Systems and methods for secure transaction management and electronic rights protection

• US 20040054630A1
• Filed: 06/01/2001
• Published: 03/18/2004
• Est. Priority Date: 02/13/1995
• Status: Active Grant

• Current Assignee: Intertrust Technologies Corporation (Fidelio Acquisition Co LLC)
• Original Assignee: Intertrust Technologies Corporation (Fidelio Acquisition Co LLC)
• Inventors: Ginter, Karl L., Spahn, Francis J., Shear, Victor H., Van Wie, David M.
• Granted Patent: US 7,120,800 B2
• Time in Patent Office: Days
• US Class Current: 705/53
• CPC Class Codes: G06F 12/1408 by using cryptography for digital transmission H04L9/00
• CPC Class Codes: G06F 21/109 by using specially-adapted hardware at the client
• CPC Class Codes: G06F 21/16 Program or content traceability, e.g. by watermarking
• CPC Class Codes: G06F 21/31 User authentication
• CPC Class Codes: G06F 21/33 using certificates
• CPC Class Codes: G06F 21/86 Secure or tamper-resistant housings
• CPC Class Codes: G06F 2211/007 Encryption, En-/decode, En-/decipher, En-/decypher, Scramble, (De-)compress
• CPC Class Codes: G06F 2221/2101 Auditing as a secondary aspect
• CPC Class Codes: G06F 2221/2115 Third party
• CPC Class Codes: G06F 2221/2135 Metering
• CPC Class Codes: G06F 2221/2151 Time stamp
• CPC Class Codes: G06Q 20/02 involving a neutral party, e.g. certification authority, notary or trusted third party [TTP]
• CPC Class Codes: G06Q 20/023 the neutral party being a clearing house
• CPC Class Codes: G06Q 20/04 Payment circuits
• CPC Class Codes: G06Q 20/12 specially adapted for electronic shopping systems
• CPC Class Codes: G06Q 20/1235 with control of digital rights management [DRM]
• CPC Class Codes: G06Q 20/24 Credit schemes, i.e. "pay after"
• CPC Class Codes: G06T 1/0021 Image watermarking
• CPC Class Codes: G07F 9/026 for alarm, monitoring and auditing in vending machines or means for indication, e.g. when empty
• CPC Class Codes: H04L 2463/101 applying security measures for digital rights management data processing systems or methods, specially adapted for commerce, e.g. marketing, shopping, billing, auctions or e-commerce G06Q30/00
• CPC Class Codes: H04L 2463/102 : applying security measure for e-commerce data processing systems or methods, specially adapted for e-commerce G06Q30/00
• CPC Class Codes: H04L 2463/103 : applying security measure for protecting copy right protecting software against unauthorised usage in a vending or licensing environment, e.g. protection the software providers copyright G06F21/10; data processing systems or methods, specially adapted for payment schemes, architectures or protocols G06Q20/00; secrecy systems or subscription systems H04N7/16
• CPC Class Codes: H04L 63/20 : for managing network security; network security policies in general filtering policies H04L63/0227
• CPC Class Codes: H04N 21/2347 : involving video stream encryption
• CPC Class Codes: H04N 21/23476 : by partially encrypting, e.g. encrypting the ending portion of a movie
• CPC Class Codes: H04N 21/235 : Processing of additional data, e.g. scrambling of additional data or processing content descriptors
• CPC Class Codes: H04N 21/2362 : Generation or processing of Service Information [SI]
• CPC Class Codes: H04N 21/2541 : Rights Management protecting software against unauthorised usage in a vending or licensing environment G06F21/10; security in data switching network management H04L41/28; security management or policies for network security H04L63/20; access security in wireless networks H04W12/08
• CPC Class Codes: H04N 21/2543 : Billing , e.g. for subscription services payment schemes, architectures or protocols G06Q20/00; e-commerce G06Q30/00; arrangements for billing for the use of broadcast information or broadcast-related information H04H60/21
• CPC Class Codes: H04N 21/2547 : Third Party Billing, e.g. billing of advertiser
• CPC Class Codes: H04N 21/25875 : involving end-user authentication restricting access to computer systems by authenticating users using a predetermined code G06F21/33; arrangements for secret or secure communication including means for verifying the identity or authority of a user of the system H04L9/32; networks authentication protocols H04L63/08; authentication in wireless network security H04W12/06
• CPC Class Codes: H04N 21/4143 : embedded in a Personal Computer [PC]
• CPC Class Codes: H04N 21/4345 : Extraction or processing of SI, e.g. extracting service information from an MPEG stream
• CPC Class Codes: H04N 21/435 : Processing of additional data, e.g. decrypting of additional data, reconstructing software from modules extracted from the transport stream
• CPC Class Codes: H04N 21/4405 : involving video stream decryption
• CPC Class Codes: H04N 21/44204 : Monitoring of content usage, e.g. the number of times a movie has been viewed, copied or the amount which has been watched monitoring of user activities for profile generation for accessing a video database G06F16/739; protecting generic digital content where the protection is independent of the precise nature of the content G06F21/10; arrangements for monitoring the use made of the broadcast services in broadcast systems H04H60/31
• CPC Class Codes: H04N 21/443 : OS processes, e.g. booting an STB, implementing a Java virtual machine in an STB or power management in an STB
• CPC Class Codes: H04N 21/4627 : Rights management associated to the content security in data switching network management H04L41/28; security management or policies for network security H04L63/20; access security in wireless networks H04W12/08
• CPC Class Codes: H04N 21/4753 : for user identification, e.g. by entering a PIN or password cryptographic authentication protocols H04L9/32; networks authentication protocols H04L63/08
• CPC Class Codes: H04N 21/6581 : Reference data, e.g. a movie identifier for ordering a movie or a product identifier in a home shopping application
• CPC Class Codes: H04N 21/8166 : involving executable data, e.g. software arrangements for executing specific programs G06F9/44; broadcasting computer programmes in broadcast systems H04H20/91; involving the movement of software or configuration parameters H04L67/34
• CPC Class Codes: H04N 21/835 : Generation of protective data, e.g. certificates protecting software against unauthorised usage in a vending or licensing environment G06F21/10
• CPC Class Codes: H04N 21/8355 : involving usage data, e.g. number of copies or viewings allowed
• CPC Class Codes: H04N 21/83555 : using a structured language for describing usage rules of the content, e.g. REL
• CPC Class Codes: H04N 21/8358 : involving watermark protecting executable software by watermarking G06F21/16; image watermarking in general G06T1/0021; watermarks inserted in still images for transmission purposes H04N1/32144; inserting watermarks during video coding H04N19/467
• CPC Class Codes: H04N 7/162 : Authorising the user terminal, e.g. by paying; Registering the use of a subscription channel, e.g. billing
• CPC Class Codes: H04N 7/17309 : Transmission or handling of upstream communications

Abstract

The present invention provides systems and methods for secure transaction management and electronic rights protection. Electronic appliances such as computers equipped in accordance with the present invention help to ensure that information is accessed and used only in authorized ways, and maintain the integrity, availability, and/or confidentiality of the information. Such electronic appliances provide a distributed virtual distribution environment (VDE) that may enforce a secure chain of handling and control, for example, to control and/or meter or otherwise monitor use of electronically stored or disseminated information. Such a virtual distribution environment may be used to protect rights of various participants in electronic commerce and other electronic or electronic-facilitated transactions. Distributed and other operating systems, environments and architectures, such as, for example, those using tamper-resistant hardware-based processors, may establish security at each node. These techniques may be used to support an all-electronic information distribution, for example, utilizing the “electronic highway.”

Claims

1. A secure component-based operating process including:

(a) retrieving at least one component;

(b) retrieving a record that specifies a component assembly;

(c) checking said component and/or said record for validity;

(d) using said component to form said component assembly in accordance with said record; and

(e) performing a process based at least in part on said component assembly.

2. A process as in claim 1 wherein said step (c) comprises executing said component assembly.

3. A process as in claim 1 wherein said component comprises executable code.

4. A process as in claim 1 wherein said component comprises a load module.

5. A process as in claim 1 wherein:

said record comprises;

(i) directions for assembling said component assembly; and

(ii) information that at least in part specifies a control; and

said process further comprises controlling said step (d) and/or said step (e) based at least in part on said control.

6. A process as in claim 1 wherein said component has a security wrapper, and said controlling step comprises selectively opening said security wrapper based at least in part on said control.

7. A process as in claim 1 wherein:

said permissions record includes at least one decryption key; and

said controlling step includes controlling use of said decryption key.

8. A process as in claim 1 including performing at least two of said steps (a) and (e) within a protected processing environment.

9. A process as in claim 1 including performing at least two of said steps (a) and (e) at least in part within tamper-resistant hardware.

10. A method as in claim 1 wherein said performing step (e) includes metering usage.

11. A method as in claim 1 wherein said performing step (e) includes auditing usage.

12. A method as in claim 1 wherein said performing step (e) includes budgeting usage.

13. A secure component operating system process including:

receiving a component;

receiving directions specifying use of said component to form a component assembly;

authenticating said received component and/or said directions;

forming, using said component, said component assembly based at least in part on said received directions; and

using said component assembly to perform at least one operation.

14. A method comprising performing the following steps within a secure operating system environment:

providing code;

providing directions specifying assembly of said code into an executable program;

checking said received code and/or said assembly directors for validity; and

in response to occurrence of an event, assembling said code in accordance with said received assembly directions to form an assembly for execution.

15. A method for managing at least one resource with a secure operating environment, said method comprising:

securely receiving a first control from a first entity external to said operating environment;

securely receiving a second control from a second entity external to said operating environment, said second entity being different from said first entity;

securely processing, using at least one resource, a data item associated with said first and second controls; and

securely applying said first and second controls to manage said resource for use with said data item.

16. A method for securely managing at least one operation on a data item performed at least in part by an electronic arrangement, said method comprising:

(a) securely delivering a first procedure to said electronic arrangement;

(b) securely delivering, to said electronic arrangement, a second procedure separable or separate from said first procedure;

(c) performing at least one operation on said data item, including using said first and second procedures in combination to at least in part securely manage said operation; and

(d) securely conditioning at least one aspect of use of said data item based on said delivering steps (a) and (b) having occurred.

17. A method as in claim 16 including performing said delivering step (b) at a time different from the time said delivering step (a) is performed.

18. A method as in claim 16 wherein said step (a) includes delivering said first procedure from a first source, and said step (b) includes delivering said second procedure from a second source different from said first source.

19. A method as in claim 16 further including ensuring the integrity of said first and second procedures.

20. A method as in claim 16 further including validating each of said first and second procedures.

21. A method as in claim 16 further including authenticating each of said first and second procedures.

22. A method as in claim 16 wherein said using step (c) includes executing at least one of said first and second procedures within a tamper-resistant environment.

23. A method as in claim 16 wherein said step (c) includes the step of controlling said data item with at least one of said first and second procedures.

24. A method as in claim 16 further including establishing a relationship between at least one of said first and second procedures and said data item.

25. A method as in claim 16 further including establishing correspondence between said data item and at least one of said first and second procedures.

26. A method as in claim 16 wherein said delivering step (b) comprises delivering at least one load module encrypted at least in part.

27. A method as in claim 26 wherein said delivering step (a) comprises delivering at least one further load module encrypted at least in part.

28. A method as in claim 16 wherein said delivering step (b) comprises delivering at least one content container carrying at least in part encrypted control information.

29. A method as in claim 16 wherein said delivering step (b) comprises delivering a control method and at least one further method.

30. A method as in claim 16 wherein said delivering step (a) includes:

encrypting at least a portion of said first procedure,

communicating said at least in part encrypted first procedure to said electronic arrangement,

decrypting at least a portion of said first procedure at least in part using said electronic arrangement, and

validating said first procedure with said electronic arrangement.

31. A method as in claim 16 wherein said delivering step (b) includes delivering at least one of said first and second procedures within an administrative object.

32. A method as in claim 16 wherein said delivering step (b) includes codelivering said second procedure in at least in part encrypted form with said data item.

33. A method as in claim 16 wherein said performing step includes metering usage.

34. A method as in claim 16 wherein said performing step includes auditing usage.

35. A method as in claim 16 wherein said performing step includes budgeting usage.

36. A method for securely managing at least one operation performed at least in part by a secure electronic appliance, comprising:

(a) selecting an item that is protected with respect to at least one operation;

(b) securely independently delivering plural separate procedures to said electronic appliance;

(c) using said plural separate procedures in combination to at least in part securely manage said operation with respect to said selected item; and

(d) conditioning successful completion of said operation on said delivering step (b) having occurred.

37. A method for processing based on independent deliverables comprising:

securely delivering a first piece of code defining a first part of a process;

separately, securely delivering a second piece of code defining a second part of said process;

ensuring the integrity of the first and second delivered pieces of code; and

performing said process based at least in part on said first and second delivered code pieces.

38. A method as in claim 37 wherein a first piece of code for said process at least in part controls decrypting content.

39. A method as in claim 37 wherein said ensuring step includes validating said first and second pieces of code.

40. A method as in claim 37 wherein said ensuring step includes validating said first and second pieces of code relative to one another.

41. A method as in claim 37 wherein said performing step includes metering usage.

42. A method as in claim 37 wherein said performing step includes auditing activities.

43. A method as in claim 37 wherein said performing step includes budgeting usage.

44. A method as in claim 37 wherein said performing step includes electronically processing content based on electronic controls.

45. A method of securely controlling at least one protected operation with respect to a data item comprising:

(a) supplying at least a first control from a first party;

(b) supplying at least a second control from a second party different from said first party;

(c) securely combining said first and second controls to form a set of controls;

(d) securely associating said control set with said data item; and

(e) securely controlling at least one protected operation with respect to said data item based on said control set.

46. A method as in claim 45 wherein said data item is protected.

47. A method as in claim 45 wherein at least one of said plural controls includes a control relating to metering at least one aspect of use of said protected data item.

48. A method as in claim 45 wherein at least one of said plural controls include a control relating to budgeting at least one aspect of use of said protected data item.

49. A secure method for combining data items into a composite data item comprising:

(a) securely providing a first data item having at least a first control associated therewith;

(b) securely providing a second data item having at least a second control associated therewith;

(c) forming a composite of said first and second data items;

(d) securely combining said first and second controls into a composite control set; and

(e) performing at least one operation on said composite of said first and second data items based at least in part on said composite control set.

50. A method as in claim 49 wherein said combining step includes preserving each of said first and second controls in said composite set.

51. A method as in claim 49 wherein said performing step comprises governing the operation on said composite of said first and second data items in accordance with said first control and said second control.

52. A method as in claim 49 wherein said providing step includes ensuring the integrity of said association between said first controls and said first data item is maintained during at least one of transmission, storage and processing of said first data item.

53. A method as in claim 49 wherein said providing step comprises delivering said first data item separately from said first control.

54. A method as in claim 49 wherein said providing step comprises codelivering said first data item and said first control.

55. A secure method for controlling a protected operation comprising:

(a) delivering at least a first control and a second control; and

(b) controlling at least one protected operation based at least in part on a combination of said first and second controls, including at least one of the following steps;

resolving at least one conflict between said first and second controls based on a predefined order;

providing an interaction with a user to form said combination; and

dynamically negotating between said first and second controls.

56. A method as in claim 55 wherein said controlling step (b) includes controlling decryption of electronic content.

57. A method as in claim 55 further including:

receiving protected electronic content from a party; and

authenticating the identity of said party prior to using said received protected electronic content.

58. A secure method comprising:

selecting protected data;

extracting said protected data from an object;

identifying at least one control to manage at least one aspect of use of said extracted data;

placing said extracted data into a further object; and

associating said at least one control with said further object.

59. A method as in claim 58 further including limiting at least one aspect of use of said further object based on said at least one control.

60. A secure method of modifying a protected object comprising:

(a) providing a protected object; and

(b) embedding at least one additional element into said protected object without unprotecting said object.

61. A method as in claim 60 further including:

associating at least one control with said object; and

limiting usage of said element in accordance with said control.

62. A method as in claim 60 further including including a permissions record within said object.

63. A method as in claim 61 further including at least in part encrypting said object.

64. A method for managing at least one resource with a secure operating environment, said method comprising:

securely receiving a first load module from a first entity external to said operating environment;

securely receiving a second load module from a second entity external to said operating environment, said second entity being different from said first entity;

securely processing, using at least one resource, a data item associated with said first and second load modules; and

securely applying said first and second load modules to manage said resource for use with said data item.

65. A method for negotiating electronic contracts, comprising:

receiving a first control set from a remote site;

providing a second control set;

performing, within a protected processing environment, an electronic negotiation between said first control set and said second control set, including providing interaction between said first and second control sets; and

producing a negotiated control set resulting from said interaction between said first and second control sets.

66. A system for supporting electronic commerce including:

means for creating a first secure control set at a first location;

means for creating a second secure control set at a second location;

means for securely communicating said first secure control set from said first location to said second location; and

means at said second location for securely integrating said first and second control sets to produce at least a third control set comprising plural elements together comprising an electronic value chain extended agreement.

67. A system for supporting electronic commerce including:

means for creating a first secure control set at a first location;

means for creating a second secure control set at a second location;

means for securely communicating said first secure control set from said first location to said second location; and

negotiation means at said second location for negotiating an electronic contract through secure execution of at least a portion of said first and second secure control sets.

68. A system as in claim 67 further including means for controlling use by a user of protected information content based on at least a portion of said first and/or second control sets.

69. A system as in claim 67 further including means for charging for at least a part of said content use.

70. A secure component-based operating system including:

component retrieving means for retrieving at least one component;

record retrieving means for retrieving a record that specifies a component assembly;

checking means, coupled to said component retrieving means and said record retrieving means, for checking said component and/or said record for validity;

using means, coupled to said checking means, for using said component to form said component assembly in accordance with said record; and

performing means, coupled to said using means, for performing a process based at least in part on said component assembly.

71. A secure component-based operating system including:

a database manager that retrieves, from a secure database, at least one component and at least one record that specifies a component assembly;

an authenticating manager that checks said component and/or said record for validity;

a channel manager that uses said component to form said component assembly in accordance with said record; and

an execution manager that performs a process based at least in part on said component assembly.

72. A secure component operating system including:

means for receiving a component;

means for receiving directions specifying use of said component to form a component assembly;

means, coupled to said receiving means, for authenticating said received component and/or said directions;

means, coupled to said authenticating means, for forming, using said component, said component assembly based at least in part on said received directions; and

means, coupled to said forming means, for using said component assembly to perform at least one operation.

73. A secure component operating environment including:

a storage device that stores a component and directions specifying use of said component to form a component assembly;

an authenticating manager that authenticates said component and/or said directions;

a channel manager that forms, using said component, said component assembly based at least in part on said directions; and

a channel that executes said component assembly to perform least one operation.

74. A secure operating system environment comprising:

a storage device that stores code and directors specifying assembly of said code into an executable program;

a validating device that checks said received code and/or said assembly directors for validity; and

an event-driven channel that, in response to occurrence of an event, assembles said code in accordance with said assembly directions to form an assembly for execution.

75. A secure operating environment system for managing at least one resource comprising:

a communications arrangement that securely receives a first control from a first entity external to said operating environment, and securely receives a second control from a second entity xternal to said operating environment, said second entity being different from said first entity; and

a protected processing environment, coupled to said communications arrangement, that;

(a) securely processes, using at least one resource, a data item associated with said first and second controls, and

(b) securely applies said first and second controls to manage said resource for use of said data item.

76. A system for negotiating electronic contracts, comprising:

a storage arrangement that that stores a first control set received from a remote site, and stores a second control set;

a protected processing environment, coupled to said storage arrangement, that;

(a) performs an electronic negotiation between said first control set and said second control set,

(b) provides interaction between said first and second control sets, and

(c) produces a negotiated control set resulting from said interaction between said first and second control sets.

77. A system as in claim 76 further including means for electronically enforcing said negotiated control set.

78. A system as in claim 76 further including means for generating an electronic contract based on said negotiated control set.

79. A method for supporting electronic commerce including:

creating a first secure control set at a first location;

creating a second secure control set at a second location;

securely communicating said first secure control set from said first location to said second location; and

electronically negotiating, at said second location, an electronic contract, including the step of securely executing at least a portion of said first and second secure control sets.

80. An electronic appliance comprising:

a processor; and

at least one memory device connected to said processor;

wherein said processor includes;

retrieving means for retrieving at least one component, and at least one record that specifies a component assembly, from said memory device,

checking means coupled to said retrieving means for checking said component and/or said record for validity, and

using means coupled to said retrieving means for using said component to form said component assembly in accordance with said record.

81. An electronic appliance comprising:

at least one processor;

at least one memory device connected to said processor; and

at least one input/output connection coupled to said processor,

wherein said processor at least in part executes a rights operating system to provide a secure operating environment within said electronic appliance.

82. An electronic appliance as in claim 81 wherein said processor includes means for providing a channel, said channel assembling independently deliverable components into a component assembly and executing said component assembly.

83. An electronic appliance as in claim 81 further including a secondary storage device coupled to said processor, said secondary storage device storing a secure database, said processor including means for decryting information obtained from said secure database and for encrypting information to be written to said secure database.

84. An electronic appliance as in claim 81 wherein said processor and said memory device are disposed in a secure, tamper-resistance encapsulation.

85. An electronic appliance as in claim 81 wherein said processor includes a hardware encryptor/decryptor.

86. An electronic appliance as in claim 81 wherein said processor includes a real time clock.

87. An electronic appliance as in claim 81 wherein said processor includes a random number generator.

88. An electronic appliance as in claim 81 wherein said memory device stores audit information.

89. A method for auditing the use of at least one resource with a secure operating environment, said method comprising:

securely receiving a first control from a first entity external to said operating environment;

securely receiving a second control from a second entity external to said operating environment, said second entity being different from said first entity;

using at least one resource;

securely sending to said first entity in accordance with said first control, first audit information concerning use of said resource; and

securely sending to said second entity in accordance with said second control, second audit information concerning use of said resource, said second audit information being at least in part different from said first audit information.

90. A method for auditing the use of at least one resource with a secure operating environment, said method comprising:

securely receiving first and second control alternatives from an entity external to said operating environment;

selecting one of said first and second control alternatives;

using at least one resource;

if said first control alternative is selected by said selecting step, securely sending to said entity in accordance with said first control alternative, first audit information concerning use of said resource; and

if said second control alternative is selected by said selecting step, securely sending to said second entity in accordance with said second control alternative, second audit information concerning use of said resource, said second audit information being at least in part different from said first audit information.