Classifications

• • H—ELECTRICITY
  • H04—ELECTRIC COMMUNICATION TECHNIQUE
  • H04L—TRANSMISSION OF DIGITAL INFORMATION, e.g. TELEGRAPHIC COMMUNICATION
  • H04L63/00—Network architectures or network communication protocols for network security
  • H04L63/04—Network architectures or network communication protocols for network security for providing a confidential data exchange among entities communicating through data packet networks
  • H04L63/0428—Network architectures or network communication protocols for network security for providing a confidential data exchange among entities communicating through data packet networks wherein the data content is protected, e.g. by encrypting or encapsulating the payload
  • H04L63/0442—Network architectures or network communication protocols for network security for providing a confidential data exchange among entities communicating through data packet networks wherein the data content is protected, e.g. by encrypting or encapsulating the payload wherein the sending and receiving network entities apply asymmetric encryption, i.e. different keys for encryption and decryption
• • H—ELECTRICITY
  • H04—ELECTRIC COMMUNICATION TECHNIQUE
  • H04L—TRANSMISSION OF DIGITAL INFORMATION, e.g. TELEGRAPHIC COMMUNICATION
  • H04L63/00—Network architectures or network communication protocols for network security
  • H04L63/08—Network architectures or network communication protocols for network security for authentication of entities
• • H—ELECTRICITY
  • H04—ELECTRIC COMMUNICATION TECHNIQUE
  • H04L—TRANSMISSION OF DIGITAL INFORMATION, e.g. TELEGRAPHIC COMMUNICATION
  • H04L63/00—Network architectures or network communication protocols for network security
  • H04L63/14—Network architectures or network communication protocols for network security for detecting or protecting against malicious traffic
  • H04L63/1408—Network architectures or network communication protocols for network security for detecting or protecting against malicious traffic by monitoring network traffic
• • H—ELECTRICITY
  • H04—ELECTRIC COMMUNICATION TECHNIQUE
  • H04L—TRANSMISSION OF DIGITAL INFORMATION, e.g. TELEGRAPHIC COMMUNICATION
  • H04L63/00—Network architectures or network communication protocols for network security
  • H04L63/14—Network architectures or network communication protocols for network security for detecting or protecting against malicious traffic
  • H04L63/1433—Vulnerability analysis

Definitions

• the invention relates to a system and method for distributing software over a network. More particularly, the invention relates to a method for controlling software distribution by embedding a sub-component of the distribution control software in each software application, and having a central monitoring software for monitoring the distribution of the software applications.
• Digitally encoded information is one of the most economically important commodities of the era.
• the ease and economy with which perfect copies can be made and distributed has promoted the spread of software and related technologies through traditional commercial channels such as retail and mail-order sales.
• non-traditional distribution channels such as distribution over networks of interconnected computers such as the Internet have become more viable.
• These non-traditional distribution channels have made it difficult for software creators and copyright holders to regulate the use of their creations or to receive payment and registration information from their users. Consequently, software producers forfeit substantial revenues and valuable information about their customer base and potential markets.
• Another challenge to the software industry is regulating the installation of software. Since individual users perform most installations of software, the vendor has no control over the software installation. A user can currently purchase software that will not run on the user's computer. The user may not know the limitations of the user's computer hardware or may not understand the software's hardware requirements. If a user purchases software and the user's computer hardware is inadequate to run the software, then various problems are going to occur in the installation and execution of the software on the user's hardware. The user will have to spend much time and effort attempting to resolve the problem, often including multiple calls to the vendor's technical support lines at a cost to both the vendor and potentially the user.
• each of the content servers can be running any of various operating systems as can the computers with which the servers are communicating. From an information management standpoint, maintaining such a computer base can be very difficult given that each user may have to install their own software or, in the case of networked software, each server has an individual copy of networked software for a subset of the users.
• Some on-line services include security features for such information, but generally lack an ability for the user or the service to audit the security of the transmission.
• online services generally do not allow the service to keep users informed of new products and releases, unless the users release personal information to the service.
• Such networks and environments include military, legal, business, and financial services.
• an investment trading system may be linked to a bank custody and accounting system, wherein the two systems exchange data so that the bank system can provide "settlement" services related to the trading system's investment transactions.
• Attempts to make such networks secure, preventing the theft or manipulation of data by insiders and outsiders often involves using human entered passwords to gain access to the network.
• human entered passwords to gain access to the network.
• Such systems may also implement key encryption to secure the data, but if the system is violated through password detection or other means, the keys may be obtained and used, unknown to network administrators.
• a method presently used to protect transmission of data over a network is a virtual private network that uses digital certificates, which involves the use of various root private keys which are manually protected in a secure environment. If these root keys can be discovered or broken, the network can be compromised. These keys generally have a life of one or two years. If a key in one of these system is stolen, the theft cannot be detected. Consequently, these networks may be unacceptably vulnerable. Additionally, these networks are typically large and complex and susceptible to the inclusion of "trap doors" during their generation and installation.
• a "trap door” is hidden software code that allows an application to secretly send data to unauthorized recipients, for example.
• the generation and installation is typically labor intensive, requiring programmer generation and manipulation of software files to build the necessary components and hand installation of these components at remote sites to build the network. Since the generation and installation is piecemeal and disjoint, it is not a quick process. Also, it does not lend itself to generating billing information of the clients receiving access to the network as it is being installed, since account services are not typically included until after the system or network installation is complete. Therefore, additional resources are required to generate necessary billing information.
• a further object of this invention is to install systems that can protect against insider theft of cash through electronic means, particularly where the insiders have time and technical knowledge to install sophisticated software to accomplish an illegal theft of cash.
• the invention is a system for installing a software application to a remote computer via a network.
• the network is one which has at least one content server located thereon, which serves data to a plurality of attached computer clients.
• This network model is intended to include both intranets and internets. That is, the network may be an internal corporate network, an intranet, or a global network of networks such as the Internet, for example.
• the system comprises a server module and an agent module.
• the server module is disposed on the server.
• the server module maintains a database of software applications and constraints associated therewith. In the case of commercial distribution of the software application, the server module also maintains a database that includes billing information.
• the agent module can be embedded in more than one type of software application, and is actuatable by the remote computer to initiate installation of the software application
• the agent module electrically communicates with the server module which selectively enables the installation.
• the server module which selectively enables the installation.
• the user upon finding a software application which the user wishes to purchase, the user selects the software application.
• An agent module would then communicate with the server module.
• the agent module would be embedded in the software application the user selected to purchase, and it would be actuatable by the remote computer. After actuation by the remote computer the agent module would communicate with the server module.
• the agent module embedded in the software application would remain inactive until after the software application was installed.
• a second agent module which for clarity will hereinafter be referred to as a plug-in, disposed on the remote computer would communicate with the server module.
• the plug-in would preferably be installed in the user's browser software, which the user is using to connect to the Internet.
• the server module can be on a separate remote content server or the same content server upon which the software application is located. The physical location is not important to the individual modules as long as they can communicate electronically.
• the server module then transfers hardware constraints, pricing information and available options particular to the chosen software application to the remote computer.
• the user of the remote computer accepts the pricing, confirms acceptance of license terms and inputs user information, all of which is then transferred back to the server module as identification information.
• the server module enables the installation of the software application by communicating with the agent module, either the agent module embedded in the software application or the plug-in embedded in the browser. Installation of the software application can then proceed over the network.
• installation of the software on a remote computer may be commenced in response to other parameters, rather than pricing and payment.
• a remote computer i.e., target site
• payment of such software may be accomplished prior to the installation thereof or in accordance with a payment schedule. Therefore, payment and installation need not be related.
• the present invention includes mechanisms to prevent unauthorized copying or alteration of electronically stored and transmitted data by outsiders (e.g., "pirates") and trusted insiders.
• the system performs generation and subsequent operation of a secure network without revealing embedded detailed security measures to software developers.
• the network includes a plurality of linked nodes, wherein each node is formed from the installation of a software application on a predetermined remote computer or target site A monitoring capability is used to ensure security is maintained and to respond to security violations and human auditing of the network may be employed to verify proper installation in accordance with a network definition template.
• the template substantially defines, in human readable form, the network from a top level, including identification of each node, identification of each link between nodes, identification of data types to be exchanged between nodes, and identification of a software application to be installed as part of each node.
• a set of agent library functions is included with the application to facilitate communication of each node with the rest of the network.
• An agent module generator receives the template information and generates network components therefrom. For each specific node identified in the template, a unique agent module and a node configuration file is generated, including information about each link of which the node is a part. A network information file, or files, is also generated which embodies the overall network structure. For each link, as part of each agent module, a pair of keys is generated, one key corresponds to data transmission over the link in one direction and the second key corresponds to data transmission in the opposite direction. A key is a series of binary bits, probably not human readable, which is used as part of an encryption algorithm. Each agent module is loaded, either over a network (e.g., the Web) or manually from a computer disk or CD ROM, for example, onto its corresponding target site.
• a network e.g., the Web
• CD ROM computer disk or CD ROM
• the agent module is executed, configures itself, and communicates with an installation server (i.e., server module) in a secure, encryption key based manner to load the requisite software application onto the target site.
• an installation server i.e., server module
• the node communicates with a monitor node to gain access into the network.
• the agent module should be used to install the link as soon after it is constructed as possible.
• a local sales password may be required for downloading the node application software and configuration file and input of an audit password may be required for installation of the node into the network (via the monitor node).
• a password is a string of numbers and letters which is used by humans to gain access to a computer system.
• the monitor node oversees the installation and subsequent operation and security of the network. If an attempt is made to install a node more than once, the monitor node may shut down that node or the entire network. The feature that a node may be installed only once is important to prevent an attack whereby an agent module might be stolen and then used to attempt to install a node from a location other than the target location.
• An account server may also be included which, among other things, tracks the installation of each node for billing purposes.
• Communication between nodes requires a dual login between the two nodes seeking to send and receive data, using the keys for that link. These keys are randomly generated data, and may be changed periodically. Communication is further protected using encryption with unique, randomly generated public-private key pairs. One pair of keys is generated for each node in the link. Of the pair, one pair of keys is dedicated for data transfer in one direction over the link and the other key is dedicated for data transfer in the other direction.
• the private key is randomly generated when an agent module is executed for the first time on its node, and is generally used to decrypt data received by the node.
• the node's public key is generated from the private key using a known encryption algorithm (e.g., RSA) and is used by another node to encrypt data to be transmitted to the node that generated the public key.
• a session key for the node may also be generated for a given communication session.
• the session key is used to perform a second encryption on the data to be transmitted.
• Session keys are shared by the nodes in a link Each node in the link passes its public key to the other node. When a sending node prepares to transmit a message to a receiving node, that message is encrypted with the receiving node's public key and then again with the session key.
• the receiving node uses the session key and the receiving node's private key to decrypt the message.
• each node may, alternatively, have its own session key, which is encrypted and sent to the other node in the link.
• the keys may be strobed, that is, changed every few seconds.
• the monitor node controls the strobing of keys between nodes.
• Critical node pairs may be strobed at regular or erratic intervals, possibly every 2 or 3 seconds, whereas less critical node pairs could be strobed at longer intervals, possibly every 5 to 10 seconds.
• each node randomly generates a new private-public key pair and session key and passes the public and session keys to the other node in a secure manner.
• Each node involved then stores the other node's keys for decryption of messages received from that node.
• strobing is accomplished with persistence of the current and previous set of keys from each node in the link being strobed. Therefore, if a node, a link, or the network goes down, the links will attempt to come back up using the current set of keys, but may default to the previous set of keys if unsuccessful. This can be particularly useful if a node goes down during a strobe.
• the private keys under the present invention have an initial life that consists of the time between when the keys for the agent modules are generated by the server and when the modules use these keys to make an installation. This time period could be as short as 15 minutes, for example.
• the present invention substantially diminishes the time during which private keys remain valid and substantially reduces the risk of the private keys being stolen and used by pirates.
• the present invention includes methods for detecting theft during the relatively brief period when a private key is in effect. With regard to installation, there is a window of opportunity, between the time the agent is generated and the link is installed, during which the pirate could steal the private key from the server and construct a phony server so that, at the time of installation, the phony server could spoof to the agent that it was the server and to the server that it was the agent. This type of attack would require a "mole" in the installation server room capable of stealing the private key and with software that could immediately generate a phony server.
• the present invention preferably, includes a method of detection of this type of attack by auditing the installation to compare the server public key used by the agent or the installed application to the actual server public key: if they are different, a pirate has interposed itself between them.
• This comparison can be effectuated by a proper auditing procedure that uses human beings to communicate certain control values from the installed site to the audit server through means which are not related to the network connecting the installed site with the server.
• the window of opportunity during which a private key can usefully be stolen is a fraction of a second compared with a year for a digital certificate system.
• the present invention includes a method to detect an interposition even within a fraction of a second.
• the invention provides methods in accord with the apparatus described above.
• the aforementioned and other aspects of the invention are evident in the drawings and in the description that follows.
• Figure 1 is a block diagram of the software distribution system of the invention
• Figure 2 is a data flow diagram for the installation of software over the system of Figure 1;
• Figure 3 is a data flow diagram of a software update procedure for the system according to Figure 1 ;
• Figure 4 is a block diagram of a corporate network utilizing the invention;
• Figure 5 is a block diagram of a portion of a corporate network utilizing the invention, wherein the remote server includes multiple servers;
• Figure 6A is a block diagram of a system for generating and installing a private secure auditable network, in accordance with the present invention
• Figure 6B is a block diagram of a system for generating and installing a private secure auditable network with automatic detection of possible interposed pirate nodes in accordance with the present invention.
• Figure 7 is a diagram of a template used with the system of Figure 6;
• Figure 8 is a top level method flow charts for generating and installing a private secure auditable network, using the system of Figure 6;
• Figure 9 is a method for generating network components, as part of the method of Figure 8.
• Figures 10- IOC are method flow charts for installing application nodes, as part of the method of Figure 8;
• Figure 11 is a method flow chart for the strobing keys between a monitor node of
• Figure 12 is a method flow chart for the strobing of keys between two nodes, as part of the method of Figure 8;
• Figures 13A-C are flow charts for strobing keys with persistence, as part of the method of Figure 8;
• Figure 14 is a block diagram of a functional bank - client private secure auditable network to be generated and installed using the system of Figure 6 and
• Figure 14B is template from which the system in Figure 6 will generate and install the network described in Figure 14A;
• Figure 15 is a method flow chart of the process for generating and installing the network described in Figure 14A and 14B;
• FIGS 16 A-F are block diagrams functionally depicting the method steps of Figure 15;
• Figure 17 is a method flow chart of an installation audit procedure in accordance with the present invention.
• Figure 18 is a method flow chart of a dual monitor audit procedure in accordance with the present invention.
• a remote computer 10 having an electrical connection 12 to a network 14.
• the remote computer 10 can be a personal computer, such as an IBM compatible or a MAC, can be a work station, or any other such computer that is adapted to communicate over a network 14.
• the electrical connection 12 is used generically to indicate a physical connection to a client/server network.
• TCP/IP Transfer Control Protocol/Internet Protocol
• TCP/IP Transfer Control Protocol/Internet Protocol
• Communication over the Internet is desirable because the Internet is a global interconnection of multiple content servers which are freely communicable to each other and accessible by an unlimited group of remote computers.
• the network 14 will be assumed to be the Internet, though other possibilities exist, such as electronic mail networks utilizing X.25 protocols.
• the network 14 has multiple content servers, one of which is 20 shown in Figure 1 as content server 16.
• the content server 16 in this example, is owned by a third-party vendor of software.
• the software can be any digitally stored information including both executable and non-executable digital information. Examples of the foregoing are executable software applications, digitally stored music, digitally stored reference materials, photographs, inter alia. Therefore, any reference to software or software applications contained herein shall be understood to encompass any form of digitally stored information whether or not listed as an example above.
• the third-party vendor uses the content server 16 to sell software by using a virtual store 18.
• the virtual store 18 generally provides a large listing of available software from which a potential purchaser can choose.
• the remote computer 10 decides to purchase a software application 20 from the virtual store 18, the remote computer 10 sends a message via the electrical connection 12 over the network 14 and through another electrical connection 12 to the content server 16. Since the virtual store 18 is simply an application running on the content server 16, the content server 16 actuates the installation functions of the virtual store 18 for the selected software application 20.
• the installation functions on the content server 16 are generally governed by an agent module which the user of the remote computer 10 is using to access the virtual store 18.
• an agent module 22 is embedded in the software application 20.
• the agent module 22 is actuatable by the remote computer 10 to access the virtual store 18.
• the agent module 22 is embedded into the software application 20 by a developer of the software application simply by incorporating a library of functions which make up the agent 15 module 22.
• the agent module 22 embedded in the software application 20 is inactive until after the installation of the software application 20 on the remote computer 10.
• a second agent module, a plug-in module 23, is installed on the remote computer 10 and used to access the virtual store 18.
• the plug-in module 23 is made available on the Internet or other well known resources or by other well known methods, for installation on the remote computer 10 by the user.
• the plug-in module 23 is preferably disposed in a software package 19, a browser, which the user of the remote computer 10 uses to access the virtual store 18.
• the plug-in module 23 Upon being actuated by the virtual store 18, the plug-in module 23 sends a message via the network 14 to a server module 26 disposed on a remote server 24.
• a server module 26 disposed on a remote server 24.
• the server module 26 is also disposed on the content server 16.
• This particular example allows multiple content servers 16 to communicate with a single server module 26, and therefore the server module 26 is disposed on a data storage apparatus 25, such as a hard disk or any other means for storing digital information, on the remote server 24.
• the server module 26 maintains a database of software applications. The developers have previously registered the use of the software application with the server module 26. If the developer had neglected to perform the registration, then this first installation attempt would fail and the server module 26 would attempt to contact the developer.
• the database contains information relating to the software applications comprising the name of the application, the developer, hardware constraints, operating or other software constraints, pricing information and any other particular instructions or information helpful for the installation.
• the server module transmits the installation information and the license agreement, which the agent displays in a dialog box. If the user chooses to read the license agreement prior to acceptance, the text is sent to the remote computer either from the server module 26, from storage within the database, or a link to the developer's page on the World-Wide Web is exercised. In either case, acceptance of the license is generally required before continuing, though the developer may choose to perform this function during the software installation itself.
• the dialog box displays information prepared by an
• the dialog box also gives the user the option of verifying the credentials of the installer.
• the plug-in module 23 connects to an audit server 30 maintained by an independent auditor.
• the plug- in module 23 links to a verification program, which simply incorporates a library of functions that make up an audit module 34, disposed on a hard disk 32 in the audit server 30.
• the user is then invited to enter a number displayed on the display screen of the remote computer 10 by the plug-in module 23 which is a code representing the installer.
• the verification program 34 then authenticates the audited installer by providing the installer's name and details regarding the nature of the audit which the auditor has performed. Alternatively, the verification program 34 could be automatically initiated by having the plug-in module 23 transmit the code to the audit server 30.
• the user must then input personal information, such as name, address and phone numbers, as well as billing information, such as a credit card number for example.
• billing information such as a credit card number for example.
• the billing information usually must be included to enable the transaction. In the preferred embodiment, both the billing and the user information are kept confidential and are, therefore, transmitted using secure methods.
• Any of various secure methods can be used, such as encoding the information in a known manner readable only by the server module 26, for example.
• Other such secure methods comprise key-escrow encapsulated within an application program interface ("API") such as a Secure Socket Layer in NETSCAPE, a trademark of Netscape, Inc., or CRYPTO API, a trademark of Microsoft Corporation.
• API application program interface
• the server module 26 transmits an enabling command to the plug-in module 23 which allows transmission of the software application to the remote computer 10.
• the software application 20 is transmitted as an installation program which is then installed locally to the remote computer 10.
• the agent module 22 embedded in the software application 20 remains enabled and active, and maintains communication with the server module 26. At predetermined intervals, once a week for example, the agent module 22 can then correspond with the server module 26 and inquire as to whether any updates are available to the software application. The server module 26 can then inform the agent module 22 of updates or any additional marketing information which the vendor would have the user of the software application 20 know.
• Figure 2 shows a flow diagram of a method which will be described with reference to the system of Figure 1. As previously described, an installation request 36 is first received by the plug-in module 23 after a user decides to purchase the software application 20.
• the user is then queried whether installer verification is required 38. If so, then a code given to the user by the plug-in module 23 is input 40. The code helps determine information appropriate to the software application 20 and the installer, which should be transmitted to the user. If the installer information is sufficient and the installer is verified 41 , then the installation process is continued. Otherwise, the installation is terminated 64.
• the server module 26 is then contacted 42 by the plug-in module 23 and pricing, constraint information, and any special instructions are then transmitted to the user of the remote computer 10.
• the user is provided with information by the independent auditor regarding the limited functionality of the installing program.
• the user is given the option of verifying the credentials of the installer. If the user chooses this option, the user is given the option of connecting to the auditor via a
• the user Once connected to the audit module housing the verification program 34 disposed on the audit server 30 provided by the independent auditor 36, the user will have the opportunity to review the assurances provided by the auditor and to verification that the installer is known to the auditor. To perform the verification, the user would enter a code which might be a checksum for the installer and the software application 20 of the installer, would appear on the user screen 10. Using this code, the auditor would verify that the installer is certified by the auditor. At this stage, the user also has the option of registering with the installer by entering user information such as name, address and phone number, regardless of whether the user will purchase a software application from the installer. After the verification, the user would also have the option of terminating the installation.
• a code which might be a checksum for the installer and the software application 20 of the installer
• the user then inputs billing information 44.
• the billing information can be credit 10 card numbers, debit card numbers, a pre-established account number, or a bank account number or any of various other finance related numbers or forms of electronic commerce.
• the user has the option of entering user information such as name, address and phone number, so that ultimately the installer can track who is using the software application 20.
• the plug-in module 23 at this point also extracts from the remote computer 10 serial number information or any other information particular to that remote computer 10 that is software accessible.
• the other information includes hardware and configuration information of the machine.
• the remote server 24 via the server module 26 is used to determine whether or not the remote computer 10 is capable of running the software application 20 which the user intends to purchase. Often such serial number information is retrievable simply by making a call to the BIOS of the remote computer 10. Both the information specific to the remote computer 10 and the user of the remote computer 10 may be stored on the data storage apparatus 25 as identification information.
• the billing information is then transferred back to the server module 26, which 25 verifies the billing information 46.
• verification in the preferred embodiment is done by communicating the numbers to a central source of verification in much the same manner as is done for conventional transactions. That is, the credit card number is transmitted to a credit card number verification service and a verification code is transmitted back. If the billing information is not accepted 48, then the user is invited to input new billing information 44. If the billing information is accepted 50, then the plug- in module 23 is sent an enabling signal which allows transfer of installation modules 52 of the software application 20 to the remote computer 10.
• the installation modules are generally executable modules which are created by the server at the time of a request by the plug-in module 23 so as to contain only the particular product options which the user has purchased.
• the executable code can be configured so that it will only operate on the remote computer 10 for which the user has purchased the application software 20.
• the executable code is transmitted as a self-extracting executable as is well known in the art.
• the plug-in module 23 then executes the self-extracting executable which proceeds to automatically install the software application 20 on the remote computer 10.
• the user then follows the procedure proscribed therein to install the software on the remote computer 10.
• the server module 26 during this process monitors the installation to verify the installation 54.
• the plug-in module 23 in the software application transmits installation information back to the server module 26. If the installation failed, or was unsuccessful 56, then the installation logs and the identification information are transmitted to a technical department 58 of the installer or the developer such that contact can be made to the user directly.
• the transmission to the technical department can be by any known communication method including manual contact.
• the technical department would be disposed upon the network and in electrical communication with the server module 26.
• the technical support person would then have, prior to making any contact with the user, complete information related to the hardware and software and the installation attempt, all prior to contacting the user thus expediting the support process.
• the user inputs whether the user wishes automatic notification of future updates and relevant messages 62. If the future contacts are enabled then each time the vendor of the software application 20 updates the software application 20 or transmits information relevant to the software application 20, the agent module 22 detects the message/change and informs the user. The procedure is then complete 64.
• FIG. 3 is a method similar to that of Figure 2 and will be described with reference to the same system of Figure 1, but in this method an update is being requested 70.
• An update is requested generally in one of two circumstances: the user has received a demo version of the application software on either a physical medium, such as diskette or CD ROM, or has downloaded a demo version from the vendor, or a new version of the software has been produced by the developer. In either event though, the user is requesting to purchase a new version from the vendor. If the software is a demo version, then there would generally be a soft button in the graphic user interface (“GUI") that allows the user to buy the software. Selecting the button activates the agent module 22, the agent module 22 then contacts the server module 26.
• GUI graphic user interface
• the agent module 22 which periodically contacts the server module 26 for information on new versions has likely informed the user of the availability of the new version. In this case, the agent module 22 is simply being instructed by the user to update the software application 20.
• the update request 70 actuates the agent module 22 to send a signal 20 to the server module 26 requesting the update while also transmitting the identification information 72.
• the identification information is again secure, like the billing information, and includes user information and computer information specific to the remote computer 10, as well as information relating to the software application 20 which is to be updated.
• a check is performed to confirm that the update is being requested by the same 25 remote computer 10 on which the software application 20 was originally installed 80. Then, the server module 26 checks for the availability of a newer or a full version 78. In this way, piracy is inhibited in that the same remote computer 10 must be requesting the update as was the one that originally requested the software application 20. Under some circumstances, the remote computer 10 may change for reasons other than pirating software. Such circumstances can include replacing the computer with a more modern computer or transferring the software application 20 pursuant to the terms of the license agreement to a third party. Under these circumstances, the user may transfer the information specific to the remote computer 10 to the new computer as long as verification is made that the old computer either no longer exists or is no longer loaded with the software application 20. A comparison 74 is then performed in the remote server 24 to check whether the 10 software application 20 is an old version or is a demo version. If it is the most current version 76, then the procedure is complete 92 and the update request is canceled.
• the hardware constraints are then rechecked 86. This is to insure that the new updated software does not have additional hardware constraints that the previous version had not had.
• a corporate network 102 is shown having a corporate server 100.
• the corporate server 100 is in electrical communication with both the corporate network 102 and the outside network 14, i.e., the Internet.
• the corporate network 102 provides a communication bus for a client computer 104 as well as numerous other client and server computers 106.
• a typical corporate network, or intranet, of a large corporation is actually quite like the previously described Internet in that a great variety of networks and equipment are linked together through a variety of sub-networks and routers. Again, like the Internet, there is almost no method in such a network to install or de-install software across subnets, and certainly not across different networks.
• the user of the client computer 104 wishes to purchase a new software application. The installation and payment can proceed exactly as previously described for a non-networked computer if so desired.
• a corporate network has network administrators who try to keep software applications uniform and purchasing departments, which try to govern spending. Therefore, in such an installation, the corporate server 100 contains on its hard disk 108 multiple software applications 110, 1 12, each having an agent module embedded therein as previously described.
• the system administrator for the corporate network 102 would generally purchase a predetermined number of licenses for the software application 110 using a method similar to that previously described or upload them directly from a vendor's disk. The user would then access the software application 110 using the client computer 104 via the corporate network 102. Requesting installation of the applications software 110 causes the agent contained therein to contact a server module 114 which, in this embodiment, is stored on the hard disk 108 of the corporate server 100. The server module 114 monitors the number of licenses and, if more are available, then enables the installation.
• the server module 114 contacts the remote server 24 and requests additional licenses 116. If the system administrator has approved the transaction, for example by having a standing pre-approval of no more than two additional license without confirmation, then the license 116 is downloaded and a message is sent to the system administrator.
• an auditing module 118 on the data storage apparatus 25 of the remote server 24 queries the corporate server 100 for information relating to licenses and installations. The server module 114 then transfers such information to the remote server 24.
• the capability of being audited by an independent auditor provides a user assurance that the user's privacy will be protected.
• the auditing system herein described is physically and organizationally separate from a software developer, the virtual store, or, in the case of a corporate intranet, a department of the corporation. This separateness allows for a server to be dedicated to the sole task of installing software and for this server to be placed in a physically secure setting.
• the remote server 24 can be situated in a locked room dedicated solely to the task of installing software. By periodically examining the disk of this server with software appropriate for this task, which is well known in the art, the data returned to this server could be verified not to contain any data other than that required to complete the installation.
• FIG. 5 shows a system configuration where the functions previously handled by the single remote server 24 have been divided among several servers and should, therefore, be read with continuing reference to Figure 1.
• a router 120 routes incoming data to appropriate servers. Initially, when an agent module contacts the router 120 the request is transferred to the receptionist server 122. The receptionist server 122 verifies that the request is from an authorized agent module, and then transfers the request to server A 124 or server B 126. Servers A and B 124, 126 actually perform the installation. The receptionist server 122 monitors which of servers A or B 124, 126 are currently busy and routes new requests to the less busy server 124, 126. Thus, the use of the receptionist is useful to provide loading to other servers to maintain appropriate levels of service and also provides for a configuration that is highly scalable, since additional capacity can be added simply by adding additional servers.
• each of servers A and B 124, 126 store a predetermined set of applications.
• the receptionist upon receiving a request for installation of a an application stored on server B 126 automatically routes the request to that server.
• an audit server 128 which is used to continuously audit the operations 5 of servers A and B 124, 126.
• the auditing operation also includes monitoring of data received by servers A and B from user of the remote computer.
• the auditing server 128 communicates with the independent auditor so that periodically or on demand the auditor is able to verify the actual operation of the servers A and B 124, 126.
• the auditing operation that would take place has a dual function.
• the owners of the virtual store 18 are able to have accurate records as to the software that was actually installed.
• the user of the remote computer 10 would have the assurance that only data needed for the installation and options chosen by the user were in fact transferred to the remote server 24.
• An additional design element of the system herein described is that it will use an exclusive audit-capable packet (XAP) to transfer data from the remote computer 10 to the remote server 24.
• XAP exclusive audit-capable packet
• the auditor can audit this capability by examining the C++ code, as described below, by observing a build of the software, and by verifying that the software actually running on the servers is the same software as that produced by the controlled build.
• the following is an example of the steps that an independent auditor would use to verify that the software performs in a specific manner and does not violate the privacy interests of the user.
• the method described below of auditing the functionality of the software will be described using C++ calls.
• the C++ language is used due to its inherent mechanisms for systematic data typing such that the exact nature of data passed in packets can be controlled and defined.
• these steps can be performed in other languages with like functionality without departing from the essence of the invention.
• the auditor In order to certify the operation of the server, the auditor first examines the software for the server and the agent. The auditor performs or observes a build of the software from the sources and verifies, through its audit server or by other means, that the software that was built in is the same software actually running on the remote server 24. Finally, the auditor supplements and confirms this audit by examining the actual data received by the servers.
• the auditor determines from the sources that the software can only receive a XAP Packet class and that the software can only send a XAP_Packet class. The auditor then examines the software and verifies that a XAP_Packet can only contain certain types of data and notes that this data is necessary for the installation of the software and does not include data that is not necessary for installation of the software. The auditor verifies that the TCP/IP receive function occurs only inside a class XAP Receive, and appears only inside this class.
• the auditor verifies that a XAP_Receive class can only be created using a XAP_Packet, and the auditor observes that the only interface to the rest of the application from the XAP_Receive class is through the XAP_Packet. From these observations, the auditor concludes that the application can only receive data that can be inserted into a XAP_Packet. The auditor verifies that the TCP/IP send function is encapsulated in a class
• XAP_Ship and appears only inside this class.
• the auditor verifies that a XAP_Ship object can only be created from a XAP_Packet, and that therefore, without a XAP_Packet object the application will cannot ship data over TCP/IP.
• the auditor verifies that the TCP/IP ship function only ships the data provided to it by XAP Packet. From these observations, the auditor concludes that the application can only ship data that can be extracted from a XAP_Packet.
• XAP_Packet can only be composed of XAP Record objects.
• C++ has facilities for defining insertions and extractions from classes, which can limit the insertions and extractions to certain other classes.
• the XAP_Record classes are defined in the application. The auditor examines each of these classes. From examination of the individual XAP Record classes, the auditor concludes that these classes can be composed only of certain XAP_Data objects. Again the XAP_Record classes has defined insertions and extractions which limit the data that can be put into these records to XAP_Data objects.
• the auditor examines the various defined, XAP_Data objects, and observes that the XAP_Data objects represent the data needed to perform an installation but will not permit other data that might violate a user's privacy.
• the data objects could have predefined limits on overall length and predefined data values which would render impossible the copying of correspondence from the user's personal computer.
• the data objects would be limited as to size and content so that bitmaps or spread sheets, for example, could not be copied from the user's personal computer.
• FIG. 6A depicts the preferred embodiment of a system 600 for generating, installing, and maintaining a secure network, including a plurality of application nodes (or "nodes").
• the system includes measures for protection from outsiders (e.g., "pirates") seeking to steal data and technologically sophisticated insiders (e.g., software developers) with mal intent.
• measures for protection from outsiders e.g., "pirates” seeking to steal data
• technologically sophisticated insiders e.g., software developers
• These measures include a dual login procedure using a unique pair of keys generated for each link.
• These keys are, preferably, long binary codes that are "hidden", that is, never stored in unencrypted (i.e., human readable) form.
• Each node of a link logs in to the other node in the link using its key, so each key corresponds to data transmission in one direction over the link. Because the keys are hidden, even trusted individuals, like software developers, can not determine the keys for a given link.
• Data is encrypted for transmission using encryption keys, wherein each node in the network has its own unique private-public key pair.
• End-to-end encryption is used to enhance security, wherein data is not decrypted and made vulnerable at any point in the transmission from a sending node to a receiving node.
• Session keys may also be randomly generated between two nodes to encrypt data to be transmitted over a link. For an added measure of security, these keys are preferably strobed (i.e., randomly generated anew) at fixed or random short intervals, such that even if these keys were determined, they would have been changed before a corruption or violation of the network may be accomplished.
• intermediate auditing steps may be performed, such as human verification that the delivered applications are, in fact, installed and running on the proper site. In such a case, installation of the network is preferably paused awaiting such auditor authentication.
• Auditing nodes may also be included to audit software at a packet level, during builds, as previously described.
• the system for generating and installing a secure network 600 includes a generator 620 that generates all of the components, as software modules or files, which substantially become the secure network when installed on remote computers or target sites.
• Network generator 620 is a software program running on a standard server.
• the generator 620 also generates components needed to install the secure network and establish communications among the nodes, including agent modules, node configuration files, and network information files. These components are generated in response to the input of information contained in a template 610.
• a partial exemplary template 610 is shown in Figure 7 and includes network node names 612, node IP addresses 614, identification of the applications 616 to be installed on each node, links 618 between nodes and passwords 617.
• the monitor node connects to all other nodes.
• agent modules 642, 652, and 662 (for the target applications) and 772 (for the monitor) are stored in memory 635 or on a disk and each agent module is ultimately loaded onto a predetermined target site 640, 650, 660, and 670, respectively.
• the agent modules may be delivered to their corresponding target sites by any of a variety of means. For example, an agent module may be stored on a computer disk, the disk may be transported to the target site, and the agent module may be loaded on the target site from the disk. As another example, agent modules may be accessed and downloaded over the World Wide Web via a Web server 615.
• the node configuration files and network information files are loaded on an installation server 630, and the agent modules are registered with and accessible by installation server 630.
• the installation of the network is primarily accomplished by the installation server 630.
• the applications to be installed are stored in memory and at least some components may be accessible by the installation server. The applications may or may not be loaded on the installation server itself.
• Each application is linked to (or includes) an agent module library file which includes functionality and routines that manage the communication between the agent module and other nodes and servers within the network.
• a node, node 644 for example, is considered installed when a predetermined application has been loaded on a predetermined target site 640 and the node has entered the network (i.e., linked to other nodes as defined in template 610).
• monitor node 670 manages the security of the network, the strobing of keys and passwords, and the termination of a node or the network in response to a security violation. Because of its unique interaction with the other nodes into the network, monitor node 670 must be the first node installed. Monitor node 670 links to each other network node as the nodes are installed and there is a unique key pair for each of those links. Like other nodes, monitor node 670 has a private and public key pair used for encrypting data sent to other nodes.
• the monitor node may be installed on the installation server 630 or on an independent computer and linked into the network. It is recommended that the monitor be maintained in a highly secure environment, preferably inside a secure room, and preferably on a machine on which the monitor is the only application. In other embodiments, there may be more than one monitor node per network, particularly if the network is segmented into sub-networks. In such a case, a sub-network may have its own monitor node.
• FIG. 6B A particular example of a network 600' with more than one monitor node is shown in Figure 6B.
• network 600' is shown with two monitor nodes, 674 and 676, located on separate secure machines 670 and 675.
• nodes 646, 656, and 666 will be monitored by monitor nodes 674 and 676.
• the connections between monitor node 674 and nodes 646, 656, and 676 are installed by agent modules 642, 652 and 662, respectively, which are generated by generator 620.
• the connections between monitor node 676 and nodes 646, 656, and 676 are installed by agent modules 648, 658 and 668, respectively, which are generated by generator 622.
• Generator 622 is located in a secure location that is separate from Generator 620.
• the two monitor nodes exchange information regarding the public keys that are in use between monitor node 674 and nodes 646, 656, and between the nodes themselves. Independent verification of the public keys in use on each side of a link allows for the detection of a pirate node that has been interposed in the link.
• monitor node 670 monitors the status of the nodes from a security standpoint and may facilitate shut down all or part of the network in response to a security violation.
• security violations include the inability to decrypt a message received from another node or an attempt to install a node on more than one site. In such a case, tainted nodes are shut down and the monitor node initiates reinstallation of nodes by installation server 630 to restore the network thereafter.
• the monitor node 670 also includes a link to generator 620 so that if monitor node 670 causes a node to be disconnected from the network due to a security violation, the monitor node can then task generator 620 to regenerate the node, or the entire network, if needed.
• An account server 680 is linked to installation server 630 and monitor node 670, and keeps track of which nodes are installed in the network.
• Account server 680 may be used to keep such tracking with respect to certain clients, customers, organizations, departments, and so on, for a variety of purposes, including billing purposes.
• account server 680 may generate bills (or invoices) to clients, as client's nodes enter the network during installation.
• the auditing nodes and capability previously described with respect to Figures 1 and 5 may also be added to the network. As part of the secure network, these auditing nodes employ the same password and encryption measures as other network nodes.
• the communication between nodes, between servers, and between servers and nodes may be accomplished using any of a variety of communication links and protocols, but is preferably accomplished using TCP/IP.
• a secure network may be generated and installed according to the methods described in Figures 8 - 13 A, 13B and 13C.
• a top level method for generating and installing a secure network is described.
• template 610 is generated in human readable form.
• template 610 identifies five nodes by name 612, that is, nodes named Node A - Node E.
• the I. P. Address of Node A is 155J08.21J0 and application app_A is to be installed Node A.
• monitor node must connect to all nodes. Therefore, it is not necessary to identify monitor links in the template 610 if there is only one monitor.
• Monitor B 676 is considered an application with respect to Monitor A 674, and the link between Monitor A and Monitor B must be specified.
• the software which runs the monitor node is generated by the generator, and is installed by an agent module (672 in Figure 6A, 672 and 674 in Figure 6B), generated by the generator 620 in
• Template 610 may be input, in step 804, into generator 620 in any one of a variety of known manners. In one embodiment, template 610 may by completed as a hardcopy paper version and input at a generator terminal (not shown) by keying or scanning it in. In another embodiment, template 610 may input from a remote computer via a standard Web browser and delivered to generator 620 via the Web.
• network generator 620 Based on the information in template 610, network generator 620 generates a group of network components in step 806 which, when loaded and executed, comprise the network.
• the preferred method 900 of performing step 806 is shown in Figure 9.
• the information from template 610 is read, in step 902, by generator 620 to determine the composition of the network to be generated.
• generator 620 creates network information files which generally map the structure of the network, and include node and link identification information.
• a pair of dual login keys is created by generator 620 for each link in the network, in step 906. Each pair of keys is unique to a given link and each key of the pair corresponds to a different node (or direction of communication) in the given link. For example, from template 610, Node A is linked with Node B.
• a pair of keys for this link may include Key_AB for establishing a transmission path from Node A to Node B and Key_BA for establishing a transmission from Node B to Node A.
• Node A is required to login to Node B by transmitting Key_AB to Node B and Node B must login to Node A by transmitting Key BA to Node A.
• generator 620 generates a local password for each node, wherein the download of node files is conditioned upon the timely input of the local password at the target site, transmission of the password to installation server 630, and verification of the password by the installation server.
• Each local password is a human readable string, preferably.
• the local password may be a "sales" password issued to the originator's sales department and provided by the sales group to the client's group installing the network.
• a time limit may be incorporated into installation server, such that if the local password is not entered at the target site within the time limit, installation is halted.
• the counting of time against the limit may begin from any predetermined point in the generation and installation process, for example from the completion of generation of the components.
• generator 620 generates a unique agent module for each node.
• Each agent module e.g., agent module 642 includes information identifying its corresponding node (e.g., node name Node A and IP address 155.108.21 JO) as well as information and functionality necessary to automatically connect to the installation server upon execution.
• the agent module will also include the "sales" password 617A generated in step 908. If this password is not entered at the terminal when the agent module attempts to perform an installation at the target site, the agent module will not operate.
• generator 620 creates a node configuration file for each node.
• the node configuration file includes the node name, node address, hardware parameters, and link definitions associated with that node.
• step 914 The pair of unique and hidden keys used to enable communication between the link nodes, and described above, is also included, in step 914, in the node configuration files. Steps 904, 906, 908, 910, and 912 (and 914) may be performed in a different order, simultaneously, or intermittently. Upon completion of method 900, the process returns step 808.
• generator 620 stores each one of the agent modules into data storage device 635, where each agent module awaits transfer to its respective target site.
• the agent modules may be loaded into storage device 635 as they are generated or may be initially loaded in temporary storage (e.g., RAM) of the generator and then transferred to storage device 635.
• All of the application files, network information files, and node configuration files are stored at, or are made accessible by, installation server 630, in step 810. Since it needs to know where the agent modules are located in the network to install the network, the agent modules are "registered" with installation server 630, in step 812. That is, an identification and the predetermined target site location of each node's agent module is stored with installation server 630.
• generator 620 also generates at least one monitor node 670, as defined by template 610.
• a monitor node is always the first node installed by the installation server, because the installation depends on the monitor node interacting with the node being installed.
• Monitor node 670 connects to each node as it enters the network, preferably strobes each nodes' keys after the node establishes communication with other predetermined nodes in the network, and monitors the network from a security standpoint. Consequently, in step 814 a test is performed to ensure that all monitor nodes (if there are more than one) are installed. If all monitor nodes are not installed, the next monitor node is installed, as depicted by step 816.
• a monitor node 670 is installed, with a monitor application, by loading a monitor node application on a predetermined target site and establishing communications with installation server 630.
• each agent module e.g., agent modules 642, 652, and 662
• a preselected target site e.g., target sites 640, 650, and 660, respectively
• Agent modules produced by network generator 620 may be distributed to and loaded on their respective nodes in one of a variety of ways.
• agent modules in storage device 635 may be linked to web server 615 and accessed via the Web.
• each module may be loaded onto a disk or CD ROM, physically delivered to its target site, and then loaded onto the target site.
• an agent module may be transferred using a generic file transfer capability and protocol (e.g., FTP) from a remote computer to its corresponding target site.
• FTP file transfer capability and protocol
• various agent modules may be distributed and loaded in different manners. Once loaded on their respective target sites, installation of the nodes may commence, preferably according to process 1000 of Figures 10A, 10B, and IOC. In these figures, labeled, dashed line boxes encase the process steps performed by the various devices of Figure 6A.
• agent module When an agent module is initially executed on a target site the agent module knows how to communicate with the installation server 630. It is this communication capability which is required to download the necessary files needed to set up the node, including verification that it is the proper target site for that node.
• agent module e.g., agent module 642
• target site e.g., site 640
• the agent module is executed to initiate installation of the node (e.g., Node A 644) on the target site, in step 1002.
• the agent module determines the I.P. Address and other relevant information (e.g., hardware configuration) relative to the site on which it is executing.
• the agent module randomly generates the node's private and public key pair, in step 1004.
• the public key is derived from the private by known means, such as the RSA algorithm.
• the node's public key is transmitted to installation server 630, in step 1006.
• installation server 630 responds by storing the node's public key, randomly generating a session key, and encrypting the session key with the node's public key. The installation server then transmits the encrypted session key to the node to complete step 1008.
• the agent module decrypts the session key with its private key and stores the session key in local memory, in step 1010.
• Installation server 630 and the node use the session key to encrypt subsequent communications between the two for the duration of the then current transaction.
• a new session key may be generated for each new transaction between two nodes or servers and exchanged as described above.
• a local password has been generated for the node being installed, for example Node A, the installation pauses awaiting input of the local password at the target site and the local password is entered in step 1012.
• the agent module generates a message containing the information gathered in step 1002 and the input local password in step 1014.
• the agent module in step 1016, encrypts the message using the public key of installation server 630 and transmits the
• step 1018 If installation server 630 cannot decrypt the message, a security violation is detected in step 1018, a corresponding message is transmitted to monitor node 670, as shown by step 1022. If installation server 630 decrypts the message and determines that the local password and site identification information are consistent with the node information on installation server 630, in step 1020, then the installation server has verified that the agent module is installed on the proper target site. If this is not the case, a security violation is detected and communicated in accordance with step 1022. Assuming that the agent module is operating on the proper site, in step 1024 the installation server checks to determine whether that agent module as already performed a node installation and if so, a security violation is detected and communicated in accordance with step 1022.
• the installation server encrypts the configuration file and application corresponding to that node with that node's public key and the session key and transmits these files to the target site, in step 1026.
• the target site decrypts (using the session key and its private key) the node configuration file and application and begins to install the node on the target site accordingly.
• the node configuration file includes information as to which other nodes the node being installed can connect, and contains the initial encryption key pairs generated by generator 620 for each link for which it is an end point. These keys are stored at the target site in step 1030.
• the node configuration file also contains information regarding the configuration of the application to be installed and information regarding the other nodes with which it is to be linked, and communicates this information to the agent module as the node is being installed in step 1032.
• the activity between the node and installation server 630 is substantially complete, with all files required by the node having been downloaded to the target site.
• the node As part of the installation of the node, the node must establish communication with the monitor node 670.
• the link between monitor node 670 and Node A (as an example) is similar to other links in the network, in that a pair of hidden keys was generated for this link by generator 620. Therefore, a key pair for this link may include key_AM corresponding to Node A's login to the monitor node and key_MA corresponding to the monitor's login to Node A.
• the node In step 1034 the node generates a "connect" message to initiate connection and login with monitor node 670.
• the node When the node is run on the target site, it includes a capability to automatically connect with the monitor node, such auto- connect capability is known in the art and will not be described in detail herein.
• the connect message generated in step 1034 includes information which will uniquely identify the Node A to the monitor node, such as the node name (i.e., Node A) and the node's hidden key (i.e., key_AM).
• the connect message is encrypted with the monitor node's public key and transmitted to the monitor node, in step 1036. If monitor node 670 is unable to decrypt the connect message, in step 1038, it declares a security violation in step 1050 and may shut done the installation of the node. If it does decrypt the connect message, monitor node 670 reads the information in the message, including the node name and key, to determine if this information is consistent with the information stored at monitor node 670 corresponding to the node being installed, in step 1040.
• step 1050 If the information is not consistent, a security violation is declared in step 1050. Otherwise, monitor node 670 recognizes the node being installed. Accordingly, in step 1042, the node is logged into monitor node 670 and the monitor node generates an "accept" message, which includes the monitor node's name and key. In step 1044, the monitor node encrypts the message with the node's public key and transmits the accept message to the node. Similar to the monitor node, the node, in steps 1046 and 1048, determines whether it can decrypt the accept message and whether it recognizes monitor node 670. If not, a security violation is declared in step 1050. Otherwise, the monitor node has logged into the node and the double login is complete, in step 1052.
• the encryption keys of the monitor node - node link may be strobed.
• the preferred process for strobing between the monitor node and another node is shown in Figure 11 and described ahead with respect thereto.
• an auditing password may be required to be input at the target site before the installation proceeds and the node is allowed into the network.
• this auditing step preferably requires a human verification that the node is actually being installed physically on the proper target site.
• the human is an auditor that is independent from the group installing the network and independent from the sales group from which the network was procured.
• step 1056 an auditor inputs an audit password at the target site, providing verification that the node is being installed on the proper target site. If such an audit step is not desired, the installation proceeds from step 1054 to step 1070 and step 1072.
• step 1070 account server 680 is updated to reflect that the node is entering the network.
• step 1072 as will be discussed, the node begins the process of connecting into the network.
• step 1058 the input audit password is encrypted with the monitor node's public key and transmitted to the application node at the target site.
• the application node decrypts the password using the node's private key, in step 1060, and determines whether it recognizes the audit password in step 1062. If it does not, a security violation is declared in step 1080, else the process proceeds to step 1064.
• monitor node 670 performs another test to determine whether this is the first time this node has been installed. The test in step 1064 is preferred, but not essential. If such a test is included, the monitor node keeps track of each time an audit password is received from the node.
• any audit passwords received after the first audit password for a given node causes a security violation to be declared in step 1080.
• the monitor node If it is the first time the node is being installed, the monitor node generates an acknowledgment message, which it encrypts with the node's public key, and then transmits to the node, in step 1066.
• the node decrypts the message with the node's private key and provides an indication to notify the account server that the node is entering the network, in step 1070.
• the indication may take the form of a message electronically transmitted to account server 680 via the monitor node 670, installation server 630, or via some other path.
• the indication may be generated at the target site and communicated via voice or hardcopy means to a party having access to account server 680.
• the monitor node 670 Upon generating the acknowledgment in step 1066, or in parallel therewith, the monitor node 670 communicates with each other node in the network to which the node being installed is to be linked, and updates the other nodes with information relating to the node being installed to prepare the other nodes to connect with the node being installed, in step 1072. Such information may include, for example, node identification information and the current public key of the node. Monitor node 670 also generates a message prompting the node to enter the network, in step 1074.
• the message may include information about the other nodes with which the node is about to connect (e.g., I.D.s and current public keys of each node).
• This message is encrypted with the node's public key, also in step 1074, and transmitted to the node.
• the node decrypts the message with its private key.
• the node then establishes a connection with each other link, in step 1078, according to the definitions in template 610 and using the node's passwords for each of those links.
• This connection between nodes is accomplished in a substantially similar manner, using the dual login approach, as the connection between monitor node 670 and the node being installed, in steps 1034 through 1052 in Figure 10B.
• the installation auditing process shown in Figure 17 is similar to traditional on-site auditing of physical objects performed by an auditor, but adapted to a network installation.
• the auditor visits the location where the node is running 1740 and records this information in an audit workbook 1746, for example.
• the auditor logs into the application 1742. This login is recorded by the monitor node 1720.
• the application presents to the auditor, in a window on the screen, a human recordable hash of the Monitor public key currently in use by the application.
• the auditor records this hash in an audit workbook 1744.
• the monitor node also makes a separate record of this hash 1720.
• the monitor node and the on-site auditor could also record hashes for a series of public keys to ensure that a valid comparison will be possible.
• the auditor then returns to office 1748, where the auditor is called by the main office. Alternatively, the auditor personally visits the main office 1730.
• These procedures to audit the node are deliberately not performed with software and are a significant protection against software attack by a pirate. Human contact is intentionally introduced into a computerized system.
• the hash for the monitor node public key and the hash produced on the target site by the application are compared 1732. If they are not the same, in step 1752, this indicates that a pirate has interposed itself between the application and the monitor node. This is a security violation 1754.
• the network is then closed (or shutdown) and reinstalled. If they are the same, the process continues to step 822.
• step 822 of Figure 8 installation server 630 performs a check to determine whether all of the nodes in the network (i.e., defined in template 610) have been installed. If all the nodes have not been installed, the process returns to step 818, wherein the next agent module is loaded on a target site and the process of installing a node follows the process of Figures lOA-lOC. Once all of the nodes have been installed into the network, as depicted by step 824, the network is installed.
• An additional auditing capability may be included in step 826, because one prominent danger in a secure network is that a pirate, possibly an insider, could introduce software into a node that would allow the pirate to install software remotely or to issue commands remotely, in other words, to "break into” the remote system and perform unauthorized activities.
• the installed network software will presumably be very large, consisting of thousands of lines of code. Therefore, it would be practically impossible to perform a software audit to determine what the software does.
• auditable nodes can be installed between parts of the secure network for the purpose of auditing data.
• they handle only a small amount of code, which is audited using the techniques described previously with respect to Figures 1-5.
• step 828 the encryption keys for each link are strobed.
• the monitor and a node being installed may strobe their keys.
• the process of accomplishing the strobing of keys between the monitor and a node is described in Figure 11. This process may be used while the node is being installed and at any time after the node is up and running in the network.
• the dashed line boxes around the process steps and the node labels corresponding to the boxes indicate which node is accomplishing the individual steps.
• monitor node 670 generates a "get ready to strobe" message. This message in encrypted in step 1 104 with the current node public key and transmitted to the node.
• step 1106 the node decrypts this message with its private key.
• step 1108 the node generates a "ready" message which is encrypted with the monitor's public key and transmitted in step 1110.
• step 1112 monitor node 670 decrypts the message with its private key and generates a new monitor node private key, by a random generation process and derives a public key from the new private key, in step 1114.
• step 1116 the monitor node encrypts its new public key and a message to "begin" the strobe with the node's current session key and transmits this message to the node.
• step 1118 the node decrypts the message with its corresponding session key and stores the new monitor node public key, in step 1120.
• the node responds by generating a new node private key, deriving a new public key, and also generating a new node session key.
• the new session key and public key are encrypted with the new monitor node public key and the current session key and transmitted in step 1124 to the monitor node.
• Monitor node 670 decrypts this message with its session key and the monitor node's current private key, in step 1126, and stores the new node public key and session key in memory, in step 1128.
• monitor node 670 generates a new monitor session key.
• the monitor session key is encrypted with the new node public key and the current node session key and transmitted back to the node in step 1132.
• the node decrypts the message, in step 1134, and stores the new monitor session key, in step 1136.
• the node generates a "ready to change session keys" message. This message is encrypted with the new monitor public key and the current monitor session key, in step 1140, and transmitted to monitor node 670.
• the monitor node decrypts the message, in step 1142, and generates a message indicating the acceptance of the new session keys, in step 1144.
• step 1 146 the monitor node encrypts the new node public key and the new node session key and transmits the message to the node, where it is decrypted in step 1 148.
• the node then generates an acknowledgment message indicating that it is ready to use the new session keys, in step 1150.
• the node encrypts this message with the new monitor public key and the new monitor session key and transmits the message to monitor node 670, in step 1152.
• step 1 154 the monitor node decrypts the message and, as indicated in step 1156, the strobing of keys is complete.
• the process 1200 for strobing keys between two nodes is described in Figure 12.
• the strobing of keys between two nodes may be initiated while the nodes are sending other data (e.g., business data) to one another. In such a case, the nodes will safely coordinate key strobing with data transmission.
• the nodes implement a thread-based strobing protocol, wherein data transmissions are ceased or "blocked" to allow strobing to occur.
• a thread is a unit of execution within an application which executes by itself.
• An application or node typically has several threads, and typically maintains a thread for receiving data from each other node to which it is connected, and maintains another thread to send data. The same thread could be used to send data to different nodes.
• the data is encrypted using the keys that have been established between the two nodes.
• Strobing involves changing these keys.
• the monitor node 670 and nodes to be strobed implement process 1200 of Figure 12.
• the monitor node identifies two linked nodes, as an example Nodes A and B, to strobe.
• step 1204 one of the two nodes, in this case Node A, is designated as the "connect” node and the other node, in this case Node B, is designated as the "accept” node.
• Monitor node 670 generates a "get ready to strobe" message (e.g., STROBE_GET_READY) for each node in step 1206.
• this message is encrypted with node A's current public key and transmitted to Node A.
• Node A decrypts this message with its private key, and completes the transmission of current messages to Node B, in step 1214.
• nodes Two nodes (or applications) sending data to one another may have dozens of different messages pending for one another, so control must be applied in step 1214.
• nodes In order to be able to issue a STROBE_READY message to monitor node 670 (i.e., complete transmissions), nodes impose order on the messages they send to one another, preferably by the following method.
• the nodes order their messages into a small number of top level messages, say six messages are pending, for example.
• Subsidiary messages are included as options within top level messages.
• the top level pending request messages are given even numbers, say 100, 102, 104, 106,108, and 110.
• a response to a request message is given an odd number, one greater than its corresponding request message.
• a synchronization object is created for every top level message. These are referred to as message synchronization objects.
• message synchronization objects By using a scheme of even messages for requests, odd messages for responses, and a message synchronization object for every request message, a node, when it receives a message, can immediately calculate whether the message is a request or a response and the index number of the corresponding message synchronization object. Assuming message "B" is the first message for a series of top level messages, "M” is the message number of the top level message, and "I” is an index beginning at zero for a series of message synchronization objects. Then a message is a request if M%2 is zero and it is a response if M%2 is one. (The % is modulus operator.) Further, the index I can be calculated:
• a "sending" thread initiates a request message, and it must wait until a response is received to initiate another request. Imposing an organizational scheme, such as the scheme revealed above, allows a strobe to safely occur between any two nodes in the network. That is, using the index and message numbers, a message can be held and, therefore, subsequent messages are also held.
• a target synchronization object is created for every other node with which the node is connected. A target synchronization object will pass through a "wait” if the object is signaled. Immediately after an object has passed through a "wait” it is set to non-signaled.
• Waiting for a target synchronization object means waiting until the object has become signaled, which passes the object through the "wait,” and then immediately setting the object to non-signaled.
• a node issuing a data request to another node: (a) waits for the target synchronization object for the other node; (b) chooses an appropriate message and sends the message; (c) waits for the message synchronization object; and (d) sets the target synchronization object to signaled.
• a receiving thread in the node will set the message synchronization object to signaled when the response is received.
• the sending thread will wait between steps (b) and (c), until a response to the message is received.
• a STROBE_GET_READY message is received from monitor node 670, the node waits for the target synchronization object from the monitor node.
• a STROBE_READY is not returned to the monitor node until the target synchronization object has been acquired.
• the sending thread When the application passes through this "wait,” and acquires the target synchronization object, the sending thread will wait at step (a) above. Thus, while a strobe is in progress, the sending thread will wait at (a).
• monitor node 670 sends a message indicating the strobe is complete (e.g., STROBE_DONE)
• the node sets the target synchronization thread to "signaled”, and the send thread will be released to move beyond (a).
• Node B decrypts this message with its private key in step 1220, completes the transmission of any current messages to Node A in step 1222, and generates a "ready to strobe" message, in step 1224.
• Node B encrypts this message with the monitor node's current public key and transmits the message to the monitor node.
• monitor node 670 Upon receipt of both "ready to strobe" messages from Node A and Node B, monitor node 670 generates an "acknowledgment" message and instructions for Node A and Node B to strobe (e.g., STROBE_START message), in step 1228.
• the monitor node encrypts the message to Node A with Node A's public key and transmits it to Node A, and encrypts the message to Node B with Node B's public key and transmits it to Node B.
• Nodes A and B conduct a strobe according to steps 1114 through 1156 of Figure 11 , wherein the "connect" node assumes the role of the monitor node and the "accept” node assumes the role of Node X in Figure 11.
• Node A generates a "strobe complete” message and encrypts the message with the monitor node's public key and transmits this message to monitor node 670, in step 1234.
• Node B generates a "strobe complete" message, and encrypts this message with the monitor node's public key and transmits the message, in step 1240, to monitor node 670.
• the monitor node decrypts the messages received from Node A and Node B.
• Monitor node 670 then authorizes Nodes A and B to exchange data using the new keys, in step 1244.
• Authorization to transmit data is communicated to each node and in steps 1246 and 1248, and the nodes resume data transmission.
• monitor node 670 waits for some time, and chooses another node pair to strobe.
• Monitor node 670 can assign priorities, and cause certain node pairs to strobe more frequently than others.
• steps 1246 and 1248 are appropriate points to send control information to Monitor B, the second monitor node 676 (see Figures 13B and 18).
• the information that is important are the public keys that are in use by the various nodes at a particular time. If a pirate has interposed itself, it will have to provide its public key, have data sent to the pirate public key, decrypt the data, and reencrypt the data with a valid public key of the actual destination of the data. Thus, the comparing of the public key in use by a node with the required public key of the target facilitates detection of the interposition of a pirate.
• the data sent to the second monitor node 676 will also have a time stamp to facilitate comparison.
• the applications and the monitor node 676 could record hash values for a series of public keys to ensure that a valid comparison will be possible.
• the monitor node 676 also records its version of what its public key should with respect to nodes A and B 1243. When the information is available, 1826, Monitor B compares what each node believes the public key of the other to be and what each node believes the public key of monitor node 676 to be 1828. If these values do not match, a security violation is declared, 1830, and the network (or a portion thereof) is closed.
• the network or a node of the network may "come down" (i.e., go off-line).
• the network is able to recover in a state compatible with the last strobe. Recovery to a prior state is referred to as "persistence”.
• the process for strobing with persistence 1300 is shown in Figures 13A- 13C. Like process 1200, process 1300 is thread-based. That is, in order for strobing to occur while a node (or application) is also sending and receiving data, the node should maintain a separate thread to handle the transmission and receipt of data with other nodes. This thread is referred to as the "work thread”.
• process 1300 is similar to process 1200 for strobing between two nodes, with the addition the ability to recover after the network or a network node goes down. Referring to top level process 800 in Figure 8, strobing process 1300 relates to step 828 "strobe keys".
• Process 1300 begins after monitor node 670 has selected two nodes to strobe, that is, steps 1202 through 1212 of Figure 12, and terminates once the strobe is completed at step 828 of Figure 8.
• a connect node in this case Node A, and an accept node, in this case Node B, have been designated, and the nodes have received the "get ready to strobe" message from monitor node 670
• the connect node blocks pending transmissions to Node B in step 1302.
• the connect node then generates a new Node A private and public key pair, in step 1304.
• Node A encrypts the new public key and a message to begin the strobe with the current Node A sessions key and transmits the message to Node B.
• Node B decrypts the message, in step 1308, and stores the new Node A public key step 1310. Node B also persists the current Node A public key in step 1312. In step 1314, Node B blocks pending transmissions to Node A. Node B then generates a new Node B private and public key pair and a new Node B session key, in step 1316. In step 1318, Node B encrypts the new Node B session key and public key with the new Node A public key and the current Node A session key, and transmits the message to Node A. Node A decrypts the message in step 1320, and stores the new Node B session and public keys in memory, in step 1322.
• Node A also persists, or saves, the current Node B session key and public key, in step 1324.
• Node A also generates a new Node A session key in step 1326.
• the new Node A session key is encrypted with the new Node B public key and the current Node B session key and transmitted to Node B, in step 1328.
• Node B in step 1330, decrypts the message and stores, in step 1332, the new Node A session key.
• Node B also persists the current Node A session key.
• step 1336
• Node B generates a message indicating that it is ready to change session keys.
• This message in step 1338, is encrypted with the new Node A public key and the current Node A session key, and transmitted to Node B.
• Node A decrypts the message and, in step 1342, Node A changes session keys to Node A's new session key.
• Node A generates a message confirming the use of the new keys.
• Node A encrypts this message with the new Node B public key and new Node B session key and transmits the message to Node B.
• Node B in step 1348, decrypts this message and, in step 1350, changes Node B's session key to the new Node B session key.
• step 1352 Node B generates a response message confirming the use of the new keys.
• This message in step 1354, is encrypted with the new Node A public key and new Node A session key and transmitted to Node A.
• step 1356 Node A decrypts this message and, as indicated by box 1358, the strobe is complete.
• step 13B The process continues in Figure 13B at steps 1360 and 1362.
• a check is done to determine if there are two monitor nodes. If not, Node A, in step 1364, unblocks transmissions. Node B also unblocks transmissions, in step 1368.
• step 1370 Node B saves the new Node B public, private and session keys and Node A public and session keys in a "stage one" file.
• Node B in step 1372, generates a "saving keys" message, which it encrypts with the new keys, in step 1374, and transmits the message to Node A.
• Node A in step 1376, decrypts this message, and, in step 1378, saves the new Node A public, private and sessions keys and the new Node B public and session keys in a "stage one" file.
• Node A in step 1380, generates a message indicating the keys have been saved. This message is encrypted with the new keys and transmitted to Node B, in step 1382.
• Node B decrypts the message and, in step 1386, Node B saves the previous Node B private, public and session keys and previous Node A public and session keys in a "stage two" file.
• step 1388 Node B generates a message indicating that it has "saved keys” and encrypts this message in step 1390 and transmits it to Node A.
• step 1392 Node A decrypts the message, and saves the previous Node A private, public and session keys and previous Node B public and session keys in a "stage two" file.
• strobing with persistence is complete and the process continues to step 828 of Figure 8. If a node goes down, while strobing is in progress, recover ⁇ ' becomes an issue. When the node that went down comes back up, it attempts to connect using the latest set of keys, that is, the "stage one" keys. If this connect fails, the node attempts to reestablish connection using the previous keys, that is, the "stage two" keys. As a result, strobing with persistence makes the network robust with respect to such situations.
• each node sends the public keys it is using with the other nodes (i.e., Monitor Node A, Node A, and Node B) to Monitor Node B.
• monitor A sends its corresponding group of keys.
• Monitor B compares the keys, step 1826, and determines if all public keys are consistently reported, step 1878. If not, a security violation is declared (i.e., an interposed node is detected) in step 1838. Else the process returns to steps 1244, 1364 and 1368 for Monitor A, Node A and Node B, respectively.
• Figures 6 through 13C demonstrate how the present invention may be embodied in the context of a financial services environment, wherein a bank (which may be referred to as an "originator") has a software product (or application) which is capable of performing custody and accounting services for clients and investors, such services being typical in the financial services industry.
• the bank seeks to sell its services to clients (e.g., other financial service entities or parties), to do so involves distributing and configuring the bank's software application as part of a private secure network that includes the bank and its clients.
• a sales department (SD) of the bank negotiates the sale of a private secure network of application nodes, the production "network", with a procurement or purchasing group from the client.
• the network is also auditable.
• FIG 14A depicts a block diagram of a "functional network”, referred to as “bank_one network” 1400, represented in template 1450 of Figure 14B.
• Functional network 1400 is a representation of the network required to accomplish the functional goals of the client and is substantially similar to the "production” network 1600 (see Figure 16A), except that the production network also includes monitor node 670.
• Functional network 1400 is divided into two sub-networks, that is, a bank sub-network 1410 (in this case, located in Boston, Massachusetts, USA), and a client sub-network 1420 (in this case, located in London, Great Britain).
• bank sub-network 1410 includes a bank mainframe computer system 1418 which performs centralized processing and control of the applications and their corresponding data, a sub-network monitor node, Node 1 1412, and two application nodes, Node 2 1414 and Node 3 1416.
• Client sub-network 1420 includes a client investment trading system 1428 which performs investment transactions, a monitor node, Node 4 1422, and two application nodes, Node 5 1424 and Node 6 1426.
• the bank may use an alternative forms of computing system, and need not use a mainframe system.
• network 1400 may involve a plurality of organizations and need not be limited to the bank and one client.
• Template 1450 and functional network 1400 each show the links between nodes.
• each sub-network monitor node is installed as an application node that may perform application or communication monitoring for its corresponding sub-network, or may optionally be omitted, since neither is the monitor node 670 used for installation, security monitoring, and key strobing of the production network. Therefore, the monitor node of each sub-network need not be linked to the monitor node of the other sub-network. However, nodes of different sub-networks should be linked, such as Node 3 in bank sub- network 1410 and Node 5 in client sub-network 1420, to establish communication between the sub-networks.
• production network 1600 (or the "network") of Figure 16A employs end-to- end encryption of data, with passwords and encryption keys being strobed every few seconds under the control of monitor node 670.
• the passwords are hidden, that is, not stored in human readable form.
• generation, installation, and operation of the network is accomplished, preferably, using formal audit procedures to mitigate the risk of corruption of the network and data.
• step 1502 the process is begun in step 1502 and in step 1504 a core set of agent module library software is added to the bank's application software.
• the library functionality enables communication among the installation system and nodes. Therefore, the library is required to create and operate the final production network 1600 shown in Figure 16A.
• the bank's development group (BDG) models the network using template 1450 and tests the network in a test (i.e., mock) environment 1610, shown in Figure 16B, including a test bank mainframe 1418T and a test client trading system 1428T, which model bank mainframe 1418 and client trading system 1428.
• the network test model 1610 includes a modeled bank sub-network 1410T and client sub-network 1420T.
• step 1506 Upon successful completion of step 1506, the process proceeds to step 1508, wherein the network is modeled in a user acceptance test (UAT) environment 1620, shown in Figure 16C, which closely resembles "production" network 1600.
• the UAT includes a UAT bank mainframe 1418UAT and a UAT client trading system 1428UAT, which model bank mainframe 1418 and client trading system 1428.
• the UAT network model 1620 includes a modeled bank sub-network 1410UAT and client sub-network 1420UAT.
• the BDG obtains, from a bank network administration group, a series of local BDG passwords and authorization to install the network on installation server 630, in step 1510.
• the BDG then submits the network definition source code, embodying the network definition derived from template 1450, to an agent build module 1630, as depicted in step 1512 and shown in Figure 16D.
• Agent build module 1630 includes software code that checks the source code for hidden "trap doors" (i.e., entry points) and builds the production code, such code analysis and generation functionality being generally known in the software development arts.
• the BDG installs the network definition source code on generator
• Generator 620 as shown in Figure 16E.
• Generator 620 extensively tests the network configuration for accuracy and completeness.
• the bank sales department obtains, from the bank network administration group, local sales passwords and authorization to install the network, in step 1516.
• the sales department using template 1450, audits the network configuration, which is rendered by generator 620 on a generator display (not shown), in step 1518.
• the bank's sales department also provides the sales passwords to the generator in this step.
• Generator 620 checks that all required confirmations required by the sales department are made, and the process continues.
• the bank's audit department obtains audit passwords and authorization to install the network from the bank network administration group.
• the audit department audits the network configuration rendered by generator 620 against template 1450, in step 1522.
• the local audit department also provides the audit passwords to the generator in this step.
• Generator 620 checks that all required confirmations required by the audit department are made.
• generator 620 is enabled to and does create the agent modules, node configuration files, and network information files, as indicated by step 1524.
• generator 620 also registers the agent modules with installation server 620 and stores the agent modules in memory or moves them to a bank web server 1640.
• This configuration is substantially similar to that of storage device 635 and web server 615 of Figure 6.
• a more detailed discussion of step 1524 is provided with respect to the processes of Figures 8 and 9.
• each agent module is configured to connect with installation server 630 and install a predetermined software application on a predetermined target site. Agent modules may only be installed once and, preferably, the software stays installed only if properly audited.
• an installation period or time limit may be included in the code of the installation server, wherein failure to install the network prior to elapse of the period, as measured from the begin of component generation by generator 620, causes the installation to terminate and installed software to be uninstalled automatically.
• the bank's sales department communicates the sales passwords to the bank's sales department staff at bank target sites and to client purchasing department staff at client target sites, as shown in step 1526.
• the bank's audit department communicates the audit passwords to the bank's audit department staff at bank target sites and to client audit department staff at client target sites.
• the corresponding agent module is downloaded from web server 1640 by the sales department staff at that target site, in step 1530, and executes the downloaded agent module, as shown in Figure 16F.
• the agent module prompts the sales staff to input the local sales password and upon input and verification of the sales password, the agent module downloads the application and network components for that target site, in step 1532.
• step 1534 the sales staff runs the application on the target site and the application, using the network components, establishes communication with monitor node 670.
• the monitor node requests the input of the audit password for that node.
• the audit department staff at the target site inputs the audit password.
• monitor node 670 of the audit password the node is allowed by monitor node 670 to enter the network.
• the audit department staff at each target site may also communicate directly with bank audit department staff to personally confirm that the applications are running on the proper target sites.
• key strobing and auditing are performed on the production network once installation is complete, as previously described.

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• 1999
  • 1999-11-16 WO PCT/US1999/027138 patent/WO2000029962A1/en not_active Application Discontinuation
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  • 1999-11-16 EP EP99959005A patent/EP1131727A4/de not_active Withdrawn
  • 1999-11-16 CA CA2349880A patent/CA2349880C/en not_active Expired - Lifetime
• 2002
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