten signatures, the need for portable appliance 2600 to
maintain paper trails, even for more costly transactions, is
eliminated. Since auditable billing and control mechanisms are
built into VDE 100 and automated, they may replace traditional
electronic interfaces to VISA, Master Card, AMEX, and bank debit
accounts for digitally distributed other products and services, and
may save substantial operating costs for such clearinghouses.
[1720] Portable appliance 2600 may, if desired, maintain for a
consumer a portable electronic history. The portable history can
be, for example, moved to an electronic "dock" or other receptacle,
in or operatively connected to, a computer or other consumer host
appliance 2608. Host appliance 2608 could be, for example, an
electronic organizer that has control logic at least in part in the
form of a microcomputer and that stores information in an organized
manner, e.g., according to tax and/or other transaction categories
(such as type of use or activity). By use of this arrangement, the
consumer no longer has to maintain receipts or otherwise manually
track transactions but nevertheless can maintain an electronic,
highly secure audit trail of transactions and transaction
descriptions. The transaction descriptions may, for example,
securely include the user's digital signature, and optionally, the
service or goods provider's digital signature.
[1721] When a portable appliance 2600 is "docked" to a host 2608
such as a personal computer or other electronic appliance (such as
an electronic organizer), the portable appliance 2600 could
communicate interim audit information to the host. In one
embodiment, this information could be read, directly or indirectly,
into a computer or electronic organizer money and/or tax management
program (for example, Quicken or Microsoft Money and/or Turbo Tax
and/or Andrew Tobias' Managing Your Money). This automation of
receipt management would be an enormous boon to consumers, since
the management and maintenance of receipts is difficult and
time-consuming, receipts are often lost or forgotten, and the
detail from credit card billings is often wholly inadequate for
billing and reimbursement purposes since credit card billings
normally don't provide sufficient data on the purchased items or
significant transaction parameters.
[1722] In one embodiment, the portable appliance 2600 could support
secure (in this instance encrypted and/or authenticated) two-way
communications with a retail terminal which may contain a VDE
electronic appliance 600 or communicate with a retailer's or third
party provider's VDE electronic appliance 600. During such a secure
two-way communication between, for example, each participant's
secure VDE subsystem, portable appliance 2600 VDE secure subsystem
may provide authentication and appropriate credit or debit card
information to the retail terminal VDE secure subsystem. During the
same or different communication session, the terminal could
similarly, securely communicate back to the portable appliance 2600
VDE secure subsystem details as to the retail transaction (for
example, what was purchased and price, the retail establishment's
digital signature, the retail terminal's identifier, tax related
information, etc.).
[1723] For example, a host 2608 receptacle for receiving and/or
attaching to portable appliance 2600 could be incorporated into or
operatively connected to, a retail or other commercial
establishment terminal. The host terminal 2608 could be operated by
either a commercial establishment employee or by the portable
appliance 2600 holder. It could be used to, for example, input
specific keyboard and/or voice input specific information such as
who was taken to dinner, why something was purchased, or the
category that the information should be attached to. Information
could then be automatically "parsed" and routed into securely
maintained (for example, encrypted) appropriate database management
records within portable appliance 2600. Said "parsing" and routing
would be securely controlled by VDE secure subsystem processes and
could, for example, be based on category information entered in by
the user and/or based on class of establishment and/or type
(category) of expenditure information (or other use).
Categorization can be provided by the retail establishment, for
example, by securely communicating electronic category information
as a portion, for example, of electronic receipt information or
alternatively by printing a hard copy receipt using printer 2624.
This process of categorization may take place in the portable
appliance 2600 or, alternatively, it could be performed by the
retail establishment and periodically "rolled-up" and communicated
to the portable appliance 2600 holder.
[1724] Retail, clearinghouse, or other commercial organizations may
maintain and use by securely communicating to appliance 2600 one or
more of generic classifications of transaction types (for example,
as specified by government taxation rules) that can be used to
automate the parsing of information into records and/or for
database information "roll-ups" for; and/or in portable appliance
2600 or one or more associated VDE nodes. In such instances, host
2608 may comprise an auxiliary terminal, for example, or it could
comprise or be incorporated directly within a commercial
establishments cash registers or other retail transactions devices.
The auxiliary terminal could be menu and/or icon driven, and allow
very easy user selection of categorization. It could also provide
templates, based on transaction type, that could guide the user
through specifying useful or required transaction specific
information (for example, purpose for a business dinner and/or who
attended the dinner). For example, a user might select a business
icon, then select from travel, sales, meals, administration, or
purchasing icons for example, and then might enter in very specific
information and/or a key word, or other code that might cause the
downloading of a transaction's detail into the portable appliance
2600. This information might also be stored by the commercial
establishment, and might also be communicated to the appropriate
government and/or business organizations for validation of the
reported transactions (the high level of security of auditing and
communications and authentication and validation of VDE should be
sufficiently trusted so as not to require the maintenance of a
parallel audit history, but parallel maintenance may be supported,
and maintained at least for a limited period of time so as to
provide backup information in the event of loss or "failure" of
portable appliance 2600 and/or one or more appliance 2600
associated VDE installations employed by appliance 2600 for
historical and/or status information record maintenance). For
example, of a retail terminal maintained necessary transaction
information concerning a transaction involving appliance 2600, it
could communicate such information to a clearinghouse for archiving
(and/or other action) or it could periodically, for example, at the
end of a business day, securely communicate such information, for
example, in the form of a VDE content container object, to a
clearinghouse or clearinghouse agent. Such transaction history (and
any required VDE related status information such as available
credit) can be maintained and if necessary, employed to reconstruct
the information in a portable appliance 2600 so as to allow a
replacement appliance to be provided to an appliance 2600 user or
properly reset internal information in data wherein such
replacement and/or resetting provides all necessary transaction and
status information.
[1725] In a retail establishment, the auxiliary terminal host 2608
might take the form of a portable device presented to the user, for
example at the end of a meal. The user might place his portable
appliance 2600 into a smart card receptacle such as a PCMCIA slot,
and then enter whatever additional information that might
appropriately describe the transaction as well as satisfying
whatever electronic appliance 600 identification procedure(s)
required. The transaction, given the availability of sufficient
credit, would be approved, and transaction related information
would then be communicated back from the auxiliary terminal
directly into the portable appliance 2600. This would be a highly
convenient mode of credit usage and record management.
[1726] The portable device auxiliary terminal might be "on-line,"
that is electronically communicating back to a commercial
establishment and/or third party information collection point
through the use of cellular, satellite, radio frequency, or other
communications means. The auxiliary terminal might, after a check
by a commercial party in response to receipt of certain
identification information at the collection point, communicate
back to the auxiliary terminal whether or not to accept the
portable appliance 2600 based on other information, such as a bad
credit record or a stolen portable appliance 2600. Such a portable
auxiliary terminal would also be very useful at other commercial
establishments, for example at gasoline stations, rental car return
areas, street and stadium vendors, bars, and other commercial
establishments where efficiency would be optimized by allowing
clerks and other personnel to consummate transactions at points
other than traditional cash register locations.
[1727] As mentioned above, portable appliance 2600 may communicate
from time to time with other electronic appliances 600 such as, for
example, a VDE administrator. Communication during a portable
appliance 2600 usage session may result from internally stored
parameters dictating that the connection should take place during
that current session (or next or other session) of use of the
portable appliance. The portable appliance 600 can carry
information concerning a real-time date or window of time or
duration of time that will, when appropriate, require the
communication to take place (e.g., perhaps before the transaction
or other process which has been contemplated by the user for that
session or during it or immediately following it). Such a
communication can be accomplished quickly, and could be a secure,
VDE two-way communication during which information is communicated
to a central information handler. Certain other information may be
communicated to the portable appliance 2600 and/or the computer or
other electronic appliance to which the portable appliance 2600 has
been connected. Such communicated other information can enable or
prevent a contemplated process from proceeding, and/or make the
portable appliance 2600, at least in part, unusable or useable.
Information communicated to the portable appliance 2600 could
include one or more modifications to permissions and methods, such
as a resetting or increasing of one or more budgets, adding or
withdrawing certain permissions, etc.
[1728] The permissions and/or methods (i.e., budgets) carried by
the portable appliance 2600 may have been assigned to it in
conjunction with an "encumbering" of another, stationary or other
portable VDE electronic appliance 600. In one example, a portable
appliance 2600 holder or other VDE electronic appliance 600 and/or
VDE electronic appliance 600 user could act as "guarantor" of the
financial aspects of a transaction performed by another party. The
portable appliance 2600 of the holder would record an
"encumbrance," which may be, during a secure communication with a
clearinghouse, be recorded and maintained by the clearinghouse
and/or some other financial services party until all or a portion
of debt responsibilities of the other party were paid or otherwise
satisfied. Alternatively or in addition, the encumbrance may also
be maintained within the portable appliance 2600, representing the
contingent obligation of the guarantor. The encumbrance may be, by
some formula, included in a determination of the credit available
to the guarantor. The credit transfer, acceptance, and/or record
management, and related processes, may be securely maintained by
the security features provided by aspects of the present invention.
Portable appliance 600 may be the sole location for said
permissions and/or methods for one or more VDE objects 300, or it
may carry budgets for said objects that are independent of budgets
for said objects that are found on another, non-portable VDE
electronic appliance 600. This may allow budgets, for example, to
be portable, without requiring "encumbering" and budget
reconciliation.
[1729] Portable VDE electronic appliance 2600 may carry (as may
other VDE electronic appliance 600s described) information
describing credit history details, summary of authorizations, and
usage history information (e.g., audit of some degree of
transaction history or related summary information such as the use
of a certain type/class of information) that allows re-use of
certain VDE protected information at no cost or at a reduced cost.
Such usage or cost of usage may be contingent, at least in part, on
previous use of one or more objects or class of objects or amount
of use, etc., of VDE protected information.
[1730] Portable appliance 2600 may also carry certain information
which may be used, at least in part, for identification purposes.
This information may be employed in a certain order (e.g. a pattern
such as, for example, based on a pseudo-random algorithm) to verify
the identity of the carrier of the portable appliance 2600. Such
information may include, for example, one's own or a wife's and/or
other relatives maiden names, social security number or numbers of
one's own and/or others, birth dates, birth hospital(s), and other
identifying information. It may also or alternatively provide or
include one or more passwords or other information used to identify
or otherwise verify/authenticate an individual's identity, such as
voice print and retinal scan information. For example, a portable
appliance 2600 can be used as a smart card that carries various
permissions and/or method information for authorizations and
budgets. This information can be stored securely within portable
appliance 2600 in a secure database 610 arrangement. When a user
attempts to purchase or license an electronic product or otherwise
use the "smart card" to authorize a process, portable appliance
2600 may query the user for identification information or may
initiate an identification process employing scanned or otherwise
entered information (such as user fingerprint, retinal or voice
analysis or other techniques that may, for example, employ mapping
and/or matching of provided characteristics to information securely
stored within the portable appliance 2600). The portable appliance
2600 may employ different queries at different times (and/or may
present a plurality of queries or requests for scanning or
otherwise entering identifying information) so as to prevent an
individual who has come into possession of appropriate information
for one or more of the "tests" of identity from being able to
successfully employ the portable appliance 2600.
[1731] A portable appliance 600 could also have the ability to
transfer electronic currency or credit to another portable
appliance 2600 or to another individual's account, for example,
using secure VDE communication of relevant content between secure
VDE subsystems. Such transfer may be accomplished, for example, by
telecommunication to, or presentation at, a bank which can transfer
credit and/or currency to the other account. The transfer could
also occur by using two cards at the same portable appliance 2600
docking station. For example, a credit transaction workstation
could include dual PCMCIA slots and appropriate credit and/or
currency transfer application software which allows securely
debiting one portable appliance 2600 and "crediting" another
portable appliance (i.e., debiting from one appliance can occur
upon issuing a corresponding credit and/or currency to the other
appliance). One portable appliance 600, for example, could provide
an authenticated credit to another user. Employing two "smart card"
portable appliance 600 would enable the user of the providing of
"credit" "smart card" to go through a transaction process in which
said user provides proper identification (for example, a password)
and identifies a "public key" identifying another "smart card"
portable appliance 2600. The other portable appliance 2600 could
use acceptance processes, and provide proper identification for a
digital signature (and the credit and/or currency sender may also
digitally sign a transaction certificate so the sending act may not
be repudiated and this certificate may accompany the credit and/or
currency as VDE container content. The transactions may involve,
for example, user interface interaction that stipulates interest
and/or other terms of the transfer. It may employ templates for
common transaction types where the provider of the credit is
queried as to certain parameters describing the agreement between
the parties. The receiving portable appliance 2600 may iteratively
or as a whole be queried as to the acceptance of the terms. VDE
negotiation techniques described elsewhere in this application may
be employed in a smart card transfer of electronic credit and/or
currency to another VDE smart card or other VDE installation.
[1732] Such VDE electronic appliance 600/portable appliance 2600
credit transfer features would significantly reduce the overhead
cost of managing certain electronic credit and/or currency
activities by significantly automating these processes through
extending the computerization of credit control and credit
availability that was begun with credit cards and extended with
debit cards. The automation of credit extension and/or currency
transfer and the associated distributed processing advantages
described, including the absence of any requirement for centralized
processing and telecommunications during each transaction, truly
make credit and/or currency, for many consumers and other
electronic currency and/or credit users, an efficient, trusted, and
portable commodity.
[1733] The portable appliance 2600 or other VDE electronic
appliance 600, can, in one embodiment, also automate many tax
collection functions. A VDE electronic appliance 600 may, with
great security, record financial transactions, identify the nature
of the transaction, and identify the required sales or related
government transaction taxes, debit the taxes from the users
available credit, and securely communicate this information to one
or more government agencies directly at some interval (for example
monthly), and/or securely transfer this information to, for
example, a financial clearinghouse, which would then transfer one
or more secure, encrypted (or unsecure, calculated by
clearinghouse, or otherwise computed) information audit packets
(e.g., VDE content containers and employing secure VDE
communication techniques) to the one or more appropriate,
participating government agencies. The overall integrity and
security of VDE 100 could ensure, in a coherent and centralized
manner, that electronic reporting of tax related information
(derived from one or more electronic commerce activities) would be
valid and comprehensive. It could also act as a validating source
of information on the transfer of sales tax collection (e.g., if,
for example, said funds are transferred directly to the government
by a commercial operation and/or transferred in a manner such that
reported tax related information cannot be tampered with by other
parties in a VDE pathway of tax information handling). A government
agency could select transactions randomly, or some subset or all of
the reported transactions for a given commercial operation can be
selected. This could be used to ensure that the commercial
operation is actually paying to the government all appropriate
collected funds required for taxes, and can also ensure that
end-users are charged appropriate taxes for their transactions
(including receipt of interest from bank accounts, investments,
gifts, etc.
[1734] Portable appliance 2600 financial and tax processes could
involve template mechanisms described elsewhere herein. While such
an electronic credit and/or currency management capability would be
particularly interesting if managed at least in part, through the
use of a portable appliance 2600, credit and/or currency transfer
and similar features would also be applicable for non-portable VDE
electronic appliance 600's connected to or installed within a
computer or other electronic device.
User Notification Exception Interface ("Pop Up") 686
[1735] As described above, the User Modification Exception
Interface 686 may be a set of user interface programs for handling
common VDE functions. These applications may be forms of VDE
templates and are designed based upon certain assumptions regarding
important options, specifically, appropriate to a certain VDE user
model and important messages that must be reported given certain
events. A primary function of the "pop-up" user interface 686 is to
provide a simple, consistent user interface to, for example, report
metering events and exceptions (e.g., any condition for which
automatic processing is either impossible or arguably undesirable)
to the user, to enable the user to configure certain aspects of the
operation of her electronic appliance 600 and, when appropriate, to
allow the user to interactively control whether to proceed with
certain transaction processes. If an object contains an exception
handling method, that method will control how the "pop-up" user
interface 686 handles specific classes of exceptions.
[1736] The "pop-user" interface 686 normally enables handling of
tasks not dedicated to specific objects 300, such as for example:
[1737] Logging onto an electronic appliance 600 and/or entering
into a VDE related activity or class of activities, [1738]
Configuring an electronic appliance 600 for a registered user,
and/or generally for the installation, with regard to user
preferences, and automatic handling of certain types of exceptions,
[1739] Where appropriate, user selecting of meters for use with
specific properties, and [1740] Providing an interface for
communications with other electronic appliances 600, including
requesting and/or for purchasing or leasing content from
distributors, requesting clearinghouse credit and/or budgets from a
clearinghouse, sending and/or receiving information to and/or from
other electronic appliances, and so on.
[1741] FIG. 72A shows an example of a common "logon" VDE electronic
appliance 600 function that may use user interface 686. "Log-on"
can be done by entering a user name, account name, and/or password.
As shown in the provided example, a configuration option provided
by the "pop-up" user interface 686 dialog can be "Login at Setup",
which, if selected, will initiate a VDE Login procedure
automatically every time the user's electronic appliance 600 is
turned on or reset. Similarly, the "pop-up" user interface 686
could provide an interface option called "Login at Type" which, if
selected, will initiate a procedure automatically every time, for
example, a certain type of object or specific content type
application is opened such as a file in a certain directory, a
computer application or file with a certain identifying extension,
or the like.
[1742] FIG. 72B shows an example of a "pop-up" user interface 686
dialog that is activated when an action by the user has been
"trapped," in this case to warn the user about the amount of
expense that will be incurred by the user's action, as well as to
alert the user about the object 300 which has been requested and
what that particular object will cost to use. In this example, the
interface dialog provides a button allowing the user to request
further detailed information about the object, including full text
descriptions, a list of associated files, and perhaps a history of
past usage of the object including any residual rights to use the
object or associated discounts.
[1743] The "Cancel" button 2660 in FIG. 72B cancels the user's
trapped request. "Cancel" is the default in this example for this
dialog and can be activated, for example, by the return and enter
keys on the user's keyboard 612, by a "mouse click" on that button,
by voice command, or other command mechanisms. The "Approve button"
2662, which must be explicitly selected by a mouse click or other
command procedure, allows the user to approve the expense and
proceed. The "More options" control 2664 expands the dialog to
another level of detail which provides further options, an example
of which is shown in FIG. 72C.
[1744] FIG. 72C shows a secondary dialog that is presented to the
user by the "pop-up" user interface 686 when the "More options"
button 2664 in FIG. 72B is selected by the user. As shown, this
dialog includes numerous buttons for obtaining further information
and performing various tasks.
[1745] In this particular example, the user is permitted to set
"limits" such as, for example, the session dollar limit amount
(field 2666), a total transaction dollar limit amount (field 2668),
a time limit (in minutes) (field 2670), and a "unit limit" (in
number of units such as paragraphs, pages, etc.) (field 2672). Once
the user has made her selections, she may "click on" the OKAY
button (2674) to confirm the limit selections and cause them to
take effect.
[1746] Thus, pop-up user interface dialogues can be provided to
specify user preferences, such as setting limits on budgets and/or
other aspects of object content usage during any one session or
over a certain duration of time or until a certain point in time.
Dialogs can also be provided for selecting object related usage
options such as selecting meters and budgets to be used with one or
more objects. Selection of options may be applied to types (that is
classes) of objects by associating the instruction with one or more
identifying parameters related to the desired one or more types.
User specified configuration information can set default values to
be used in various situations, and can be used to limit the number
or type of occasions on which the user's use of an object is
interrupted by a "pop-up" interface 686 dialog. For example, the
user might specify that a user request for VDE protected content
should be automatically processed without interruption (resulting
from an exceptions action) if the requested processing of
information will not cost more than $25.00 and if the total charge
for the entire current session (and/or day and/or week, etc.) is
not greater than $200.00 and if the total outstanding and unpaid
charge for use hasn't exceeded $2500.00.
[1747] Pop-up user interface dialogs may also be used to notify the
user about significant conditions and events. For example,
interface 686 may be used to: [1748] remind the user to send audit
information to a clearinghouse, [1749] inform a user that a budget
value is low and needs replenishing, [1750] remind the user to back
up secure database 610, and [1751] inform the user about
expirations of PERCs or other dates/times events.
[1752] Other important "pop-up" user interface 686 functions
include dialogs which enable flexible browsing through libraries of
properties or objects available for licensing or purchase, either
from locally stored VDE protected objects and/or from one or more
various, remotely located content providers. Such function may be
provided either while the user's computer is connected to a remote
distributor's or clearinghouse's electronic appliance 600, or by
activating an electronic connection to a remote source after a
choice (such as a property, a resource location, or a class of
objects or resources is selected). A browsing interface can allow
this electronic connection to be made automatically upon a user
selection of an item, or the connection itself can be explicitly
activated by the user. See FIG. 72D for an example of such a
"browsing" dialog.
Smart Objects
[1753] VDE 100 extends its control capabilities and features to
"intelligent agents." Generally, an "intelligent agent" can act as
an emissary to allow a process that dispatches it to achieve a
result the originating process specifies. Intelligent agents that
are capable of acting in the absence of their dispatch process are
particularly useful to allow the dispatching process to access,
through its agent, the resources of a remote electronic appliance.
In such a scenario, the dispatch process may create an agent (e.g.,
a computer program and/or control information associated with a
computer program) specifying a particular desired task(s), and
dispatch the agent to the remote system. Upon reaching the remote
system, the "agent" may perform its assigned task(s) using the
remote system's resources. This allows the dispatch process to, in
effect, extend its capabilities to remote systems where it is not
present.
[1754] Using an "agent" in this manner increases flexibility. The
dispatching process can specify, through its agent, a particular
desired task(s) that may not exist or be available on the remote
system. Using such an agent also provides added trustedness; the
dispatch process may only need to "trust" its agent, not the entire
remote system. Agents have additional advantages.
[1755] Software agents require a high level of control and
accountability to be effective, safe and useful. Agents in the form
of computer viruses have had devastating effects worldwide.
Therefore, a system that allows an agent to access it should be
able to control it or otherwise prevent the agent from damaging
important resources. In addition, systems allowing themselves to be
accessed by an agent should sufficiently trust the agent and/or
provide mechanisms capable of holding the true dispatcher of the
agent responsible for the agent's activities. Similarly, the
dispatching process should be able to adequately limit and/or
control the authority of the agents it dispatches or else it might
become responsible for unforeseen activities by the agent (e.g.,
the agent might run up a huge bill in the course of following
imprecise instructions it was given by the process that dispatched
it).
[1756] These significant problems in using software agents have not
be adequately addressed in the past. The open, flexible control
structures provided by VDE 100 addresses these problems by
providing the desired control and accountability for software
agents (e.g., agent objects). For example, VDE 100 positively
controls content access and usage, provides guarantee of payment
for content used, and enforces budget limits for accessed content.
These control capabilities are well suited to controlling the
activities of a dispatched agent by both the process that
dispatches the agent and the resource accessed by the dispatched
agent.
[1757] One aspect of the preferred embodiment provided by the
present invention provides a "smart object" containing an agent.
Generally, a "smart object" may be a VDE object 300 that contains
some type(s) of software programs ("agents") for use with VDE
control information at a VDE electronic appliance 600. A basic
"smart object" may comprise a VDE object 300 that, for example,
contains (physically and/or virtually): [1758] a software agent,
and [1759] at least one rule and/or control associated with the
software agent that governs the agent's operation.
[1760] Although this basic structure is sufficient to define a
"smart object," FIG. 73 shows a combination of containers and
control information that provides one example of a particularly
advantageous smart object structure for securely managing and
controlling the operation of software agents.
[1761] As shown in FIG. 73, a smart object 3000 may be constructed
of a container 300, within which is embedded one or more further
containers (300z, 300y, etc.). Container 300 may further contain
rules and control information for accessing and using these
embedded containers 300z, 300y, etc. Container 300z embedded in
container 300 is what makes the object 3000 a "smart object." It
contains an "agent" that is managed and controlled by VDE 100.
[1762] The rules and control information 806f associated with
container 300z govern the circumstances under which the agent may
be released and executed at a remote VDE site, including any
limitations on execution based on the cost of execution for
example. This rule and control information may be specified
entirely in container 300z, and/or may be delivered as part of
container 300, as part of another container (either within
container 300 or a separately deliverable container), and/or may be
already present at the remote VDE site.
[1763] The second container 300y is optional, and contains content
that describes the locations at which the agent stored in container
300z may be executed. Container 300y may also contain rules and
control information 806e that describe the manner in which the
contents of container 300y may be used or altered. This rule and
control information 806e and/or further rules 300y(1) also
contained within container 300y may describe searching and routing
mechanisms that may be used to direct the smart object 3000 to a
desired remote information resource. Container 300y may contain
and/or reference rules and control information 300y(1) that specify
the manner in which searching and routing information use and any
changes may be paid for.
[1764] Container 300x is an optional content container that is
initially "empty" when the smart object 3000 is dispatched to a
remote site. It contains rules and control information 300x(1) for
storing the content that is retrieved by the execution of the agent
contained in container 300z. Container 300x may also contain limits
on the value of content that is stored in the retrieval container
so as to limit the amount of content that is retrieved.
[1765] Other containers in the container 300 may include
administrative objects that contain audit and billing trails that
describe the actions of the agent in container 300z and any charges
incurred for executing an agent at a remote VDE node. The exact
structure of smart object 3000 is dependent upon the type of agent
that is being controlled, the resources it will need for execution,
and the types of information being retrieved.
[1766] The smart object 3000 in the example shown in FIG. 73 may be
used to control and manage the operation of an agent in VDE 100.
The following detailed explanation of an example smart object
transaction shown in FIG. 74 may provide a helpful, but
non-limiting illustration. In this particular example, assume a
user is going to create a smart object 3000 that performs a library
search using the "Very Fast and Efficient" software agent to search
for books written about some subject of interest (e.g., "fire
flies"). The search engine is designed to return a list of books to
the user. The search engine in this example may spend no more than
$10.00 to find the appropriate books, may spend no more than $3.00
in library access or communications charges to get to the library,
and may retrieve no more than $15.00 in information. All
information relating to the search or use is to be returned to the
user and the user will permit no information pertaining to the user
or the agent to be released to a third party.
[1767] In this example, a dispatching VDE electronic appliance 3010
constructs a smart object 3000 like the one shown in FIG. 73. The
rule set in 806a is specified as a control set that contains the
following elements: [1768] 1. a smart_agent_execution event that
specifies the smart agent is stored in embedded container 300z and
has rules controlling its execution specified in that container;
[1769] 2. a smart_agent_use event that specifies the smart agent
will operate using information and parameters stored in container
300; [1770] 3. a routing_use event that specifies the information
routing information is stored in container 300y and has rules
controlling this information stored in that container; [1771] 4. an
information_write event that specifies information written will be
stored in container 300y, 300x, or 300w depending on its type
(routing, retrieved, or administrative), and that these containers
have independent rules that control how information is written into
them.
[1772] The rule set in control set 806b contains rules that specify
the rights desired by this smart object 3000. Specifically, this
control set specifies that the software agent desires: [1773] 1. A
right to use the "agent execution" service on the remote VDE site.
Specific billing and charge information for this right is carried
in container 300z. [1774] 2. A right to use the "software
description list" service on the remote VDE site. Specific billing
and charge information for this for this right is carried in
container 300y. [1775] 3. A right to use an "information locator
service" on a remote VDE site. [1776] 4. A right to have
information returned to the user without charge (charges to be
incurred on release of information and payment will be by a VISA
budget) [1777] 5. A right to have all audit information returned
such that it is readable only by the sender.
[1778] The rule set in control set 806c specifies that container
300w specifies the handling of all events related to its use. The
rule set in control set 806d specifies that container 300x
specifies the handling of all events related to its use. The rule
set in control set 806e specifies that container 300y specifies the
handling of all events related to its use. The rule set in control
set 806f specifies that container 300z specifies the handling of
all events related to its use.
[1779] Container 300z is specified as containing the "Very Fast and
Efficient" agent content, which is associated with the following
rules set: [1780] 1. A use event that specifies a meter and VISA
budget that limits the execution to $10.00 charged against the
owner's VISA card. Audits of usage are required and will be stored
in object 300w under control information specified in that
object.
[1781] After container 300z and its set are specified, they are
constructed and embedded in the smart object container 300.
[1782] Container 300y is specified as a content object with two
types of content. Content type A is routing information and is
read/write in nature. Content type A is associated with a rules set
that specifies: [1783] 1. A use event that specifies no operation
for the release of the content. This has the effect of not charging
for the use of the content. [1784] 2. A write event that specifies
a meter and a VISA budget that limits the value of writing to
$3.00. The billing method used by the write is left unspecified and
will be specified by the control method that uses this rule. [1785]
3. Audits of usage are required and will be stored in object 300w
under control information specified in that object.
[1786] Content type B is information that is used by the software
agent to specify parameters for the agent. This content is
specified as the string "fire fly" or "fire flies". Content type B
is associated with the following rule set: [1787] 1. A use event
that specifies that the use may only be by the software agent or a
routing agent. The software agent has read only permission, the
routing agent has read/write access to the information. There are
no charges associated with using the information, but two meters;
one by read and one by write are kept to track use of the
information by various steps in the process. [1788] 2. Audits of
usage are required and will be stored in object 300w under control
information specified in that object.
[1789] After container 300y and its control sets are specified,
they are constructed and embedded in the smart object container
300.
[1790] Container 300x is specified as a content object that is
empty of content. It contains a control set that contains the
following rules: [1791] 1. A write_without_billing event that
specifies a meter and a general budget that limits the value of
writing to $15.00. [1792] 2. Audits of usage are required and will
be stored in object 300w under control information specified in
that object. [1793] 3. An empty use control set that may be filled
in by the owner of the information using predefined methods (method
options).
[1794] After container 300x and its control sets are specified,
they are constructed and embedded in the smart object container
300.
[1795] Container 300w is specified as an empty administrative
object with a control set that contains the following rules: [1796]
1. A use event that specifies that the information contained in the
administrative object may only be released to the creator of smart
object container 300. [1797] 2. No other rules may be attached to
the administrative content in container 300w.
[1798] After container 300w and its control sets are specified,
they are constructed and embedded in the smart object container
300.
[1799] At this point, the smart object has been constructed and is
ready to be dispatched to a remote VDE site. The smart object is
sent to a remote VDE site (e.g., using electronic mail or another
transport mechanism) that contains an information locator service
3012 via path 3014. The smart object is registered at the remote
site 3012 for the "item locator service." The control set in
container related to "item locator service" is selected and the
rules contained within it activated at the remote site 3012. The
remote site 3012 then reads the contents of container 300y under
the control of rule set 806f and 300y(1), and permits writes of a
list of location information into container 300y pursuant to these
rules. The item locator service writes a list of three items into
the smart object, and then "deregisters" the smart object (now
containing the location information) and sends it to a site 3016
specified in the list written to the smart object via path 3018. In
this example, the user may have specified electronic mail for
transport and a list of remote sites that may have the desired
information is stored as a forwarding list.
[1800] The smart object 3000, upon arriving at the second remote
site 3016, is registered with that second site. The site 3016
provides agent execution and software description list services
compatible with VDE as a service to smart objects. It publishes
these services and specifies that it requires $10.00 to start the
agent and $20/piece for all information returned. The registration
process compares the published service information against the
rules stored within the object and determines that an acceptable
overlap does not exist. Audit information for all these activities
is written to the administrative object 300w. The registration
process then fails (the object is not registered), and the smart
object is forwarded by site 3016 to the next VDE site 3020 in the
list via path 3022.
[1801] The smart object 3000, upon arriving at the third remote
site 3020, is registered with that site. The site 3020 provides
agent execution and software description list services compatible
with VDE as a service to smart objects. It publishes these services
and specifies that it requires $1.00 to start the agent and
$0.50/piece for all information returned. The registration process
compares the published service information against the rules stored
within the object and determines that an acceptable overlap exists.
The registration process creates a URT that specifies the agreed
upon control information. This URT is used in conjunction with the
other control information to execute the software agent under VDE
control.
[1802] The agent software starts and reads its parameters out of
container 300y. It then starts searching the database and obtains
253 "hits" in the database. The list of hits is written to
container 300x along with a completed control set that specifies
the granularity of each item and that each item costs $0.50. Upon
completion of the search, the budget for use of the service is
incremented by $1.00 to reflect the use charge for the service.
Audit information for all these activities is written to the
administrative object 300w.
[1803] The remote site 3020 returns the now "full" smart object
3000 back to the original sender (the user) at their VDE node 3010
via path 3024. Upon arrival, the smart object 3000 is registered
and the database records are available. The control information
specified in container 300x is now a mix of the original control
information and the control information specified by the service
regarding remote release of their information. The user then
extracts 20 records from the smart object 3000 and has $10.00
charged to her VISA budget at the time of extraction.
[1804] In the above smart agent VDE examples, a certain
organization of smart object 3000 and its constituent containers is
described. Other organizations of VDE and smart object related
control information and parameter data may be created and may be
used for the same purposes as those ascribed to object 3000 in the
above example.
Negotiation and Electronic Contracts
[1805] An electronic contract is an electronic form of an agreement
including rights, restrictions, and obligations of the parties to
the agreement. In many cases, electronic agreements may surround
the use of digitally provided content; for example, a license to
view a digitally distributed movie. It is not required, however,
that an electronic agreement be conditioned on the presence or use
of electronic content by one or more parties to the agreement. In
its simplest form, an electronic agreement contains a right and a
control that governs how that right is used.
[1806] Electronic agreements, like traditional agreements, may be
negotiated between their parties (terms and conditions submitted by
one or more parties may simply be accepted (cohesion contract) by
one or more other parties and/or such other parties may have the
right to select certain of such terms and conditions (while others
may be required)). Negotiation is defined in the dictionary as "the
act of bringing together by mutual agreement." The preferred
embodiment provides electronic negotiation processes by which one
or more rights and associated controls can be established through
electronic automated negotiation of terms. Negotiations normally
require a precise specification of rights and controls associated
with those rights. PERC and URT structures provide a mechanism that
may be used to provide precise electronic representations of rights
and the controls associated with those rights. VDE thus provides a
"vocabulary" and mechanism by which users and creators may specify
their desires. Automated processes may interpret these desires and
negotiate to reach a common middle ground based on these desires.
The results of said negotiation may be concisely described in a
structure that may be used to control and enforce the results of
the electronic agreement. VDE further enables this process by
providing a secure execution space in which the negotiation
process(es) are assured of integrity and confidentiality in their
operation. The negotiation process(es) may also be executed in such
a manner that inhibits external tampering with the negotiation.
[1807] A final desirable feature of agreements in general (and
electronic representations of agreements in particular) is that
they be accurately recorded in a non-repudiatable form. In
traditional terms, this involves creating a paper document (a
contract) that describes the rights, restrictions, and obligations
of all parties involved. This document is read and then signed by
all parties as being an accurate representation of the agreement.
Electronic agreements, by their nature, may not be initially
rendered in paper. VDE enables such agreements to be accurately
electronically described and then electronically signed to prevent
repudiation. In addition, the preferred embodiment provides a
mechanism by which human-readable descriptions of terms of the
electronic contract can be provided.
[1808] VDE provides a concise mechanism for specifying control sets
that are VDE site interpretable. Machine interpretable mechanisms
are often not human readable. VDE often operates the negotiation
process on behalf of at least one human user. It is thus desirable
that the negotiation be expressible in "human readable form." VDE
data structures for objects, methods, and load modules all have
provisions to specify one or more DTDs within their structures.
These DTDs may be stored as part of the item or they may be stored
independently. The DTD describes one or more data elements (MDE,
UDE, or other related data elements) that may contain a natural
language description of the function of that item. These natural
language descriptions provide a language independent, human
readable description for each item. Collections of items (for
example, a BUDGET method) can be associated with natural language
text that describes its function and forms a term of an
electronically specified and enforceable contract. Collections of
terms (a control set) define a contract associated with a specific
right. VDE thus permits the electronic specification, negotiation,
and enforcement of electronic contracts that humans can understand
and adhere to.
[1809] VDE 100 enables the negotiation and enforcement of
electronic contracts in several ways: [1810] it enables a concise
specification of rights and control information that permit a
common vocabulary and procedure for negotiation, [1811] it provides
a secure processing environment within which to negotiate, [1812]
it provides a distributed environment within which rights and
control specifications may be securely distributed, [1813] it
provides a secure processing environment in which negotiated
contracts may be electronically rendered and signed by the
processes that negotiate them, and [1814] it provides a mechanism
that securely enforces a negotiated electronic contract.
Types of Negotiations
[1815] A simple form of a negotiation is a demand by one party to
form an "adhesion" contract. There are few, if any, options that
may be chosen by the other party in the negotiation. The recipient
of the demand has a simple option; she may accept or reject the
terms and conditions (control information) in the demand. If she
accepts the conditions, she is granted rights subject to the
specified control information. If she rejects the conditions, she
is not granted the rights. PERC and URT structures may support
negotiation by demand; a PERC or control set from a PERC may be
presented as a demand, and the recipient may accept or reject the
demand (selecting any permitted method options if they are
presented).
[1816] A common example of this type of negotiation today is the
purchase of software under the terms of a "shrink-wrap license."
Many widely publicized electronic distribution schemes use this
type of negotiation. CompuServe is an example of an on-line service
that operates in the same manner. The choice is simple: either pay
the specified charge or don't use the service or software. VDE
supports this type of negotiation with its capability to provide
PERCs and URTs that describe rights and control information, and by
permitting a content owner to provide a REGISTER method that allows
a user to select from a set of predefined method options. In this
scenario, the REGISTER method may contain a component that is a
simplified negotiation process.
[1817] A more complex form of a negotiation is analogous to
"haggling." In this scenario, most of the terms and conditions are
fixed, but one or more terms (e.g., price or payment terms) are
not. For these terms, there are options, limits, and elements that
may be negotiated over. A VDE electronic negotiation between two
parties may be used to resolve the desired, permitted, and optional
terms. The result of the electronic negotiation may be a finalized
set of rules and control information that specify a completed
electronic contract. A simple example is the scenario for
purchasing software described above adding the ability of the
purchaser to select a method of payment (VISA, Mastercard, or
American Express). A more complex example is a scenario for
purchasing information in which the price paid depends on the
amount of information about the user that is returned along with a
usage audit trail. In this second example, the right to use the
content may be associated with two control sets. One control set
may describe a fixed ("higher") price for using the content.
Another control set may describe a fixed ("lower") price for using
the content with additional control information and field
specifications requiring collection and return the user's personal
information. In both of these cases, the optional and permitted
fields and control sets in a PERC may describe the options that may
be selected as part of the negotiation. To perform the negotiation,
one party may propose a control set containing specific fields,
control information, and limits as specified by a PERC; the other
party may pick and accept from the control sets proposed, reject
them, or propose alternate control sets that might be used. The
negotiation process may use the permitted, required, and optional
designations in the PERC to determine an acceptable range of
parameters for the final rule set. Once an agreement is reached,
the negotiation process may create a new PERC and/or URT that
describes the result of the negotiation. The resulting PERCs and/or
URTs may be "signed" (e.g., using digital signatures) by all of the
negotiation processes involved in the negotiation to prevent
repudiation of the agreement at a later date.
[1818] Additional examples of negotiated elements are: electronic
cash, purchase orders, purchase certificates (gift certificates,
coupons), bidding and specifications, budget "rollbacks" and
reconciliation, currency exchange rates, stock purchasing, and
billing rates.
[1819] A set of PERCs that might be used to support the second
example described above is presented in FIGS. 75A (PERC sent by the
content owner), 75B (PERC created by user to represent their
selections and rights), and 75C (PERC for controlling the
negotiation process). These PERCs might be used in conjunction with
any of the negotiation process(es) and protocols described later in
this section.
[1820] FIG. 75A shows an example of a PERC 3100 that might be
created by a content provider to describe their rights options. In
this example, the PERC contains information regarding a single USE
right. Two alternate control sets 3102a, 3102b are presented for
this right in the example. Control set 3102a permits the use of the
content without passing back information about the user, and
another control set 3102b permits the use of the content and
collects "response card" type information from the user. Both
control sets 3102a, 3102b may use a common set of methods for most
of the control information. This common control information is
represented by a CSR 3104 and CS0 3106.
[1821] Control set 3102a in this PERC 3100 describes a mechanism by
which the user may obtain the content without providing any
information about its user to the content provider. This control
set 3102a specifies a well-known vending control method and set of
required methods and method options. Specifically, in this example,
control set 3102a defines a BUDGET method 3108 (e.g., one of VISA,
Mastercard, or American Express) and it defines a BILLING method
3110 that specifies a charge (e.g., a one-time charge of
$100.00).
[1822] Control set 3102b in this PERC 3100 describes another
mechanism by which the user may obtain the content. In this
example, the control set 3102b specifies a different vending
control method and a set of required methods and method options.
This second control set 3102b specifies a BUDGET method 3112 (e.g.,
one of VISA, Mastercard, or American Express), a BILLING method
3116 that specifies a charge (e.g., a lesser one-time charge such
as $25.00) and an AUDIT method 3114 that specifies a set of desired
and required fields. The required and desired field specification
3116 may take the form of a DTD specification, in which, for
example, the field names are listed.
[1823] The content creator may "prefer" one of the two control sets
(e.g., control set 2) over the other one. If so, the "preferred"
control set may be "offered" first in the negotiation process, and
withdrawn in favor of the "non-preferred" control set if the other
party to the negotiation "rejects" the "preferred" control set.
[1824] In this example, these two control sets 3102a, 3102b may
share a common BUDGET method specification. The BUDGET method
specification may be included in the CSR 3104 or CS0 3106 control
sets if desired. Selecting control set 3102a (use with no
information passback) causes a unique component assembly to be
assembled as specified by the PERC 3100. Specifically, in this
example it selects the "Vending" CONTROL method 3118, the BILLING
method 3110 for a $100 fixed charge, and the rest of the control
information specified by CSR 3104 and CS0 3106. It also requires
the user to specify her choice of acceptable BUDGET method (e.g.,
from the list including VISA, Mastercard, and American Express).
Selecting control set 3102b assembles a different component
assembly using the "Vending with `response card`" CONTROL method
3120, the BILLING method 3116 (e.g., for a $25 fixed charge), an
AUDIT method 3114 that requires the fields listed in the Required
Fields DTD 3116. The process may also select as many of the fields
listed in the Desired Fields DTD 3116 as are made available to it.
The rest of the control information is specified by CSR 3104 and
CS0 3106. The selection of control set 3102b also forces the user
to specify their choice of acceptable BUDGET methods (e.g., from
the list including VISA, Mastercard, and American Express).
[1825] FIG. 75B shows an example of a control set 3125 that might
be used by a user to specify her desires and requirements in a
negotiation process. This control set has a USE rights section 3127
that contains an aggregated CSR budget specification 3129 and two
optional control sets 3131a, 3131b for use of the content. Control
set 3131a requires the use of a specific CONTROL method 3133 and
AUDIT method 3135. The specified AUDIT method 3135 is parameterized
with a list of fields 3137 that may be released in the audit trail.
Control set 3131a also specifies a BILLING method 3139 that can
cost no more than a certain amount (e.g., $30.00). Control set
3131b in this example describes a specific CONTROL method 3141 and
may reference a BILLING method 3143 that can cost no more than a
certain amount (e.g., $150.00) if this option is selected.
[1826] FIG. 75E shows a more high-level view of an electronic
contract 3200 formed as a "result" of a negotiation process as
described above. Electronic contract 3200 may include multiple
clauses 3202 and multiple digital signatures 3204. Each clause 3202
may comprise a PERC/URT such as item 3160 described above and shown
in FIG. 75D. Each "clause" 3202 of electronic contract 3200 thus
corresponds to a component assembly 690 that may be assembled and
executed by a VDE electronic appliance 600. Just as in normal
contracts, there may be as many contract clauses 3202 within
electronic contract 3200 as is necessary to embody the "agreement"
between the "parties." Each of clauses 3202 may have been
electronically negotiated and may thus embody a part of the
"agreement" (e.g., a "compromise") between the parties. Electronic
contract 3200 is "self-executing" in the sense that it may be
literally executed by a machine, i.e., a VDE electronic appliance
600 that assembles component assemblies 690 as specified by various
electronic clauses 3202. Electronic contract 3200 may be
automatically "enforced" using the same VDE mechanisms discussed
above that are used in conjunction with any component assembly 690.
For example, assuming that a clause 3202(2) corresponds to a
payment or BILLING condition or term, its corresponding component
assembly 690 when assembled by a user's VDE electronic appliance
600 may automatically determine whether conditions are right for
payment and, when they are, automatically access an appropriate
payment mechanism (e.g., a virtual "credit card" object for the
user) to arrange that payment to be made. As another example,
assuming that electronic contract clause N 3202(N) corresponds to a
user's obligation to provide auditing information to a particular
VDE participant, electronic contract 3200 will cause VDE electronic
appliance 600 to assemble a corresponding component assembly 690
that may, for example, access the appropriate audit trails within
secure database 610 and provide them in an administrative object to
the correct participant. FIG. 75F shows that clause 3202(N) may,
for example, specify a component assembly 690 that arranges for
multiple steps in a transaction 3206 to occur. Some of these steps
(e.g., step 3208(4), 3208(5)) may be conditional on a test (e.g.,
3208(3)) such as, for example, whether content usage has exceeded a
certain amount, whether a certain time period has expired, whether
a certain calendar date has been reached, etc.
[1827] Digital signatures 3204 shown in the FIG. 75E electronic
contract 3200 may comprise, for example, conventional digital
signatures using public key techniques as described above. Some
electronic contracts 3200 may not bear any digital signatures 3204.
However, it may be desirable to require the electronic appliance
600 of the user who is a party to the electronic contract 3200 to
digitally "sign" the electronic contract so that the user cannot
later repudiate the contract, for evidentiary purposes, etc.
Multiple parties to the same contract may each digitally "sign" the
same electronic contract 3200 similarly to the way multiple parties
to a contract memorialized in a written instrument use an ink pen
to sign the instrument.
[1828] Although each of the clauses 3202 of electronic contract
3200 may ultimately correspond to a collection of data and code
that may be executed by a PPE 650, there may in some instances be a
need for rendering a human readable version of the electronic
contract. This need can be accommodated by, as mentioned above,
providing text within one or more DTDs associated with the
component assembly or assemblies 690 used to "self-execute" the
contract. Such text might, for example, describe from a functional
point of view what the corresponding electronic contract clause
3202 means or involves, and/or might describe in legally
enforceable terms what the legal obligation under the contract is
or represents. "Templates" (described elsewhere herein) might be
used to supply such text from a text library. An expert system
and/or artificial intelligence capability might be used to impose
syntax rules that bind different textual elements together into a
coherent, humanly readable contract document. Such text could, if
necessary, be reviewed and modified by a "human" attorney in order
customize it for the particular agreement between the parties
and/or to add further legal obligations augmenting the
"self-executing" electronic obligations embodied within and
enforced by the associated component assemblies 690 executing on a
VDE electronic appliance 600. Such text could be displayed
automatically or on demand upon execution of the electronic
contract, or it could be used to generate a printed
humanly-readable version of the contract at any time. Such a
document version of the electronic contract 3200 would not need to
be signed in ink by the parties to the agreement (unless desired)
in view of the fact that the digital signatures 3204 would provide
a sufficiently secure and trusted evidentiary basis for proving the
parties' mutual assent to all the terms and conditions within the
contract.
[1829] In the preferred embodiment, the negotiation process
executes within a PPE 650 under the direction of a further PERC
that specifies the process. FIG. 75C shows an example of a PERC
3150 that specifies a negotiation process. The PERC 3150 contains a
single right 3152 for negotiation, with two permitted control sets
3154a, 3154b described for that right. The first control set 3154a
may be used for a "trusted negotiation"; it references the desired
negotiation CONTROL method ("Negotiate") 3156 and references (in
fields 3157a, 3157b) two UDEs that this CONTROL method will use.
These UDEs may be, for example, the PERCs 3100, 3125 shown in FIGS.
75A and 75B. The second control set 3154b may be used by "multiple
negotiation" processes to manage the negotiation, and may provide
two negotiation methods: "Negotiate1," and "Negotiate2". Both
negotiation processes may be described as required methods
("Negotiate1" and "Negotiate2") 3156, 3158 that take respective
PERCs 3100, 3125 as their inputs. The CONTROL method 3158 for this
control set in this example may specify the name of a service that
the two negotiation processes will use to communicate with each
other, and may also manage the creation of the URT resulting from
the negotiation.
[1830] When executed, the negotiation process(es) specified by the
PERC 3150 shown in FIG. 75C may be provided with the PERCs 3100,
3125 as input that will be used as the basis for negotiation. In
this example, the choice of negotiation process type (trusted or
multiple) may be made by the executing VDE node. The PERC 3150
shown in FIG. 75C might be, for example, created by a REGISTER
method in response to a register request from a user. The process
specified by this PERC 3150 may then be used by a REGISTER method
to initiate negotiation of the terms of an electronic contract.
[1831] During this example negotiation process, the PERCs 3100,
3125 shown in FIGS. 75A and 75B act as input data structures that
are compared by a component assembly created based on PERC 3150
shown in FIG. 35C. The component assembly specified by the control
sets may be assembled and compared, starting with required "terms,"
and progressing to preferred/desired "terms" and then moving on to
permitted "terms," as the negotiation continues. Method option
selections are made using the desired method and method options
specified in the PERCs 3100, 3125. In this example, a control set
for the PERC 3100 shown in FIG. 75A may be compared against the
PERC 3125 shown in FIG. 75B. If there is a "match," the negotiation
is successfully concluded and "results" are generated.
[1832] In this embodiment, the results of such negotiation will
generally be written as a URT and "signed" by the negotiation
process(es) to indicate that an agreement has been reached. These
electronic signatures provide the means to show that a (virtual)
"meeting of minds" was reached (one of the traditional legal
preconditions for a contract to exist). An example of the URT 3160
that would have been created by the above example is shown in FIG.
75D.
[1833] This URT 3160 (which may itself be a PERC 808) includes a
control set 3162 that reflects the "terms" that were "agreed upon"
in the negotiation. In this example, the "agreed upon" terms must
"match" terms required by input PERCs 3100, 3125 in the sense that
they must be "as favorable as" the terms required by those PERCs.
The negotiation result shown includes, for example, a "negotiated"
control set 3162 that in some sense corresponds to the control set
3102a of the FIG. 75A PERC 3100 and to the control set 3131a of the
FIG. 75B control set 3125. Resulting "negotiated" control set 3162
thus includes a required BUDGET method 3164 that corresponds to the
control set 3125 desired BUDGET method 3142 but which is "within"
the range of control sets allowed by control set 3100 required
BUDGET method 3112. Similarly, resulting negotiated control set
3162 includes a required AUDIT method 3166 that complies with the
requirements of both PERC 3100 required AUDIT method 3114 and PERC
3125 required AUDIT method 3135. Similarly, resulting negotiated
control set 3162 includes a required BILLING method 3170 that
"matches" or complies with each of PERC 3100 required BILLING
method 3116 and PERC 3125 required BILLING method 3170.
[1834] Another class of negotiation is one under which no rules are
fixed and only the desired goals are specified. The negotiation
processes for this type of negotiation may be very complex. It may
utilize artificial intelligence, fuzzy logic, and/or related
algorithms to reach their goals. VDE supports these types of
processes by providing a mechanism for concisely specifying rights,
control information, fields and goals (in the form of desired
rights, control information, and fields). Goals for these types of
processes might be specified as one more control sets that contain
specific elements that are tagged as optional, permitted, or
desired.
Types of Negotiations
[1835] Negotiations in the preferred embodiment may be structured
in any of the following ways: [1836] 1 shared knowledge [1837] 2
trusted negotiator [1838] 3 "zero-based" knowledge
[1839] "Shared knowledge" negotiations are based on all parties
knowing all of the rules and constraints associated with the
negotiation. Demand negotiations are a simple case of shared
knowledge negotiations; the demander presents a list of demands
that must be accepted or rejected together. The list of demands
comprises a complete set of knowledge required to accept or reject
each item on the list. VDE enables this class of negotiation to
occur electronically by providing a mechanism by which demands may
be encoded, securely passed, and securely processed between and
with secure VDE subsystems using VDE secure processing, and
communication capabilities. Other types of shared knowledge
negotiations employed by VDE involve the exchange of information
between two or more negotiating parties; the negotiation
process(es) can independently determine desired final outcome(s)
based on their independent priorities. The processes can then
negotiate over any differences. Shared knowledge negotiations may
require a single negotiation process (as in a demand type
negotiation) or may involve two or more cooperative processes.
FIGS. 76A and 76B illustrate scenarios in which one and two
negotiation processes are used in a shared knowledge
negotiation.
[1840] FIG. 76A shows a single negotiation process 3172 that takes
any number of PERCs 808 (e.g., supplied by different parties) as
inputs to the negotiation. The negotiation process 3172 executes at
a VDE node under supervision of "Negotiation Process Rules and
Control information" that may be supplied by a further PERC (e.g.,
PERC 3150 shown in FIG. 75C). The process 3172 generates one or
more PERCs/URTs 3160 as results of the negotiation.
[1841] FIG. 76B shows multiple negotiation processes 3172A-3172N
each of which takes as input a PERC 808 from a party and a further
PERC 3150 that controls the negotiation process, and each of which
generates a negotiated "result" PERC/URT 3160 as output. Processes
3172A-3172N may execute at the same or different VDE nodes and may
communicate using a "negotiation protocol."
[1842] Single and multiple negotiation processes may be used for
specific VDE sites. The negotiation processes are named, and can be
accessed using well known method names. PERCs and URTs may be
transported in administrative or smart objects to remote VDE sites
for processing at that site, as may the control PERCs and REGISTER
method that controls the negotiation.
[1843] Multiple negotiation processes require the ability to
communicate between these processes 3172; including secure
communication between secure processes that are present at
physically separate VDE sites (secure subsystems). VDE generalizes
the inter-process communication into a securely provided service
that can be used if the configuration requires it. The
inter-process communication uses a negotiation protocol to exchange
information about rule sets between processes 3172. An example of a
negotiation protocol includes the following negotiation
"primitives":
TABLE-US-00026 WANT Want a set of terms and conditions ACCEPT
Accept a set of terms and conditions REJECT Reject a set of terms
and conditions OFFER Offer a set of terms and conditions in
exchange for other terms and conditions HAVE Assert a set of terms
and conditions are possible or desirable QUIT Assert the end of the
negotiation without reaching an agreement AGREEMENT Conclude the
negotiation and pass the rule set for signature
[1844] The WANT primitive takes rights and control set (or parts of
control sets) information, and asserts to the other process(es)
3172 that the specified terms are desired or required. Demand
negotiations are a simple case of a WANT primitive being used to
assert the demand. This example of a protocol may introduce a
refined form of the WANT primitive, REQUIRE. In this example,
REQUIRE allows a party to set terms that she decides are necessary
for a contract to be formed, WANT may allow the party to set terms
that are desirable but not essential. This permits a distinction
between "must have" and "would like to have."
[1845] In this example, WANT primitives must always be answered by
an ACCEPT, REJECT, or OFFER primitive. The ACCEPT primitive permits
a negotiation process 3172 to accept a set of terms and conditions.
The REJECT primitive permits a process 3172 to reject an offered
set of terms and conditions. Rejecting a set of required terms and
conditions may terminate the negotiation. OFFER permits a
counter-offer to be made.
[1846] The HAVE, QUIT, and AGREEMENT primitives permit the
negotiation protocols to pass information about rule sets. Shared
knowledge negotiations may, for example, start with all negotiation
processes 3172A-3172N asserting HAVE (my PERC) to the other
processes. HAVE is also used when an impasse is reached and one
process 3172 needs to let the other process 3172 know about
permitted options. QUIT signals an unsuccessful end of the
negotiation without reaching an agreement, while AGREEMENT signals
a successful end of an agreement and passes the resulting
"negotiated" PERC/URT 3160 to the other process(es) 3172 for
signature.
[1847] In "trusted negotiator" negotiations, all parties provide
their demands and preferences to a "trusted" negotiator and agree
to be bound by her decision. This is similar to binding arbitration
in today's society. VDE enables this mode of negotiation by
providing an environment in which a "trusted" negotiation service
may be created. VDE provides not only the mechanism by which
demands, desires, and limits may be concisely specified (e.g., in
PERCs), but in which the PERCs may be securely transferred to a
"trusted" negotiation service along with a rule set that specifies
how the negotiation will be conducted, and by providing a secure
execution environment so that the negotiation process may not be
tampered with. Trusted negotiator services can be used at VDE sites
where the integrity of the site is well known. Remote trusted
negotiation services can be used by VDE sites that do not possess
sufficient computing resources to execute one or more negotiation
process(es); they can establish a communication link to a VDE site
that provides this service and permits the service to handle the
negotiation on their behalf.
[1848] "Zero-based" knowledge negotiations share some
characteristics of the zero-based knowledge protocols used for
authentication. It is well understood in the art how to construct a
protocol that can determine if a remote site is the holder of a
specific item without exchanging or exposing the item. This type of
protocol can be constructed between two negotiation processes
operating on at least one VDE site using a control set as their
knowledge base. The negotiation processes may exchange information
about their control sets, and may make demands and counter
proposals regarding using their individual rule sets. For example,
negotiation process A may communicate with negotiation process B to
negotiate rights to read a book. Negotiation process A specifies
that it will pay not more than $10.00 for rights to read the book,
and prefers to pay between $5.00 and $6.00 for this right. Process
A's rule set also specifies that for the $5.00 option, it will
permit the release of the reader's name and address. Process B's
rule set specifies that it wants $50.00 for rights to read the
book, and will provide the book for $5.50 if the user agrees to
release information about himself. The negotiation might go
something like this:
TABLE-US-00027 Process A <---> Process B Want (right to read,
unrestricted) ---> <--- Have(right to read, unrestricted,
$50) Offer (right to read, tender ---> user info) <---
Have(right to read, tender user info, $5.50) Accept(right to read,
tender ---> user info, $5.50)
[1849] In the above example, process A first specifies that it
desires the right to read the book without restrictions or other
information release. This starting position is specified as a
rights option in the PERC that process A is using as a rule.
Process B checks its rules and determines that an unrestricted
right to read is indeed permitted for a price of $50. It replies to
process A that these terms are available. Process A receives this
reply and checks it against the control set in the PERC it uses as
a rule base. The $50 is outside the $10 limit specified for this
control set, so Process A cannot accept the offer. It makes a
counter offer (as described in another optional rights option) of
an unrestricted right to read coupled with the release of the
reader's name and address. The name and address fields are
described in a DTD referenced by Process A's PERC. Process B checks
its rules PERC and determines that an unrestricted right to read
combined with the release of personal information is a permitted
option. It compares the fields that would be released as described
in the DTD provided by Process A against the desired fields in a
DTD in its own PERC, and determines an acceptable match has
occurred. It then sends an offer for unrestricted rights with the
release of specific information for the cost of $5.50 to Process A.
Process A compares the right, restrictions, and fields against its
rule set and determines that $5.50 is within the range of $5-$6
described as acceptable in its rule set. It accepts the offer as
made. The offer is sealed by both parties "signing" a new PERC that
describes the results of the final negotiation (unrestricted
rights, with release of user information, for $5.50). The new PERC
may be used by the owner of Process A to read the content (the
book) subject to the described terms and conditions.
Further Chain of Handling Model
[1850] As described in connection with FIG. 2, there are four (4)
"participant" instances of VDE 100 in one example of a VDE chain of
handling and control used, for example, for content distribution.
The first of these participant instances, the content creator 102,
is manipulated by the publisher, author, rights owner or
distributor of a literary property to prepare the information for
distribution to the consumer. The second participant instance, VDE
rights distributor 106, may distribute rights and may also
administer and analyze customers' use of VDE authored information.
The third participant instance, content user 112, is operated by
users (included end-users and distributors) when they use
information. The fourth participant instance, financial
clearinghouse 116 enables the VDE related clearinghouse activities.
A further participant, a VDE administrator, may provide support to
keep VDE 100 operating properly. With appropriate authorizations
and Rights Operating System components installed, any VDE
electronic appliance 600 can play any or all of these participant
roles.
[1851] Literary property is one example of raw material for VDE
100. To transfer this raw material into finished goods, the
publisher, author, or rights owner uses tools to transform digital
information (such as electronic books, databases, computer software
and movies) into protected digital packages called "objects." Only
those consumers (or others along the chain of possession such as a
redistributor) who receive permission from a distributor 106 can
open these packages. VDE packaged content can be constrained by
"rules and control information" provided by content creator 102
and/or content distributor 106--or by other VDE participants in the
content's distribution pathway, i.e., normally by participants
"closer" to the creation of the VDE secured package than the
participant being constrained.
[1852] Once the content is packaged in an "object," the digital
distribution process may begin. Since the information packages
themselves are protected, they may be freely distributed on CD-ROM
disks, through computer networks, or broadcast through cable or by
airwaves. Informal "out of channel" exchange of protected packages
among end-users does not pose a risk to the content property
rights. This is because only authorized individuals may use such
packages. In fact, such "out of channel" distribution may be
encouraged by some content providers as a marginal cost method of
market penetration. Consumers with usage authorizations (e.g., a
VISA clearinghouse budget allowing a certain dollar amount of
usage) may, for example, be free to license classes of out of
channel VDE protected packages provided to them, for example, by a
neighbor.
[1853] To open a VDE package and make use of its content, an
end-user must have permission. Distributors 106 can grant these
permissions, and can very flexibly (if permitted by senior control
information) limit or otherwise specify the ways in which package
contents may be used. Distributors 106 and financial clearinghouses
116 also typically have financial responsibilities (they may be the
same organization in some circumstances if desired). They ensure
that any payments required from end-users fulfill their own and any
other participant's requirements. This is achieved by auditing
usage.
[1854] Distributors 106 using VDE 100 may include software
publishers, database publishers, cable, television, and radio
broadcasters, and other distributors of information in electronic
form. VDE 100 supports all forms of electronic distribution,
including distribution by broadcast or telecommunications, or by
the physical transfer of electronic storage media. It also supports
the delivery of content in homogeneous form, seamlessly integrating
information from multiple distribution types with separate delivery
of permissions, control mechanisms and content.
[1855] Distributors 106 and financial clearinghouses 116 may
themselves be audited based on secure records of their
administrative activities and a chain of reliable, "trusted"
processes ensures the integrity of the overall digital distribution
process. This allows content owners, for example, to verify that
they are receiving appropriate compensation based on actual content
usage or other agreed-upon bases.
[1856] Since the end-user 112 is the ultimate consumer of content
in this example, VDE 100 is designed to provide protected content
in a seamless and transparent way--so long as the end-user stays
within the limits of the permissions she has received. The
activities of end-user 112 can be metered so that an audit can be
conducted by distributors 106. The auditing process may be filtered
and/or generalized to satisfy user privacy concerns. For example,
metered, recorded VDE content and/or appliance usage information
may be filtered prior to reporting it to distributor 106 to prevent
more information than necessary from being revealed about content
user 112 and/or her usage.
[1857] VDE 100 gives content providers the ability to recreate
important aspects of their traditional distribution strategies in
electronic form and to innovatively structure new distribution
mechanisms appropriate to their individual needs and circumstances.
VDE 100 supports relevant participants in the chain of
distribution, and also enables their desired pricing strategies,
access and redistribution permissions, usage rules, and related
administrative and analysis procedures. The reusable functional
primitives of VDE 100 can be flexibly combined by content providers
to reflect their respective distribution objectives. As a result,
content providers can feed their information into established
distribution channels and also create their own personalized
distribution channels.
[1858] A summary of the roles of the various participants of
virtual distribution environment 100 is set forth in the table
below:
TABLE-US-00028 Role Description "Traditional" Participants Content
creator Packager and initial distributor of digital information
Content owner Owner of the digital information. Distributors
Provide rights distribution services for budgets and/or content.
Auditor Provides services for processing and reducing usage based
audit trails. Clearinghouse Provides intermediate store and forward
services for content and audit information. Also, typically
provides a platform for other services, including third party
financial providers and auditors. Network provider Provides
communication services between sites and other participants.
Financial providers Provider of third party sources of electronic
funds to end-users and distributors. Examples of this class of
users are VISA, American Express, or a government. End Users
Consumers of information. Other Participants Redistributor
Redistributes rights to use content based on chain of handling
restrictions from content providers and/or other distributors. VDE
Administrator Provider of trusted services for support of VDE
nodes. Independent Audit Provider of services for processing and
Processor summarizing audit trail data. Provides anonymity to
end-users while maintaining the comprehensive audit capabilities
required by the content providers. Agents Provides distributed
presence for end-users and other VDE participants.
[1859] Of these various VDE participants, the "redistributor," "VDE
Administrator," "independent audit processor" and "agents" are, in
certain respects "new" participants that may have no counterpart in
many "traditional" business models. The other VDE participants
(i.e., content provider, content owner, distributors, auditor,
clearinghouse, network provider and financial providers) have
"traditional" business model counterparts in the sense that
traditional distribution models often included non-electronic
participants performing some of the same business roles they serve
in the virtual distribution environment 100.
[1860] VDE distributors 106 may also include "end-users" who
provide electronic information to other end-users. For example,
FIG. 77 shows a further example of a virtual distribution
environment 100 chain of handling and control provided by the
present invention. As compared to FIG. 2, FIG. 77 includes a new
"client administrator" participant 700. In addition, FIG. 77 shows
several different content users 112(1), 112(2), . . . , 112(n) that
may all be subject to the "jurisdiction" of the client
administrator 700. Client administrator 700 may be, for example, a
further rights distributor within a corporation or other
organization that distributes rights to employees or other
organization participant units (such as divisions, departments,
networks, and or groups, etc.) subject to organization-specific
"rules and control information." The client administrator 700 may
fashion rules and control information for distribution, subject to
"rules and control" specified by creator 102 and/or distributor
106.
[1861] As mentioned above, VDE administrator 116b is a trusted VDE
node that supports VDE 100 and keeps it operating properly. In this
example, VDE administrator 116b may provide, among others, any of
all of the following: [1862] VDE appliance initialization services
[1863] VDE appliance reinitialization/update services [1864] Key
management services [1865] "Hot lists" of "rogue" VDE sites [1866]
Certification authority services [1867] Public key registration
[1868] Client participant unit content budgets and other
authorizations
[1869] All participants of VDE 100 have the innate ability to
participate in any role. For example, users may gather together
existing protected packages, add (create new content) packages of
their own, and create new products. They may choose to serve as
their own distributor, or delegate this responsibility to others.
These capabilities are particularly important in the object
oriented paradigm which is entering the marketplace today. The
production of compound objects, object linking and embedding, and
other multi-source processes will create a need for these
capabilities of VDE 100. The distribution process provided by VDE
100 is symmetrical; any end-user may redistribute information
received to other end-users, provided they possess permission from
and follow the rules established by the distribution chain VDE
control information governing redistribution. End-users also may,
within the same rules and permissions restriction, encapsulate
content owned by others within newly published works and distribute
these works independently. Royalty payments for the new works may
be accessed by the publisher, distributors, or end-users, and may
be tracked and electronically collected at any stage of the
chain.
[1870] Independent financial providers can play an important role
in VDE 100. The VDE financial provider role is similar to the role
played by organizations such as VISA in traditional distribution
scenarios. In any distribution model, authorizing payments for use
of products or services and auditing usage for consistency and
irregularities, is critical. In VDE 100, these are the roles filled
by independent financial providers. The independent financial
providers may also provide audit services to content providers.
Thus, budgets or limits on use, and audits, or records of use, may
be processed by (and may also be put in place by) clearinghouses
116, and the clearinghouses may then collect usage payments from
users 112. Any VDE user 112 may assign the right to process
information or perform services on their behalf to the extend
allowed by senior control information. The arrangement by which one
VDE participant acts on behalf of another is called a "proxy."
Audit, distribution, and other important rights may be "proxied" if
permitted by the content provider. One special type of "proxy" is
the VDE administrator 116b. A VDE administrator is an organization
(which may be acting also as a financial clearinghouse 116) that
has permission to manage (for example, "intervene" to reset) some
portion or all of VDE secure subsystem control information for VDE
electronic appliances. This administration right may extend only to
admitting new appliances to a VDE infrastructure and to recovering
"crashed" or otherwise inoperable appliances, and providing
periodic VDE updates.
More on Object Creation, Distribution Methods, Budgets, and
Audits
[1871] VDE node electronic appliances 600 in the preferred
embodiment can have the ability to perform object creation,
distribution, audit collection and usage control functions provided
by the present invention. Incorporating this range of capabilities
within each of many electronic appliances 600 provided by the
preferred embodiment is important to a general goal of creating a
single (or prominent) standard for electronic transactions
metering, control, and billing, that, in its sum of installations,
constitutes a secure, trusted, virtual transaction/distribution
management environment. If, generally speaking, certain key
functions were generally or frequently missing, at least in general
purpose VDE node electronic appliances 600, then a variety of
different products and different standards would come forth to
satisfy the wide range of applications for electronic
transaction/distribution management; a single consistent set of
tools and a single "rational," trusted security and commercial
distribution environment will not have been put in place to answer
the pressing needs of the evolving "electronic highway." Certain
forms of certain electronic appliances 600 containing VDE nodes
which incorporate embedded dedicated VDE microcontrollers such as
certain forms of video cassette players, cable television
converters and the like may not necessarily have or need full VDE
capabilities. However, the preferred embodiment provides a number
of distributed, disparately located electronic appliances 600 each
of which desirably include authoring, distribution, extraction,
audit, and audit reduction capabilities, along with object
authoring capabilities.
[1872] The VDE object authoring capabilities provided by the
preferred embodiment provides an author, for example, with a
variety of menus for incorporating methods in a VDE object 300,
including: [1873] menus for metering and/or billing methods which
define how usage of the content portion of a VDE object is to be
controlled, [1874] menus related to extraction methods for limiting
and/or enabling users of a VDE object from extracting information
from that object, and may include placing such information in a
newly created and/or pre-existing VDE content container, [1875]
menus for specifying audit methods--that is, whether or not certain
audit information is to be generated and communicated in some
secure fashion back to an object provider, object creator,
administrator, and/or clearinghouse, and [1876] menus for
distribution methods for controlling how an object is distributed,
including for example, controlling distribution rights of different
participant's "down" a VDE chain of content container handling
[1877] The authoring capabilities may also include procedures for
distributing administrative budgets, object distribution control
keys, and audit control keys to distributors and other VDE
participants who are authorized to perform distribution and/or
auditing functions on behalf of the author, distributors, and/or
themselves. The authoring capabilities may also include procedures
for selecting and distributing distribution methods, audit methods
and audit reduction methods, including for example, securely
writing and/or otherwise controlling budgets for object
redistribution by distributors to subsequent VDE chain of content
handling participants.
[1878] The content of an object 300 created by an author may be
generated with the assistance of a VDE aware application program or
a non-VDE aware application program. The content of the object
created by an author in conjunction with such programs may include
text, formatted text, pictures, moving pictures, sounds, computer
software, multimedia, electronic games, electronic training
materials, various types of files, and so on, without limitation.
The authoring process may encapsulate content generated by the
author in an object, encrypt the content with one or more keys, and
append one or more methods to define parameters of allowed use
and/or required auditing of use and/or payment for use of the
object by users (and/or by authorized users only). The authoring
process may also include some or all aspects of distributing the
object.
[1879] In general, in the preferred embodiment, an author can:
[1880] A. Specify what content is to be included in an object.
[1881] B. Specify content oriented methods including: [1882]
Information--typically abstract, promotional, identifying,
scheduling, and/or other information related to the content and/or
author [1883] Content--e.g. list of files and/or other information
resources containing content, time variables, etc. [1884] C.
Specify control information (typically a collection of methods
related to one another by one or more permissions records,
including any method defining variables) and any initial authorized
user list including, for example: [1885] Control information over
Access & Extraction [1886] Control information over
Distribution [1887] Control information over Audit Processing
[1888] A VDE node electronic appliance 600 may, for example,
distribute an object on behalf of an object provider if a VDE node
receives from an object provider administrative budget information
for distributing the object and associated distribution key
information.
[1889] A VDE node electronic appliance 600 may receive and process
audit records on behalf of an object provider if that VDE node
receives any necessary administrative budget, audit method, and
audit key information (used, for example, to decrypt audit trails),
from the object provider. An auditing-capable VDE electronic
appliance 600 may control execution of audit reduction methods.
"Audit reduction" in the preferred embodiment is the process of
extracting information from audit records and/or processes that an
object provider (e.g., any object provider along a chain of
handling of the object) has specified to be reported to an object's
distributors, object creators, client administrators, and/or any
other user of audit information. This may include, for example,
advertisers who may be required to pay for a user's usage of object
content. In one embodiment, for example, a clearinghouse can have
the ability to "append" budget, audit method, and/or audit key
information to an object or class or other grouping of objects
located at a user site or located at an object provider site to
ensure that desired audit processes will take place in a "trusted"
fashion. A participant in a chain of handling of a VDE content
container and/or content container control information object may
act as a "proxy" for another party in a chain of handling of usage
auditing information related to usage of object content (for
example a clearinghouse, an advertiser, or a party interested in
market survey and/or specific customer usage information). This may
be done by specifying, for that other party, budget, audit method,
and/or key information that may be necessary to ensure audit
information is gathered and/or provided to, in a proper manner,
said additional party. For example, employing specification
information provided by said other party.
Object Creation and Initial Control Structures
[1890] The VDE preferred embodiment object creation and control
structure design processes support fundamental configurability of
control information. This enables VDE 100 to support a full range
of possible content types, distribution pathways, usage control
information, auditing requirements, and users and user groups. VDE
object creation in the preferred embodiment employs VDE templates
whose atomic elements represent at least in part modular control
processes. Employing VDE creation software (in the preferred
embodiment a GUI programming process) and VDE templates, users may
create VDE objects 300 by, for example, partitioning the objects,
placing "meta data" (e.g., author's name, creation date, etc.) into
them, and assigning rights associated with them and/or object
content to, for example, a publisher and/or content creator. When
an object creator runs through this process, she normally will go
through a content specification procedure which will request
required data. The content specification process, when satisfied,
may proceed by, for example, inserting data into a template and
encapsulating the content. In addition, in the preferred
embodiment, an object may also automatically register its presence
with the local VDE node electronic appliance 600 secure subsystem,
and at least one permissions record 808 may be produced as a result
of the interaction of template instructions and atomic methods, as
well as one or more pieces of control structure which can include
one or more methods, budgets, and/or etc. A registration process
may require a budget to be created for the object. If an object
creation process specifies an initial distribution, an
administrative object may also be created for distribution. The
administrative object may contain one or more permission records
808, other control structures, methods, and/or load modules.
[1891] Permissions records 808 may specify various control
relationships between objects and users. For example, VDE 100
supports both single access (e.g., one-to-one relationship between
a user and a right user) and group access (any number of people may
be authorized as a group). A single permissions record 808 can
define both single and group access. VDE 100 may provide "sharing,"
a process that allows multiple users to share a single control
budget as a budget. Additional control structure concepts include
distribution, redistribution, and audit, the latter supporting
meter and budget information reduction and/or transfer. All of
these processes are normally securely controlled by one or more VDE
secure subsystems.
Templates and Classes
[1892] VDE templates, classes, and flexible control structures
support frameworks for organizations and individuals that create,
modify, market, distribute, redistribute, consume, and otherwise
use movies, audio recordings and live performances, magazines,
telephony based retail sales, catalogs, computer software,
information databases, multimedia, commercial communications,
advertisements, market surveys, infomercials, games, CAD/CAM
services for numerically controlled machines, and the like. As the
context surrounding these classes changes or evolves, the templates
provided by the preferred embodiment of the present invention can
be modified to meet these changes for broad use, or more focused
activities.
[1893] VDE 100 authoring may provide three inputs into a create
process: Templates, user input and object content. Templates act as
a set of control instructions and/or data for object control
software which are capable of creating (and/or modifying) VDE
objects in a process that interacts with user instructions and
provided content to create a VDE object. Templates are usually
specifically associated with object creation and/or control
structures. Classes represent user groups which can include
"natural" groups within an organization, such as department
members, specific security clearance levels, etc., or ad hoc lists
of individual's and/or VDE nodes.
[1894] For example, templates may be represented as text files
defining specific structures and/or component assemblies.
Templates, with their structures and/or component assemblies may
serve as VDE object authoring or object control applications. A
creation template may consist of a number of sub-templates, which,
at the lowest level, represent an "atomic level" of description of
object specification. Templates may present one or more models that
describe various aspects of a content object and how the object
should be created including employing secure atomic methods that
are used to create, alter, and/or destroy permissions records 808
and/or associated budgets, etc.
[1895] Templates, classes (including user groups employing an
object under group access), and flexible control structures
including object "independent" permissions records (permissions
that can be associated with a plurality of objects) and structures
that support budgeting and auditing as separate VDE processes, help
focus the flexible and configurable capabilities inherent within
authoring provided by the present invention in the context of
specific industries and/or businesses and/or applications. VDE
rationalizes and encompasses distribution scenarios currently
employed in a wide array of powerful industries (in part through
the use of application or industry specific templates). Therefore,
it is important to provide a framework of operation and/or
structure to allow existing industries and/or applications and/or
businesses to manipulate familiar concepts related to content
types, distribution approaches, pricing mechanisms, user
interactions with content and/or related administrative activities,
budgets, and the like.
[1896] The VDE templates, classes, and control structures are
inherently flexible and configurable to reflect the breadth of
information distribution and secure storage requirements, to allow
for efficient adaptation into new industries as they evolve, and to
reflect the evolution and/or change of an existing industry and/or
business, as well as to support one or more groups of users who may
be associated with certain permissions and/or budgets and object
types. The flexibility of VDE templates, classes, and basic control
structures is enhanced through the use of VDE aggregate and control
methods which have a compound, conditional process impact on object
control. Taken together, and employed at times with VDE
administrative objects and VDE security arrangements and processes,
the present invention truly achieves a content control and auditing
architecture that can be configured to most any commercial
distribution embodiment. Thus, the present invention fully supports
the requirements and biases of content providers without forcing
them to fit a predefined application model. It allows them to
define the rights, control information, and flow of their content
(and the return of audit information) through distribution
channels.
Modifying Object Content (Adding, Hiding, Modifying, Removing
and/or Extending)
[1897] Adding new content to objects is an important aspect of
authoring provided by the present invention. Providers may wish to
allow one or more users to add, hide, modify, remove and/or extend
content that they provide. In this way, other users may add value
to, alter for a new purpose, maintain, and/or otherwise change,
existing content. The ability to add content to an empty and/or
newly created object is important as well.
[1898] When a provider provides content and accompanying control
information, she may elect to add control information that enables
and/or limits the addition, modification, hiding and/or deletion of
said content. This control information may concern: [1899] the
nature and/or location of content that may be added, hidden,
modified, and/or deleted; [1900] portions of content that may be
modified, hidden, deleted and/or added to; [1901] required secure
control information over subsequent VDE container content usage in
a chain of control and/or locally to added, hidden, and/or modified
content; [1902] requirements that provider-specified notices and/or
portions of content accompany added, hidden, deleted and/or
modified content and/or the fact that said adding, hiding,
modification and/or deletion occurred; [1903] secure management of
limitations and/or requirements concerning content that may be
removed, hidden and/or deleted from content, including the amount
and/or degree of addition, hiding, modification and/or deletion of
content; [1904] providing notice to a provider or providers that
modification, hiding, addition and/or deletion has occurred and/or
the nature of said occurrence; and [1905] other control information
concerned with modification, addition, hiding, and/or deleting
provider content.
[1906] A provider may use this control information to establish an
opportunity for other users to add value to and/or maintain
existing content in a controlled way. For example, a provider of
software development tools may allow other users to add commentary
and/or similar and/or complementary tools to their provided
objects. A provider of movies may allow commentary and/or
promotional materials to be added to their materials. A provider of
CAD/CAM specifications to machine tool owners may allow other users
to modify objects containing instructions associated with a
specification to improve and/or translate said instructions for use
with their equipment. A database owner may allow other users to add
and/or remove records from a provided database object to allow
flexibility and/or maintenance of the database.
[1907] Another benefit of introducing control information is the
opportunity for a provider to allow other users to alter content
for a new purpose. A provider may allow other users to provide
content in a new setting.
[1908] To attach this control information to content, a provider
may be provided with, or if allowed, design and implement, a method
or methods for an object that govern addition, hiding, modification
and/or deletion of content. Design and implementation of such one
or more methods may be performed using VDE software tools in
combination with a PPE 650. The provider may then attach the
method(s) to an object and/or provide them separately. A
permissions record 808 may include requirements associated with
this control information in combination with other control
information, or a separate permissions record 808 may be used.
[1909] An important aspect of adding or modifying content is the
choice of encryption/decryption keys and/or other relevant aspects
of securing new or altered content. The provider may specify in
their method(s) associated with these processes a technique or
techniques to be used for creating and/or selecting the
encryption/decryption keys and/or other relevant aspect of securing
new and/or altered content. For example, the provider may include a
collection of keys, a technique for generating new keys, a
reference to a load module that will generate keys, a protocol for
securing content, and/or other similar information.
[1910] Another important implication is the management of new keys,
if any are created and/or used. A provider may require that such
keys and reference to which keys were used must be transmitted to
the provider, or she may allow the keys and/or securing strategy to
remain outside a provider's knowledge and/or control. A provider
may also choose an intermediate course in which some keys must be
transmitted and others may remain outside her knowledge and/or
control.
[1911] An additional aspect related to the management of keys is
the management of permissions associated with an object resulting
from the addition, hiding, modification and/or deletion of content.
A provider may or may not allow a VDE chain of control information
user to take some or all of the VDE rules and control information
associated with granting permissions to access and/or manipulate
VDE managed content and/or rules and control information associated
with said resulting object. For example, a provider may allow a
first user to control access to new content in an object, thereby
requiring any other user of that portion of content to receive
permission from the first user. This may or may not, at the
provider's discretion, obviate the need for a user to obtain
permission from the provider to access the object at all.
[1912] Keys associated with addition, modification, hiding and/or
deletion may be stored in an independent permissions record or
records 808. Said permissions record(s) 808 may be delivered to a
provider or providers and potentially merged with an existing
permissions record or records, or may remain solely under the
control of the new content provider. The creation and content of an
initial permissions record 808 and any control information over the
permissions record(s) are controlled by the method(s) associated
with activities by a provider. Subsequent modification and/or use
of said permission record(s) may involve a provider's method(s),
user action, or both. A user's ability to modify and/or use
permissions record(s) 808 is dependent on, at least in part, the
senior control information associated with the permissions
record(s) of a provider.
Distribution Control information
[1913] To enable a broad and flexible commercial transaction
environment, providers should have the ability to establish firm
control information over a distribution process without unduly
limiting the possibilities of subsequent parties in a chain of
control. The distribution control information provided by the
present invention allow flexible positive control. No provider is
required to include any particular control, or use any particular
strategy, except as required by senior control information. Rather,
the present invention allows a provider to select from generic
control components (which may be provided as a subset of components
appropriate to a provider's specific market, for example, as
included in and/or directly compatible with, a VDE application) to
establish a structure appropriate for a given chain of
handling/control. A provider may also establish control information
on their control information that enable and limit modifications to
their control information by other users.
[1914] The administrative systems provided by the present invention
generate administrative "events." These "events" correspond to
activities initiated by either the system or a user that correspond
to potentially protected processes within VDE. These processes
include activities such as copying a permissions record, copying a
budget, reading an audit trail record, copying a method, updating a
budget, updating a permissions record, updating a method, backing
up management files, restoring management files, and the like.
Reading, writing, modifying, updating, processing, and/or deleting
information from any portion of any VDE record may be
administrative events. An administrative event may represent a
process that performs one or more of the aforementioned activities
on one or more portions of one or more records.
[1915] When a VDE electronic appliance 600 encounters an
administrative event, that event is typically processed in
conjunction with a VDE PPE 650. As in the case of events generally
related to access and/or use of content, in most cases
administrative events are specified by content providers
(including, for example, content creators, distributors, and/or
client administrators) as an aspect of a control specified for an
object, group and/or class of objects.
[1916] For example, if a user initiates a request to distribute
permission to use a certain object from a desktop computer to a
notebook computer, one of the administrative events generated may
be to create a copy of a permissions record that corresponds to the
object. When this administrative event is detected by ROS 602, an
EVENT method for this type of event may be present. If an EVENT
method is present, there may also be a meter, a billing, and a
budget associated with the EVENT method. Metering, billing, and
budgeting can allow a provider to enable and limit the copying of a
permissions record 808.
[1917] For example, during the course of processing a control
program, a meter, a billing, and a budget and/or audit records may
be generated and/or updated. Said audit records may record
information concerning circumstances surrounding an administrative
event and processing of said event. For example, an audit record
may contain a reference to a user and/or system activity that
initiated an event, the success or failure of processing said
event, the date and/or time, and/or other relevant information.
[1918] Referring to the above example of a user with both a desktop
and notebook computer, the provider of a permissions record may
require an audit record each time a meter for copying said
permissions record is processed. The audit record provides a
flexible and configurable control and/or recording environment
option for a provider.
[1919] In some circumstances, it may be desirable for a provider to
limit which aspects of a control component may be modified,
updated, and/or deleted. "Atomic element definitions" may be used
to limit the applicability of events (and therefore the remainder
of a control process, if one exists) to certain "atomic elements"
of a control component. For example, if a permissions record 808 is
decomposed into "atomic elements" on the fields described in FIG.
26, an event processing chain may be limited, for example, to a
certain number of modifications of expiration date/time information
by specifying only this field in an atomic element definition. In
another example, a permissions record 808 may be decomposed into
atomic elements based on control sets. In this example, an event
chain may be limited to events that act upon certain control
sets.
[1920] In some circumstances, it may be desirable for a provider to
control how administrative processes are performed. The provider
may choose to include in distribution records stored in secure
database 610 information for use in conjunction with a component
assembly 690 that controls and specifies, for example, how
processing for a given event in relation to a given method and/or
record should be performed. For example, if a provider wishes to
allow a user to make copies of a permissions record 808, she may
want to alter the permissions record internally. For example, in
the earlier example of a user with a desktop and a notebook
computer, a provider may allow a user to make copies of information
necessary to enable the notebook computer based on information
present in the desktop computer, but not allow any further copies
of said information to be made by the notebook VDE node. In this
example, the distribution control structure described earlier would
continue to exist on the desktop computer, but the copies of the
enabling information passed to the notebook computer would lack the
required distribution control structure to perform distribution
from the notebook computer. Similarly, a distribution control
structure may be provided by a content provider to a content
provider who is a distributor in which a control structure would
enable a certain number of copies to be made of a VDE content
container object along with associated copies of permissions
records, but the permissions records would be altered (as per
specification of the content provider, for example) so as not to
allow end-users who received distributor created copies from making
further copies for distribution to other VDE nodes.
[1921] Although the preceding example focuses on one particular
event (copying) under one possible case, similar processes may be
used for reading, writing, modifying, updating, processing, and/or
deleting information from records and/or methods under any control
relationship contemplated by the present invention. Other examples
include: copying a budget, copying a meter, updating a budget,
updating a meter, condensing an audit trail, and the like.
Creating Custom Methods
[1922] In the preferred embodiment of the present invention,
methods may be created "at will," or aliased to an other method.
These two modes contribute to the superior configurability,
flexibility, and positive control of the VDE distribution process.
Generally, creating a method involves specifying the required
attributes or parameters for the data portion of the method, and
then "typing" the method. The typing process typically involves
choosing one or more load modules to process any data portions of a
method. In addition to the method itself, the process of method
creation may also result in a method option subrecord for inclusion
in, or modification of, a permissions record, and a notation in the
distribution records. In addition to any "standard" load module(s)
required for exercise of the method, additional load modules, and
data for use with those load modules, may be specified if allowed.
These event processing structures control the distribution of the
method.
[1923] For example, consider the case of a security budget. One
form of a typical budget might limit the user to 10 Mb of decrypted
data per month. The user wishes to move their rights to use the
relevant VDE content container object to their notebook. The budget
creator might have limited the notebook to the same amount, half
the original amount, a prorated amount based on the number of moves
budgeted for an object, etc. A distribute method (or internal event
processing structure) associated with the budget allows the creator
of the budget to make a determination as to the methodology and
parameters involved. Of course, different distribution methods may
be required for the case of redistribution, or formal distribution
of the method. The aggregate of these choices is stored in a
permissions record for the method.
[1924] An example of the process steps used for the move of a
budget record might look something like this: [1925] 1) Check the
move budget (e.g., to determine the number of moves allowed) [1926]
2) Copy static fields to new record (e.g., as an encumbrance)
[1927] 3) Decrement the Decr counter in the old record (the
original budget) [1928] 4) Increment the Encumbrance counter in the
old record [1929] 5) Write a distribution record [1930] 6) Write a
Distribution Event Id to the new record [1931] 7) Increment the
move meter [1932] 8) Decrement the move budget [1933] 9) Increment
the Decr counter in the new record
Creating a Budget
[1934] In the preferred embodiment, to create a budget, a user
manipulates a Graphical User Interface budget distribution
application (e.g., a VDE template application). The user fills out
any required fields for type(s) of budget, expiration cycle(s),
auditor(s), etc. A budget may be specified in dollars, deutsche
marks, yen, and/or in any other monetary or content measurement
schema and/or organization. The preferred embodiment output of the
application, normally has three basic elements. A notation in the
distribution portion of secure database 610 for each budget record
created, the actual budget records, and a method option record for
inclusion in a permissions record. Under some circumstances, a
budget process may not result in the creation of a method option
since an existing method option may be being used. Normally, all of
this output is protected by storage in secure database 610 and/or
in one or more administrative objects.
[1935] There are two basic modes of operation for a budget
distribution application in the preferred embodiment. In the first
case, the operator has an unlimited ability to specify budgets. The
budgets resulting from this type of activity may be freely used to
control any aspect of a distribution process for which an operator
has rights, including for use with "security" budgets such as
quantities limiting some aspect of usage. For example, if the
operator is a "regular person," he may use these budgets to control
his own utilization of objects based on a personal accounting model
or schedule. If the operator is an authorized user at VISA, the
resulting budgets may have broad implications for an entire
distribution system. A core idea is that this mode is controlled
strictly by an operator.
[1936] The second mode of operation is used to create "alias"
budgets. These budgets are coupled to a preexisting budget in an
operator's system. When an operator fills a budget, an encumbrance
is created on the aliased budget. When these types of budgets are
created, the output includes two method option subrecords coupled
together: the method option subrecord for the aliased budget, and a
method option subrecord for the newly created budget. In most
cases, the alias budget can be used in place of the original budget
if the budget creator is authorized to modify the method options
within the appropriate required method record of a permissions
record.
[1937] For example, assume that a user (client administrator) at a
company has the company's VISA budget on her electronic appliance
600. She wants to distribute budget to a network of company users
with a variety of preexisting budgets and requirements. She also
wants to limit use of the company's VISA budget to certain objects.
To do this, she aliases a company budget to the VISA budget. She
then modifies (if so authorized) the permissions record for all
objects that the company will allow their users to manipulate so
that they recognize the company budget in addition to, or instead
of, the VISA budget. She then distributes the new permissions
records and budgets to her users. The audit data from these users
is then reduced against the encumbrance on the company's VISA
budget to produce a periodic billing
[1938] In another example, a consumer wants to control his family's
electronic appliance use of his VISA card, and prevent his children
from playing too many video games, while allowing unlimited use of
encyclopedias. In this case, he could create two budgets. The first
budget can be aliased to his VISA card, and might only be used with
encyclopedia objects (referenced to individual encyclopedia objects
and/or to one or more classes of encyclopedia objects) that
reference the aliased budget in their explicitly modified
permissions record. The second budget could be, for example, a time
budget that he redistributes to the family for use with video game
objects (video game class). In this instance, the second budget is
a "self-replenishing" security/control budget, that allows, for
example, two hours of use per day. The first budget operates in the
same manner as the earlier example. The second budget is added as a
new required method to permissions records for video games. Since
the time budget is required to access the video games, an effective
control path is introduced for requiring the second budget--only
permissions records modified to accept the family budget can be
used by the children for video games and they are limited to two
hours per day.
Sharing and Distributing Rights and Budgets
[1939] Move
[1940] The VDE "move" concept provided by the preferred embodiment
covers the case of "friendly sharing" of rights and budgets. A
typical case of "move" is a user who owns several machines and
wishes to use the same objects on more than one of them. For
example, a user owns a desktop and a notebook computer. They have a
subscription to an electronic newspaper that they wish to read on
either machine, i.e., the user wishes to move rights from one
machine to the other.
[1941] An important concept within "move" is the idea of
independent operation. Any electronic appliance 600 to which rights
have been moved may contact distributors or clearinghouses
independently. For example, the user mentioned above may want to
take their notebook on the road for an extended period of time, and
contact clearinghouses and distributors without a local connection
to their desktop.
[1942] To support independent operation, the user should be able to
define an account with a distributor or clearinghouse that is
independent of the electronic appliance 600 she is using to
connect. The transactions must be independently traceable and
reconcilable among and between machines for both the end user and
the clearinghouse or distributor. The basic operations of moving
rights, budgets, and bitmap or compound meters between machines is
also supported.
[1943] Redistribution
[1944] Redistribution forms a UDE middle ground between the
"friendly sharing" of "move," and formal distribution.
Redistribution can be thought of as "anonymous distribution" in the
sense that no special interaction is required between a creator,
clearinghouse, or distributor and a redistributor. Of course, a
creator or distributor does have the ability to limit or prevent
redistribution.
[1945] Unlike the "move" concept, redistribution does not imply
independent operation. The redistributor serves as one point of
contact for users receiving redistributed rights and/or budgets,
etc. These users have no knowledge of, or access to, the
clearinghouse (or and/or distributor) accounts of the
redistributor. The redistributor serves as an auditor for the
rights and/or budgets, etc. that they redistribute, unless
specifically overridden by restrictions from distributors and/or
clearinghouses. Since redistributees (recipients of redistributed
rights and/or budgets, etc.) would place a relatively
unquantifiable workload on clearinghouses, and furthermore, since a
redistributor would be placing himself at an auditable risk
(responsible for all redistributed rights and/or budgets, etc.),
the audit of rights, budgets, etc. of redistributees by
redistributors is assumed as the default case in the preferred
embodiment.
[1946] Distribution
[1947] Distribution involves three types of entity. Creators
usually are the source of distribution. They typically set the
control structure "context" and can control the rights which are
passed into a distribution network. Distributors are users who form
a link between object (content) end users and object (content)
creators. They can provide a two-way conduit for rights and audit
data. Clearinghouses may provide independent financial services,
such as credit and/or billing services, and can serve as
distributors and/or creators. Through a permissions and budgeting
process, these parties collectively can establish fine control over
the type and extent of rights usage and/or auditing activities.
[1948] Encumbrance
[1949] An "encumbrance" is a special type of VDE budget. When that
a budget distribution of any type occurs, an "encumbrance" may be
generated. An encumbrance is indistinguishable from an original
budget for right exercise (e.g., content usage payment) purposes,
but is uniquely identified within distribution records as to the
amount of the encumbrance, and all necessary information to
complete a shipping record to track the whereabouts of an
encumbrance. For right exercise purposes, an encumbrance is
identical to an original budget; but for tracking purposes, it is
uniquely identifiable.
[1950] In the preferred embodiment of the present invention, a
Distribution Event ID will be used by user VDE nodes and by
clearinghouse services to track and reconcile encumbrances, even in
the case of asynchronous audits. That is, the "new" encumbrance
budget is unique from a tracking point of view, but
indistinguishable from a usage point of view.
[1951] Unresolved encumbrances are a good intermediate control for
a VDE distribution process. A suitable "grace period" can be
introduced during which encumbrances must be resolved. If this
period elapses, an actual billing or payment may occur. However,
even after the interval has expired and the billing and/or payment
made, an encumbrance may still be outstanding and support later
reconciliation. In this case, an auditor may allow a user to gain a
credit, or a user may connect to a VDE node containing an
encumbered budget, and resolve an amount as an internal credit. In
some cases, missing audit trails may concern a distributor
sufficiently to revoke redistribution privileges if encumbrances
are not resolved within a "grace period," or if there are repeated
grace period violations or if unresolved encumbrances are
excessively large.
[1952] Encumbrances can be used across a wide variety of
distribution modes. Encumbrances, when used in concert with
aliasing of budgets, opens important additional distribution
possibilities. In the case of aliasing a budget, the user places
himself in the control path for an object--an aliased budget may
only be used in conjunction with permissions records that have been
modified to recognize it. An encumbrance has no such
restrictions.
[1953] For example, a user may want to restrict his children's use
of his electronic, VDE node VISA budget. In this case, the user can
generate an encumbrance on his VISA budget for the children's
family alias budget, and another for his wife that is a transparent
encumbrance of the original VISA budget. BigCo may use a similar
mechanism to distribute VISA budget to department heads, and
aliased BigCo budget to users directly.
[1954] Account Numbers and User IDs
[1955] In the preferred embodiment, to control access to
clearinghouses, users are assigned account numbers at
clearinghouses. Account numbers provide a unique "instance" value
for a secure database record from the point of view of an outsider.
From the point of view of an electronic appliance 600 site, the
user, group, or group/user ids provide the unique instance of a
record. For example, from the point of view of VISA, your Gold Card
belongs to account number #123456789. From the point of view of the
electronic appliance site (for example, a server at a corporation),
the Gold card might belong to user id 1023. In organizations which
have plural users and/or user groups using a VDE node, such users
and/or user groups will likely be assigned unique user IDs.
Differing budgets and/or other user rights may be assigned to
different users and/or user groups and/or other VDE control
information may be applied on a differing manner to electronic
content and/or appliance usage by users assigned with different
such IDs. Of course, both a clearinghouse and a local site will
likely have both pieces of information, but "used data" versus the
"comment data" may differ based on perspective.
[1956] In the preferred embodiment case of "move," an account
number stored with rights stays the same. In the preferred
embodiment of other forms of distribution, a new account number is
required for a distributee. This may be generated automatically by
the system, or correspond to a methodology developed by a
distributor or redistributor. Distributors maintain account numbers
(and associated access secrets) in their local name services for
each distributee. Conversely, distributees' name services may store
account numbers based on user id for each distributor. This record
usually is moved with other records in the case of move, or is
generated during other forms of distribution.
[1957] Organizations (including families) may automatically assign
unique user IDs when creating control information (e.g., a budget)
for a new user or user group.
[1958] Requirements Record
[1959] In order to establish the requirements, and potentially
options, for exercising a right associated with a VDE content
container object before one or more required permissions records
are received for that object, a requirements record may exist in
the private header of such an object. This record will help the
user establish what they have, and what they need from a
distributor prior to forming a connection. If the requirements or
possibilities for exercising a particular right have changed since
such an object was published, a modified requirements record may be
included in a container with an object (if available and allowed),
or a new requirements record may be requested from a distributor
before registration is initiated. Distributors may maintain
"catalogs" online, and/or delivered to users, of collections of
requirements records and/or descriptive information corresponding
to objects for which they may have ability to obtain and/or grant
rights to other users.
Passing an Audit
[1960] In the preferred embodiment of VDE there may be at least two
types of auditing. In the case of budget distribution, billing
records that reflect consumption of a budget generally need to be
collected and processed. In the case of permissions distribution,
usage data associated with an object are also frequently
required.
[1961] In order to effect control over an object, a creator may
establish the basic control information associated with an object.
This is done in the formulation of permissions, the distribution of
various security, administrative and/or financial budgets, and the
level of redistribution that is allowed, etc. Distributors (and
redistributors) may further control this process within the rights,
budgets, etc. (senior control information) they have received.
[1962] For example, an object creator may specify that additional
required methods may be added freely to their permissions records,
establish no budget for this activity, and allow unlimited
redistribution of this right. As an alternative example, a creator
may allow moving of usage rights by a distributor to half a dozen
subdistributors, each of whom can distribute 10,000 copies, but
with no redistribution rights being allowed to be allocated to
subdistributors' (redistributors') customers. As another example, a
creator may authorize the moving of usage rights to only 10 VDE
nodes, and to only one level of distribution (no redistribution).
Content providers and other contributors of control information
have the ability through the use of permissions records and/or
component assemblies to control rights other users are authorized
to delegate in the permissions records they send to those users, so
long as such right to control one, some, or all such rights of
other users is either permitted or restricted (depending on the
control information distribution model). It is possible and often
desirable, using VDE, to construct a mixed model in which a
distributor is restricted from controlling certain rights of
subsequent users and is allowed to control other rights. VDE
control of rights distribution in some VDE models will in part or
whole, at least for certain one or more "levels" of a distribution
chain, be controlled by electronic content control information
providers who are either not also providers of the related content
or provide only a portion of the content controlled by said content
control information. For example, in certain models, a
clearinghouse might also serve as a rights distribution agent who
provides one or more rights to certain value chain participants,
which one or more rights may be "attached" to one or more rights to
use the clearinghouse's credit (if said clearinghouse is, at least
in part, a financial clearinghouse (such a control information
provider may alternatively, or in addition, restrict other users'
rights.
[1963] A content creator or other content control information
provider may budget a user (such as a distributor) to create an
unlimited number of permissions records for a content object, but
revoke this right and/or other important usage rights through an
expiration/termination process if the user does not report his
usage (provide an audit report) at some expected one or more points
in time and/or after a certain interval of time (and/or if the user
fails to pay for his usage or violates other aspects of the
agreement between the user and the content provider). This
termination (or suspension or other specified consequence) can be
enforced, for example, by the expiration of time-aged encryption
keys which were employed to encrypt one or more aspects of control
information. This same termination (or other specified consequence
such as budget reduction, price increase, message displays on
screen to users, messages to administrators, etc.) can also be the
consequence of the failure by a user or the users VDE installation
to complete a monitored process, such as paying for usage in
electronic currency, failure to perform backups of important stored
information (e.g., content and/or appliance usage information,
control information, etc.), failure to use a repeated failure to
use the proper passwords or other identifiers, etc.).
[1964] Generally, the collection of audit information that is
collected for reporting to a certain auditor can be enforced by
expiration and/or other termination processes. For example, the
user's VDE node may be instructed (a) from an external source to no
longer perform certain tasks, (b) carries within its control
structure information informing it to no longer perform certain
tasks, or (c) is elsewise no longer able to perform certain tasks.
The certain tasks might comprise one or more enabling operations
due to a user's (or installation's) failure to either report said
audit information to said auditor and/or receive back a secure
confirmation of receipt and/or acceptance of said audit
information. If an auditor fails to receive audit information from
a user (or some other event fails to occur or occur properly), one
or more time-aged keys which are used, for example, as a security
component of an embodiment of the present invention, may have their
aging suddenly accelerated (completed) so that one or more
processes related to said time-aged keys can no longer be
performed.
Authorization Access Tags and Modification Access Tags
[1965] In order to enable a user VDE installation to pass audit
information to a VDE auditing party such as a Clearinghouse, VDE
allows a VDE auditing party to securely, electronically communicate
with the user VDE installation and to query said installation for
certain or all information stored within said installation's secure
sub-system, depending on said auditing party's rights (said party
shall normally be unable to access securely stored information that
said party is not expressly authorized to access, that is one
content provider will normally not be authorized to access content
usage information related to content provided by a different
content provider). The auditing party asserts a secure secret
(e.g., a secure tag) that represents the set of rights of the
auditor to access certain information maintained by said subsystem.
If said subsystem validates said tag, the auditing party may then
receive auditing information that it is allowed to request and
receive.
[1966] Great flexibility exists in the enforcement of audit trail
requirements. For example, a creator (or other content provider or
control information provider or auditor in an object's or audit
report's chain of handling) may allow changes by an auditor for
event trails, but not allow anyone but themselves to read those
trails, and limit the redistribution of this right to, for example,
six levels. Alternatively, a creator or other controlling party may
give a distributor the right to process, for example, 100,000 audit
records (and/or, for example, the right to process 12 audit records
from a given user) before reporting their usage. If a creator or
other controlling party desires, he may allow (and/or require)
separate (and containing different, a subset of, overlapping, or
the same information) audit "packets" containing audit information,
certain of said audit information to be processed by a distributor
and certain other of said audit information to be passed back to
the creator and/or other auditors (each receiving the same,
overlapping, a subset of, or different audit information).
Similarly, as long as allowed by, for example, an object creator, a
distributor (or other content and/or control information provider)
may require audit information to be passed back to it, for example,
after every 50,000 audit records are processed (or any other unit
of quantity and/or after a certain time interval and/or at a
certain predetermined date) by a redistributor. In the preferred
embodiment, audit rules, like other control structures, may be
stipulated at any stage of a distribution chain of handling as long
as the right to stipulate said rules has not been restricted by a
more "senior" object and/or control information distributing (such
as an auditing) participant.
[1967] Audit information that is destined for different auditors
may be encrypted by different one or more encryption keys which
have been securely provided by each auditor's VDE node and
communicated for inclusion in a user's permissions record(s) as a
required step, for example, during object registration. This can
provide additional security to further ensure (beyond the use of
passwords and/or other identification information and other VDE
security features) that an auditor may only access audit
information to which he is authorized. In one embodiment, encrypted
(and/or unencrypted) "packets" of audit information (for example,
in the form of administrative objects) may be bound for different
auditors including a clearinghouse and/or content providers and/or
other audit information users (including, for example, market
analysts and/or list purveyors). The information may pass
successively through a single chain of handling, for example, user
to clearinghouse to redistributor to distributor to
publisher/object creator, as specified by VDE audit control
structures and parameters. Alternatively, encrypted (or, normally
less preferably, unencrypted) audit packets may be required to be
dispersed directly from a user to a plurality of auditors, some one
or more who may have the responsibility to "pass along" audit
packets to other auditors. In another embodiment, audit information
may be passed, for example, to a clearinghouse, which may then
redistribute all and/or appropriate subsets of said information
(and/or some processed result) to one or more other parties, said
redistribution employing VDE secure objects created by said
clearinghouse.
[1968] An important function of an auditor (receiver of audit
information) is to pass administrative events back to a user VDE
node in acknowledgement that audit information has been received
and/or "recognized." In the preferred embodiment, the receipt
and/or acceptance of audit information may be followed by two
processes. The first event will cause the audit data at a VDE node
which prepared an audit report to be deleted, or compressed into,
or added to, one or more summary values. The second event, or set
of events, will "inform" the relevant security (for example,
termination and/or other consequence) control information (for
example, budgets) at said VDE node of the audit receipt, modify
expiration dates, provide key updates, and/or etc. In most cases,
these events will be sent immediately to a site after an audit
trail is received. In some cases, this transmission may be delayed
to, for example, first allow processing of the audit trail and/or
payment by a user to an auditor or other party.
[1969] In the preferred embodiment, the administrative events for
content objects and independently distributed methods/component
assemblies are similar, but not necessarily identical. For example,
key updates for a budget may control encryption of a billing trail,
rather than decryption of object content. The billing trail for a
budget is in all respects a method event trail. In one embodiment,
this trail must include sufficient references into distribution
records for encumbrances to allow reconciliation by a
clearinghouse. This may occur, for example, if a grace period
elapses and the creator of a budget allows unresolved encumbrances
to ultimately yield automatic credits if an expired encumbrance is
"returned" to the creator.
[1970] Delivery of audit reports through a path of handling may be
in part insured by an inverse (return of information) audit method.
Many VDE methods have at least two pieces: a portion that manages
the process of producing audit information at a user's VDE node;
and a portion that subsequently acts on audit data. In an example
of the handling of audit information bound for a plurality of
auditors, a single container object is received at a clearinghouse
(or other auditor). This container may contain (a) certain
encrypted audit information that is for the use of the
clearinghouse itself, and (b) certain other encrypted audit
information bound for other one or more auditor parties. The two
sets of information may have the same, overlapping and in part
different, or entirely different, information content.
Alternatively, the clearinghouse VDE node may be able to work with
some or all of the provided audit information. The audit
information may be, in part, or whole, in some summary and/or
analyzed form further processed at the clearinghouse and/or may be
combined with other information to form a, at least in part,
derived set of information and inserted into one or more at least
in part secure VDE objects to be communicated to said one or more
(further) auditor parties. When an audit information container is
securely processed at said clearinghouse VDE node by said inverse
(return) audit method, the clearinghouse VDE node can create one or
more VDE administrative objects for securely carrying audit
information to other auditors while separately processing the
secure audit information that is specified for use by said
clearinghouse. Secure audit processes and credit information
distribution between VDE participants normally takes place within
the secure VDE "black box," that is processes are securely
processed within secure VDE PPE 650 and audit information is
securely communicated between the VDE secure subsystems of vDE
participants employing VDE secure communication techniques (e.g.,
public key encryption, and authentication).
[1971] This type of inverse audit method may specify the handling
of returned audit information, including, for example, the local
processing of audit information and/or the secure passing along of
audit information to one or more auditor parties. If audit
information is not passed to one or more other auditor parties as
may be required and according to criteria that may have been set by
said one or more other auditor parties and/or content providers
and/or control information providers during a permissions record
specification and/or modification process, the failure to, for
example, receive notification of successful transfer of required
audit information by an auditor party, e.g., a content provider,
can result in the disablement of at least some capability of the
passing through party's VDE node (for example, disablement of the
ability to further perform certain one or more VDE managed business
functions that are related to object(s) associated with said audit
or party). In this preferred embodiment example, when an object is
received by an auditor, it is automatically registered and
permissions record(s) contents are entered into the secure
management database of the auditor's VDE node.
[1972] One or more permissions records that manage the creation and
use of an audit report object (and may manage other aspects of
object use as well) may be received by a user's system during an
audit information reporting exchange (or other electronic
interaction between a user and an auditor or auditor agent). Each
received permissions record may govern the creation of the next
audit report object. After the reporting of audit information, a
new permissions record may be required at a user's VDE node to
refresh the capability of managing audit report creation and audit
information transfer for the next audit reporting cycle. In our
above example, enabling an auditor to supply one or more
permissions records to a user for the purpose of audit reporting
may require that an auditor (such as a clearinghouse) has received
certain, specified permissions records itself from "upstream"
auditors (such as, for example, content and/or other content
control information providers). Information provided by these
upstream permissions records may be integrated into the one or more
permissions records at an auditor VDE (e.g., clearinghouse)
installation that manage the permissions record creation cycle for
producing administrative objects containing permissions records
that are bound for users during the audit information reporting
exchange. If an upstream auditor fails to receive, and/or is unable
to process, required audit information, this upstream auditor may
fail to provide to the clearinghouse (in this example) the required
permissions record information which enables a distributor to
support the next permission record creation/auditing cycle for a
given one or more objects (or class of objects). As a result, the
clearinghouse's VDE node may be unable to produce the next cycle's
permissions records for users, and/or perform some other important
process. This VDE audit reporting control process may be entirely
electronic process management involving event driven VDE activities
at both the intended audit information receiver and sender and
employing both their secure PPE 650 and secure VDE communication
techniques.
[1973] In the preferred embodiment, each time a user registers a
new object with her own VDE node, and/or alternatively, with a
remote clearinghouse and/or distributor VDE node, one or more
permissions records are provided to, at least in part, govern the
use of said object. The permissions records may be provided
dynamically during a secure UDE registration process (employing the
VDE installation secure subsystem), and/or may be provided
following an initial registration and received at some subsequent
time, e.g. through one or more separate secure VDE communications,
including, for example, the receipt of a physical arrangement
containing or otherwise carrying said information. At least one
process related to the providing of the one or more permissions
records to a user can trigger a metering event which results in
audit information being created reflecting the user's VDE node's,
clearinghouse's, and/or distributor's permissions records provision
process. This metering process may not only record that one or more
permissions records have been created. It may also record the VDE
node name, user name, associated object identification information,
time, date, and/or other identification information. Some or all of
this information can become part of audit information securely
reported by a clearinghouse or distributor, for example, to an
auditing content creator and/or other content provider. This
information can be reconciled by secure VDE applications software
at a receiving auditor's site against a user's audit information
passed through by said clearinghouse or distributor to said
auditor. For each metered one or more permissions records (or set
of records) that were created for a certain user (and/or VDE node)
to manage use of certain one or more VDE object(s) and/or to manage
the creation of VDE object audit reports, it may be desirable that
an auditor receive corresponding audit information incorporated
into an, at least in part, encrypted audit report. This combination
of metering of the creation of permissions records; secure,
encrypted audit information reporting processes; secure VDE
subsystem reconciliation of metering information reflecting the
creation of registration and/or audit reporting permissions with
received audit report detail; and one or more secure VDE
installation expiration and/or other termination and/or other
consequence processes; taken together significantly enhances the
integrity of the VDE secure audit reporting process as a trusted,
efficient, commercial environment.
Secure Document Management Example
[1974] VDE 100 may be used to implement a secure document
management environment. The following are some examples of how this
can be accomplished.
[1975] In one example, suppose a law firm wants to use VDE 100 to
manage documents. In this example, a law firm that is part of a
litigation team might use VDE in the following ways: [1976] 1. to
securely control access to, and/or other usage of, confidential
client records, [1977] 2. to securely control access, distribution,
and/or other rights to documents and memoranda created at the law
firm, [1978] 3. to securely control access and other use of
research materials associated with the case, [1979] 4. to securely
control access and other use, including distribution of records,
documents, and notes associated with the case, [1980] 5. to
securely control how other firms in the litigation team may use,
including change, briefs that have been distributed for comment and
review, [1981] 6. to help manage client billing.
[1982] The law firm may also use VDE to electronically file briefs
with the court (presuming the court is also VDE capable) including
providing secure audit verification of the ID (e.g., digital
signature) of filers and other information pertinent to said filing
procedure.
[1983] In this example, the law firm receives in VDE content
containers documents from their client's VDE installation secure
subsystem(s). Alternatively, or in addition, the law firm may
receive either physical documents which may be scanned into
electronic form, and/or they receive electronic documents which
have not yet been placed in VDE containers. The electronic form of
a document is stored as a VDE container (object) associated with
the specific client and/or case. The VDE container mechanism
supports a hierarchical ordering scheme for organizing files and
other information within a container; this mechanism may be used to
organize the electronic copies of the documents within a container.
A VDE container is associated with specific access control
information and rights that are described in one or more
permissions control information sets (PERCs) associated with that
container. In this example, only those members of the law firm who
possess a VDE instance, an appropriate PERC, and the VDE object
that contains the desired document, may use the document.
Alternatively or in addition, a law firm member may use a VDE
instance which has been installed on the law firm's network server.
In this case, the member must be identified by an appropriate PERC
and have access to the document containing VDE object (in order to
use the server VDE installation). Basic access control to
electronic documents is enabled using the secure subsystem of one
or more user VDE installations.
[1984] VDE may be used to provide basic usage control in several
ways. First, it permits the "embedding" of multiple containers
within a single object. Embedded objects permit the "nesting" of
control structures within a container. VDE also extends usage
control information to an arbitrary granular level (as opposed to a
file based level provided by traditional operating systems) and
provides flexible control information over any action associated
with the information which can be described as a VDE controlled
process. For example, simple control information may be associated
with viewing the one or more portions of documents and additional
control information may be associated with editing, printing and
copying the same and/or different one or more portions of these
same documents.
[1985] In this example, a "client" container contains all documents
that have been provided by the client (documents received in other
containers can be securely extracted and embedded into the VDE
client container using VDE extraction and embedding capabilities).
Each document in this example is stored as an object within the
parent, client VDE container. The "client" container also has
several other objects embedded within it; one for each attorney to
store their client notes, one (or more) for research results and
related information, and at least one for copies of letters, work
papers, and briefs that have been created by the law firm. The
client container may also contain other information about the
client, including electronic records of billing, time, accounting,
and payments. Embedding VDE objects within a parent VDE content
container provides a convenient way to securely categorize and/or
store different information that shares similar control
information. All client provided documents may, for example, be
subject to the same control structures related to use and
non-disclosure. Attorney notes may be subject to control
information, for example, their use may be limited to the attorney
who created the notes and those attorneys to whom such creating
attorney expressly grants access rights. Embedded containers also
provide a convenient mechanism to control collections of dissimilar
information. For example, the research object(s) may be stored in
the form of (or were derived from) VDE "smart objects" that contain
the results of research performed by that object. Research results
related to one aspect of the case retrieved from a VDE enabled
LEXIS site might be encapsulated as one smart object; the results
of another session related to another (or the same) aspect of the
case may be encapsulated as a different object. Smart objects are
used in this example to help show that completely disparate and
separately delivered control information may be incorporated into a
client container as desired and/or required to enforce the rights
of providers (such as content owners).
[1986] Control structures may be employed to manage any variety of
desired granularities and/or logical document content groupings; a
document, page, paragraph, topically related materials, etc. In
this example, the following assumptions are made: client provided
documents are controlled at the page level, attorney notes are
controlled at the document level on an attorney by attorney basis,
court filings and briefs are controlled at a document level,
research information is controlled at whatever level the content
provider specifies at the time the research was performed, and
certain highly confidential information located in various of the
above content may be identified as subject to display and adding
comments only, and only by the lead partner attorneys, with only
the creator and/or embedder of a given piece of content having the
right to be otherwise used (printed, extracted, distributed,
etc).
[1987] In general, container content in this example is controlled
with respect to distribution of rights. This control information
are associated at a document level for all internally generated
documents, at a page level for client level documents, and at the
level specified by the content provider for research documents.
[1988] VDE control information can be structured in either complex
or simple structures, depending on the participant's desires. In
some cases, a VDE creator will apply a series of control structure
definitions that they prefer to use (and that are supported by the
VDE application managing the specification of rules and control
information, either directly, or through the use of certified
application compatible VDE component assemblies.
[1989] In this example, the law firm sets up a standard VDE client
content container for a new client at the time they accept the
case. A law firm VDE administrator would establish a VDE group for
the new client and add the VDE IDs of the attorneys at the firm
that are authorized to work on the case, as well as provide, if
appropriate, one or more user template applications. These
templates provide, for example, one or more user interfaces and
associated control structures for selection by users of additional
and/or alternative control functions (if allowed by senior control
information), entry of control parameter data, and/or performing
user specific administrative tasks. The administrator uses a
creation tool along with a predefined creation template to create
the container. This creation template specifies the document usage
(including distribution control information) for documents as
described above. Each electronic document from the client
(including letters, memoranda, E-mail, spreadsheet, etc.) are then
added to the container as separate embedded objects. Each new
object is created using a creation template that satisfies that the
default control structures specified with the container as required
for each new object of a given type.
[1990] As each attorney works on the case, they may enter notes
into an object stored within the client's VDE container. These
notes may be taken using a VDE aware word processor already in use
at the law firm. In this example, a VDE redirector handles the
secure mapping of the word processor file requests into the VDE
container and its objects through the use of VDE control processes
operating with one or more VDE PPEs. Attorney note objects are
created using the default creation template for the document type
with assistance from the attorney if the type cannot be
automatically determined from the content. This permits VDE to
automatically detect and protect the notes at the predetermined
level, e.g., document, page, paragraph.
[1991] Research can be automatically managed using VDE. Smart
objects can be, used to securely search out, pay for if necessary,
and retrieve information from VDE enabled information resources on
the information highway.
[1992] Examples of such resources might include LEXIS, Westlaw, and
other related legal databases. Once the information is retrieved,
it may be securely embedded in the VDE content client container. If
the smart object still contains unreleased information, the entire
smart object may be embedded in the client's VDE container. This
places the unreleased information under double VDE control
requirements: those associated with releasing the information from
smart object (such as payment and/or auditing requirements) and
those associated with access to, or other usage of, client
information of the specified type.
[1993] Briefs and other filings may be controlled in a manner
similar to that for attorney notes. The filings may be edited using
the standard word processors in the law firm; with usage control
structures controlling who may review, change, and/or add to the
document (or, in a more sophisticated example, a certain portion of
said document). VDE may also support electronic filing of briefs by
providing a trusted source for time/date stamping and validation of
filed documents.
[1994] When the client and attorney want to exchange confidential
information over electronic mail or other means, VDE can play an
important role in ensuring that information exchanged under
privilege, properly controlled, and not inappropriately released
and/or otherwise used. The materials (content) stored in a VDE
content container object will normally be encrypted. Thus wrapped,
a VDE object may be distributed to the recipient without fear of
unauthorized access and/or other use. The one or more authorized
users who have received an object are the only parties who may open
that object and view and/or manipulate and/or otherwise modify its
contents and VDE secure auditing ensures a record of all such user
content activities. VDE also permits the revocation of rights to
use client/attorney privileged information if such action becomes
necessary, for example, after an administrator review of user usage
audit information.
Large Organization Example
[1995] In a somewhat more general example, suppose an organization
(e.g., a corporation or government department) with thousands of
employees and numerous offices disposed throughout a large
geographic area wishes to exercise control over distribution of
information which belongs to said organization (or association).
This information may take the form of formal documents, electronic
mail messages, text files, multimedia files, etc, which
collectively are referred to as "documents."
[1996] Such documents may be handled by people (referred to as
"users") and/or by computers operating on behalf of users. The
documents may exist both in electronic form for storage and
transmission and in paper form for manual handling.
[1997] These documents may originate wholly within the
organization, or may be created, in whole or in part, from
information received from outside the organization. Authorized
persons within the organization may choose to release documents, in
whole or in part, to entities outside the organization. Some such
entities may also employ VDE 100 for document control, whereas
others may not.
Document Control Policies
[1998] The organization as a whole may have a well-defined policy
for access control to, and/or other usage control of documents.
This policy may be based on a "lattice model" of information flow,
in which documents are characterized as having one or more
hierarchical "classification" security attributes 9903 and zero or
more non-hierarchical "compartment" security attributes, all of
which together comprise a sensitivity security attribute.
[1999] The classification attributes may designate the overall
level of sensitivity of the document as an element of an ordered
set. For example, the set "unclassified," "confidential," "secret,"
"top secret" might be appropriate in a government setting, and the
set "public," "internal," "confidential," "registered confidential"
might be appropriate in a corporate setting.
[2000] The compartment attributes may designate the document's
association with one or more specific activities within the
organization, such as departmental subdivisions (e.g., "research,"
"development," "marketing") or specific projects within the
organization.
[2001] Each person using an electronic appliance 600 would be
assigned, by an authorized user, a set of permitted sensitivity
attributes to designate those documents, or one or more portions of
certain document types, which could be processed in certain one or
more ways, by the person's electronic appliance. A document's
sensitivity attribute would have to belong to the user's set of
permitted sensitivity values to be accessible.
[2002] In addition, the organization may desire to permit users to
exercise control over specific documents for which the user has
some defined responsibility. As an example, a user (the
"originating user") may wish to place an "originator controlled"
("ORCON") restriction on a certain document, such that the document
may be transmitted and used only by those specific other users whom
he designates (and only in certain, expressly authorized ways).
Such a restriction may be flexible if the "distribution list" could
be modified after the creation of the document, specifically in the
event of someone requesting permission from the originating user to
transmit the document outside the original list of authorized
recipients. The originating user may wish to permit distribution
only to specific users, defined groups of users, defined geographic
areas, users authorized to act in specific organizational roles, or
a combination of any or all such attributes.
[2003] In this example, the organization may also desire to permit
users to define a weaker distribution restriction such that access
to a document is limited as above, but certain or all information
within the document may be extracted and redistributed without
further restriction by the recipients.
[2004] The organization and/or originating users may wish to know
to what uses or geographic locations a document has been
distributed. The organization may wish to know where documents with
certain protection attributes have been distributed, for example,
based on geographic information stored in site configuration
records and/or name services records.
[2005] A user may wish to request a "return receipt" for a
distributed document, or may wish to receive some indication of how
a document has been handled by its recipients (e.g., whether it has
been viewed, printed, edited and/or stored), for example, by
specifying one or more audit requirements (or methods known to have
audit requirements) in a PERC associated with such document(s).
User Environment
[2006] In an organization (or association) such as that described
above, users may utilize a variety of electronic appliances 600 for
processing and managing documents. This may include personal
computers, both networked and otherwise, powerful single-user
workstations, and servers or mainframe computers. To provide
support for the control information described in this example, each
electronic appliance that participates in use and management of
VDE-protected documents may be enhanced with a VDE secure subsystem
supporting an SPE 503 and/or HPE 655.
[2007] In some organizations, where the threats to secure operation
are relatively low, an HPE 655 may suffice. In other organizations
(e.g., government defense), it may be necessary to employ an SPE
503 in all situations where VDE-protected documents are processed.
The choice of enhancement environment and technology may be
different in different of the organization. Even if different types
of PPE 650 are used within an organization to serve different
requirements, they may be compatible and may operate on the same
types (or subsets of types) of documents.
[2008] Users may employ application programs that are customized to
operate in cooperation with the VDE for handling of VDE-protected
documents. Examples of this may include VDE-aware document viewers,
VDE aware electronic mail systems, and similar applications. Those
programs may communicate with the PPE 650 component of a user's
electronic appliance 600 to make VDE-protected documents available
for use while limiting the extent to which their contents may be
copied, stored, viewed, modified, and/or transmitted and/or
otherwise further distributed outside the specific electronic
appliance.
[2009] Users may wish to employ commercial, off-the-shelf ("COTS")
operating systems and application programs to process the
VDE-protected documents. One approach to permit the use of COTS
application programs and operating systems would be to allow such
use only for documents without restrictions on redistribution. The
standard VDE operating system redirector would allow users to
access VDE-protected documents in a manner equivalent to that for
files. In such an approach, however, a chain of control for
metering and/or auditing use may be "broken" to some extent at the
point that the protected object was made available to the COTS
application. The fingerprinting (watermarking) techniques of VDE
may be used to facilitate further tracking of any released
information.
[2010] A variety of techniques may be used to protect printing of
protected documents, such as, for example: server-based decryption
engines, special fonts for "fingerprinting," etc.
[2011] Another approach to supporting COTS software would use the
VDE software running on the user's electronic appliance to create
one or more "virtual machine" environments in which COTS operating
system and application programs may run, but from which no
information may be permanently stored or otherwise transmitted
except under control of VDE. Such an environment would permit VDE
to manage all VDE-protected information, yet may permit unlimited
use of COTS applications to process that information within the
confines of a restricted environment. The entire contents of such
an environment could be treated by VDE 100 as an extension to any
VDE-protected documents read into the environment. Transmission of
information out of the environment could be governed by the same
rules as the original document(s).
"Coarse-Grain" Control Capabilities
[2012] As mentioned above, an organization may employ VDE-enforced
control capabilities to manage the security, distribution,
integrity, and control of entire documents. Some examples of these
capabilities may include: [2013] 1) A communication channel
connecting two or more electronic appliances 600 may be assigned a
set of permitted sensitivity attributes. Only documents whose
sensitivity attributes belong to this set would be permitted to be
transmitted over the channel. This could be used to support the
Device Labels requirement of the Trusted Computer System Evaluation
Criteria (TCSEC). [2014] 2) A writable storage device (e.g., fixed
disk, diskette, tape drive, optical disk) connected to or
incorporated in an electronic appliance 600 may be assigned a set
of permitted sensitivity attributes. Only documents whose
sensitivity attributes belong to this set would be permitted to be
stored on the device. This could be used to support the TCSEC
Device Labels requirement. [2015] 3) A document may have a list of
users associated with it representing the users who are permitted
to "handle" the document. This list of users may represent, for
example, the only users who may view the document, even if other
users receive the document container, they could not manipulate the
contents. This could be used to support the standard ORCON handling
caveat. [2016] 4) A document may have an attribute designating its
originator and requiring an explicit permission to be granted by an
originator before the document's content could be viewed. This
request for permission may be made at the time the document is
accessed by a user, or, for example, at the time one user
distributes the document to another user. If permission is not
granted, the document could not be manipulated or otherwise used.
[2017] 5) A document may have an attribute requiring that each use
of the document be reported to the document's originator. This may
be used by an originator to gauge the distribution of the document.
Optionally, the report may be required to have been made
successfully before any use of the document is permitted, to ensure
that the use is known to the controlling party at the time of use.
Alternatively, for example, the report could be made in a deferred
("batch") fashion. [2018] 6) A document may have an attribute
requiring that each use of the document be reported to a central
document tracking clearinghouse. This could be used by the
organization to track specific documents, to identify documents
used by any particular user and/or group of users to track
documents with specific attributes (e.g., sensitivity), etc.
Optionally, for example, the report may be required to have been
made successfully before any use of the document is permitted.
[2019] 7) A VDE protected document may have an attribute requiring
that each use of the document generate a "return receipt," to an
originator. A person using the document may be required to answer
specific questions in order to generate a return receipt, for
example by indicating why the document is of interest, or by
indicating some knowledge of the document's contents (after reading
it). This may be used as assurance that the document had been
handled by a person, not by any automated software mechanism.
[2020] 8) A VDE protected document's content may be made available
to a VDE-unaware application program in such a way that it is
uniquely identifiable (traceable) to a user who caused its release.
Thus, if the released form of the document is further distributed,
its origin could be determined. This may be done by employing VDE
"fingerprinting" for content release. Similarly, a printed VDE
protected document may be marked in a similar, VDE fingerprinted
unique way such that the person who originally printed the document
could be determined, even if copies have since been made. [2021] 9)
Usage of VDE protected documents could be permitted under control
of budgets that limit (based on size, time of access, etc.) access
or other usage of document content. This may help prevent wholesale
disclosure by limiting the number of VDE documents accessible to an
individual during a fixed time period. For example, one such
control might permit a user, for some particular class of
documents, to view at most 100 pages/day, but only print 10
pages/day and permit printing only on weekdays between nine and
five. As a further example, a user might be restricted to only a
certain quantity of logically related, relatively "contiguous"
and/or some other pattern (such as limiting the use of a database's
records based upon the quantity of records that share a certain
identifier in field) of VDE protected document usage to identify,
for example, the occurrence of one or more types of excessive
database usage (under normal or any reasonable circumstances). As a
result, VDE content providers can restrict usage of VDE content to
acceptable usage characteristics and thwart and/or identify (for
example, by generating an exception report for a VDE administrator
or organization supervisor) user attempts to inappropriately use,
for example, such an information database resource.
[2022] These control capabilities show some examples of how VDE can
be used to provide a flexible, interactive environment for tracking
and managing sensitive documents. Such an environment could
directly trace the flow of a document from person to person, by
physical locations, by organizations, etc. It would also permit
specific questions to be answered such as "what persons outside the
R&D department have received any R&D-controlled document."
Because the control information is carried with each copy of a VDE
protected document, and can ensure that central registries are
updated and/or that originators are notified of document use,
tracking can be prompt and accurate.
[2023] This contrasts with traditional means of tracking paper
documents: typically, a paper-oriented system of manually collected
and handled receipts is used. Documents may be individually
copy-numbered and signed for, but once distributed are not actively
controlled. In a traditional paper-oriented system, it is virtually
impossible to determine the real locations of documents; what
control can be asserted is possible only if all parties strictly
follow the handling rules (which are at best inconvenient).
[2024] The situation is no better for processing documents within
the context of ordinary computer and network systems. Although said
systems can enforce access control information based on user
identity, and can provide auditing mechanisms for tracking accesses
to files, these are low-level mechanisms that do not permit
tracking or controlling the flow of content. In such systems,
because document content can be freely copied and manipulated, it
is not possible to determine where document content has gone, or
where it came from. In addition, because the control mechanisms in
ordinary computer operating systems operate at a low level of
abstraction, the entities they control are not necessarily the same
as those that are manipulated by users. This particularly causes
audit trails to be cluttered with voluminous information describing
uninteresting activities.
"Fine-Grain" Control Capabilities
[2025] In addition to controlling and managing entire documents,
users may employ customized VDE-aware application software to
control and manage individual modifications to documents. Examples
of these capabilities include the following: [2026] 1) A VDE
content user may be permitted to append further information to a
VDE document to indicate a proposed alternative wording. This
proposed alteration would be visible to all other users (in
addition to the original text) of the document but would (for
example) be able to be incorporated into the actual text only by
the document's owner. [2027] 2) A group of VDE users could be
permitted to modify one or more parts of a document in such a way
that each individual alteration would be unambiguously traceable to
the specific user who performed it. The rights to modify certain
portions of a document, and the extension of differing sets of
rights to different users, allows an organization or secure
environment to provide differing permissions enabling different
rights to users of the same content. [2028] 3) A group of users
could create a VDE document incrementally, by building it from
individual contributions. These contributions would be bound
together within a single controlled document, but each would be
individually identified, for example, through their incorporation
in VDE content containers as embedded container objects. [2029] 4)
VDE control and management capabilities could be used to track
activities related to individual document areas, for instance
recording how many times each section of a document was viewed.
Example
VDE Protected Content Repository
[2030] As the "Digital Highway" emerges, there is increased
discussion concerning the distribution of content across networks
and, in particular, public networks such as the Internet. Content
may be made available across public networks in several ways
including: [2031] "mailing" content to a user in response to a
request or advance purchase (sending a token representing the
commitment of electronic funds or credit to purchase an item);
[2032] supporting content downloadable from an organization's own
content repository, such a repository comprising, for example, a
store of products (such as software programs) and/or a store of
information resources, normally organized into one or more
databases; and [2033] supporting a public repository into which
other parties can deposit their products for redistribution to
customers (normally by making electronic copies for distribution to
a customer in response to a request).
[2034] One possible arrangement of VDE nodes involves use of one or
more "repositories." A repository, for example, may serve as a
location from which VDE participants may retrieve VDE content
containers. In this case, VDE users may make use of a network to
gain access to a "server" system that allows one or more VDE users
to access an object repository containing VDE content
containers.
[2035] Some VDE participants may create or provide content and/or
VDE content container objects, and then store content and/or
content objects at a repository so that other participants may
access such content from a known and/or efficiently organized (for
retrieval) location. For example, a VDE repository (portion of a
VDE repository, multiple VDE repositories, and/or providers of
content to such repositories) may advertise the availability of
certain types of VDE protected content by sending out email to a
list of network users. If the network users have secure VDE
subsystems in their electronic appliances, they may then choose to
access such a repository directly, or through one or more smart
agents and, using an application program for example, browse
(and/or electronically search) through the offerings of VDE managed
content available at the repository, download desirable VDE content
containers, and make use of such containers. If the repository is
successful in attracting users who have an interest in such
content, VDE content providers may determine that such a repository
is a desirable location(s) to make their content available for easy
access by users. If a repository, such as CompuServe, stores
content in non-encrypted (plaintext) form, it may encrypt
"outgoing" content on an "as needed" basis through placing such
content in VDE content containers with desired control information,
and may employ VDE secure communications techniques for content
communication to VDE participants.
[2036] VDE repositories may also offer other VDE services. For
example, a repository may choose to offer financial services in the
form of credit from the repository that may be used to pay fees
associated with use of VDE objects obtained from the repository.
Alternatively or in addition, a VDE repository may perform audit
information clearinghouse services on behalf of VDE creators or
other participants (e.g. distributors, redistributors, client
administrators, etc.) for usage information reported by VDE users.
Such services may include analyzing such usage information,
creating reports, collecting payments, etc.
[2037] A "full service" VDE repository may be very attractive to
both providers and users of VDE managed content. Providers of VDE
managed content may desire to place their content in a location
that is well known to users, offers credit, and/or performs audit
services for them. In this case, providers may be able to focus on
creating content, rather than managing the administrative processes
associated with making content available in a "retail" fashion,
collecting audit information from many VDE users, sending and
receiving bills and payments, etc. VDE users may find the
convenience of a single location (or an integrated arrangement of
repositories) appealing as they are attempting to locate content of
interest. In addition, a full service VDE repository may serve as a
single location for the reporting of usage information generated as
a consequence of their use of VDE managed content received from a
VDE repository and/or, for example, receiving updated software
(e.g. VDE-aware applications, load modules, component assemblies,
non VDE-aware applications, etc.) VDE repository services may be
employed in conjunction with VDE content delivery by broadcast
and/or on physical media, such as CD-ROM, to constitute an
integrated array of content resources that may be browsed,
searched, and/or filtered, as appropriate, to fulfill the content
needs of VDE users.
[2038] A public repository system may be established and maintained
as a non-profit or for-profit service. An organization offering the
service may charge a service fee, for example, on a per transaction
basis and/or as a percentage of the payments by, and/or cost of,
the content to users. A repository service may supply VDE authoring
tools to content creators, publishers, distributors, and/or value
adding providers such that they may apply rules and controls that
define some or all of the guidelines managing use of their content
and so that they may place such content into VDE content container
objects.
[2039] A repository may be maintained at one location or may be
distributed across a variety of electronic appliances, such as a
variety of servers (e.g. video servers, etc.) which may be at
different locations but nonetheless constitute a single resource. A
VDE repository arrangement may employ VDE secure communications and
VDE node secure subsystems ("protected processing environments").
The content comprising a given collection or unit of information
desired by a user may be spread across a variety of physical
locations. For example, content representing a company's closing
stock price and the activity (bids, lows, highs, etc.) for the
stock might be located at a World Wide Web server in New York, and
content representing an analysis of the company (such as a
discussions of the company's history, personnel, products, markets,
and/or competitors) might be located on a server in Dallas. The
content might be stored using VDE mechanisms to secure and audit
use. The content might be maintained in clear form if sufficient
other forms of security are available at such one or more of sites
(e.g. physical security, password, protected operating system, data
encryption, or other techniques adequate for a certain content
type). In the latter instances, content may be at least in part
encrypted and placed in VDE containers as it streams out of a
repository so as to enable secure communication and subsequent VDE
usage control and usage consequence management.
[2040] A user might request information related to such a company
including stock and other information. This request might, for
example, be routed first through a directory or a more
sophisticated database arrangement located in Boston. This
arrangement might contain pointers to, and retrieve content from,
both the New York and Dallas repositories. This information content
may, for example, be routed directly to the user in two containers
(e.g. such as a VDE content container object from Dallas and a VDE
content container object from New York). These two containers may
form two VDE objects within a single VDE container (which may
contain two content objects containing the respective pieces of
content from Dallas and New York) when processed by the user's
electronic appliance. Alternatively, such objects might be
integrated together to form a single VDE container in Boston so
that the information can be delivered to the user within a single
container to simplify registration and control at the user's site.
The information content from both locations may be stored as
separate information objects or they may be joined into a single,
integrated information object (certain fields and/or categories in
an information form or template may be filled in by one resource
and other fields and/or categories may be filled by information
provided by a different resource). A distributed database may
manage such a distributed repository resource environment and use
VDE to secure the storing, communicating, auditing, and/or use of
information through VDE's electronic enforcement of VDE controls.
VDE may then be used to provide both consistent content containers
and content control services.
[2041] An example of one possible repository arrangement 3300 is
shown in FIG. 78. In this example, a repository 3302 is connected
to a network 3304 that allows authors 3306A, 3306B, 3306C, and
3306D; a publisher 3308; and one or more end users 3310 to
communicate with the repository 3302 and with each other. A second
network 3312 allows the publisher 3308, authors 3306E and 3306F, an
editor 3314, and a librarian 3316 to communicate with each other
and with a local repository 3318. The publisher 3308 is also
directly connected to author 3306E. In this example, the authors
3306 and publisher 3308 connect to the repository 3302 in order to
place their content into an environment in which end users 3310
will be able to gain access to a broad selection of content from a
common location.
[2042] In this example, the repository has two major functional
areas: a content system 3302A and a clearinghouse system 3302B. The
content system 3302A is comprised of a user/author registration
system 3320, a content catalog 3322, a search mechanism 3324,
content storage 3326, content references 3328, and a shipping
system 3330 comprised of a controls packager 3322, a container
packager 3334, and a transaction system 3336. The clearinghouse
system 3302B is comprised of a user/author registration system
3338; template libraries 3340; a control structure library 3342; a
disbursement system 3344; an authorization system 3346 comprised of
a financial system 3348 and a content system 3350; a billing system
3352 comprised of a paper system 3354, a credit card system 3356,
and an electronic funds transfer (EFT) system 3358, and an audit
system 3360 comprised of a receipt system 3362, a response system
3364, a transaction system 3366, and an analysis system 3368.
[2043] In this example, author 3306A creates content in electronic
form that she intends to make broadly available to many end users
3310, and to protect her rights through use of VDE. Author 3306A
transmits a message to the repository 3302 indicating her desire to
register with the repository to distribute her content. In response
to this message, the user/author registration system 3320 of the
content system 3302A, and the user/author registration system 3338
of the clearinghouse system 3302B transmit requests for
registration information to author 3306A using the network 3304.
These requests may be made in an on-line interactive mode; or they
may be transmitted in a batch to author 3306A who then completes
the requested information and transmits it as a batch to the
repository 3302; or some aspects may be handled on-line (such as
basic identifying information) and other information may be
exchanged in a batch mode.
[2044] Registration information related to the content system 3302A
may, for example, include: [2045] a request that Author 3306A
provide information concerning the types and/or categories of
content proposed for storage and access using the repository,
[2046] the form of abstract and/or other identifying information
required by the repository--in addition to providing author 3306A
with an opportunity to indicate whether or not author 3306A
generally includes other information with content submissions (such
as promotional materials, detailed information regarding the format
of submitted content, any equipment requirements that should or
must be met for potential users of submitted content to
successfully exploit its value, etc.), [2047] requests for
information from author 3306A concerning where the content is to be
located (stored at the repository, stored at author 3306A's
location, stored elsewhere, or some combination of locations),
[2048] what general search characteristics should be associated
with content submissions (e.g. whether abstracts should be
automatically indexed for searches by users of the repository, the
manner in which content titles, abstracts, promotional materials,
relevant dates, names of performers and/or authors, or other
information related to content submissions may or should be used in
lists of types of content and/or in response to searches, etc.),
and/or [2049] how content that is stored at and/or passed through
the repository should be shipped (including any container criteria,
encryption requirements, transaction requirements related to
content transmissions, other control criteria, etc.)
[2050] The information requested from author 3306A by the
user/author registration system of the clearinghouse may, for
example, consist of: [2051] VDE templates that author 3306A may or
must make use of in order to correctly format control information
such that, for example, the audit system 3360 of the clearinghouse
system 3302B is properly authorized to receive and/or process usage
information related to content submitted by author 3306A, [2052]
VDE control information available from the clearinghouse 3302B that
may or must be used by author 3306A (and/or included by reference)
in some or all of the VDE component assemblies created and/or used
by author 3306A associated with submitted content, [2053] the
manner in which disbursement of any funds associated with usage of
content provided by, passed through, or collected by the repository
clearinghouse system 3302B should be made, [2054] the form and/or
criteria of authorizations to use submitted content and/or
financial transactions associated with content, [2055] the
acceptable forms of billing for use of content and/or information
associated with content (such as analysis reports that may be used
by others), [2056] how VDE generated audit information should be
received, [2057] how responses to requests from users should be
managed, [2058] how transactions associated with the receipt of
audit information should be formatted and authorized, [2059] how
and what forms of analysis should be performed on usage
information, and/or [2060] under what circumstances (if any) usage
information and/or analysis results derived from VDE controlled
content usage information should be managed (including to whom they
may or must be delivered, the form of delivery, any control
information that may be associated with use of such information,
etc.)
[2061] The repository 3302 receives the completed registration
information from author 3306A and uses this information to build an
account profile for author 3306A. In addition, software associated
with the authoring process may be transmitted to author 3306A. This
software may, for example, allow author 3306A to place content into
a VDE content container with appropriate controls in such a way
that many of the decisions associated with creating such containers
are made automatically to reflect the use of the repository 3302 as
a content system and/or a clearinghouse system (for example, the
location of content, the party to contact for updates to content
and/or controls associated with content, the party or parties to
whom audit information may and/or must be transmitted and the
pathways for such communication, the character of audit information
that is collected during usage, the forms of payment that are
acceptable for use of content, the frequency of audit transmissions
required, the frequency of billing, the form of abstract and/or
other identifying information associated with content, the nature
of at least a portion of content usage control information,
etc.)
[2062] Author 3306A makes use of a VDE authoring application to
specify the controls and the content that she desires to place
within a VDE content container, and produces such a container in
accordance with any requirements of the repository 3302. Such a VDE
authoring application may be, for example, an application provided
by the repository 3302 which can help ensure adherence to
repository content control requirements such as the inclusion of
one or more types of component assemblies or other VDE control
structures and/or required parameter data, an application received
from another party, and/or an application created by author 3306A
in whole or in part. Author 3306A then uses the network 3304 to
transmit the container and any deviations from author 3306A's
account profile that may relate to such content to the repository
3302. The repository 3302 receives the submitted content, and
then--in accordance with any account profile requirements,
deviations and/or desired options in this example--makes a
determination as to whether the content was produced within the
boundaries of any content and/or control information requirements
of the repository and therefore should be placed within content
storage or referenced by a location pointer or the like. In
addition to placing the submitted content into content storage or
referencing such content's location, the repository 3302 may also
make note of characteristics associated with such submitted content
in the search mechanism 3324, content references 3328, the shipping
system 3330, and/or the relevant systems of the clearinghouse
system 3302B related to templates and control structures,
authorizations, billing and/or payments, disbursements, and/or
audits of usage information.
[2063] During an authoring process, author 3306A may make use of
VDE templates. Such templates may be used as an aspect of a VDE
authoring application. For example, such templates may be used in
the construction of a container as described above. Alternatively
or in addition, such templates may also be used when submitted
content is received by the repository 3302. References to such
templates may be incorporated by author 3306A as an aspect of
constructing a container for submitted content (in this sense the
container delivered to the repository may be in some respects
"incomplete" until the repository "completes" the container through
use of indicated templates). Such references may be required for
use by the repository 3302 (for example, to place VDE control
information in place to fulfill an aspect of the repository's
business or security models such as one or more map tables
corresponding to elements of content necessary for interacting with
other VDE control structures to accommodate certain metering,
billing, budgeting, and/or other usage and/or distribution related
controls of the repository).
[2064] For example, if content, submitted by author 3306A consists
of a periodical publication, a template delivered to the author by
the repository 3302 when the author registers at the repository may
be used as an aspect of an authoring application manipulated by the
author in creating a VDE content container for such a periodical.
Alternatively or in addition, a template designed for use with
periodical publications may be resident at the repository 3302, and
such a template may be used by the repository to define, in whole
or in part, control structures associated with such a container.
For example, a VDE template designed to assist in formulating
control structures for periodical publications might indicate
(among other things) that: [2065] usage controls should include a
meter method that records each article within a publication that a
user opens, [2066] a certain flat rate fee should apply to opening
the periodical regardless of the number of articles opened, and/or
[2067] a record should be maintained of every advertisement that is
viewed by a user.
[2068] If content is maintained in a known and/or identifiable
format, such a template may be used during initial construction of
a container without author 3306A's intervention to identify any map
tables that may be required to support such recording and billing
actions. If such a VDE template is unavailable to author 3306A, she
may choose to indicate that the container submitted should be
reconstructed (e.g. augmented) by the repository to include the VDE
control information specified in a certain template or class of
templates. If the format of the content is known and/or
identifiable by the repository, the repository may be able to
reconstruct (or "complete") such a container automatically.
[2069] One factor in a potentially ongoing financial relationship
between the repository and author 3306A may relate to usage of
submitted content by end users 3310. For example, author 3306A may
negotiate an arrangement with the repository wherein the repository
is authorized to keep 20% of the total revenues generated from end
users 3310 in exchange for maintaining the repository services
(e.g. making content available to end users 3310, providing
electronic credit, performing billing activities, collecting fees,
etc.) A financial relationship may be recorded in control
structures in flexible and configurable ways. For example, the
financial relationship described above could be created in a VDE
container and/or installation control structure devised by author
3306A to reflect author 3306A's financial requirements and the need
for a 20% split in revenue with the repository wherein all billing
activities related to usage of submitted content could be processed
by the repository, and control structures representing reciprocal
methods associated with various component assemblies required for
use of author 3306A's submitted content could be used to calculate
the 20% of revenues. Alternatively, the repository may
independently and securely add and/or modify control structures
originating from author 3306A in order to reflect an increase in
price. Under some circumstances, author 3306A may not be directly
involved (or have any knowledge of) the actual price that the
repository charges for usage activities, and may concern herself
only with the amount of revenue and character of usage analysis
information that she requires for her own purposes, which she
specifies in VDE control information which governs the use, and
consequences of use, of VDE controlled content.
[2070] Another aspect of the relationship between authors and the
repository may involve the character of transaction recording
requirements associated with delivery of VDE controlled content and
receipt of VDE controlled content usage audit information. For
example, author 3306A may require that the repository make a record
of each user that receives a copy of content from the repository.
Author 3306A may further require collection of information
regarding the circumstances of delivery of content to such users
(e.g. time, date, etc.) In addition, the repository may elect to
perform such transactions for use internally (e.g. to determine
patterns of usage to optimize systems, detect fraud, etc.)
[2071] In addition to recording information regarding delivery of
such VDE controlled content, author 3306A may have required or
requested the repository to perform certain VDE container related
processes. For example, author 3306A may want differing abstract
and/or other descriptive information delivered to different classes
of users. In addition, author 3306A may wish to deliver promotional
materials in the same container as submitted content depending on,
for example, the character of usage exhibited by a particular user
(e.g. whether the user has ever received content from author 3306A,
whether the user is a regular subscriber to author 3306A's
materials, and/or other patterns that may be relevant to author
3306A and/or the end user that are used to help determine the mix
of promotional materials delivered to a certain VDE content end
user.) In another example, author 3306A may require that VDE
fingerprinting be performed on such content prior to transmission
of content to an end user.
[2072] In addition to the form and/or character of content shipped
to an end user, authors may also require certain encryption related
processes to be performed by the repository as an aspect of
delivering content. For example, author 3306A may have required
that the repository encrypt each copy of shipped content using a
different encryption key or keys in order to help maintain greater
protection for content (e.g. in case an encryption key was
"cracked" or inadvertently disclosed, the "damage" could be limited
to the portion(s) of that specific copy of a certain content
deliverable). In another example, encryption functions may include
the need to use entirely different encryption algorithms and/or
techniques in order to fulfill circumstantial requirements (e.g. to
comply with export restrictions). In a further example, encryption
related processes may include changing the encryption techniques
and/or algorithms based on the level of trustedness and/or tamper
resistance of the VDE site to which content is delivered.
[2073] In addition to transaction information gathered when content
is shipped from a VDE repository to an end user, the repository may
be required to keep transaction information related to the receipt
of usage information, requests, and/or responses to and/or from end
users 3310. For example, author 3306A may require the repository to
keep a log of some or all connections made by end users 3310
related to transmissions and or reception of information related to
the use of author 3306A's content (e.g. end user reporting of audit
information, end user requests for additional permissions
information, etc.)
[2074] Some VDE managed content provided to end users 3310 through
the repository may be stored in content storage. Other information
may be stored elsewhere, and be referenced through the content
references. In the case where content references are used, the
repository may manage the user interactions in such a manner that
all repository content, whether stored in content storage or
elsewhere (such as at another site), is presented for selection by
end users 3310 in a uniform way, such as, for example, a consistent
or the same user interface. If an end user requests delivery of
content that is not stored in content storage, the VDE repository
may locate the actual storage site for the content using
information stored in content references (e.g. the network address
where the content may be located, a URL, a file system reference,
etc.) After the content is located, the content may be transmitted
across the network to the repository or it may be delivered
directly from where it is stored to the requesting end user. In
some circumstances (e.g. when container modification is required,
when encryption must be changed, if financial transactions are
required prior to release, etc.), further processing may be
required by the repository in order to prepare such VDE managed
content and/or VDE content container for transmission to an end
user.
[2075] In order to provide a manageable user interface to the
content available to VDE repository end users 3310 and to provide
administrative information used in the determination of control
information packaged in VDE content containers shipped to end users
3310, the repository in this example includes a content catalog
3322. This catalog is used to record information related to the VDE
content in content storage, and/or content available through the
repository reflected in content references. The content catalog
3322 may consist of titles of content, abstracts, and other
identifying information. In addition, the catalog may also indicate
the forms of electronic agreement and/or agreement VDE template
applications (offering optional, selectable control structures
and/or one or more opportunities to provide related parameter data)
that are available to end users 3310 through the repository for
given pieces of content in deciding, for example, options and/or
requirements for: what type(s) of information is recorded during
such content's use, the charge for certain content usage
activities, differences in charges based on whether or not certain
usage information is recorded and/or made available to the
repository and/or content provider, the redistribution rights
associated with such content, the reporting frequency for audit
transmissions, the forms of credit and/or currency that may be used
to pay certain fees associated with use of such content, discounts
related to certain volumes of usage, discounts available due to the
presence of rights associated with other content from the same
and/or different content providers, sales, etc. Furthermore, a VDE
repository content catalog 3322 may indicate some or all of the
component assemblies that are required in order to make use of
content such that the end user's system and the repository can
exchange messages to help ensure that any necessary VDE component
assemblies or other VDE control information is identified, and if
necessary and authorized, are delivered along with such content to
the end user (rather than, for example, being requested later after
their absence has been detected during a registration and/or use
attempt).
[2076] In order to make use of the VDE repository in this example,
an end user must register with the repository. In a manner similar
to that indicated above in the case of an author, a VDE end user
transmits a message from her VDE installation to the repository
across the network indicating that she wishes to make use of the
services provided by the repository (e.g. access content stored at
and/or referenced by the repository, use credit provided by the
repository, etc.) In response to this message, the user/author
registration systems of the content system 3302A and the
clearinghouse system 3302B of the repository transmit requests for
information from the end user (e.g. in an on-line and/or batch
interaction). The information requested by the user/author
registration system of the content system 3302A may include type(s)
of content that the user wishes to access, the characteristics of
the user's electronic appliance 600, etc. The information requested
by the user/author registration system of the clearinghouse system
3302B may include whether the user wishes to establish a credit
account with the clearinghouse system 3302B, what other forms of
credit the user may wish to use for billing purposes, what other
clearinghouses may be used by the end user in the course of
interacting with content obtained from the repository, any general
rules that the user has established regarding their preferences for
release and handling of usage analysis information, etc. Once the
end user has completed the registration information and transmitted
it to the repository, the repository may construct an account
profile for the user. In this example, such requests and responses
are handled by secure VDE communications between secure VDE
subsystems of both sending and receiving parties.
[2077] In order to make use of the repository, the end user may
operate application software. In this example, the end user may
either make use of a standard application program (e.g. a World
Wide Web browser such as Mosaic), or they may make use of
application software provided by the repository after completion of
the registration process. If the end user chooses to make use of
the application software provided by the repository, they may be
able to avoid certain complexities of interaction that may occur if
a standard package is used. Although standardized packages are
often relatively easy to use, a customized package that
incorporates VDE aware functionality may provide an easier to use
interface for a user. In addition, certain characteristics of the
repository may be built in to the interface to simplify use of the
services (e.g. similar to the application programs provided by
America Online).
[2078] The end user may connect to the repository using the
network. In this example, after the user connects to the
repository, an authentication process will occur. This process can
either be directed by the user (e.g. through use of a login and
password protocol) or may be established by the end user's
electronic appliance secure subsystems interacting with a
repository electronic appliance in a VDE authentication. In either
event, the repository and the user must initially ensure that they
are connected to the correct other party. In this example, if
secured information will flow between the parties, a VDE secured
authentication must occur, and a secure session must be
established. On the other hand, if the information to be exchanged
has already been secured and/or is available without authentication
(e.g. certain catalog information, containers that have already
been encrypted and do not require special handling, etc.), the
"weaker" form of login/password may be used.
[2079] Once an end user has connected to the VDE repository and
authentication has occurred, the user may begin manipulating and
directing their user interface software to browse through a
repository content catalog 3322 (e.g. lists of publications,
software, games, movies, etc.), use the search mechanism to help
locate content of interest, schedule content for delivery, make
inquiries of account status, availability of usage analysis
information, billing information, registration and account profile
information, etc. If a user is connecting to obtain content, the
usage requirements for that content may be delivered to them. If
the user is connecting to deliver usage information to the
repository, information related to that transmission may be
delivered to them. Some of these processes are described in more
detail below.
[2080] In this example, when an end user requests content from the
VDE repository (e.g. by selecting from a menu of available
options), the content system 3302A locates the content either in
the content references and/or in content storage. The content
system 3302A may then refer to information stored in the content
catalog 3322, the end user's account profile, and/or the author's
account profile to determine the precise nature of container format
and/or control information that may be required to create a VDE
content container to fulfill the end user's request. The shipping
system then accesses the clearinghouse system 3302B to gather any
necessary additional control structures to include with the
container, to determine any characteristics of the author's and/or
end user's account profiles that may influence either the
transaction(s) associated with delivering the content to the end
user or with whether the transaction may be processed. If the
transaction is authorized, and all elements necessary for the
container are available, the controls packager forms a package of
control information appropriate for this request by this end user,
and the container packager takes this package of control
information and the content and forms an appropriate container
(including any permissions that may be codeliverable with the
container, incorporating any encryption requirements, etc.) If
required by the repository or the author's account profile,
transactions related to delivery of content are recorded by the
transaction system of the shipping system. When the container and
any transactions related to delivery have been completed, the
container is transmitted across the network to the end user.
[2081] An end user may make use of credit and/or currency securely
stored within the end user's VDE installation secure subsystem to
pay for charges related to use of VDE content received from the
repository, and/or the user may maintain a secure credit and/or
currency account remotely at the repository, including a "virtual"
repository where payment is made for the receipt of such content by
an end user. This later approach may provide greater assurance for
payment to the repository and/or content providers particularly if
the end user has only an HPE based secure subsystem. If an end user
electronic credit and/or currency account is maintained at the
repository in this example, charges are made to said account based
on end user receipt of content from the repository. Further charges
to such a remote end user account may be made based on end user
usage of such received content and based upon content usage
information communicated to the repository clearinghouse system
3302B.
[2082] In this example, if an end user does not have a relationship
established with a financial provider (who has authorized the
content providers whose content may be obtained through use of the
repository to make use of their currency and/or credit to pay for
any usage fees associated with such provider's content) and/or if
an end user desires a new source of such credit, the end user may
request credit from the repository clearinghouse system 3302B. If
an end user is approved for credit, the repository may extend
credit in the form of credit amounts (e.g. recorded in one or more
UDEs) associated with a budget method managed by the repository.
Periodically, usage information associated with such a budget
method is transmitted by the end user to the audit system of the
repository. After such a transmission (but potentially before the
connection is terminated), an amount owing is recorded for
processing by the billing system, and in accordance with the
repository's business practices, the amount of credit available for
use by the end user may be replenished in the same or subsequent
transmission. In this example, the clearinghouse of the repository
supports a billing system with a paper system for resolving amounts
owed through the mail, a credit card system for resolving amounts
owed through charges to one or more credit cards, and an electronic
funds transfer system for resolving such amounts through direct
debits to a bank account. The repository may automatically make
payments determined by the disbursement system for monies owed to
authors through use of similar means. Additional detail regarding
the audit process is provided below.
[2083] As indicated above, end users 3310 in this example will
periodically contact the VDE repository to transmit content usage
information (e.g. related to consumption of budget, recording of
other usage activities, etc.), replenish their budgets, modify
their account profile, access usage analysis information, and
perform other administrative and information exchange activities.
In some cases, an end user may wish to contact the repository to
obtain additional control structures. For example, if an end user
has requested and obtained a VDE content container from the
repository, that container is typically shipped to the end user
along with control structures appropriate to the content, the
author's requirements and account profile, the end user's account
profile, the content catalog 3322, and/or the circumstances of the
delivery (e.g. the first delivery from a particular author, a
subscription, a marketing promotion, presence and/or absence of
certain advertising materials, requests formulated on behalf of the
user by the user's local VDE instance, etc.) Even though, in this
example, the repository may have attempted to deliver all relevant
control structures, some containers may include controls structures
that allow for options that the end user did not anticipate
exercising (and the other criteria did not automatically select for
inclusion in the container) that the end user nonetheless
determines that they would like to exercise. In this case, the end
user may wish to contact the repository and request any additional
control information (including, for example, control structures)
that they will need in order to make use of the content under such
option.
[2084] For example, if an end user has obtained a VDE content
container with an overall control structure that includes an option
that records of the number of times that certain types of accesses
are made to the container and further bases usage fees on the
number of such accesses, and another option within the overall
control structure allows the end user to base the fees paid for
access to a particular container based on the length of time spent
using the content of the container, and the end user did not
originally receive controls that would support this latter form of
usage, the repository may deliver such controls at a later time and
when requested by the user. In another example, an author may have
made changes to their control structures (e.g. to reflect a sale, a
new discounting model, a modified business strategy, etc.) which a
user may or must receive in order to use the content container with
the changed control structures. For, example, one or more control
structures associated with a certain VDE content container may
require a "refresh" for continued authorization to employ such
structures, or the control structures may expire. This allows (if
desired) a VDE content provider to periodically modify and/or add
to VDE control information at an end user's site (employing the
local VDE secure subsystem).
[2085] Audit information (related to usage of content received from
the repository) in this example is securely received from end users
3310 by the receipt system 3362 of the clearinghouse. As indicated
above, this system may process the audit information and pass some
or all of the output of such a process to the billing system and/or
transmit such output to appropriate content authors. Such passing
of audit information employs secure VDE pathway of reporting
information handling techniques. Audit information may also be
passed to the analysis system in order to produce analysis results
related to end user content usage for use by the end user, the
repository, third party market researchers, and/or one or more
authors. Analysis results may be based on a single audit
transmission, a portion of an audit transmission, a collection of
audit transmissions from a single end user and/or multiple end
users 3310, or some combination of audit transmissions based on the
subject of analysis (e.g. usage patterns for a given content
element or collection of elements, usage of certain categories of
content, payment histories, demographic usage patterns, etc.) The
response system 3364 is used to send information to the end user
to, for example, replenish a budget, deliver usage controls, update
permissions information, and to transmit certain other information
and/or messages requested and/or required by an end user in the
course of their interaction with the clearinghouse. During the
course of an end user's connections and transmissions to and from
the clearinghouse, certain transactions (e.g. time, date, and/or
purpose of a connection and/or transmission) may be recorded by the
transaction system of the audit system to reflect requirements of
the repository and/or authors.
[2086] Certain audit information may be transmitted to authors. For
example, author 3306A may require that certain information gathered
from an end user be transmitted to author 3306A with no processing
by the audit system. In this case, the fact of the transmission may
be recorded by the audit system, but author 3306A may have elected
to perform their own usage analysis rather than (or in addition to)
permitting the repository to access, otherwise process and/or
otherwise use this information. The repository in this example may
provide author 3306A with some of the usage information related to
the repository's budget method received from one or more end users
3310 and generated by the payment of fees associated with such
users' usage of content provided by author 3306A. In this case,
author 3306A may be able to compare certain usage information
related to content with the usage information related to the
repository's budget method for the content to analyze patterns of
usage (e.g. to analyze usage in light of fees, detect possible
fraud, generate user profile information, etc.) Any usage fees
collected by the clearinghouse associated with author 3306A's
content that are due to author 3306A will be determined by the
disbursement system of the clearinghouse. The disbursement system
may include usage information (in complete or summary form) with
any payments to author 3306A resulting from such a determination.
Such payments and information reporting may be an entirely
automated sequence of processes occurring within the VDE pathway
from end user VDE secure subsystems, to the clearinghouse secure
subsystem, to the author's secure subsystem.
[2087] In this example, end users 3310 may transmit VDE permissions
and/or other control information to the repository 3302 permitting
and/or denying access to usage information collected by the audit
system for use by the analysis system. This, in part, may help
ensure end user's privacy rights as it relates to the usage of such
information. Some containers may require, as an aspect of their
control structures, that an end user make usage information
available for analysis purposes. Other containers may give an end
user the option of either allowing the usage information to be used
for analysis, or denying some or all such uses of such information.
Some users may elect to allow analysis of certain information, and
deny this permission for other information. End users 3310 in this
example may, for example, elect to limit the granularity of
information that may be used for analysis purposes (e.g. an end
user may allow analysis of the number of movies viewed in a time
period but disallow use of specific titles, an end user may allow
release of their ZIP code for demographic analysis, but disallow
use of their name and address, etc.) Authors and/or the repository
3302 may, for example, choose to charge end users 3310 smaller fees
if they agree to release certain usage information for analysis
purposes.
[2088] In this example, the repository 3302 may receive content
produced by more than one author. For example, author B, author C,
and author D may each create portions of content that will be
delivered to end users 3310 in a single container. For example,
author B may produce a reference work. Author C may produce a
commentary on author B's reference work, and author D may produce a
set of illustrations for author B's reference work and author C's
commentary. Author B may collect together author C's and author D's
content and add further content (e.g. the reference work described
above) and include such content in a single container which is then
transmitted to the repository 3302. Alternatively, each of the
authors may transmit their works to the repository 3302
independently, with an indication that a template should be used to
combine their respective works prior to shipping a container to an
end user. Still alternatively, a container reflecting the overall
content structure may be transmitted to the repository 3302 and
some or all of the content may be referenced in the content
references rather than delivered to the repository 3302 for storage
in content storage.
[2089] When an end user makes use of container content, their
content usage information may, for example, be segregated in
accordance with control structures that organize usage information
based at least in part on the author who created that segment.
Alternatively, the authors and/or the VDE repository 3302 may
negotiate one or more other techniques for securely dividing and/or
sharing usage information in accordance with VDE control
information. Furthermore, control structures associated with a
container may implement models that differentiate any usage fees
associated with portions of content based on usage of particular
portions, overall usage of the container, particular patterns of
usage, or other mechanism negotiated (or otherwise agreed to) by
the authors. Reports of usage information, analysis results,
disbursements, and other clearinghouse processes may also be
generated in a manner that reflects agreements reached by
repository 3302 participants (authors, end users 3310 and/or the
repository 3302) with respect to such processes. These agreements
may be the result of a VDE control information negotiation amongst
these participants.
[2090] In this example, one type of author is a publisher 3308. The
publisher 3308 in this example communicates over an "internal"
network with a VDE based local repository 3302 and over the network
described above with the public repository 3302. The publisher 3308
may create or otherwise provide content and/or VDE control
structure templates that are delivered to the local repository 3302
for use by other participants who have access to the "internal"
network. These templates may be used to describe the structure of
containers, and may further describe whom in the publisher 3308's
organization may take which actions with respect to the content
created within the organization related to publication for delivery
to (and/or referencing by) the repository 3302. For example, the
publisher 3308 may decide (and control by use of said temple) that
a periodical publication will have a certain format with respect to
the structure of its content and the types of information that may
be included (e.g. text, graphics, multimedia presentations,
advertisements, etc.), the relative location and/or order of
presentation of its content, the length of certain segments, etc.
Furthermore, the publisher 3308 may, for example, determine
(through distribution of appropriate permissions) that the
publication editor is the only party that may grant permissions to
write into the container, and that the organization librarian is
the only party that may index and/or abstract the content. In
addition, the publisher 3308 may, for example, allow only certain
one or more parties to finalize a container for delivery to the
repository 3302 in usable form (e.g. by maintaining control over
the type of permissions, including distribution permissions, that
may be required by the repository 3302 to perform subsequent
distribution activities related to repository end users 3310).
[2091] In this example, author 3306E is connected directly to the
publisher 3308, such that the publisher 3308 can provide templates
for that author that establish the character of containers for
author 3306E's content. For example, if author 3306E creates books
for distribution by the publisher 3308, the publisher 3308 may
define the VDE control structure template which provides control
method options for author 3306E to select from and which provides
VDE control structures for securely distributing author 3306E's
works. Author 3306E and the publisher 3308 may employ VDE
negotiations for the template characteristics, specific control
structures, and/or parameter data used by author 3306E. Author
3306E may then use the template(s) to create control structures for
their content containers. The publisher 3308 may then deliver these
works to the repository 3302 under a VDE extended agreement
comprising electronic agreements between author 3306E and the
publisher 3308 and the repository 3302 and the publisher 3308.
[2092] In this example, the publisher 3308 may also make author
3306E's work available on the local repository 3302. The editor may
authorize (e.g. through distribution of appropriate permissions)
author F to create certain portions of content for a publication.
In this example, the editor may review and/or modify author F's
work and further include it in a container with content provided by
author 3306E (available on the local repository 3302). The editor
may or may not have permissions from the publisher 3308 to modify
author 3306E's content (depending on any negotiation(s) that may
have occurred between the publisher 3308 and author 3306E, and the
publisher 3308's decision to extend such rights to the editor if
permissions to modify author 3306E's content are held in
redistributable form by the publisher 3308). The editor may also
include content from other authors by (a) using a process of
granting permissions to authors to write directly into the
containers and/or (b) retrieving containers from the local
repository 3302 for inclusion. The local repository 3302 may also
be used for other material used by the publisher 3308's
organization (e.g. databases, other reference works, internal
documents, draft works for review, training videos, etc.), such
material may, given appropriate permissions, be employed in VDE
container collections of content created by the editor.
[2093] The librarian in this example has responsibility for
building and/or editing inverted indexes, keyword lists (e.g. from
a restricted vocabulary), abstracts of content, revision histories,
etc. The publisher 3308 may, for example, grant permissions to only
the librarian for creating this type of content. The publisher 3308
may further require that this building and/or editing occur prior
to release of content to the repository 3302.
Example
Evolution and Transformation of VDE Managed Content and Control
Information
[2094] The VDE content control architecture allows content control
information (such as control information for governing content
usage) to be shaped to conform to VDE control information
requirements of multiple parties. Formulating such multiple party
content control information normally involves securely deriving
control information from control information securely contributed
by parties who play a role in a content handling and control model
(e.g. content creator(s), provider(s), user(s), clearinghouse(s),
etc.). Multiple party control information may be necessary in order
to combine multiple pieces of independently managed VDE content
into a single VDE container object (particularly if such
independently managed content pieces have differing, for example
conflicting, content control information). Such secure combination
of VDE managed pieces of content will frequently require VDE's
ability to securely derive content control information which
accommodates the control information requirements, including any
combinatorial rules, of the respective VDE managed pieces of
content and reflects an acceptable agreement between such plural
control information sets.
[2095] The combination of VDE managed content pieces may result in
a VDE managed composite of content. Combining VDE managed content
must be carried out in accordance with relevant content control
information associated with said content pieces and processed
through the use of one or more secure VDE sub-system PPEs 650.
VDE's ability to support the embedding, or otherwise combining, of
VDE managed content pieces, so as to create a combination product
comprised of various pieces of VDE content, enables VDE content
providers to optimize their VDE electronic content products. The
combining of VDE managed content pieces may result in a VDE content
container which "holds" consolidated content and/or concomitant,
separate, nested VDE content containers.
[2096] VDE's support for creation of content containers holding
distinct pieces of VDE content portions that were previously
managed separately allows VDE content providers to develop products
whose content control information reflects value propositions
consistent with the objectives of the providers of content pieces,
and further are consistent with the objectives of a content
aggregator who may be producing a certain content combination as a
product for commercial distribution. For example, a content product
"launched" by a certain content provider into a commercial channel
(such as a network repository) may be incorporated by different
content providers and/or end-users into VDE content containers (so
long as such incorporation is allowed by the launched product's
content control information). These different content providers
and/or end-users may, for example, submit differing control
information for regulating use of such content. They may also
combine in different combinations a certain portion of launched
content with content received from other parties (and/or produced
by themselves) to produce different content collections, given
appropriate authorizations.
[2097] VDE thus enables copies of a given piece of VDE managed
content to be securely combined into differing consolidations of
content, each of which reflects a product strategy of a different
VDE content aggregator. VDE's content aggregation capability will
result in a wider range of competitive electronic content products
which offer differing overall collections of content and may employ
differing content control information for content that may be
common to such multiple products. Importantly, VDE securely and
flexibly supports editing the content in, extracting content from,
embedding content into, and otherwise shaping the content
composition of, VDE content containers. Such capabilities allow VDE
supported product models to evolve by progressively reflecting the
requirements of "next" participants in an electronic commercial
model. As a result, a given piece of VDE managed content, as it
moves through pathways of handling and branching, can participate
in many different content container and content control information
commercial models.
[2098] VDE content, and the electronic agreements associated with
said content, can be employed and progressively manipulated in
commercial ways which reflect traditional business practices for
non-electronic products (though VDE supports greater flexibility
and efficiency compared with most of such traditional models).
Limited only by the VDE control information employed by content
creators, other providers, and other pathway of handling and
control participants, VDE allows a "natural" and unhindered flow
of, and creation of, electronic content product models. VDE
provides for this flow of VDE products and services through a
network of creators, providers, and users who successively and
securely shape and reshape product composition through content
combining, extracting, and editing within a Virtual Distribution
Environment.
[2099] VDE provides means to securely combine content provided at
different times, by differing sources, and/or representing
differing content types. These types, timings, and/or different
sources of content can be employed to form a complex array of
content within a VDE content container. For example, a VDE content
container may contain a plurality of different content container
objects, each containing different content whose usage can be
controlled, at least in part, by its own container's set of VDE
content control information.
[2100] A VDE content container object may, through the use of a
secure VDE sub-system, be "safely" embedded within a "parent" VDE
content container. This embedding process may involve the creation
of an embedded object, or, alternatively, the containing, within a
VDE content container, of a previously independent and now embedded
object by, at minimum, appropriately referencing said object as to
its location.
[2101] An embedded content object within a parent VDE content
container: [2102] (1) may have been a previously created VDE
content container which has been embedded into a parent VDE content
container by securely transforming it from an independent to an
embedded object through the secure processing of one or more VDE
component assemblies within a VDE secure sub-system PPE 650. In
this instance, an embedded object may be subject to content control
information, including one or more permissions records associated
with the parent container, but may not, for example, have its own
content control information other than content identification
information, or the embedded object may be more extensively
controlled by its own content control information (e.g. permissions
records). [2103] (2) may include content which was extracted from
another VDE content container (along with content control
information, as may be applicable) for inclusion into a parent VDE
content container in the form of an embedded VDE content container
object. In this case, said extraction and embedding may use one or
more VDE processes which run securely within a VDE secure
sub-system PPE 650 and which may securely remove (or copy) the
desired content from a source VDE content container and place such
content in a new or existing container object, either of which may
be or become embedded into a parent VDE content container. [2104]
(3) may include content which was first created and then placed in
a VDE content container object. Said receiving container may
already be embedded in a parent VDE content container and may
already contain other content. The container in which such content
is placed may be specified using a VDE aware application which
interacts with content and a secure VDE subsystem to securely
create such VDE container and place such content therein followed
by securely embedding such container into the destination, parent
container. Alternatively, content may be specified without the use
of a VDE aware application, and then manipulated using a VDE aware
application in order to manage movement of the content into a VDE
content container. Such an application may be a VDE aware word
processor, desktop and/or multimedia publishing package, graphics
and/or presentation package, etc. It may also be an operating
system function (e.g. part of a VDE aware operating system or
mini-application operating with an O/S such as a Microsoft Windows
compatible object packaging application) and movement of content
from "outside" VDE to within a VDE object may, for example, be
based on a "drag and drop" metaphor that involves "dragging" a file
to a VDE container object using a pointing device such as a mouse.
Alternatively, a user may "cut" a portion of content and "paste"
such a portion into a VDE container by first placing content into a
"clipboard," then selecting a target content object and pasting the
content into such an object. Such processes may, at the direction
of VDE content control information and under the control of a VDE
secure subsystem, put the content automatically at some position in
the target object, such as at the end of the object or in a portion
of the object that corresponds to an identifier carried by or with
the content such as a field identifier, or the embedding process
might pop-up a user interface that allows a user to browse a target
object's contents and/or table of contents and/or other
directories, indexes, etc. Such processes may further allow a user
to make certain decisions concerning VDE content control
information (budgets limiting use, reporting pathway(s), usage
registration requirements, etc.) to be applied to such embedded
content and/or may involve selecting the specific location for
embedding the content, all such processes to be performed as
transparently as practical for the application. [2105] (4) may be
accessed in conjunction with one or more operating system utilities
for object embedding and linking, such as utilities conforming to
the Microsoft OLE standard. In this case, a VDE container may be
associated with an OLE "link" Accesses (including reading content
from, and writing content to) to a VDE protected container may be
passed from an OLE aware application to a VDE aware OLE application
that accesses protected content in conjunction with control
information associated with such content.
[2106] A VDE aware application may also interact with component
assemblies within a PPE to allow direct editing of the content of a
VDE container, whether the content is in a parent or embedded VDE
content container. This may include the use of a VDE aware word
processor, for example, to directly edit (add to, delete, or
otherwise modify) a VDE container's content. The secure VDE
processes underlying VDE container content editing may be largely
or entirely transparent to the editor (user) and may transparently
enable the editor to securely browse through (using a VDE aware
application) some or all of the contents of, and securely modify
one or more of the VDE content containers embedded in, a VDE
content container hierarchy.
[2107] The embedding processes for all VDE embedded content
containers normally involves securely identifying the appropriate
content control information for the embedded content. For example,
VDE content control information for a VDE installation and/or a VDE
content container may securely, and transparently to an embedder
(user), apply the same content control information to edited (such
as modified or additional) container content as is applied to one
or more portions (including all, for example) of previously "in
place" content of said container and/or securely apply control
information generated through a VDE control information negotiation
between control sets, and/or it may apply control information
previously applied to said content. Application of control
information may occur regardless of whether the edited content is
in a parent or embedded container. This same capability of securely
applying content control information (which may be automatically
and/or transparently applied), may also be employed with content
that is embedded into a VDE container through extracting and
embedding content, or through the moving, or copying and embedding,
of VDE container objects. Application of content control
information normally occurs securely within one or more VDE secure
sub-system PPEs 650. This process may employ a VDE template that
enables a user, through easy to use GUI user interface tools, to
specify VDE content control information for certain or all embedded
content, and which may include menu driven, user selectable and/or
definable options, such as picking amongst alternative control
methods (e.g. between different forms of metering) which may be
represented by different icons picturing (symbolizing) different
control functions and apply such functions to an increment of VDE
secured content, such as an embedded object listed on an object
directory display.
[2108] Extracting content from a VDE content container, or editing
or otherwise creating VDE content with a VDE aware application,
provides content which may be placed within a new VDE content
container object for embedding into said parent VDE container, or
such content may be directly placed into a previously existing
content container. All of these processes may be managed by
processing VDE content control information within one or more VDE
installation secure sub-systems.
[2109] VDE content container objects may be embedded in a parent
object through control information referenced by a parent object
permissions record that resolves said embedded object's location
and/or contents. In this case, little or no change to the embedded
object's previously existing content control information may be
required. VDE securely managed content which is relocated to a
certain VDE content container may be relocated through the use of
VDE sub-system secure processes which may, for example, continue to
maintain relocated content as encrypted or otherwise protected
(e.g. by secure tamper resistant barrier 502) during a
relocation/embedding process.
[2110] Embedded content (and/or content objects) may have been
contributed by different parties and may be integrated into a VDE
container through a VDE content and content control information
integration process securely managed through the use of one or more
secure VDE subsystems. This process may, for example, involve one
or more of:
[2111] (1.) securely applying instructions controlling the
embedding and/or use of said submitted content, wherein said
instructions were securely put in place, at least in part, by a
content provider and/or user of said VDE container. For example,
said user and/or provider may interact with one or more user
interfaces offering a selection of content embedding and/or control
options (e.g. in the form of a VDE template). Such options may
include which, and/or whether, one or more controls should be
applied to one or more portions of said content and/or the entry of
content control parameter data (such a time period before which
said content may not be used, cost of use of content, and/or
pricing discount control parameters such as software program suite
sale discounting). Once required and/or optional content control
information is established by a provider and/or user, it may
function as content control information which may be, in part or in
full, applied automatically to certain, or all, content which is
embedded in a VDE content container.
[2112] (2.) secure VDE managed negotiation activities, including
the use of a user interface interaction between a user at a
receiving VDE installation and VDE content control information
associated with the content being submitted for embedding. For
example, such associated control information may propose certain
content information and the content receiver may, for example,
accept, select from a plurality, reject, offer alternative control
information, and/or apply conditions to the use of certain content
control information (for example, accept a certain one or more
controls if said content is used by a certain one or more users
and/or if the volume of usage of certain content exceeds a certain
level).
[2113] (3.) a secure, automated, VDE electronic negotiation process
involving VDE content control information of the receiving VDE
content container and/or VDE installation and content control
information associated with the submitted content (such as control
information in a permissions record of a contributed VDE object,
certain component assemblies, parameter data in one or more UDEs
and/or MDEs, etc.).
[2114] Content embedded into a VDE content container may be
embedded in the form of:
[2115] (1.) content that is directly, securely integrated into
previously existing content of a VDE content container (said
container may be a parent or embedded content container) without
the formation of a new container object. Content control
information associated with said content after embedding must be
consistent with any pre-embedding content control information
controlling, at least in part, the establishment of control
information required after embedding. Content control information
for such directly integrated, embedded content may be integrated
into, and/or otherwise comprise a portion of, control information
(e.g. in one or more permissions records containing content control
information) for said VDE container, and/or
[2116] (2.) content that is integrated into said container in one
or more objects which are nested within said VDE content container
object. In this instance, control information for said content may
be carried by either the content control information for the parent
VDE content container, or it may, for example, be in part or in
full carried by one or more permissions records contained within
and/or specifically associated with one or more content containing
nested VDE objects. Such nesting of VDE content containing objects
within a parent VDE content container may employ a number of
levels, that is a VDE content container nested in a VDE content
container may itself contain one or more nested VDE content
containers.
[2117] VDE content containers may have a nested structure
comprising one or more nested containers (objects) that may
themselves store further containers and/or one or more types of
content, for example, text, images, audio, and/or any other type of
electronic information (object content may be specified by content
control information referencing, for example, byte offset locations
on storage media). Such content may be stored, communicated, and/or
used in stream (such as dynamically accumulating and/or flowing)
and/or static (fixed, such as predefined, complete file) form. Such
content may be derived by extracting a subset of the content of one
or more VDE content containers to directly produce one or more
resulting VDE content containers. VDE securely managed content
(e.g. through the use of a VDE aware application or operating
system having extraction capability) may be identified for
extraction from each of one or more locations within one or more
VDE content containers and may then be securely embedded into a new
or existing VDE content container through processes executing VDE
controls in a secure subsystem PPE 650. Such extraction and
embedding (VDE "exporting") involves securely protecting, including
securely executing, the VDE exporting processes.
[2118] A VDE activity related to VDE exporting and embedding
involves performing one or more transformations of VDE content from
one secure form to one or more other secure forms. Such
transformation(s) may be performed with or without moving
transformed content to a new VDE content container (e.g. by
component assemblies operating within a PPE that do not reveal, in
unprotected form, the results or other output of such transforming
processes without further VDE processes governing use of at least a
portion of said content). One example of such a transformation
process may involve performing mathematical transformations and
producing results, such as mathematical results, while retaining,
none, some, or all of the content information on which said
transformation was performed. Other examples of such
transformations include converting a document format (such as from
a WordPerfect format to a Word for Windows format, or an SGML
document to a Postscript document), changing a video format (such
as a QuickTime video format to a MPEG video format), performing an
artificial intelligence process (such as analyzing text to produce
a summary report), and other processing that derives VDE secured
content from other VDE secured content.
[2119] FIG. 79 shows an example of an arrangement of commercial VDE
users. The users in this example create, distribute, redistribute,
and use content in a variety of ways. This example shows how
certain aspects of control information associated with content may
evolve as control information passes through a chain of handling
and control. These VDE users and controls are explained in more
detail below.
[2120] Creator A in this example creates a VDE container and
provides associated content control information that includes
references (amongst other things) to several examples of possible
"types" of VDE control information. In order to help illustrate
this example, some of the VDE control information passed to another
VDE participant is grouped into three categories in the following
more detailed discussion: distribution control information,
redistribution control information, and usage control information.
In this example, a fourth category of embedding control information
can be considered an element of all three of the preceding
categories. Other groupings of control information are possible
(VDE does not require organizing control information in this way).
The content control information associated with this example of a
container created by creator A is indicated on FIG. 80 as C.sub.A.
FIG. 80 further shows the VDE participants who may receive enabling
control information related to creator A's VDE content container.
Some of the control information in this example is explained in
more detail below.
[2121] Some of the distribution control information (in this
example, control information primarily associated with creation,
modification, and/or use of control information by distributors)
specified by creator A includes: (a) distributors will compensate
creator A for each active user of the content of the container at
the rate of $10 per user per month, (b) distributors are budgeted
such that they may allow no more than 100 independent users to gain
access to such content (i.e. may create no more than 100
permissions records reflecting content access rights) without
replenishing this budget, and (c) no distribution rights may be
passed on in enabling control information (e.g. permissions records
and associated component assemblies) created for distribution to
other participants.
[2122] Some of the content redistribution control information (in
this example, control information produced by a distributor within
the scope permitted by a more senior participant in a chain of
handling and control and passed to user/providers (in this example,
user/distributors) and associated with controls and/or other
requirements associated with redistribution activities by such
user/distributors) specified by creator A includes: (a) a
requirement that control information enabling content access may be
redistributed by user/distributors no more than 2 levels, and
further requires that each redistribution decrease this value by
one, such that a first redistributor is restricted to two levels of
redistribution, and a second redistributor to whom the first
redistributor delivers permissions will be restricted to one
additional level of redistribution, and users receiving permissions
from the second redistributor will be unable to perform further
redistribution (such a restriction may be enforced, for example, by
including as one aspect of a VDE control method associated with
creating new permissions a requirement to invoke one or more
methods that: (i) locate the current level of redistribution
stored, for example, as an integer value in a UDE associated with
such one or more methods, (ii) compare the level of redistribution
value to a limiting value, and (iii) if such level of
redistribution value is less than the limiting value, increment
such level of redistribution value by one before delivering such a
UDE to a user as an aspect of content control information
associated with VDE managed content, or fail the process if such
value is equal to such a limiting value), and (b) no other special
restrictions are placed on redistributors.
[2123] Some of the usage control information (in this example,
control information that a creator requires a distributor to
provide in control information passed to users and/or
user/distributors) specified by creator A may include, for example:
(a) no moves (a form of distribution explained elsewhere in this
document) of the content are permitted, and (b) distributors will
be required to preserve (at a minimum) sufficient metering
information within usage permissions in order to calculate the
number of users who have accessed the container in a month and to
prevent further usage after a rental has expired (e.g. by using a
meter method designed to report access usages to creator A through
a chain of handling and reporting, and/or the use of expiration
dates and/or time-aged encryption keys within a permissions record
or other required control information).
[2124] Some of the extracting and/or embedding control information
specified by creator A in this example may include a requirement
that no extracting and/or embedding of the content is or will be
permitted by parties in a chain of handling and control associated
with this control information, except for users who have no
redistribution rights related to such VDE secured content provided
by Creator A. Alternatively, or in addition, as regards different
portions of said content, control information enabling certain
extraction and/or embedding may be provided along with the
redistribution rights described in this example for use by
user/distributors (who may include user content aggregators, that
is they may provide content created by, and/or received from,
different sources so as to create their own content products).
[2125] Distributor A in this example has selected a basic approach
that distributor A prefers when offering enabling content control
information to users and/or user/distributors that favors rental of
content access rights over other approaches. In this example, some
of the control information provided by creators will permit
distributor A to fulfill this favored approach directly, and other
control structures may disallow this favored approach (unless, for
example, distributor A completes a successful VDE negotiation
allowing such an approach and supporting appropriate control
information). Many of the control structures received by
distributor A, in this example, are derived from (and reflect the
results of) a VDE negotiation process in which distributor A
indicates a preference for distribution control information that
authorizes the creation of usage control information reflecting
rental based usage rights. Such distribution control information
may allow distributor A to introduce and/or modify control
structures provided by creators in such a way as to create control
information for distribution to users and/or user/distributors
that, in effect, "rent" access rights. Furthermore, distributor A
in this example services requests from user/distributors for
redistribution rights, and therefore also favors distribution
control information negotiated (or otherwise agreed to) with
creators that permits distributor A to include such rights as an
aspect of control information produced by distributor A.
[2126] In this example, distributor A and creator A may use VDE to
negotiate (for example, VDE negotiate) for a distribution
relationship. Since in this example creator A has produced a VDE
content container and associated control information that indicates
creator A's desire to receive compensation based on rental of usage
rights, and such control information further indicates that creator
A has placed acceptable restrictions in redistribution control
information that distributor A may use to service requests from
user/distributors, distributor A may accept creator A's
distribution control information without any negotiated
changes.
[2127] After receiving enabling distribution control information
from creator A, distributor A may manipulate an application program
to specify some or all of the particulars of usage control
information for users and/or user/distributors enabled by
distributor A (as allowed, or not prevented, by senior control
information). Distributor A may, for example, determine that a
price of $15 per month per user would meet distributor A's business
objectives with respect to payments from users for creator A's
container. Distributor A must specify usage control information
that fulfill the requirements of the distribution control
information given to distributor A by creator A. For example,
distributor A may include any required expiration dates and/or
time-aged encryption keys in the specification of control
information in accordance with creator A's requirements. If
distributor A failed to include such information (or to meet other
requirements) in their specification of control information, the
control method(s) referenced in creator A's permissions record and
securely invoked within a PPE 650 to actually create this control
information would, in this example, fail to execute in the desired
way (e.g. based on checks of proposed values in certain fields, a
requirement that certain methods be included in permissions, etc.)
until acceptable information were included in distributor A's
control information specification.
[2128] In this example, user A may have established an account with
distributor A such that user A may receive VDE managed content
usage control information from distributor A. User A may receive
content usage control information from distributor A to access and
use creator A's content. Since the usage control information has
passed through (and been added to, and/or modified by) a chain of
handling including distributor A, the usage control information
requested from distributor A to make use of creator A's content
will, in this example, reflect a composite of control information
from creator A and distributor A. For example, creator A may have
established a meter method that will generate an audit record if a
user accesses creator A's VDE controlled content container if the
user has not previously accessed the container within the same
calendar month (e.g. by storing the date of the user's last access
in a UDE associated with an open container event referenced in a
method core of such a meter method and comparing such a date upon
subsequent access to determine if such access has occurred within
the same calendar month). Distributor A may make use of such a
meter method in a control method (e.g. also created and/or provided
by creator A, or created and/or provided by distributor A)
associated with opening creator A's container that invokes one or
more billing and/or budget methods created, modified, referenced in
one or more permissions records and/or parameterized by distributor
A to reflect a charge for monthly usage as described above. If
distributor A has specified usage and/or redistribution control
information within the boundaries permitted by creator A's senior
control information, a new set of control information (shown as
D.sub.A(C.sub.A) in FIG. 80) may be associated with creator A's VDE
content container when control information associated with that
container by distributor A are delivered to users and/or
user/distributors (user A, user B, and user/distributor A in this
example).
[2129] In this example, user A may receive control information
related to creator A's VDE content container from distributor A.
This control information may represent an extended agreement
between user A and distributor A (e.g. regarding fees associated
with use of content, limited redistribution rights, etc.) and
distributor A and creator A (e.g. regarding the character, extent,
handling, reporting, and/or other aspects of the use and/or
creation of VDE controlled content usage information and/or content
control information received, for example, by distributor A from
creator A, or vice versa, or in other VDE content usage information
handling) Such an extended agreement is enforced by processes
operating within a secure subsystem of each participant's VDE
installation. The portion of such an extended agreement
representing control information of creator A as modified by
distributor A in this example is represented by D.sub.A(C.sub.A),
including, for example, (a) control structures (e.g. one or more
component assemblies, one or more permissions records, etc.), (b)
the recording of usage information generated in the course of using
creator A's content in conformance with requirements stated in such
control information, (c) making payments (including automatic
electronic credit and/or currency payments "executed" in response
to such usage) as a consequence of such usage (wherein such
consequences may also include electronically, securely and
automatically receiving a bill delivered through use of VDE,
wherein such a bill is derived from said usage), (d) other actions
by user A and/or a VDE secure subsystem at user A's VDE
installation that are a consequence of such usage and/or such
control information.
[2130] In addition to control information D.sub.A(C.sub.A), user A
may enforce her own control information on her usage of creator A's
VDE content container (within the limits of senior content control
information). This control information may include, for example,
(a) transaction, session, time based, and/or other thresholds
placed on usage such that if such thresholds (e.g. quantity limits,
for example, self imposed limits on the amount of expenditure per
activity parameter) are exceeded user A must give explicit approval
before continuing, (b) privacy requirements of user A with respect
to the recording and/or transmission of certain usage related
details relating to user A's usage of creator A's content, (c)
backup requirements that user A places on herself in order to help
ensure a preservation of value remaining in creator A's content
container and/or local store of electronic credit and/or currency
that might otherwise be lost due to system failure or other causes.
The right to perform in some or all of these examples of user A's
control information, in some examples, may be negotiated with
distributor A. Other such user specified control information may be
enforced independent of any control information received from any
content provider and may be set in relationship to a user's, or
more generally, a VDE installation's, control information for one
or more classes, or for all classes, of content and/or electronic
appliance usage. The entire set of VDE control information that may
be in place during user A's usage of creator A's content container
is referred to on FIG. 80 as U.sub.A(D.sub.A(C.sub.A)). This set
may represent the control information originated by creator A, as
modified by distributor A, as further modified by user A, all in
accordance with control information from value chain parties
providing more senior control information, and therefore
constitutes, for this example, a "complete" VDE extended agreement
between user A, distributor A, and creator A regarding creator A's
VDE content container. User B may, for example, also receive such
control information D.sub.A(C.sub.A) from distributor A, and add
her own control information in authorized ways to form the set
U.sub.B(D.sub.A(C.sub.A)).
[2131] User/distributor A may also receive VDE control information
from distributor A related to creator A's VDE content container.
User/distributor A may, for example, both use creator A's content
as a user and act as a redistributor of control information. In
this example, control information D.sub.A(C.sub.A) both enables and
limits these two activities. To the extent permitted by
D.sub.A(C.sub.A), user/distributor A may create their own control
information based on
D.sub.A(C.sub.A)--UD.sub.A(D.sub.A(C.sub.A))--that controls both
user/distributor A's usage (in a manner similar to that described
above in connection with user A and user B), and control
information redistributed by user/distributor A (in a manner
similar to that described above in connection with distributor A).
For example, if user/distributor A redistributes
UD.sub.A(D.sub.A(C.sub.A)) to user/distributor B, user/distributor
B may be required to report certain usage information to
user/distributor A that was not required by either creator A or
distributor A. Alternatively or in addition, user/distributor B
may, for example, agree to pay user/distributor A a fee to use
creator A's content based on the number of minutes user/distributor
B uses creator A's content (rather than the monthly fee charged to
user/distributor A by distributor A for user/distributor B's
usage).
[2132] In this example, user/distributor A may distribute control
information UD.sub.A(D.sub.A(C.sub.A)) to user/distributor B that
permits user/distributor B to further redistribute control
information associated with creator A's content. User/distributor B
may make a new set of control information
UD.sub.B(UD.sub.A(D.sub.A(C.sub.A))). If the control information
UD.sub.A(D.sub.A(C.sub.A)) permits user/distributor B to
redistribute, the restrictions on redistribution from creator A in
this example will prohibit the set
UD.sub.B(UD.sub.A(D.sub.A(C.sub.A))) from including further
redistribution rights (e.g. providing redistribution rights to user
B) because the chain of handling from distributor A to
user/distributor A (distribution) and the continuation of that
chain from user/distributor A to user/distributor B (first level of
redistribution) and the further continuation of that chain to
another user represents two levels of redistribution, and,
therefore, a set UD.sub.B(UD.sub.A(D.sub.A(C.sub.A))) may not, in
this example, include further redistribution rights.
[2133] As indicated in FIG. 79, user B may employ content from both
user/distributor B and distributor A (amongst others). In this
example, as illustrated in FIG. 80, user B may receive control
information associated with creator A's content from distributor A
and/or user/distributor B. In either case, user B may be able to
establish their own control information on D.sub.A(C.sub.A) and/or
UD.sub.B(UD.sub.A(D.sub.A(C.sub.A))), respectively (if allowed by
such control information. The resulting set(s) of control
information, U.sub.B(D.sub.A(C.sub.A)) and/or
U.sub.B(UD.sub.B(UD.sub.A(D.sub.A(C.sub.A)))) respectively, may
represent different control scenarios, each of which may have
benefits for user B. As described in connection with an earlier
example, user B may have received control information from
user/distributor B along a chain of handling including
user/distributor A that bases fees on the number of minutes that
user B makes use of creator A's content (and requiring
user/distributor A to pay fees of $15 per month per user to
distributor A regardless of the amount of usage by user B in a
calendar month). This may be more favorable under some
circumstances than the fees required by a direct use of control
information provided by distributor A, but may also have the
disadvantage of an exhausted chain of redistribution and, for
example, further usage information reporting requirements included
in UD.sub.B(UD.sub.A(D.sub.A(C.sub.A))). If the two sets of control
information D.sub.A(C.sub.A) and
UD.sub.B(UD.sub.A(D.sub.A(C.sub.A))) permit (e.g. do not require
exclusivity enforced, for example, by using a registration interval
in an object registry used by a secure subsystem of user B's VDE
installation to prevent deregistration and reregistration of
different sets of control information related to a certain
container (or registration of plural copies of the same content
having different control information and/or being supplied by
different content providers) within a particular interval of time
as an aspect of an extended agreement for a chain of handling and
control reflected in D.sub.A(C.sub.A) and/or
UD.sub.B(UD.sub.A(D.sub.A(C.sub.A)))), user B may have both sets of
control information registered and may make use of the set that
they find preferable under a given usage scenario.
[2134] In this example, creator B creates a VDE content container
and associates a set of VDE control information with such container
indicated in FIG. 81 as C.sub.B. FIG. 81 further shows the VDE
participants who may receive enabling control information related
to creator B's VDE content container. In this example, control
information may indicate that distributors of creator B's content:
(a) must pay creator B $0.50 per kilobyte of information decrypted
by users and/or user/distributors authorized by such a distributor,
(b) may allow users and/or user/distributors to embed their content
container in another container while maintaining a requirement that
creator B receive $0.50 per kilobyte of content decrypted, (c) have
no restrictions on the number of enabling control information sets
that may be generated for users and/or user/distributors, (d) must
report information concerning the number of such distributed
control information sets at certain time intervals (e.g. at least
once per month), (e) may create control information that allows
users and/or user/distributors to perform up to three moves of
their control information, (f) may allow redistribution of control
information by user/distributors up to three levels of
redistribution, (g) may allow up to one move per user receiving
redistributed control information from a user/distributor.
[2135] In this example, distributor A may request control
information from creator B that enables distributor A to distribute
control information to users and/or user/distributors that is
associated with the VDE container described above in connection
with creator B. As stated earlier, distributor A has established a
business model that favors "rental" of access rights to users and
user/distributors receiving such rights from distributor A. Creator
B's distribution control information in this example does not force
a model including "rental" of rights, but rather bases payment
amounts on the quantity of content decrypted by a user or
user/distributor. In this example, distributor A may use VDE to
negotiate with creator B to include a different usage information
recording model allowed by creator B. This model may be based on
including one or more meter methods in control structures
associated with creator B's container that will record the number
of bytes decrypted by end users, but not charge users a fee based
on such decryptions; rather distributor A proposes, and creator B's
control information agrees to allow, a "rental" model to charge
users, and determines the amount of payments to creator B based on
information recorded by the bytes decrypted meter methods and/or
collections of payment from users.
[2136] Creator B may, for example, (a) accept such a new control
model with distributor A acting as the auditor (e.g. trusting a
control method associated with processing audit information
received by distributor A from users of creator B's content using a
VDE secure subsystem at distributor A's site, and further to
securely calculate amounts owed by distributor A to creator B and,
for example, making payments to creator B using a mutually
acceptable budget method managing payments to creator B from credit
and/or currency held by distributor A), (b) accept such a new
control model based on distributor A's acceptance of a third party
to perform all audit functions associated with this content, (c)
may accept such a model if information associated with the one or
more meter methods that record the number of bytes decrypted by
users is securely packaged by distributor B's VDE secure subsystem
and is securely, employing VDE communications techniques, sent to
creator B in addition to distributor A, and/or (d) other mutually
acceptable conditions. Control information produced by distributor
A based on modifications performed by distributor A as permitted by
C.sub.B are referred to in this example as D.sub.A(C.sub.B).
[2137] User A may receive a set of control information
D.sub.A(C.sub.B) from distributor A. As indicated above in
connection with content received from creator A via a chain of
handling including distributor A, user A may apply their own
control information to the control information D.sub.A(C.sub.B), to
the extent permitted by D.sub.A(C.sub.B), to produce a set of
control information U.sub.A(D.sub.A(C.sub.B)). The set of control
information D.sub.A(C.sub.B) may include one or more meter methods
that record the number of bytes of content from creator B's
container decrypted by user A (in order to allow correct
calculation of amounts owed by distributor A to creator B for user
A's usage of creator B's content in accordance with the control
information of C.sub.B that requires payment of $0.50 per kilobyte
of decrypted information), and a further meter method associated
with recording usage such that distributor A may gather sufficient
information to securely generate billings associated with user A's
usage of creator B's content and based on a "rental" model (e.g.
distributor A may, for example, have included a meter method that
records each calendar month that user A makes use of creator B's
content, and relates to further control information that charges
user A $10 per month for each such month during which user A makes
use of such content.)
[2138] User/distributor A may receive control information C.sub.B
directly from creator B. In this case, creator B may use VDE to
negotiate with user/distributor A and deliver a set of control
information C.sub.B that may be the same or differ from that
described above in connection with the distribution relationship
established between creator B and distributor A. For example,
user/distributor A may receive control information C.sub.B that
includes a requirement that user/distributor A pay creator B for
content decrypted by user/distributor A (and any participant
receiving distributed and/or redistributed control information from
user/distributor A) at the rate of $0.50 per kilobyte. As indicated
above, user/distributor A also may receive control information
associated with creator B's VDE content container from distributor
A. In this example, user/distributor A may have a choice between
paying a "rental" fee through a chain of handling passing through
distributor A, and a fee based on the quantity of decryption
through a chain of handling direct to creator B. In this case,
user/distributor A may have the ability to choose to use either or
both of C.sub.B and D.sub.A(C.sub.B). As indicated earlier in
connection with a chain of handling including creator A and
distributor A, user/distributor A may apply her own control
information to the extent permitted by C.sub.B and/or
D.sub.A(C.sub.B) to form the sets of control information
UD.sub.A(C.sub.B) and UD.sub.A(D.sub.A(C.sub.B)), respectively.
[2139] As illustrated in FIG. 81, in this example; user B may
receive control information associated with creator B's VDE content
container from six different sources: C.sub.B directly from creator
B, D.sub.A(C.sub.B) from distributor A,
UD.sub.B(UD.sub.A(D.sub.A(C.sub.B))) and/or
UD.sub.B(UD.sub.A(C.sub.B)) from user/distributor B,
D.sub.C(C.sub.B) from distributor C, and/or D.sub.B(D(C.sub.B))
from distributor B. This represents six chains of handling through
which user B may enter into extended agreements with other
participants in this example. Two of these chains pass through
user/distributor B. Based on a VDE negotiation between
user/distributor B and user B, an extended agreement may be reached
(if permitted by control information governing both parties) that
reflects the conditions under which user B may use one or both sets
of control information. In this example, two chains of handling and
control may "converge" at user/distributor B, and then pass to user
B (and if control information permits, later diverge once again
based on distribution and/or redistribution by user B).
[2140] In this example, creator C produces one or more sets of
control information C.sub.C associated with a VDE content container
created by creator C, as shown in FIG. 82. FIG. 82 further shows
the VDE participants who may receive enabling control information
related to creator C's VDE content container. The content in such a
container is, in this example, organized into a set of text
articles. In this example control information may include one or
more component assemblies that describe the articles within such a
container (e.g. one or more event methods referencing map tables
and/or algorithms that describe the extent of each article).
C.sub.C may further include, for example: (a) a requirement that
distributors ensure that creator C received $1 per article accessed
by users and/or user/distributors, which payment allows a user to
access such an article for a period of no more than six months
(e.g. using a map-type meter method that is aged once per month,
time aged decryption keys, expiration dates associated with
relevant permissions records, etc.), (b) control information that
allows articles from creator C's container to be extracted and
embedded into another container for a one time charge per
extract/embed of $10, (c) prohibits extracted/embedded articles
from being reextracted, (d) permits distributors to create enabling
control information for up to 1000 users or user/distributors per
month, (e) requires that information regarding the number of users
and user/distributors enabled by a distributor be reported to
creator C at least once per week, (f) permits distributors to
enable users or user/distributors to perform up to one move of
enabling control information, and (g) permits up to 2 levels of
redistribution by user/distributors.
[2141] In this example, distributor B may establish a distribution
relationship with creator C. Distributor B in this example may have
established a business model that favors the distribution of
control information to users and user/distributors that bases
payments to distributor B based on the number of accesses performed
by such VDE participants. In this example, distributor B may create
a modified set D.sub.B(C.sub.C) of enabling control information for
distribution to users and/or user/distributors. This set
D.sub.B(C.sub.C) may, for example, be based on a negotiation using
VDE to establish a fee of $0.10 per access per user for users
and/or user/distributors who receive control information from
distributor B. For example, if one or more map-type meter methods
have been included in C.sub.C to ensure that adequate information
may be gathered from users and/or user/distributors to ensure
correct payments to creator C by distributor B based on C.sub.C,
such methods may be preserved in the set D.sub.B(C.sub.C), and one
or more further meter methods (and any other necessary control
structures such as billing and/or budget methods) may be included
to record each access such that the set D.sub.B(C.sub.C) will also
ensure that distributor B will receive payments based on each
access.
[2142] The client administrator in this example may receive a set
of content control information D.sub.B(C.sub.C) that differs, for
example, from control information received by user B from
distributor B. For example, the client administrator may use VDE to
negotiate with distributor B to establish a set of control
information for content from all creators for whom distributor B
may provide enabling content control information to the client
administrator. For example, the client administrator may receive a
set of control information D.sub.B(C.sub.C) that reflects the
results of a VDE negotiation between the client administrator and
distributor B. The client administrator may include a set of
modifications to D.sub.B(C.sub.C) and form a new set
CA(D.sub.B(C.sub.C)) that includes control information that may
only be available to users and user/distributors within the same
organization as the client administrator (e.g. coworkers,
employees, consultants, etc.). In order to enforce such an
arrangement, CA(D.sub.B(C.sub.C)) may, for example, include control
structures that examine name services information associated with a
user or user/distributor during registration, establish a new
budget method administered by the client administrator and required
for use of the content, etc.
[2143] A distributor may provide redistribution rights to a client
administrator which allows said administrator to redistribute
rights to create permissions records for certain content
(redistribute rights to use said content) only within the
administrator's organization and to no other parties. Similarly,
such administrator may extend such a "limited" right to
redistribute to department and/or other administrator within his
organization such that they may redistribute such rights to use
content based on one or more restricted lists of individuals and/or
classes and/or other groupings of organization personnel as defined
by said administrator. This VDE capability to limit redistribution
to certain one or more parties and/or classes and/or other
groupings of VDE users and/or installations can be applied to
content by any VDE content provider, so long as such a control is
allowed by senior control information.
[2144] User D in this example may receive control information from
either the client administrator and/or user/distributor C.
User/distributor C may, for example, distribute control information
U.sub.D(CA(D.sub.B(C).sub.C))) to user D that includes a
departmental budget method managed by user/distributor C to allow
user/distributor C to maintain an additional level of control over
the actions of user D. In this case, UD.sub.C(CA(D.sub.B(C.sub.C)))
may include multiple levels of organizational controls (e.g.
controls originating with the client administrator and further
controls originating with user/distributor C) in addition to
controls resulting from a commercial distribution channel. In
addition or alternatively, the client administrator may refuse to
distribute certain classes of control information to user D even if
the client administrator has adequate control information (e.g.
control information distributed to user/distributor C that allows
redistribution to users such as user D) to help ensure that control
information flows through the client administrator's organization
in accordance with policies, procedures, and/or other
administrative processes.
[2145] In this example, user E may receive control information from
the client administrator and/or distributor B. For example, user E
may have an account with distributor B even though some control
information may be received from the client administrator. In this
case, user E may be permitted to request and receive control
information from distributor B without restriction, or the client
administrator may have, as a matter of organizational policy,
control information in place associated with user E's electronic
appliance that limits the scope of user E's interaction with
distributor B. In the latter case, the client administrator may,
for example, have limited user E to registering control information
with the secure subsystem of user E's electronic appliance that is
not available from the client administrator, is from one or more
certain classes of distributors and/or creators, and/or has a cost
for usage, such as a certain price point (e.g. $50 per hour of
usage). Alternatively or in addition, the client administrator may,
for example, limit user E to receiving control information from
distributor B in which user E receives a more favorable price (or
other control information criteria) than the price (or other
criteria) available in control information from the client
administrator.
[2146] In this example, creator D may create a VDE content
container that is designed primarily for integration with other
content (e.g. through use of a VDE extracting/embedding process),
for example, content provided by creator B and creator C. FIG. 83
shows the VDE participants who may receive enabling control
information related a VDE content container produced by creator D.
Control information associated with creator D's content (C.sub.D in
FIG. 83) may include, for example: (a) a requirement that
distributors make payment of either $1.50 per open per user, or $25
per user for an unlimited number of opens, (b) a discount of 20%
for any user that has previously paid for an unlimited number of
opens for certain other content created by creator D (e.g.
implemented by including one or more billing methods that analyze a
secure database of a user's VDE installation to determine if any of
such certain other containers are registered, and further
determines the character of rights held by a user purchasing rights
to this container), (c) a requirement that distributors report the
number of users and user/distributors enabled by control
information produced in accordance with C.sub.D after such number
exceeds 1000, (d) a requirement that distributors limit the number
of moves by users and/or user/distributors to no more than one, (e)
a requirement that distributors limit user/distributors to no more
than four levels of redistribution, and (f) that distributors may
create enabling control information that permits other distributors
to create control information as distributors, but may not pass
this capability to such enabled distributors, and further requires
that audit information associated with use of control information
by such enabled distributors shall pass directly to creator D
without processing by such enabling distributor and that creator D
shall pay such an enabling distributor 10% of any payments received
by creator D from such an enabled distributor.
[2147] In this example, distributor C may receive VDE content
containers from creator B, creator C, and creator D, and associated
sets of control information C.sub.B, C.sub.C and C.sub.D.
Distributor C may use the embedding control information and other
control information to produce a new container with two or more VDE
objects received from creator B, creator C, and creator D. In
addition or alternatively, distributor C may create enabling
control information for distribution to users and/or
user/distributors (or in the case of C.sub.D, for distributors) for
such received containers individually. For example, distributor C
may create a container including content portions (e.g. embedded
containers) from creator B, creator C, and creator D in which each
such portion has control information related to its access and use
that records, and allows an auditor to gather, sufficient
information for each such creator to securely and reliably receive
payments from distributor C based on usage activities related to
users and/or user/distributors enabled by distributor C.
Furthermore, distributor C may negotiate using VDE with some or all
of such creators to enable a model in which distributor C provides
overall control information for the entire container based on a
"uniform" fee (e.g. calculated per month, per access, from a
combined model, etc.) charged to users and/or user/distributors,
while preserving the models of each such creator with respect to
payments due to them by distributor C based on C.sub.B, C.sub.C,
and/or C.sub.D, and, for example, resulting from each of their
differing models for the collection of content usage information
and any related (e.g. advertising) information.
[2148] In this example, distributor B may receive a VDE content
container and associated content control information C.sub.E from
creator E as shown in FIG. 83. If C.sub.E permits, distributor B
may extract a portion of the content in such a container.
Distributor B may then, for example, embed this portion in a
container received from distributor C that contains an aggregation
of VDE objects created by creator B, creator C, and creator D.
Depending on the particular restrictions and/or permissions in the
sets of control information received from each creator and
distributor C, distributor B may, for example, be able to embed
such an extracted portion into the container received from
distributor C as an independent VDE object, or directly into
content of "in place" objects from creator B, creator C, and/or
creator D. Alternatively, or in addition, distributor B may, if
permitted by C.sub.E, choose to distribute such an extracted
portion of content as an independent VDE object.
[2149] User B may, in this example, receive a VDE content container
from distributor C that is comprised of VDE objects created by
creator B, creator C, and creator D. In addition, user B may
receive a VDE content container from distributor B that contains
the same content created by creator B, creator C, and creator D in
addition to one or more extracted/embedded portions of content
created by creator E. User B may base decisions concerning which of
such containers they choose to use (including which embedded
containers she may wish to use), and under which circumstances,
based on, for example, the character of such extracted/embedded
portions (e.g. multimedia presentations illustrating potential
areas of interest in the remainder of the content, commentary
explaining and/or expositing other elements of content, related
works, improved application software delivered as an element of
content, etc.); the quality, utility, and/or price (or other
attributes of control information) of such portions; and other
considerations which distinguish the containers and/or content
control information received, in this example, from distributor B
and distributor C.
[2150] User B may receive content control information from
distributor B for such a VDE content container that permits user B
to add and/or modify content contained therein. User B may, for
example, desire an ability to annotate content in such a container
using a VDE aware word processor or other application(s). If
permitted by senior control information, some or all of the content
may be available to user B for modification and/or additions. In
this case, user B is acting as a VDE creator for added and/or
modified content. User B may, for example, provide new control
information for such content, or may be required (or desire to)
make use of existing control information (or control information
included by senior members of a chain of handling for this purpose)
to manage such content (based on control information related to
such a container and/or contained objects).
[2151] In this example, VDE 100 has been used to enable an
environment including, for example, content distribution,
redistribution, aggregation (extracting and/or embedding),
reaggregation, modification, and usage. The environment in this
example allows competitive models in which both control information
and content may be negotiated for and have different particulars
based on the chain of handling through which control information
and/or content has been passed. Furthermore, the environment in
this example permits content to be added to, and/or modified by,
VDE participants receiving control information that enables such
activities.
Example
Content Distribution Through a Content VDE Chain of Handling
[2152] FIG. 84 reflects certain aspects of a relatively simple
model 3400 of VDE content distribution involving several categories
of VDE participants. In this instance, and for simplicity of
reference purposes, various portions of content are represented as
discrete items in the form of VDE content container objects. One or
more of such content portions may also be integrated together in a
single object and may (as may the contents of any VDE content
container object if allowed by content control information) be
extracted in whole or part by a user. In this example, publishers
of historical/educational multimedia content have created VDE
content containers through the use of content objects available
from three content resources: [2153] a Video Library 3402 product
available to Publishers on optical discs and containing video clip
VDE objects representing various historical situations, [2154] an
Internet Repository 3404 which stores history information text and
picture resources in VDE objects which are available for
downloading to Publishers and other users, and [2155] an Audio
Library 3406, also available, on optical discs, and containing
various pieces of musical performances and vocal performances (for
example, historical narrations) which can be used alone or to
accompany other educational historical materials.
[2156] The information provided in library 3402, repository 3404,
and library 3406 may be provided to different publishers 3408(a),
3408(b), . . . , 3408(n). Publishers 3408 may, in turn, provide
some or all of the information they obtain to end users 3410.
[2157] In this example, the Video Library 3402 control information
allows publishers to extract objects from the Video Library product
container and content control information enabling use of each
extracted object during a calendar year if the object has a license
cost of $50 or less, and is shorter than 45 minutes in duration,
and 20,000 copies of each of any other extracted objects, and
further/requires all video objects to be VDE fingerprinted upon
decryption. The Audio Library 3404 has established similar controls
that match its business model. The Internet Repository 3406 VDE
containerizes, including encrypts, selected object content as it
streams out of the Repository in response to an online, user
request to download an object. The Repository 3406 may fingerprint
the identification of the receiving VDE installation into its
content prior to encryption and communication to a publisher, and
may further require user identification fingerprinting of their
content when decrypted by said Publisher or other content user.
[2158] The Publishers 3408 in this example have selected, under
terms and conditions VDE negotiated (or otherwise agreed to) with
the providing resources, various content pieces which they combine
together to form their VDE object container products for their
teacher customers. Publisher 3408(A) has combined video objects
extracted from the Video Library 3402 (as indicated by circles),
text and image objects extracted from the Internet Repository 3404
(indicated by diamonds), and one musical piece and one historical
narration extracted from the Audio Library 3406 (as indicated by
rectangles). Publisher 3408(B) has extracted a similar array of
objects to be combined into his product, and has further added
graphical elements (indicated by a hexagon) created by Publisher
3408(B) to enhance the product. Publisher 3408(C) has also created
a product by combining objects from the Internet Repository 3404
and the Audio Library 3406. In this example, all publisher products
are delivered, on their respective optical discs, in the form of
VDE content container objects with embedded objects, to a modern
high school for installation on the high school's computer
network.
[2159] In this particular example, End-Users 3410 are teachers who
use their VDE node's secure subsystems to access the VDE
installation on their high school server that supports the
publishers' products (in an alternative example, the high school
may maintain only a server based VDE installation). These teachers
license the VDE products from one or more of the publishers and
extract desired objects from the VDE product content containers and
either download the extracted VDE content in the form of VDE
content containers for storage on their classroom computers and/or
as appropriate and/or efficient. The teachers may store extracted
content in the form of VDE content containers on server mass
storage (and/or if desired and available to an end-user, and
further according to acceptable pricing and/or other terms and
conditions and/or senior content control information, they may
store extracted information in "clear" unencrypted form on their
nodes' and/or server storage means). This allows the teachers to
play, and/or otherwise use, the selected portions of said
publishers' products, and as shown in two instances in this
example, add further teacher and/or student created content to said
objects. End-user 3410(2), for example, has selected a video piece
1 received from Publisher A, who received said object from the
Video Library. End-user 3410(3) has also received a video piece 3
from the same Publisher 3408(A) wherein said piece was also
available to her from Publisher 3408(B), but perhaps under not as
favorable terms and conditions (such as a support consultation
telephone line). In addition, end-user 3410(3) has received an
audio historical narration from Publisher 3408(B) which corresponds
to the content of historical reference piece 7. End-user 3410(3)
has also received a corresponding historical reference piece 7 (a
book) from publisher 3408(2) who received said book from the
Internet Repository 3404. In this instance, perhaps publisher
3408(2) charged less for said book because end-user 3410(3) has
also licensed historical reference piece 7 from him, rather than
publisher 3408(1), who also carried the same book. End-user
3410(3), as a teacher, has selected the items she considers most
appropriate in her classes and, through use of VDE, has been able
to flexibly extract such items from resources available to her (in
this instance, extracting objects from various optical products
provided by publishers and available on the local high school
network server).
Example
Distribution of Content Control Information within an
Organization
[2160] FIG. 85 shows two VDE content containers, Container 300(A)
and Container 300(B), that have been distributed to a VDE Client
Administrator 3450 in a large organization. As shown in the figure,
Container 300(A) and Container 300(B), as they arrive at the
corporation, carry certain control information specifying available
usage rights for the organization. As can be further seen in FIG.
85, the client administrator 3450 has distributed certain subsets
of these rights to certain department administrators 3452 of her
organization, such as Sales and Marketing Administrator 3452(1),
Planning Administrator 3452(2), and Research and Development
Administrator 3452(k). In each instance, the Client Administrator
3450 has decided which usage options and how much budget should be
made available to each department.
[2161] FIG. 85 is a simplified example and, for example, the Client
Administrator 3450 could have added further VDE controls created by
herself and/or modified and/or deleted in place controls (if
allowed by senior content control information) and/or (if allowed
by control information) she could have further divided the
available monetary budget (or other budgets) among specific usage
activities. In this example, departmental administrators have the
same rights to determine the rights of departmental end-users as
the client administrator has in regard to departments. In addition,
in this example (but not shown in FIG. 85) the client administrator
3450 and/or content provider(s) may also determine certain control
information which must directly control (including providing rights
related to) end-user content usage and/or the consequences of said
usage for all or certain classes of end-users. In the example shown
in FIG. 85, there are only three levels of VDE participants within
the organization: [2162] a Client Administrator 3450, [2163]
department administrators 3452, and [2164] end-users 3454.
[2165] In other examples, VDE will support many levels of VDE
administration (including overlapping groups) within an
organization (e.g., division, department, project, network, group,
end-users, etc). In addition, administrators in a VDE model may
also themselves be VDE content users.
[2166] Within an organization, VDE installations may be at each
end-user 3454 node only on servers or other multiple user computers
or other electronic appliances, or there may be a mixed
environment. Determination as to the mix of VDE server and/or node
usage may be based on organization and/or content provider
security, performance, cost overhead, or other considerations.
[2167] In this example, communications between VDE participants in
FIG. 85 employs VDE secure communication techniques between VDE
secure subsystems supporting PPEs and other VDE secure system
components at each VDE installation within the organization.
Example
Another Content Distribution Example
[2168] Creators of VDE protected content may interact with other
VDE participants in many different ways. A VDE creator 102 may, for
example, distribute content and/or content control information
directly to users, distribute content and/or content control
information to commercial content repositories, distribute content
and/or content control information to corporate content
repositories, and/or distribute content and/or content control
information to other VDE participants. If a creator 102 does not
interact directly with all users of her content, she may transmit
distribution permissions to other VDE participants that permit such
participants to further distribute content and/or content control
information. She may also allow further distribution of VDE content
and/or content control information by, for example, not restricting
redistribution of control information, or allowing a VDE
participant to act as a "conduit" for one or more permissions
records that can be passed along to another party, wherein said
permissions record provides for including the identification of the
first receiving party and/or the second receiving party.
[2169] FIG. 86 shows one possible arrangement of VDE participants.
In this example, creator 102 may employ one or more application
software programs and one or more VDE secure subsystems to place
unencrypted content into VDE protected form (i.e., into one or more
VDE content containers). In addition, creator 102 may produce one
or more distribution permissions 3502 and/or usage permissions 3500
as an aspect of control information associated with such VDE
protected content. Such distribution and/or usage permissions 3500,
3502 may be the same (e.g., all distribution permissions may have
substantively all the same characteristics), or they may differ
based on the category and/or class of participant for whom they are
produced, the circumstances under which they are requested and/or
transmitted, changing content control models of either creator 102
or a recipient, etc.
[2170] In this example, creator 102 transmits (e.g., over a
network, via broadcast, and/or through transfer of physical media)
VDE protected content to user 112a, user 112b, and/or user 112c. In
addition, creator 102 transmits, using VDE secure communications
techniques, usage permissions to such users. User 112a, user 112b,
and user 112c may use such VDE protected content within the
restrictions of control information specified by usage permissions
received from creator 102. In this case, creator 102 may, for
example, manage all aspects of such users activities related to VDE
protected content transmitted to them by creator 102.
Alternatively, creator 102 may, for example, include references to
control information that must be available to users that is not
provided by creator 102 (e.g., component assemblies managed by
another party).
[2171] Commercial content repository 200g, in this example, may
receive VDE protected (or otherwise securely delivered) content and
distribution, permissions and/or other content usage control
information from creator 102. Commercial content repository 200g
may store content securely such that users may obtain such, when
any required conditions are met, content from the repository 200g.
The distribution permissions 3502 may, for example, permit
commercial content repository 200g to create redistribution
permissions and/or usage permissions 3500, 3502 using a VDE
protected subsystem within certain restrictions described in
content control information received from creator 102 (e.g., not to
exceed a certain number of copies, requiring certain payments by
commercial content repository 200g to creator 102, requiring
recipients of such permissions to meet certain reporting
requirements related to content usage information, etc.). Such
content control information may be stored at the repository
installation and be applied to unencrypted content as it is
transmitted from said repository in response to a user request,
wherein said content is placed into a VDE container as a step in a
secure process of communicating such content to a user.
Redistribution permissions may, for example, permit a recipient of
such permissions to create a certain number of usage permissions
within certain restrictions (e.g., only to members of the same
household, business other organization, etc.). Repository 200g may,
for example, be required by control information received from
creator 102 to gather and report content usage information from all
VDE participants to whom the repository has distributed
permissions.
[2172] In this example, power user 112d may receive VDE protected
content and redistribution permissions from commercial content
repository 200g using the desktop computer 3504. Power user 112d
may, for example, then use application software in conjunction with
a VDE secure subsystem of such desktop computer 3504 in order to
produce usage permissions for the desktop computer 3504, laptop
computer 3506 and/or settop appliance 3508 (assuming redistribution
permissions received from commercial content repository 200g permit
such activities). If permitted by senior control information (for
example, from creator 102 as may be modified by the repository
200g), power user 112d may add her own restrictions to such usage
permissions (e.g., restricting certain members of power user 112d's
household using the settop appliance to certain times of day,
amounts of usage, etc. based on their user identification
information). Power user 112d may then transmit such VDE protected
content and usage permissions to the laptop computer 3506 and the
settop appliance 3508 using VDE secure communications techniques.
In this case, power user 112d has redistributed permissions from
the desktop computer 3504 to the settop appliance 3508 and the
laptop computer 3506, and periodically the settop appliance and the
laptop computer may be required to report content usage information
to the desktop computer, which in turn may aggregate, and/or
otherwise process, and report user usage information to the
repository 200g.
[2173] User 112e and/or user 112f may receive usage permissions and
VDE protected content from commercial content repository 200g.
These users may be able to use such content in ways authorized by
such usage information. In contrast to power user 112d, these users
may not have requested and/or received redistribution permissions
from the repository 200g. In this case, these users may still be
able to transfer some or all usage rights to another electronic
appliance 600, and/or they may be permitted to move some of their
rights to another electronic appliance, if such transferring and/or
moving is permitted by the usage permissions received from the
repository 200g. In this case, such other appliances may be able to
report usage information directly to the repository 200g.
[2174] In this example, corporate content repository 702 within
corporation 700 may receive VDE protected content and distribution
permissions from creator 102. The distribution permissions received
by corporate repository 702 may, for example, include restrictions
that limit repository 702 to distribution activities within
corporation 700.
[2175] The repository 702 may, for example, employ an automated
system operating in conjunction with a VDE secure subsystem to
receive and/or transmit VDE protected content, and/or
redistribution and/or usage permissions. In this case, an automated
system may, for example, rely on criteria defined by corporate
policies, departmental policies, and/or user preferences to
determine the character of permissions and/or content delivered to
various parties (corporation groups and/or individuals) within
corporation 700. Such a system may, for example, automatically
produce redistribution permissions for a departmental content
repository 704 in response to corporation 700 receiving
distribution permissions from creator 102, and/or produce usage
permissions for user 112j and/or user 112k.
[2176] The departmental repository 704 may automatically produce
usage permissions for user 112g, user 112h, and/or user 112i. Such
users may access content from the corporate content repository 702,
yet receive usage permissions from departmental repository 704. In
this case, user 112g, user 112h, and/or user 112i may receive usage
permissions from departmental repository 704 that incorporate
departmental restrictions in addition to restrictions imposed by
senior control information (in this example, from creator 102, as
may be modified by corporate repository 702, as may be further
modified by departmental repository 704, that reflect a VDE
extended agreement incorporating commercial requirements of creator
102 and corporation 700 in addition to corporate and/or
departmental policies and agreements with corporate personnel of
corporation 700).
Example
Virtual Silicon Container
[2177] As discussed above, VDE in one example provides a "virtual
silicon" container ("virtual black box") in that several different
instances of SPU 500 must securely communicate together to provide
an overall secure healthcare environment that "virtually" exists at
multiple locations and multiple electronic appliances 600. FIG. 87
shows one model 3600 of a virtual silicon container. This virtual
container model 3600 includes a content creator 102, a content
distributor 106, one or more content redistributors 106a, one or
more client administrators 700, one or more client users 3602, and
one or more clearinghouses 116. Each of these various VDE
participants has an electronic appliance 600 including a protected
processing environment 655 that may comprise, at least in part, a
silicon-based semiconductor hardware element secure processing unit
500. The various SPUs 500 each encapsulate a part of the virtual
distribution environment, and thus, together form the virtual
silicon container 3600.
Example
Testing/Examinations
[2178] A scheduled SAT examination for high school seniors is
prepared by the Educational Testing Service. The examination is
placed in a VDE container for scheduled release on Nov. 15, 1994 at
1:00 PM Eastern Standard time. The SAT prepares one copy of the
container for each school or other location which will conduct the
examination. The school or other location ("test site") will be
provided with a distributed examination container securely
containing the VDE identification for the "administration"
electronic appliance and/or test administrator at the test site
(such as, a testing organization) and a budget enabling, for
example, the creation of 200 test VDE content containers. Each
container created at the test site may have a permissions record
containing secure identification information for each electronic
appliance 600, on the test site's network, that will be used by a
test taker, as well as, for example, an identification for the
student who will take the test. The student identification could,
for example, be in the form of a secure PIN password which is
entered by the student prior to taking the test (a test monitor or
administrator might verify the student identification by entering
in a PIN password). Of course, identification might take the firm
of automated voice recognition, handwriting recognition (signature
recognition), fingerprint information, eye recognition, or similar
one or more recognition forms which may be used either to confirm
the identity of the test taker (and/or test monitor/administrator)
and/or may be stored with the test results in a VDE container or
the like or in a location pointed to by certain container
information. This identification may be stored in encrypted or
unencrypted form. If stored in encrypted or otherwise protected
form, certain summary information, such as error correction
information, may be stored with the identification information to
authenticate the associated test as corresponding to the
identification.
[2179] As the student takes the test using the computer terminal,
the answers selected may be immediately securely stored (but may be
changed by the student during the test session). Upon the
completion of the test, the student's answers, along with a
reference to the test, are securely stored in a VDE reporting
object which is passed along to the network to the test
administrator and the administration electronic appliance 600. All
test objects for all students could then be placed in a VDE object
300 for communication to the Educational Testing Service, along
with whatever other relevant information (which may also be secured
by VDE 100), including summary information giving average and mean
scores, and other information that might be desirable to summarize
and/or act as an authentication of the test objects sent. For
example, certain information might be sent separately from each
student summary object containing information which helps validate
the object as an "authentic" test object.
[2180] Applying VDE to testing scenarios would largely eliminate
cheating resulting from access to tests prior to testing (normally
the tests are stolen from a teacher or test administrator). At ETS,
individuals who have access to tests could be limited to only a
portion of the test to eliminate the risk of the theft of a "whole"
test. Employing VDE would also ensure against processing errors or
other manipulation of test answers, since absolutely authentic test
results can be archived for a reasonable period of time.
[2181] Overall, employing VDE 100 for electronic testing will
enable the benefits of electronic testing to be provided without
the substantial risks associated with electronic storing,
communicating, and processing of test materials and testing
results. Electronic testing will provide enormous efficiency
improvements, significantly lowering the cost of conducting and
processing tests by eliminating printing, shipping, handling, and
human processing of tests. At the same time, electronic testing
will allow users to receive a copy (encrypted or unencrypted) of
their test results when they leave the test sessions. This will
help protect the tested individual against lost of, or improperly
processed, test results. Electronic testing employing VDE 100 may
also ensure that timing related variables of testing (for example
precise starting, duration, and stopping times) can be reliably
managed. And, of course, proper use of VDE 100 for the testing
process can prevent improper access to test contents prior to
testing and ensure that test taking is properly audited and
authenticated, that is which person took which test, at which time,
on which electronic appliance, at which location. Retesting due to
lost, stolen, improperly timed, or other variables can be avoided
or eliminated.
[2182] VDE assisted testing may, of course, be employed for many
different applications including secure identification of
individuals for security/authentication purposes, for employment
(e.g. applying for jobs) applications, and for a full range of
evaluation testing. For example, an airline pilot, or a truck,
train, or bus driver might take a test immediately prior to
departing or during travel, with the test evaluating alertness to
test for fatigue, drug use, etc. A certain test may have a
different order and/or combination of test activities each time, or
each group of times, the test is taken. The test or a master test
might be stored in a VDE container (the order of, and which, test
questions might be determined by a process executed securely within
an PPE 650). The test responses may be encrypted as they occur and
either locally stored for aggregated (or other test result)
transmission or dynamically transmitted (for example, to a central
test administration computer). If the test taker "flunks" the test,
perhaps he or she is then prevented from operating the vehicle,
either by a local PPE 650 issuing control instructions to that
effect on some portion of the vehicle's electronic control system
or a local PPE failing to decrypt or otherwise provide certain key
information required for vehicle operation.
Example
Appliance Rental
[2183] Through use of the present invention, electronic appliances
can be "leased" or otherwise provided to customers who, rather than
purchasing a given appliance for unlimited usage, may acquire the
appliance (such as a VCR, television, microwave oven, etc.) and be
charged according to one or more aspects of use. For example, the
charge for a microwave might be for each time it is used to prepare
an item and/or for the duration of time used. A telephone jack
could be attached, either consistently or periodically, to an
inexpensive modem operatively attached or within the microwave (the
modem might alternatively be located at a location which services a
plurality of items and/or functions--such as burglar alarm, light
and/or heat control). Alternatively, such appliances may make use
of a network formed by the power cables in a building to transmit
and receive signals.
[2184] At a periodic interval, usage information (in summary form
and/or detailed) could be automatically sent to a remote
information utility that collects information on appliance usage
(the utility might service a certain brand, a certain type of
appliance, and/or a collection of brands and/or types). The usage
information would be sent in VDE form (e.g. as a VDE object 300).
The information utility might then distribute information to
financial clearinghouse(s) if it did not itself perform the billing
function, or the information "belonging" to each appliance
manufacturer and/or lesser (retailer) might be sent to them or to
their agents. In this way a new industry would be enabled of leased
usage of appliances where the leases might be analogous to car
leasing.
[2185] With VDE installed, appliances could also be managed by
secure identification (PIN, voice or signature recognition, etc.).
This might be required each time a unit is used, or on some
periodic basis. Failure to use the secure identification or use it
on a timely basis could disable an appliance if a PPE 650 issued
one or more instructions (or failed to decrypt or otherwise provide
certain information critical to appliance operation) that prevented
use of a portion or all of the appliance's functions. This feature
would greatly reduce the desirability of stealing an electronic
appliance. A further, allied use of VDE is the "registration" of a
VDE secure subsystem in a given appliance with a VDE secure
subsystem at some control location in a home or business. This
control location might also be responsible for VDE remote
communications and/or centralized administrator (including, for
example, restricting your children from viewing R rated movies
either on television or videocassettes through the recognition of
data indicating that a given movie, song, channel, game, etc. was R
rated and allowing a parent to restrict viewing or listening). Such
a control location may, for example, also gather information on
consumption of water, gas, electricity, telephone usage, etc.
(either through use of PPEs 650 integrated in control means for
measuring and/or controlling such consumption, or through one or
more signals generated by non-VDE systems and delivered to a VDE
secure subsystem, for example, for processing, usage control (e.g.
usage limiting), and/or billing), transmit such information to one
or more utilities, pay for such consumption using VDE secured
electronic currency and/or credit, etc.
[2186] In addition, one or more budgets for usage could be managed
by VDE which would prevent improper, excessive use of a certain,
leased appliance, that might, for example lead to failure of the
appliance, such as making far more copies using a photocopier than
specified by the duty cycle. Such improper use could result in a
message, for example on a display panel or television screen, or in
the form of a communication from a central clearinghouse, that the
user should upgrade to a more robust model.
[2187] While the invention has been described in connection with
what is presently considered to be the most practical and preferred
embodiment, it is to be understood that the invention is not to be
limited to the disclosed embodiment, but on the contrary, is
intended to cover various modifications and equivalent arrangements
included within the spirit and scope of the appended claims.
* * * * *