Systems and methods for secure transaction management and electronic rights protection

0001This invention generally relates to computer and/or electronic security.

0002More particularly, this invention relates to systems and techniques for secure transaction management. This invention also relates to computer-based and other electronic appliance-based technologies that help to ensure that information is accessed and/or otherwise used only in authorized ways, and maintains the integrity, availability, and/or confidentiality of such information and processes related to such use.

0003The invention also relates to systems and methods for protecting rights of various participants in electronic commerce and other electronic or electronically-facilitated transactions.

0004The invention also relates to secure chains of handling and control for both information content and information employed to regulate the use of such content and consequences of such use. It also relates to systems and techniques that manage, including meter and/or limit and/or otherwise monitor use of electronically stored and/or disseminated information. The invention particularly relates to transactions, conduct and arrangements that make use of, including consequences of use of, such systems and/or techniques.

0005The invention also relates to distributed and other operating systems, environments and architectures. It also generally relates to secure architectures, including, for example, tamper-resistant hardware-based processors, that can be used to establish security at each node of a distributed system.

0006<patcit id="pcit0001" dnum="US5343527A"><text>US 5,343,527</text></patcit> discloses a software reuse library in which a user can browse libraries of software components, select suitable ones, and obtain them for reuse. The disclosed system provides the user with an indication of whether or not a software component from the library is authentic, and whether or not the software component has been modified.

0007According to one aspect of the present invention there is provided a secure component based operating process as recited in claim 1.

0008According to another aspect of the present invention there is provided an electronic appliance as recited in claim 15.

0009Preferred features of the invention are recited in the dependent claims.

0010Preferred features of the invention will now be described, purely by way of example, with reference to the accompanying drawings, in which: <ul id="ul0001" list-style="none" compact="compact"><li><figref idref="f0001">FIGURES 1</figref> and <figref idref="f0002">2</figref> show an example of an "object";</li><li><figref idref="f0003">FIGURE 3</figref> shows an example of a Secure Processing Unit ("SPU");</li><li><figref idref="f0004">FIGURE 4</figref> shows an example of an electronic appliance;</li><li><figref idref="f0005">FIGURE 5</figref> is a more detailed block diagram of an example of the electronic appliance shown in <figref idref="f0004">FIGURE 4</figref>;</li><li><figref idref="f0006">FIGURE 6</figref> is a detailed view of an example of the Secure Processing Unit (SPU) shown in <figref idref="f0003">FIGURES 3</figref> and <figref idref="f0005">5</figref>;</li><li><figref idref="f0007">FIGURE 7</figref> shows an example of a "Rights Operating System"("ROS") architecture provided by the Virtual Distribution Environment;</li><li><figref idref="f0008">FIGURES 8A-8C</figref> show examples of functional relationship(s) between applications and the Rights Operating System;</li><li><figref idref="f0009 f0010 f0011 f0012">FIGURES 8D-8J</figref> show examples of "components" and "component assemblies";</li><li><figref idref="f0013">FIGURE 9</figref> is a more detailed diagram of an example of the Rights Operating System shown in <figref idref="f0007">FIGURE 7</figref>;</li><li><figref idref="f0014">FIGURE 10</figref> illustrates an example of how a channel services manager and load module execution manager can support a channel;</li><li><figref idref="f0015">FIGURE 11</figref> is an example of a channel header and channel detail records shown in <figref idref="f0014">FIGURE 10</figref>;</li><li><figref idref="f0016">FIGURE 12</figref> is a flowchart of an example of program control steps that may be performed to create a channel;</li><li><figref idref="f0017">FIGURE 13</figref> is a block diagram of an example of a secure data base structure;</li><li><figref idref="f0018">FIGURE 14</figref> shows an example of a permissions record (PERC) structure; and</li><li><figref idref="f0019">FIGURES 15</figref> and <figref idref="f0020">16</figref> together show a more detailed example of a permissions record structure.</li></ul>

0011The present invention provides a new kind of "virtual distribution environment" (called "VDE" in this document) that secures, administers, and audits electronic information use. VDE also features fundamentally important capabilities for managing content that travels "across" the "information highway." These capabilities comprise a rights protection solution that serves all electronic community members. These members include content creators and distributors, financial service providers, end-users, and others.

0012<figref idref="f0001">Figure 1</figref> shows how the virtual distribution environment 100, in a preferred embodiment, may package information elements (content) into a "<u>container</u>" 302 so the information can't be accessed except as provided by its "rules and controls." Normally, the container 302 is <u>electronic</u> rather than physical. Electronic container 302 in one example comprises "digital" information having a well defined structures. Container 302 and its contents can be called an "object 300."

0013The <figref idref="f0001">Figure 1</figref> example shows items "within" and enclosed by container 302. However, container 302 may "contain" items without those items actually being stored within the container. For example, the container 302 may reference items that are available elsewhere such as in other containers at remote sites. Container 302 may reference items available at different times or only during limited times. Some items may be too large to store within container 302. Items may, for example, be delivered to the user in the form of a "live feed" of video at a certain time. Even then, the container 302 "contains" the live feed (by reference) in this example.

0014Container 302 may contain <u>information content</u> 304 in <u>electronic</u> (such as "digital") form. Information content 304 could be the text of a novel, a picture, sound such as a musical performance or a reading, a movie or other video, computer software, or just about any other kind of electronic information you can think of. Other types of "objects" 300 (such as "administrative objects") may contain "administrative" or other information instead of or in addition to information content 304.

0015In the <figref idref="f0001">Figure 1</figref> example, container 302 may also contain "rules and control in the form of: <ol id="ol0001" compact="compact"><li>(a) a "<u>permissions record</u>" 808;</li><li>(b) "<u>budgets</u>" 308; and</li><li>(c) "other <u>methods</u>" 1000.</li></ol>

0016<figref idref="f0002">Figure 2</figref> gives some additional detail about permissions record 808, budgets 308 and other methods 1000. The "permissions record" 808 specifies the rights associated with the object 300 such as, for example, who can open the container 302, who can use the object's contents, who can distribute the object, and what other control mechanisms must be active. For example, permissions record 808 may specify a user's rights to use, distribute and/or administer the container 302 and its content. Permissions record 808 may also specify requirements to be applied by the budgets 308 and "other methods" 1000. Permissions record 808 may also contain security related information such as scrambling and descrambling "keys."

0017"Budgets" 308 shown in <figref idref="f0002">Figure 2</figref> are a special type of "method" 1000 that may specify, among other things, limitations on usage of information content 304, and how usage will be paid for. Budgets 308 can specify, for example, how much of the total information content 304 can be used and/or copied. The methods 310 may prevent use of more than the amount specified by a specific budget.

0018"Other methods" 1000 define basic operations used by "rules and controls." Such "methods" 1000 may include, for example, how usage is to be "metered," if and how content 304 and other information is to be scrambled and descrambled, and other processes associated with handling and controlling information content 304. For example, methods 1000 may record the identity of anyone who opens the electronic container 302, and can also control how information content is to be charged based on "metering." Methods 1000 may apply to one or several different information contents 304 and associated containers 302, as well as to all or specific portions of information content 304.

Secure Processing Unit (SPU)

0019The "VDE participants" may each have an <u>"electronic appliance."</u> The appliance may be or contain a computer. The appliances may communicate over the electronic highway 108. <figref idref="f0003">Figure 3</figref> shows a <u>secure processing unit</u> ("SPU") 500 portion of the "electronic appliance" used in this examples by each VDE participant. SPU 500 processes information in a <u>secure professing environment</u> 503, and stores important information securely. SPU 500 may be emulated by software operating in a host electronic appliance.

0020SPU 500 is enclosed within and protected by a <u>"tamper resistant security barrier"</u> 502. Security barrier 502 separates the secure environment 503 from the rest of the world. It prevents information and processes within the secure environment 503 from being observed, interfered with and leaving except under appropriate secure conditions. Barrier 502 also controls external access to secure resources, processes and information within SPU 500. In one example, tamper resistant security barrier 502 is formed by security features such as "encryption," and hardware that detects tampering and/or destroys sensitive information within secure environment 503 when tampering is detected.

0021SPU 500 in this example is an integrated circuit ("IC") "chip" 504 including <u>"hardware"</u> 506 and <u>"firmware"</u> 508. SPU 500 connects to the rest of the electronic appliance through an "<u>appliance link</u>" 510. SPU "firmware" 508 in this example is "software" such as a "computer program(s)" "embedded" within chip 504. Firmware 508 makes the hardware 506 work. Hardware 506 preferably contains a processor to perform instructions specified by firmware 508. "Hardware" 506 also contains long-term and short-term memories to store information securely so it can't be tampered with. SPU 500 may also have a protected clock/calendar used for timing events. The SPU hardware 506 in this example may include special purpose electronic circuits that are specially designed to perform certain processes (such as "encryption" and "decryption") rapidly and efficiently.

0022The particular context in which SPU 500 is being used will determine how much processing capabilities SPU 500 should have. SPU hardware 506, in this example, provides at least enough processing capabilities to support the secure parts of processes. In some contexts, the functions of SPU 500 may be increased so the SPU can perform all the electronic appliance processing, and can be incorporated into a general purpose processor. In other contexts, SPU 500 may work alongside a general purpose processor, and therefore only needs to have enough processing capabilities to handle secure processes.

VDE Electronic Appliance and Rights Operating System"

0023<figref idref="f0004">Figure 4</figref> shows an example of an electronic appliance 600 including SPU 500. Electronic appliance 600 may be practically any kind of electrical or electronic device, such as: <dl id="dl0001" compact="compact"><dt>C</dt><dd>a computer</dd><dt>C</dt><dd>a T.V. "set top" control box</dd><dt>C</dt><dd>a pager</dd><dt>C</dt><dd>a telephone</dd><dt>C</dt><dd>a sound system</dd><dt>C</dt><dd>a video reproduction system</dd><dt>C</dt><dd>a video game player</dd><dt>C</dt><dd>a "smart" credit card</dd></dl>

0024Electronic appliance 600 in this example may include a keyboard or keypad 612, a voice recognizer 613, and a display 614. A human user can input commands through keyboard 612 and/or voice recognizer 613, and may view information on display 614. Appliance 600 may communicate with the outside world through any of the connections/devices normally used within an electronic appliance. The connections/devices shown along the bottom of the drawing are examples: <ul id="ul0002" list-style="none" compact="compact"><li>a "modern" 618 or other telecommunications link;</li><li>a CD ROM disk 620 or other storage medium or device;</li><li>a printer 622;</li><li>broadcast reception 624;</li><li>a document scanner 626; and</li><li>a "cable" 628 connecting the appliance with a "network."</li></ul>

0025Virtual distribution environment 100 provides a "<u>rights Operating system</u>" 602 that manages appliance 600 and SPU 500 by controlling their hardware resources. The operating system 602 may also support at least one "<u>application</u>" 608. Generally, "application" 608 is hardware and/or software specific to the context of appliance 600. For example, if appliance 600 is a personal computer, then "application" 608 could be a program loaded by the user, for instance, a word processor, a communications system or a sound recorder. If appliance 600 is a television controller box, then application 608 might be hardware or software that allows a user to order videos on demand and perform other functions such as fast forward and rewind. In this example, operating system 602 provides a standardized, well defined, generalized "interface" that could support and work with many different "applications" 608.

0026Operating system 602 in this example provides "<u>rights and auditing operating system functions</u>" 604 and <u>"other Operating system functions</u>" 606. The "rights and auditing operating system functions" 604 securely handle tasks that relate to virtual distribution environment 100. SPU 500 provides or supports many of the security functions of the "rights and auditing operating system functions" 402. The "other operating system functions" 606 handle general appliance functions. Overall operating system 602 may be designed from the beginning to include the "rights and auditing operating system functions" 604 plus the "other operating system functions" 606, or the "rights and auditing operating system functions" may be an add-on to a preexisting operating system providing the "other operating system functions."

0027"Rights operating system" 602 in this example can work with many different types of appliances 600. For example, it can work with large mainframe computers, "minicomputers" and "microcomputers" such as personal computers and portable computing devices. It can also work in control boxes on the top of television sets, small portable "pagers," desktop radios, stereo sound systems, telephones, telephone switches, or any other electronic appliance. This ability to work on big appliances as well as little appliances is called "scalable." A "scalable" operating system 602 means that there can be a standardized interface across many different appliances performing a wide variety of tasks.

0028The "rights operating system function" 604 are "<u>services-based</u>" in this example. For example, "rights operating system functions" 604 handle summary requests from application 608 rather than requiring the application to always make more detailed "subrequests" or otherwise get involved with the underlying complexities involved in satisfying a summary request. For example, application 608 may simply ask to read specified information; "rights operating system functions" 604 can then decide whether the desired information is VDE-protected content and, if it is, perform processes needed to make the information available. This feature is called "transparency." "Transparency" makes tasks easy for the application 608. "Rights operating system functions" 604 can support applications 608 that "know" nothing about virtual distribution environment 100. Applications 608 that are "aware" of virtual distribution environment 100 may be able to make more detailed use of virtual distribution environment 100.

0029In this example, "rights operating system functions" 604 are "event driven". Rather than repeatedly examining the state of electronic appliance 600 to determine whether a condition has arisen, the "rights operating system functions" 604 may respond directly to "events" or "happening" within appliance 600.

0030In this example, some of the services performed by "rights operating system functions" 604 may be extended based on additional "components" delivered to operating system 602. "Rights operating system functions" 604 can collect together and use "components" sent by different participants at different times. The "components" help to make the operating system 602 "scalable." Some components can change how services work on little appliances versus how they work on big appliances (e.g., multi-user). Other components are designed to work with specific applications or classes of applications (e.g., some types of meters and some types of budgets).

Electronic Appliance 600

0031An electronic appliance 600 provided by the preferred embodiment may, for example, be any electronic apparatus that contains one or more microprocessors and/or microcontrollers and/or other devices which perform logical and/or mathematical calculations. This may include computers; computer terminals; device controllers for use with computers; peripheral devices for use with computers; digital display devices; televisions; video and audio/video projection systems; channel selectors and/or decoders for use with broadcast and/or cable transmissions; remote control devices; video and/or audio recorders; media players including compact disc players, videodisc players and tape players; audio and/or video amplifiers; virtual reality machines; electronic game players; multimedia players; radios; telephones; videophones; facsimile machines; robots; numerically controlled machines including machine tools and the like; and other devices containing one or more microcomputers and/or microcontrollers and/or other CPUs, including those not yet in existence.

0032<figref idref="f0005">Figure 5</figref> shows an example of an electronic appliance 600. This example of electronic appliance 600 includes a system bus 653. In this example, one or more conventional general purpose central processing units ("CPUs") 654 are connected to bus 653. Bus 653 connects CPU(s) 654 to RAM 656, ROM 658, and I/O controller 660. One or more SPUs 500 may also be connected to system bus 653. System bus 653 may permit SPU(s) 500 to communicate with CPU(s) 654, and also may allow both the CPU(s) and the SPU(s) to communicate (e.g., over shared address and data lines) with RAM 656, ROM 658 and I/O controller 660. A power supply 659 may provide power to SPU 500, CPU 654 and the other system components shown.

0033In the example shown, I/O controller 660 is connected to secondary storage device 652, a keyboard/display 612,614, a communications controller 666, and a backup storage device 668. Backup storage device 668 may, for example, store information on mass media such as a tape 670, a floppy disk, a removable memory card, etc. Communications controller 666 may allow electronic appliance 600 to communicate with other electronic appliances via network 672 or other telecommunications links. Different electronic appliances 600 may interoperate even if they use different CPUs and different instances of ROS 602, so long as they typically use compatible communication protocols and/or security methods. In this example, I/O controller 660 permits CPU 654 and SPU 500 to read from and write to secondary storage 662, keyboard/display 612, 614, communications controller 666, and backup storage device 668.

0034Secondary storage 662 may comprise the same one or more non-secure secondary storage devices (such as a magnetic disk and a CD-ROM drive as one example) that electronic appliance 600 uses for general secondary storage functions. In some implementations, part or all of secondary storage 652 may comprise a secondary storage device(s) that is physically enclosed within a secure enclosure. However, since it may not be practical or cost-effective to physically secure secondary storage 652 in many implementations, secondary storage 652 may be used to store information in a secure manner by encrypting information before storing it in secondary storage 652. If information is encrypted before it is stored, physical access to secondary storage 652 or its contents does not readily reveal or compromise the information.

0035Secondary storage 652 in this example stores code and data used by CPU 654 and/or SPU 500 to control the overall operation of electronic appliance 600. For example, <figref idref="f0005">Figure 5</figref> shows that "Rights Operating System" ("ROS") 602 (including a portion 604 of ROS that provides VDE functions and a portion 606 that provides other OS functions) shown in <figref idref="f0004">Figure 4</figref> may be stored on secondary storage 652. Secondary storage 652 may also store one or more VDE objects 300. <figref idref="f0005">Figure 5</figref> also shows that the secure files 610 shown in <figref idref="f0004">Figure 4</figref> may be stored on secondary storage 652 in the form of a "secure database" or management file system 610. This secure database 610 may store and organize information used by ROS 602 to perform VDE functions 604. Thus, the code that is executed to perform VDE and other OS functions 604, 606, and secure files 610 (as well as VDE objects 300) associated with those functions may be stored in secondary storage 652. Secondary storage 652 may also store "other information" 673 such as, for example, information used by other operating system functions 606 for task management, non-VDE files, etc. Portions of the elements indicated in secondary storage 652 may also be stored in ROM 658, so long as those elements do not require changes (except when ROM 658 is replaced). Portions of ROS 602 in particular may desirably be included in ROM 658 (e.g., "bootstrap" routines, POST routines, etc. for use in establishing an operating environment for electronic appliance 600 when power is applied).

0036<figref idref="f0005">Figure 5</figref> shows that secondary storage 652 may also be used to store code ("application programs") providing user application(s) 608 shown in <figref idref="f0004">Figure 4</figref>. <figref idref="f0005">Figure 5</figref> shows that there may be two general types of application programs 608: "VDE aware" applications 608a, and Non-VDE aware applications 608b. VDE aware applications 608a may have been at least in part designed specifically with VDE 100 in mind to access and take detailed advantage of VDE functions 604. Because of the "transparency" features of ROS 602, non-VDE aware applications 608b (e.g., applications not specifically designed for VDE 100) can also access and take advantage of VDE functions 604.

Rights Operating System 602

0037Rights Operating System ("ROS") 602 in the preferred embodiment is a compact, secure, event-driven, services-based, "component" oriented, distributed multiprocessing operating system environment that integrates VDE information security control information, components and protocols with traditional operating system concepts. Like traditional operating systems, ROS 602 provided by the preferred embodiment is a piece of software that manages hardware resources of a computer system and extends management functions to input and/or output devices, including communications devices. Also like traditional operating systems, preferred embodiment ROS 602 provides a coherent set of basic functions and abstraction layers for hiding the differences between, and many of the detailed complexities of, particular hardware implementations. In addition to these characteristics found in many or most operating systems, ROS 602 provides secure VDE transaction management and other advantageous features not found in other operating systems. The following is a non-exhaustive list of some of the advantageous features provided by ROS 602 in the preferred embodiment:

Standardized interface provides coherent set of basic junctions

0038<dl id="dl0002" compact="compact"><dt>C</dt><dd>simplifies programming</dd><dt>C</dt><dd>the same application can run on many different platforms</dd></dl>

Event driven

0039<dl id="dl0003" compact="compact"><dt>C</dt><dd>eases functional decomposition</dd><dt>C</dt><dd>extendible</dd><dt>C</dt><dd>accommodates state transition and/or process oriented events</dd><dt>C</dt><dd>simplifies task management</dd><dt>C</dt><dd>simplifies inter-process communications</dd></dl>

Services based

0040<dl id="dl0004" compact="compact"><dt>C</dt><dd>allows simplified and transparent scalability</dd><dt>C</dt><dd>simplifies multiprocessor support</dd><dt>C</dt><dd>hides machine dependencies</dd><dt>C</dt><dd>eases network management and support</dd></dl>

Component Based Architecture

0041<dl id="dl0005" compact="compact"><dt>C</dt><dd>processing based on independently deliverable secure components</dd><dt>C</dt><dd>component model of processing control allows different sequential steps that are reconfigurable based on requirements</dd><dt>C</dt><dd>components can be added, deleted or modified (subject to permissioning)</dd><dt>C</dt><dd>full control information over pre-defined and user-defined application events</dd><dt>C</dt><dd>events can be individually controlled with independent executables</dd></dl>

Secure

0042<dl id="dl0006" compact="compact"><dt>C</dt><dd>secure communications</dd><dt>C</dt><dd>secure control functions</dd><dt>C</dt><dd>secure virtual memory management</dd><dt>C</dt><dd>information control structures protected from exposure</dd><dt>C</dt><dd>data elements are validated, correlated and access controlled</dd><dt>C</dt><dd>components are encrypted and validated independently</dd><dt>C</dt><dd>components are tightly correlated to prevent unauthorized use of elements</dd></dl><dl id="dl0007" compact="compact"><dt>C</dt><dd>control structures and secured executables are validated prior to use to protect against tapering</dd><dt>C</dt><dd>integrates security considerations at the I/O level</dd><dt>C</dt><dd>provides on-the-fly decryption of information at release time</dd><dt>C</dt><dd>enables a secure commercial transaction network</dd><dt>C</dt><dd>flexible key management features</dd></dl>

Scalaeble

0043<dl id="dl0008" compact="compact"><dt>C</dt><dd>highly scalaeble across many different platforms</dd><dt>C</dt><dd>supports concurrent processing in a multiprocessor environment</dd><dt>C</dt><dd>supports multiple cooperating processors</dd><dt>C</dt><dd>any number of host or security processors can be supported</dd><dt>C</dt><dd>control structures and kernel are easily portable to various host platforms and to different processors within a target platform without recompilation</dd><dt>C</dt><dd>supports remote processing</dd><dt>C</dt><dd>Remote Procedure Calls may be used for internal OS communications</dd></dl>

Highly Integratable

0044<dl id="dl0009" compact="compact"><dt>C</dt><dd>can be highly integrated with host platforms as an additional operating system layer</dd><dt>C</dt><dd>permits nan secure storage of secured components and information using an OS layer "on top of" traditional OS platforms</dd><dt>C</dt><dd>can be seamlessly integrated with a host operating system to provide a common usage paradigm for transaction management and content access</dd><dt>C</dt><dd>integration may take many forms: operating system layers for desktops (e.g., DOS, Windows, Macintosh); device drivers and operating system interfaces for network services (e.g, Unix and Netware); and dedicated component drivers for "low end" set tops are a few of many examples</dd><dt>C</dt><dd>can be integrated in traditional and real time operating systems</dd></dl>

Distributed

0045<dl id="dl0010" compact="compact"><dt>C</dt><dd>provides distribution of control information and reciprocal control information and mechanisms</dd><dt>C</dt><dd>supports conditional execution of controlled processes within any VDE node in a distributed, asynchronous arrangement</dd><dt>C</dt><dd>controlled delegation of rights in a distributed environment</dd><dt>C</dt><dd>supports chains of handling and control</dd><dt>C</dt><dd>management environment for distributed, occasionally connected but otherwise asynchronous networked database</dd><dt>C</dt><dd>real time and time independent data management</dd><dt>C</dt><dd>supports "agent" processes</dd></dl>

Transparent

0046<dl id="dl0011" compact="compact"><dt>C</dt><dd>can be seamlessly integrated into existing operating systems</dd><dt>C</dt><dd>can support applications not specifically written to use it</dd></dl>

Network friendly

0047<dl id="dl0012" compact="compact"><dt>C</dt><dd>internal OS structures may use RPCs to distribute processing</dd><dt>C</dt><dd>subnets may seamlessly operate as a single node or independently</dd></dl>

General Background Regarding Operating Systems

0048An "operating system" provides a control mechanism for organizing computer system resources that allows programmers to create applications for computer systems more easily. An operating system does this by providing commonly used functions, and by helping to ensure compatibility between different computer hardware and architectures (which may, for example, be manufactured by different vendors). Operating systems also enable computer "peripheral device" manufacturers to far more easily supply compatible equipment to computer manufacturers and users.

0049Computer systems are usually made up of several different hardware components. These hardware components include, for example: <ul id="ul0003" list-style="none"><li>a central processing unit (CPU) for executing instructions;</li><li>an array of main memory cells (e.g., "RAM" or "ROM") for storing instructions for execution and data acted upon or parameterizing those instructions; and</li><li>one or more secondary storage devices (e.g., hard disk drive, floppy disk drive, CD-ROM drive, tape reader, card reader, or "flash" memory) organized to reflect named elements (a "file system") for storing images of main memory cells.</li></ul>

0050Most computer systems also include input/output devices such as keyboards, mice, video systems, printers, scanners and communications devices.

0051To organize the CPU's execution capabilities with available RAM, ROM and secondary storage device, and to provide commonly used functions for use by programmers, a piece of software called an "operating system" is usually included with the other components. Typically, this piece of software is designed to begin executing after power is applied to the computer system and hardware diagnostics are completed. Thereafter, all use of the CPU, main memory and secondary memory devices is normally managed by this "operating system" software. Most computer operating systems also typically include a mechanism for extending their management functions to I/O and other peripheral devices, including commonly used functions associated with these devices.

0052By managing the CPU, memory and peripheral devices through the operating system, a coherent set of basic functions and abstraction layers for hiding hardware details allows programmers to more easily create sophisticated applications. In addition, managing the computer's hardware resources with an operating system allows many differences in design and equipment requirements between different manufacturers to be hidden. Furthermore, applications can be more easily shared with other computer users who have the same operating system, with significantly less work to support different manufacturers' base hardware and peripheral devices.

ROS 602 is an Operating System Providing Significant

Advantages

0053<u>ROS 602 is an "operating system."</u> It manages the resources of electronic appliance 600, and provides a commonly used set of functions for programmers writing applications 608 for the electronic appliance. ROS 602 in the preferred embodiment manages the hardware (e.g., CPU(s), memory(ies), secure RTC(s), and encrypt/decrypt engines) within SPU 500. ROS may also manage the hardware (e.g., CPU(s) and memory(ies)) within one or more general purpose processors within electronic appliance 600. ROS 602 also manages other electronic appliance hardware resources, such as peripheral devices attached to an electronic appliance. For example, referriug to <figref idref="f0004">Figure 4</figref>, ROS 602 may manage keyboard 612, display 614, modem 618, disk drive 620, printer 622, scanner 624. ROS 602 may also manage secure database 610 and a storage device (e.g., "secondary storage" 652) used to store secure database 610.

0054<u>ROS 602 supports multiple processors.</u> ROS 602 in the preferred embodiment supports any number of local and/or remote processors. Supported processors may include at least two types: one or more electronic appliance processors 654, and/or one or more SPUs 500. A host processor CPU 654 may provide storage, database, and communications services. SPU 500 may provide cryptographic and secured process execution services. Diverse control and execution structures supported by ROS 602 may require that processing of control information occur within a controllable execution space -- this controllable execution space may be provided by SPU 500. Additional host and/or SPU processors may increase efficiencies and/or capabilities. ROS 602 may access, coordinate and/or manage further processors remote to an electronic appliance 600 (e.g., via network or other communications link) to provide additional processor resources and/or capabilities.

0055<u>ROS 602 is services based.</u> The ROS services provided using a host processor 654 and/or a secure processor (SPU 500) are linked in the preferred embodiment using a "Remote Procedure Call" ("RPC") internal processing request structure. Cooperating processors may request interprocess services using a RPC mechanism, which is minimally time dependent and can be distributed over cooperating processors on a network of hosts. The multi-processor architecture provided by ROS 602 is easily extensible to support any number of host or security processors. This extensibility supports high levels of scalability. Services also allow functions to be implemented differently on different equipment. For example, a small appliance that typically has low levels of usage by one user may implement a database service using very different techniques than a very large appliance with high levels of usage by many users. This is another aspect of scalability.

0056<u>ROS 602 provides a distributed processing environment.</u> For example, it permits information and control structures to automatically, securely pass between sites as required to fulfill a user's requests. Communications between VDE nodes under the distributed processing features of ROS 602 may include interprocess service requests as discussed above. ROS 602 supports conditional and/or state dependent execution of controlled processors within any VDE node. The location that the process executes and the control structures used may be locally resident, remotely accessible, or carried along by the process to support execution on a remote system.

0057ROS 602 provides distribution of control information, including for example the distribution of control structures required to permit "agents" to operate in remote environments. Thus, ROS 602 provides facilities for passing execution and/or information control as part of emerging requirements for "agent" processes.

0058If desired, ROS 602 may independently distribute control information over very low bandwidth connections that may or may not be "real time" connections. ROS 602 provided by the preferred embodiment is "network friendly," and can be implemented with any level of networking protocol. Some examples include e-mail and direct connection at approximately "Layer 5" of the ISO model.

0059The ROS 602 distribution process (and the associated auditing of distributed information) is a controlled event that itself uses such control structures. This "reflective" distributed processing mechanism permits ROS 602 to securely distribute rights and permissions in a controlled manner, and effectively restrict the characteristics of use of information content. The controlled delegation of rights in a distributed environment and the secure processing techniques used by ROS 602 to support this approach provide significant advantages.

0060Certain control mechanisms within ROS 602 are "reciprocal." Reciprocal control mechanism place one or more control components at one or more locations that interact with one or more components at the same or other locations in a controlled way. For example, a usage control associated with object content at a user's location may have a reciprocal control at a distributors location that governs distribution of the usage control, auditing of the usage control, and logic to process user requests associated with the usage control. A usage control at a user's location (in addition to controlling one or more aspects of usage) may prepare audits for a distributor and format requests associated with the usage control for processing by a distributor. Processes at either end of a reciprocal control may be further controlled by other processes (e.g., a distributor may be limited by a budget for the number of usage control mechanisms they may produce). Reciprocal control mechanisms may extend over many sites and many levels (e.g., a creator to a distributor to a user) and may take any relationship into account (e.g., creator/distributor, distributor/user, user/user, user/creator, user/creator/distributor, etc.) Reciprocal control mechanisms have many uses in VDE 100 in representing relationships and agreements in a distributed environment.

0061ROS 602 is scalable. Many portions of ROS 602 control structures and kernel(s) are easily portable to various host platforms without recompilation. Any control structure may be distributed (or redistributed) if a granting authority permits this type of activity. The executable references within ROS 602 are portable within a target platform. Different instances of ROS 602 may execute the references using different resources. For example, one instance of ROS 602 may perform a task using an SPU 500, while another instance of ROS 602 might perform the same task using a host processing environment running in protected memory that is emulating an SPU in software. ROS 602 control iriformation is similarly portable; in many cases the event processing structures may be passed between machines and host platforms as easily as between cooperative processors in a single computer. Appliances with different levels of usage and/or resources available for ROS 602 functions may implement those functions in very different ways. Some services may be omitted entirely if insufficient resources exist. As described elsewhere, ROS 602 "knows" what services are available, and how to proceed based on any given event. Not all events may be processable if resources are missing or inadequate.

0062<u>ROS 602 is component based</u>. Much of the functionality provided by ROS 602 in the preferred embodiment may be based on "components" that can be securely, independently deliverable, replaceable and capable of being modified (e.g., under appropriately secure conditions and authorizations). Moreover, the "components" may themselves be made of independently deliverable elements. ROS 602 may assemble these elements together (using a construct provided by the preferred embodiment called a "channel") at execution time. For example, a "load module" for execution by SPU 500 may reference one or more "method cores," method parameters and other associated data structures that ROS 602 may collect and assemble together to perform a task such as billing or metering. Different users may have different combinations of elements, and some of the elements may be customizable by users with appropriate authorization. This increases flexibility, allows elements to be reused, and has other advantages.

0063<u>ROS 602 is highly secure. ROS</u> 602 provides mechanisms to protect information control structures from exposure by end users and conduit hosts. ROS 602 can protect information, VDE control structures and control executables using strong encryption and validation mechanism. These encryption and validation mechanisms are designed to make them highly resistant to undetected tampering. ROS 602 encrypts information stored on secondary storage device(s) 652 to inhibit tampering. ROS 602 also separately encrypts and validates its various components. ROS 602 correlates control and data structure components to prevent unauthorized use of elements. These features permit ROS 602 to independently distribute elements, and also allows integration of VDE functions 604 with non-secure "other" OS functions 606.

0064ROS 602 provided by the preferred embodiment extends conventional capabilities such as, for example. Access Control List (ACL) structures, to user and process defined events, including state transitions. ROS 602 may provide full control information over pre-defined and user-defined application events. These control mechanism include "go/no-go" permissions, and also include optional event-specific executables that permit complete flexibility in the processing and/or controlling of events. This structure permits events to be individually controlled so that, for example, metering and budgeting may be provided using independent executables. For example, ROS 602 extends ACL structures to control arbitrary granularity of information. Traditional operating systems provide static "go-no go" control mechanism at a file or resource level; ROS 602 extends the control concept in a general way from the largest to the smallest sub-element using a flexible control structure. ROS 602 can, for example, control the printing of a single paragraph out of a document file.

0065ROS 602 provided by the preferred embodiment permits secure modification and update of control information governing each component. The control information may be provided in a template format such as method options to an end-user. An end-user may then customize the actual control information used within guidelines provided by a distributor or content creator. Modification and update of existing control structures is preferably also a controllable event subject to auditing and control information.

0066ROS 602 provided by the preferred embodiment validates control structures and secured executables prior to use. This validation provides assurance that control structures and executables have not been tampered with by end-users. The validation also permits ROS 602 to securely implement components that include fragments of files and other operating system structures. ROS 602 provided by the preferred embodiment integrates security considerations at the operating system I/O level (which is below the access level), and provides "on-the-fly" decryption of information at release time. These features permit non-secure storage of ROS 602 secured components and information using an OS layer "on top of" traditional operating system platforms.

0067<u>ROS 602 is highly integratable</u> with host platforms as an additional operating system layer. Thus, ROS 602 may be created by "adding on" to existing operating systems. This involves hooking VDE "add ons" to the host operating system at the device driver and network interface levels. Alternatively, ROS 602 may comprise a wholly new operating system that integrates both VDE functions and other operating system functions.

Secure ROS Components and Component Assemblies

0068As discussed above, ROS 602 in the preferred embodiment is a component-based architecture. ROS VDE functions 604 may be based on segmented, independently loadable executable "component assemblies" 690. These component assemblies 690 are independently securely deliverable. The component assemblies 690 provided by the preferred embodiment comprise code and data elements that are themselves independently deliverable. Thus, each component assembly 690 provided by the preferred embodiment is comprised of independently securely deliverable elements which may be communicated using VDE secure communication techniques, between VDE secure subsystems.

0069These component assemblies 690 are the basic functional unit provided by ROS 602. The component assemblies 690 are executed to perform operating system or application tasks. Thus, some component assemblies 690 may be considered to be part of the ROS operating system 602, while other component assemblies may be considered to be "applications" that run under the support of the operating system. As with any system incorporating "applications" and "operating systems," the boundary between these aspects of an overall system can be ambiguous. For example, commonly used "application" functions (such as determining the structure and/or other attributes of a content container) may be incorporated into an operating system. Furthermore, "operating system" functions (such as task management, or memory allocation) may be modified and/or replaced by an application. A common thread in the preferred embodiment's ROS 602 is that component assemblies 690 provide functions needed for a user to fulfill her intended activities, some of which may be "application-like" and some of which may be "operating system-like."

0070Components 690 are preferably designed to be easily separable and individually loadable. ROS 602 assembles these elements together into an executable component assembly 690 prior to loading and executing the component assembly (e.g., in a secure operating environment such as SPE 503 and/or HPE 655). ROS 602 provides an element identification and referencing mechanism that includes information necessary to automatically assemble elements into a component assembly 690 in a secure manner prior to, and/or during, execution.

0071ROS 602 application structures and control parameters used to form component assemblies 690 can be provided by different parties. Because the components forming component assemblies 690 are independently securely deliverable, they may be delivered at different times and/or by different parties ("delivery" may take place within a local VDE secure subsystem, that is submission through the use of such a secure subsystem of control information by a chain of content control information handling participant for the preparation of a modified control information set constitutes independent, secure delivery). For example, a content creator can produce a ROS 602 application that defines the circumstances required for licensing content contained within a VDE object 300. This application may reference structures provided by other parties. Such references might, for example, take the form of a control path that uses content creator structures to meter user activities; and structures created/owned by a financial provider to handle financial parts of a content distribution transaction (e.g., defining a credit budget that must be present in a control structure to establish creditworthiness, audit processes which must be performed by the licensee, etc.). As another example, a distributor may give one user more favorable pricing than another user by delivering different data elements defining pricing to different users. This attribute of supporting multiple party securely, independently deliverable control information is fundamental to enabling electronic commerce, that is, defining of a content and/or appliance control information set that represents the requirements of a collection of independent parties such as content creators, other content providers, financial service providers, and/or users.

0072In the preferred embodiment, ROS 602 assembles securely independently deliverable elements into a component assembly 690 based in part on context parameters (e.g., object, user). Thus, for example, ROS 602 may securely assemble different elements together to form different component assemblies 690 for different users performing the same task on the same VDE object 300. Similarly, ROS 602 may assemble differing element sets which may include, that is reuse, one or more of the same components to form different component assemblies 690 for the same user performing the same task on different VDE objects 300.

0073The component assembly organization provided by ROS 602 is "recursive" in that a component assembly 690 may comprise one or more component "subassemblies" that are themselves independently loadable and executable component assemblies 690. These component "subassemblies" may, in turn, be made of one or more component "sub-sub-assemblies." In the general case, a component assembly 690 may include N levels of component subassemblies.

0074Thus, for example, a component assembly 690(k) that may includes a component subassembly 690(k + l). Component subassembly 690(k + 1), in turn, may include a component sub-sub-assembly 690(3), ... and so on to N-level subassembly 690(k + N). The ability of ROS 602 to build component assemblies 690 out of other component assemblies provides great advantages in terms of, for example, code/data reusability, and the ability to allow different parties to manage different parts of an overall component.

0075Each component assembly 690 in the preferred embodiment is made of distinct components. <figref idref="f0009 f0010">Figures 8D-8H</figref> are abstract depictions of various distinct components that may be assembled to form a component assembly 690(k) showing <figref idref="f0011">Figure 8I</figref>. These same components can be combined in different ways (e.g., with more or less components) to form different component assemblies 690 providing completely different functional behavior. <figref idref="f0012">Figure 8J</figref> is an abstract depiction of the same components being put together in a different way (e.g., with additional components) to form a different component assembly 690(j). The component assemblies 690(k) and 690(j) each include a common feature 691 that interlocks with a "channel" 594 defined by ROS 602. This "channel" 594 assembles component assemblies 690 and interfaces them with the (rest of) ROS 602.

0076ROS 602 generates component assemblies 690 in a secure manner. As shown graphically in <figref idref="f0011">Figures 8I</figref> and <figref idref="f0012">8J</figref>, the different elements comprising a component assembly 690 may be "interlocking" in the sense that they can only go together in ways that are intended by the VDE participants who created the elements and/or specified the component assemblies. ROS 602 includes security protections that can prevent an unauthorized person from modifying elements, and also prevent an unauthorized person from substituting elements. One can picture an unauthorized person making a new element having the same "shape" as the one of the elements shown in <figref idref="f0009 f0010">Figures 8D-8H</figref>, and then attempting to substitute the new element in place of the original element. Suppose one of the elements shown in <figref idref="f0010">Figure 8H</figref> establishes the price for using content within a VDE object 300. If an unauthorized person could substitute her own "price" element for the price element intended by the VDE content distributor, then the person could establish a price of zero instead of the price the content distributor intended to charge. Similarly, the element establishes an electronic credit card, then an ability to substitute a different element could have disastrous consequences in terms of allowing a person to charge her usage to someone else's (or a non-existent) credit card. These are merely a few simple examples demonstrating the importance of ROS 602 ensuring that certain component assemblies 690 are formed in a secure manner. ROS 602 provides a wide range of protections against a wide range of "threats" to the secure handling and execution of component assemblies 690.

0077In the preferred embodiment, ROS 602 assembles component assemblies 690 based on the following types of elements: <ul id="ul0004" list-style="none" compact="compact"><li>Permissions Records ("PERC"s) 808;</li><li>Method "Cores" 1000;</li><li>Load Modules 1100;</li><li>Data Elements (e.g., User Data Elements ("UDEs") 1200 and Method Data Elements ("MDEs") 1202); and</li><li>Other component assemblies 690.</li></ul>

0078Briefly, a PERC 808 provided by the preferred embodiment is a record corresponding to a VDE object 300 that identifies to ROS 602, among other things, the elements ROS is to assemble together to form a component assembly 690. Thus PERC 808 in effect contains a "list of assembly instructions" or a "plan" specifying what elements ROS 602 is to assemble together into a component assembly and how the elements are to be connected together. PERC 808 may itself contain data or other elements that are to become part of the component assembly 690.

0079The PERC 808 may reference one or more method "cores" 1000N. A method core 1000N may define a basic "method" 1000 (e.g., "control," "billing," "metering," etc.)

0080In the preferred embodiment, a "method" 1000 is a collection of basic instructions, and information related to basic instructions, that provides context, data, requirements, and/or relationships for use in performing, and/or preparing to perform, basic instructions in relation to the operation of one or more electronic appliances 600. Basic instructions may be comprised of, for example: <dl id="dl0013" compact="compact"><dt>C</dt><dd>machine code of the type commonly used in the programming of computers; pseudo-code for use by an interpreter or other instruction processing program operating on a computer;</dd><dt>C</dt><dd>a sequence of electronically represented logical operations for use with an electronic appliance 600;</dd><dt>C</dt><dd>or other electronic representations of instructions, source code, object code, and/or pseudo code as those terms are commonly understood in the arts.</dd></dl>

0081Information relating to said basic instructions may comprise, for example, data associated intrinsically with basic instructions such as for example, an identifier for the combined basic instructions and intrinsic data, addresses, constants, and/or the like. The information may also, for example, include one or more of the following: <dl id="dl0014" compact="compact"><dt>C</dt><dd>information that identifies associated basic instructions and said intrinsic data for access, correlation and/or validation purposes;</dd><dt>C</dt><dd>required and/or optional parameters for use with basic instructions and said intrinsic data;</dd><dt>C</dt><dd>information defining relationships to other methods;</dd><dt>C</dt><dd>data elements that may comprise data values, fields of information, and/or the like;</dd><dt>C</dt><dd>information specifying and/or defining relationships among data elements, basic instructions and/or intrinsic data;</dd><dt>C</dt><dd>information specifying relationships to external data elements;</dd><dt>C</dt><dd>information specifying relationships between and among internal and external data elements, methods, and/or the like, if any exist; and</dd><dt>C</dt><dd>additional information required in the operation of basic instructions and intrinsic data to complete, or attempt to complete, a purpose intended by a user of a method, where required, including additional instructions and/or intrinsic data.</dd></dl>

0082Such information associated with a method may be stored, in part or whole, separately from basic instructions and intrinsic data. When these components are stored separately, a method may nevertheless include and encompass the other information and one or more sets of basic instructions and intrinsic data (the latter being included because of said other information's reference to one or more sets of basic instructions and intrinsic data), whether or not said one or more sets of basic instructions and intrinsic data are accessible at any given point in time.

0083Method core 1000' may be parameterized by an "event code" to permit it to respond to different events in different ways. For example, a METER method may respond to a "use" event by storing usage information in a meter data structure. The same METER method may respond to an "administrative" event by reporting the meter data structure to a VDE clearinghouse or other VDE participant.

0084In the preferred embodiment, method core 1000' may "contain," either explicitly or by reference, one or more "load modules" 1100 and one or more data elements (UDEs 1200, MDEs 1202). In the preferred embodiment, a "load module" 1100 is a portion of a method that reflects basic instructions and intrinsic data. Load modules 1100 in the preferred embodiment contain executable code, and may also contain data elements ("DTDs" 1108) associated with the executable code. In the preferred embodiment, load modules 1100 supply the program instructions that are actually "executed" by hardware to perform the process defined by the method. Load modules 1100 may contain or reference other load modules.

0085Load modules 1100 in the preferred embodiment are modular and "code pure" so that individual load modules may be reenterable and reusable. In order for components 690 to be dynamically updatable, they may be individually addressable within a global public name space. In view of these design goals, load modules 1100 are preferably small, code (and code-like) pure modules that are individually named and addressable. A single method may provide different load modules 1100 that perform the same or similar functions on different platforms, thereby making the method scalable and/or portable across a wide range of different electronic appliances.

0086UDEs 1200 and MDEs 1202 may store data for input to or output from executable component assembly 690 (or data describing such inputs and/or outputs). In the preferred embodiment, UDEs 1200 may be user dependent, whereas MDEs 1202 may be user independent.

0087The component assembly example 690(k) shown in <figref idref="f0009">Figure 8E</figref> comprises a method core 1000', UDEs 1200a &amp; 1200b, an MDE 1202, load modules 1100a-1100d, and a further component assembly 690(k+1 As mentioned above, a PERC 808(k) defines, among other things, the "assembly instructions" for component assembly 690(k), and may contain or reference parts of some or all of the components that are to be assembled to create a component assembly.

0088One of the load modules 1100b shown in this example is itself comprised of plural load modules 1100c, 1100d. Some of the load modules (e.g., 1100a, 1100d) in this example include one or more "DTD" data elements 1108 (e.g., 1108a, 1108b). "DTD" data elements 1108 may be used, for example, to inform load module 1100a of the data elements included in MDE 1202 and/or UDEs 1200a, 1200b. Furthermore, DTDs 1108 may be used as an aspect of forming a portion of an application used to inform a user as to the information required and/or manipulated by one or more load modules 1100, or other component elements. Such an application program may also include functions for creating and/or manipulating UDE(s) 1200, MDE(s) 1202, or other component elements, subassemblies, etc.

0089Components within component assemblies 690 may be "reused" to form different component assemblies. As mentioned above, <figref idref="f0009">figure 8F</figref> is an abstract depiction of one example of the same components used for assembling component assembly 690(k) to be reused (e.g., with some additional components specified by a different set of "assembly instructions" provided in a different PERC 808(1)) to form a different component assembly 690(l). Even though component assembly 690(1) is formed from some of the same components used to form component assembly 690(k), these two component assemblies may perform completely different processes in complete different ways.

0090As mentioned above, ROS 602 provides several layers of security to ensure the security of component assemblies 690. One important security layer involves ensuring that certain component assemblies 690 are formed, loaded and executed only in secure execution space such as provided within an SPU 500. Components 690 and/or elements comprising them may be stored on external media encrypted using local SPU 500 generated and/or distributor provided keys.

0091ROS 602 also provides a tagging and sequencing scheme that may be used within the loadable component assemblies 690 to detect tampering by substitution. Each element comprising a component assembly 690 may be loaded into an SPU 500, decrypted using encrypt/decrypt engine 522, and then tested/compared to ensure that the proper element has been loaded. Several independent comparisons may be used to ensure there has been no unauthorized substitution. For example, the public and private copies of the element ID may be compared to ensure that they are the same, thereby preventing gross substitution of elements. In addition, a validation/correlation tag stored under the encrypted layer of the loadable element may be compared to make sure it matches one or more tags provided by a requesting process. This prevents unauthorized use of information. As a third protection, a device assigned tag (e.g., a sequence number) stored under an encryption layer of a loadable element may be checked to make sure it matches a corresponding tag value expected by SPU 500. This prevents substitution of older elements. Validation/correlation tags are typically passed only in secure wrappers to prevent plaintext exposure of this information outside of SPU 500.

0092The secure component based architecture of ROS 602 has important advantages. For example, it accommodates limited resource execution environments such as provided by a lower cost SPU 500. It also provides an extremely high level of configurability. In fact, ROS 602 will accommodate an almost unlimited diversity of content types, content provider objectives, transaction types and client requirements. In addition, the ability to dynamically assemble independently deliverable components at execution time based on particular objects and users provides a high degree of flexibility, and facilitates or enables a distributed database, processing, and execution environment.

0093One aspect of an advantage of the component-based architecture provided by ROS 602 relates to the ability to "stage" functionality and capabilities over time. As designed, implementation of ROS 602 is a finite task. Aspects of its wealth of functionality can remain unexploited until market realities dictate the implementation of corresponding VDE application functionality. As a result, initial product implementation investment and complexity may be limited. The process of "surfacing" the full range of capabilities provided by ROS 602 in terms of authoring, administrative, and artificial intelligence applications may take place over time. Moreover, already-designed functionality of ROS 602 may be changed or enhanced at any time to adapt to changing needs or requirements.

More Detailed Discussion of Rights Operating System 602 Architecture

0094<figref idref="f0013">Figure 9</figref> shows an example of a detailed architecture of ROS 602 shown in <figref idref="f0007">Figure 7</figref>. ROS 602 may include a file system 687 that includes a commercial database manager 730 and external object repositories 728. Commercial database manager 730 may maintain secure database 610. Object repository 728 may store, provide access to, and/or maintain VDE objects 300.

0095<figref idref="f0013">Figure 9</figref> also shows that ROS 602 may provide one or more SPEs 503 and/or one or more HPEs 655. As discussed above, HPE 655 may "emulate" an SPU 500 device, and such HPEs 655 may be integrated in lieu of (or in addition to) physical SPUs 500 for systems that need higher throughput. Some security may be lost since HPEs 655 are typically protected by operating system security and may not provide truly secure processing. Thus, in the preferred embodiment, for high security applications at least, all secure processing should take place within an SPE 503 having an execution space within a physical SPU 500 rather than a HPE 655 using software operating elsewhere in electronic appliance 600.

0096"Channels" are the basic task processing mechanism of SPE 503 (HPE 655) in the preferred embodiment. ROS 602 provides an event-driven interface for "methods." A "channel" allows component assemblies 690 to service events. A "channel" is a conduit for passing "events" from services supported by SPE 503 (HPE 655) to the various methods and load modules that have been specified to process these events, and also supports the assembly of component assemblies 690 and interaction between component assemblies. In more detail, "channel" 594 is a data structure maintained by channel manager 593 that "binds" together one or more load modules 1100 and data structures (e.g., UDEs 1200 and/or MDEs 1202) into a component assembly 690. Channel services manager 562 causes load module execution manager 569 to load the component assembly 690 for execution, and may also be responsible for passing events into the channel 594 for response by a component assembly 690. In the preferred embodiment, event processing is handled as a message to the channel service manager 562.

0097<figref idref="f0014">Figure 10</figref> is a diagram showing how the preferred embodiment channel services manager 562 constructs a "channel" 594, and also shows the relationship between the channel and component assemblies 690. Briefly, the SPE channel manager 562 establishes a "channel" 594 and an associated "channel header" 596. The channel 594 and its header 596 comprise a data structure that "binds" or references elements of one or more component assemblies 690. Thus, the channel 594 is the mechanism in the preferred embodiment that collects together or assembles the elements shown in <figref idref="f0009">Figure 8E</figref> into a component assembly 690 that may be used for event processing.

0098The channel 594 is set up by the channel services manager 562 in response to the occurrence of an event. Once the channel is created, the channel services manager 562 may issue function calls to load module execution manager 568 based on the channel 594. The load module execution manager 568 loads the load modules 1100 referenced by a channel 594, and requests execution services by the kernel/dispatcher task manager 576. The kernel/dispatcher 552 treats the event processing request as a task, and executes it by executing the code within the load modules 1100 referenced by the channel.

0099The channel services manager 562 may be passed an identification of the event (e.g., the "event code"). The channel services manager 562 parses one or more method cores 1000' that are part of the component assembly(ies) 690 the channel services manager is to assemble. It performs this parsing to determine which method(s) and data structure(s) are invoked by the type of event. Channel manager 562 then issues calls (e.g., to secure database manager 566) to obtain the methods and data structure(s) needed to build the component assembly 690. These called-for method(s) and data structure(s) (e.g., load modules 1100, UDEs 1200 and/or MDEs 1202) are each decrypted using encrypt/decrypt manager 556 (if necessary), and are then each validated using key and tag manager 558. Channel manager 562 constructs any necessary "jump table" references to, in effect, "link" or "bind" the elements into a single cohesive executable so the load module(s) can reference data structures and any other load module(s) in the component assembly. Channel manager 562 may then issue calls to LMEM 568 to load the executable as an active task.

0100<figref idref="f0014">Figure 10</figref> shows that a channel 594 may reference another channel. An arbitrary number of channels 594 may be created by channel manager 594 to interact with one another.

0101"Channel header" 596 in the preferred embodiment is (or references) the data structure(s) and associated control program(s) that queues events from channel event sources, processes these events, and releases the appropriate tasks specified in the "channel detail record" for processing. A "channel detail record" in the preferred embodiment links an event to a "swap block" (i.e., task) associated with that event. The "swap block" may reference one or more load modules 1100, UDEs 1200 and private data areas required to properly process the event. One swap block and a corresponding channel detail item is created for each different event the channel can respond to.

0102In the preferred embodiment, Channel Services Manager 562 may support the following (internal) calls to support the creation and maintenance of channels 562: <tables id="tabl0001" num="0001"><table frame="all"><tgroup cols="3"><colspec colnum="1" colname="col1" colwidth="24mm" /><colspec colnum="2" colname="col2" colwidth="17mm" /><colspec colnum="3" colname="col3" colwidth="126mm" /><thead><row><entry valign="top"><b>Call Name</b></entry><entry valign="top"><b>Source</b></entry><entry valign="top"><b>Description</b></entry></row></thead><tbody><row><entry>"Write Event"</entry><entry>Write</entry><entry>Writes an event to the channel for response by the channel. The <u>Write Event</u> call thus permit the caller to insert an event into the event queue associated with the channel. The event will be processed in turn bv the channel 594.</entry></row><row><entry>"Bind Item"</entry><entry>Ioctl</entry><entry>Binds an item to a channel with the appropriate processing algorithm. The <u>Bind</u><u>Item</u> call permits the caller to bind a VDE item ID to a channel (e.g., to create one or more swap blocks associated with a channel). This call may manipulate the contents of individual swap blocks.</entry></row><row><entry>"Unbind Item"</entry><entry>Ioctl</entry><entry>Unbinds an item from a channel with the appropriate processing algorithm. The <u>Unbind</u><u>Item</u> call permits the caller to break the binding of an item to a swap block. This call may manipulate the contents of individual swap blocks.</entry></row></tbody></tgroup></table></tables>

Permissions Record Overview

0103<figref idref="f0017">Figure 13</figref> shows that PERCs 808 may be stored as part of secure database 610. Permissions records ("PERCs") 808 are at the highest level of the data driven control hierarchy provided by the preferred embodiment of VDE 100. Basically, there is at least one PERC 808 that corresponds to each information and/or transactional content distributed by VDE 100. Thus, at least one PERC 808 exists for each VDE object 300 in the preferred embodiment. Some objects may have multiple corresponding PERCs 808. PERC 808 controls how access and/or manipulation permissions are distributed and/or how content and/or other information may otherwise be used. PERC 808 also specifies the "rights" of each VDE participant in and to the content and/or other information.

0104In the preferred embodiment, no end user may use or access a VDE object unless a permissions record 808 has been delivered to the end user. As discussed above, a PERC 808 may be delivered as part of a traveling object 860 or it may be delivered separately (for example, within an administrative object). An electronic appliance 600 may not access an object unless a corresponding PERC 808 is present, and may only use the object and related information as permitted by the control structures contained within the PERC.

0105Briefly, the PERC 808 stores information concerning the methods, method options, decryption keys and rights with respect to a corresponding VDE object 300.

0106PERC 808 includes control structures that define high level categories or classifications of operations. These high level categories are referred to as "rights." The "right" control structures, in turn, provide internal control structures that reference "methods" 1000. The internal structure of preferred embodiment PERC 808 organizes the "methods" that are required to perform each allowable operation on an object or associated control structure (including operations performed on the PERC itself). For example, PERC 808 contains decryption keys for the object, and usage of the keys is controlled by the methods that are required by the PERC for performing operations associated with the exercise of a "right."

0107PERC 808 for an object is typically created when the object is created, and future substantive modifications of a PERC, if allowed, are controlled by methods associated with operations using the distribution right(s) defined by the same (or different) PERC.

0108<figref idref="f0018">Figure 14</figref> shows the internal structures present in an example of a PERC 808 provided by the preferred embodiment. All of the structures shown represent (or reference) collections of methods required to process a corresponding object in some specific way. PERCs 808 are organized as a hierarchical structure, and the basic elements of the hierarchy are as follows: <ul id="ul0005" list-style="none" compact="compact"><li>"rights" records 906</li><li>"control sets" 914 <ul id="ul0006" list-style="none" compact="compact"><li>"required method" records 920 and <ul id="ul0007" list-style="none" compact="compact"><li>"required method options" 924.</li></ul></li></ul></li></ul>

0109There are other elements that may be included in a PERC 808 hierarchy that describe rules and the rule options to support the negotiation of rule sets and control information for smart objects and for the protection of a user's personal information by a privacy filter. These alternate elements may include: <ul id="ul0008" list-style="none" compact="compact"><li>optional rights records</li><li>optional control sets</li><li>optional method records</li><li>permitted rights records</li><li>permitted rights control sets</li><li>permitted method records</li><li>required DTD descriptions</li><li>optional DTD descriptions</li><li>permitted DTD descriptions</li></ul> These alternate fields can control other processes that may, in part, base negotiations or decisions regarding their operation on the contents of these fields. Rights negotiation, smart object control information, and related processes can use these fields for more precise control of their operation.

0110The PERC 808 shown in <figref idref="f0018">Figure 14</figref> includes a PERC header 900, a CS0 ("control set 0") 902, private body keys 904, and one or more rights sub-records 906. Control set 0 902 in the preferred embodiment contains information that is common to one or more "rights" associated with an object 300. For example, a particular "event" method or methods might be the same for usage rights, extraction rights and/or other rights. In that case, "control set 0" 902 may reference this event that is common across multiple "rights." The provision of "control set 0" 902 is actually an optimization, since it would be possible to store different instances of a commonly-used event within each of plural "rights" records 906 of a PERC 808.

0111Each rights record 906 defines a different "right" corresponding to an object. A "right" record 906 is the highest level of organization present in PERC 808. There can be several different rights in a PERC 808. A "right" represents a major functional partitioning desired by a participant of the basic architecture of VDE 100. For example, the right to use an object and the right to distribute rights to use an object are major functional groupings within VDE 100. Some examples of possible rights include access to content, permission to distribute rights to access content, the ability to read and process audit trails related to content and/or control structures, the right to perform transactions that may or may not be related to content and/or related control structures (such as banking transactions, catalog purchases, the collection of taxes, EDI transactions, and such), and the ability to change some or all of the internal structure of PERCs created for distribution to other users. PERC 808 contains a rights record 906 for each type of right to object access/use the PERC grants.

0112Normally, for VDE end users, the most frequently granted right is a usage right. Other types of rights include the "extraction right," the "audit right" for accessing audit trail information of end users, and a "distribution right" to distribute an object. Each of these different types of rights may be embodied in a different rights record 906 (or alternatively, different PERCs 808 corresponding to an object may be used to grant different rights).

0113Each rights record 906 includes a rights record header 908, a CSR ("control set for right") 910, one or more "right keys" 912, and one or more "control sets" 914. Each "rights" record 906 contains one or more control sets 914 that are either required or selectable options to control an object in the exercise of that "right." Thus, at the next level, inside of a "right" 906, are control sets 914. Control sets 914, in turn, each includes a control set header 916, a control method 918, and one or more required methods records 920. Required methods records 920, in turn, each includes a required method header 922 and one or more required method options 924.

0114Control sets 914 exist in two types in VDE 100: common required control sets which are given designations "control set 0" or "control set for right," and a set of control set options. "Control set 0" 902 contains a list of required methods that are common to all control set options, so that the common required methods do not have to be duplicated in each control set option. A "control set for right" ("CSR") 910 contains a similar list for control sets within a given right. "Control set 0" and any "control sets for rights" are thus, as mentioned above, optimizations; the same functionality for the control sets can be accomplished by listing all the common required methods in each control set option and omitting "control set 0" and any "control sets for rights."

0115One of the control set options, "control set 0" and the appropriate "control set for right" together form a complete control set necessary to exercise a right.

0116Each control set option contains a list of required methods 1000 and represents a different way the right may be exercised. Only one of the possible complete control sets 914 is used at any one time to exercise a right in the preferred embodiment.

0117Each control set 914 contains as many required methods records 920 as necessary to satisfy all of the requirements of the creators and/or distributors for the exercise of a right. Multiple ways a right may be exercised, or multiple control sets that govern how a given right is exercised, are both supported. As an example, a single control set 914 might require multiple meter and budget methods for reading the object's content, and also require different meter and budget methods for printing an object's content. Both reading and printing an object's content can be controlled in a single control set 914.

0118Alternatively, two different control set options could support reading an object's content by using one control set option to support metering and budgeting the number of bytes read, and the other control set option to support metering and budgeting the number of paragraphs read. One or the other of these options would be active at a time.

0119Typically, each control set 914 will reference a set of related methods, and thus different control sets can offer a different set of method options. For example, one control set 914 may represent one distinct kind of metering methodology, and another control set may represent another, entirely different distinct metering methodology.

0120At the next level inside a control set 914 are the required methods records 920. Methods records 920 contain or reference methods 1000 in the preferred embodiment. Methods 1000 are a collection of "events," references to load modules associated with these events, static data, and references to a secure database 610 for automatic retrieval of any other separately deliverable data elements that may be required for processing events (e.g., UDEs). A control set 914 contains a list of required methods that must be used to exercise a specific right (i.e., process events associated with a right). A required method record 920 listed in a control set 914 indicates that a method must exist to exercise the right that the control set supports. The required methods may reference "load modules" 1100 to be discussed below. Briefly, load modules 1100 are pieces of executable code that may be used to carry out required methods.

0121Each control set 914 may have a control method record 918 as one of its required methods. The referenced control method may define the relationships between some or all of the various methods 1000 defined by a control set 906. For example, a control method may indicate which required methods are functionally grouped together to process particular events, and the order for processing the required methods. Thus, a control method may specify that required method referenced by record 920(a)(1)(i) is the first to be called and then its output is to go to required method referenced by record 920(a)(1)(ii) and so on. In this way, a meter method may be tied to one or more billing methods and then the billing methods may be individually tied to different budget methods, etc.

0122Required method records 920 specify one or more required method options 924. Required method options are the lowest level of control structure in a preferred embodiment PERC 808. By parameterizing the required methods and specifying the required method options 924 independently of the required methods, it becomes possible to reuse required methods in many different circumstances.

0123For example, a required method record 920 may indicate that an actual budget method ID must be chosen from the list of budget method IDs in the required method option list for that required method. Required method record 920 in this case does not contain any method IDs for information about the type of method required, it only indicates that a method is required. Required method option 924 contains the method ID of the method to be used if this required method option is selected. As a further optimization, an actual method ID may be stored if only one option exists for a specific required method. This allows the size of this data structure to be decreased.

0124PERC 808 also contains the fundamental decryption keys for an object 300, and any other keys used with "rights" (for encoding and/or decoding audit trails, for example). It may contain the keys for the object content or keys to decrypt portions of the object that contain other keys that then can be used to decrypt the content of the object. Usage of the keys is controlled by the control sets 914 in the same "right" 906 within PERC 808.

0125In more detail, <figref idref="f0018">Figure 14</figref> shows PERC 808 as including private body keys 904, and right keys 912. Private body keys 904 are used to decrypt information contained within a private body 806 of a corresponding VDE object 300. Such information may include, for example, methods 1000, load modules 1100 and/or UDEs 1200, for example. Right keys 912 are keys used to exercise a right in the preferred embodiment. Such right keys 912 may include, for example, decryption keys that enable a method specified by PERC 808 to decrypt content for release by a VDE node to an end user. These right keys 912 are, in the preferred embodiment, unique to an object 300. Their usage is preferably controlled by budgets in the preferred embodiment.

Detailed

Example

of a PERC 808

0126<figref idref="f0019">Figures 15</figref> and <figref idref="f0020">16</figref> show one example of a preferred embodiment PERC 808. In this example, PERC header 900 includes: <ul id="ul0009" list-style="none" compact="compact"><li>a site record number 926,</li><li>a field 928 specifying the length of the private body key block,</li><li>a field 930 specifying the length of the PERC,</li><li>an expiration date/time field 932 specifying the expiration date and/or time for the PERC,</li><li>a last modification date/time field 934 specifying the last date and/or time the PERC 808 was modified,</li><li>the original distributor ID field 936 that specifies who originally distributed the PERC and/or corresponding object,</li><li>a last distributor field 938 that specifies who was the last distributor of the PERC and/or the object,</li><li>an object ID field 940 identifying the corresponding VDE object 300,</li><li>a field 942 that specifies the class and/or type of PERC and/or the instance ID for the record class to differentiate the PERCs of the same type that may differ in their particulars,</li><li>a field 944 specifying the number of "rights" sub-records 906 within the PERC, and</li><li>a validation tag 948.</li></ul> The PERC 808 shown in <figref idref="f0019">Figures 15</figref>, <figref idref="f0020">16</figref> also has private body keys stored in a private body key block 950.

0127This PERC 808 includes a control set 0 sub-record 914 (0) that may be used commonly by all of rights 906 within the PERC. This control set 0 record 914(0) may include the following fields: <ul id="ul0010" list-style="none"><li>a length field 952 specifying the length of the control set 0 record</li><li>a field 954 specifying the number of required method records 920 within the control set</li><li>an access tag field 956 specifying an access tag to control modification of the record and</li><li>one or more required method records 920.</li></ul>

0128Each required method record 920, in turn may include: <ul id="ul0011" list-style="none" compact="compact"><li>a length field 958 specifying the length of the required method record</li><li>a field 960 specifying the number of method option records within the required method record 920</li><li>an access tag field 962 specifying an access tag to control modification of the record and</li><li>one or more method option records 924.</li></ul>

0129Each method option sub-record 924 may include: <ul id="ul0012" list-style="none" compact="compact"><li>a length field 964 specifying the length of the method option record</li><li>a length field 966 specifying the length of the data area (if any) corresponding to the method option record</li><li>a method ID field 968 specifying a method ID (e.g., type/owner/class/instance)</li><li>a correlation tag field 970 specifying a correlation tag for correlating with the method specified in field 968</li><li>an access tag field 972 specifying an access tag to control modification of this record</li><li>a method-specific attributes field 974</li><li>a data area 976 and</li><li>a check value field 978 for validation purposes</li></ul>

0130In this example of PERC 808 also includes one or more rights records 906, and an overall check value field 980. <figref idref="f0020">Figure 16</figref> is an example of one of right records 906 shown in <figref idref="f0019">Figure 15</figref>. In this particular example, rights record 906a includes a rights record header 908 comprising: <ul id="ul0013" list-style="none" compact="compact"><li>a length field 982 specifying the length of the rights key block 912</li><li>a length field 984 specifying the length of the rights record 908</li><li>an expiration date/time field 986 specifying the expiration date and/or time for the rights record</li><li>a right ID field 988 identifying a right</li><li>a number field 990 specifying the number of control sets 914 within the rights record 906, and</li><li>an access tag field 992 specifying an access tag to control modification of the right record.</li></ul>

0131This example of rights record 906 includes: <ul id="ul0014" list-style="none" compact="compact"><li>a control set for this right (CSR) 910</li><li>a rights key block 912</li><li>one or more control sets 914, and</li><li>a check value field 994.</li></ul>

Event-Driven VDE Processes

0132As discussed above, processes provided by/under the preferred embodiment rights operating system (ROS) 602 may be "event driven." This "event driven" capability facilitates integration and extendibility.

0133An "event" is a happening at a point in time. Some examples of "events" are a user striking a key of a keyboard, arrival of a message or an object 300, expiration of a timer, or a request from another process.

0134In the preferred embodiment, ROS 602 responds to an "event" by performing a process in response to the event. ROS 602 dynamically creates active processes and tasks in response to the occurrence of an event. For example, ROS 602 may create and begin executing one or more component assemblies 690 for performing a process or processes in response to occurrence of an event. The active processes and tasks may terminate once ROS 602 has responded to the event. This ability to dynamically create (and end) tasks in response to events provides great flexibility, and also permits limited execution resources such as those provided by an SPU 500 to perform a virtually unlimited variety of different processes in different contexts.