Abstract:
A comprehensive system and method for managing security in an electronic network. The method includes the steps of providing a plurality of security services, providing a plurality of security mechanisms, and linking the services and mechanisms with a plurality of security management functions. The method supports all associated security protocols in the electronic network while maintaining transparency for message exchange. Advantageously, the method of the invention readily provides compatibility with a plurality of environments, network types, and technologies. The method provides five functional hierarchical layers, one protocol handling access to the layers, and includes a security management information base segmented according to the five functional layers. The five functional layers are, from the base, fundamental security primitives, security mechanisms, security services, security management functions, and security policies. Each layer can contain several independent modules. Exchange of messages between modules in a layer and between layers is provided. An implementing system facilitates the method in an electronic network, illustratively including an electronic processing environment.

Description:
BACKGROUND OF THE INVENTION 
     1. Field of the Invention 
     This invention relates to a security management system in an electronic network and a method for providing a plurality of security functions and, in particular, to such a system and method providing a plurality of security services and using a plurality of security mechanisms. 
     2. Discussion of the Related Art 
     Existing electronic network security services and products provide methods and mechanisms that are aimed at satisfying user needs for security. Some of these services and products claim a layered architecture, or multiple overlapping security methods or mechanisms. 
     Nevertheless, none of the existing methods and mechanisms comprises a logical architecture for complete end-to-end network security. That is, some needs are not provided for, or are not provided for in an effective, efficient way. For example, support for electronic commerce should provide secure support for all associated protocols. 
     SUMMARY OF THE INVENTION 
     According to one aspect of the invention, a method of managing security in an electronic network includes the steps of providing a plurality of security services, providing a plurality of security mechanisms, and linking the services and mechanisms with a plurality of security management functions. 
     It is a feature of the invention that the method supports all associated security protocols in the electronic network while maintaining transparency for message exchange. 
     Advantageously, the method of the invention readily provides compatibility with a plurality of environments, network types, and technologies. 
     In a preferred implementation of the invention, the method for providing electronic network security provides five functional hierarchical layers, one protocol handling access to the layers, and includes a security management information base segmented according to the five functional layers. The five functional layers are, from the base, fundamental security primitives, security mechanisms, security services, security management functions, and security policies. Each layer can contain several independent modules. Exchange of messages between modules in a layer and between layers is provided. 
     According to a second aspect of the invention, a security system for an electronic network includes a plurality of electronic processor-based devices organized in a plurality of hierarchies and/or layers. The devices provide a plurality of security services and a plurality of security mechanisms. The plurality of electronic processor-based devices also links the plurality of security services and the plurality of security mechanisms with a plurality of security management functions. 
     It is also a feature of this aspect of the invention that the system supports all associated security protocols in the electronic network while maintaining transparency for message exchange. Advantageously, the system of the invention readily provides compatibility with a plurality of environments, network types, and technologies. 
     In a preferred implementation of this aspect of the invention, the system for providing electronic network security includes devices in an electronic computational environment providing five functional hierarchical layers, includes one protocol manager handling access to the layers, and includes a security management information base segmented according to the five functional layers. The five functional layers are, from the base, fundamental security primitives, security mechanisms, security services, security management functions, and security policies. Each layer can contain several independent modules. Exchange of messages between modules in a layer and between layers is provided. 
    
    
     BRIEF DESCRIPTION OF THE DRAWINGS 
     Further features and advantages of the present invention will become apparent from the follwing detailed description, taken together with the drawings, in which: 
     FIG. 1 is a block diagrammatic showing of a preferred implementation of a security system according to the invention; 
     FIG. 2 is a block diagrammatic showing of a preferred implementation of the security policy portion of the system according to FIG. 1; 
     FIG. 3 is a block diagrammatic showing of a preferred implementation of the security management portion of the system according to FIG. 1; 
     FIG. 4 is a block diagrammatic showing of a preferred implementation of the security services portion of the system according to FIG. 1; 
     FIG. 5 is a block diagrammatic showing of a preferred implementation of the security mechanisms portion of the system according to FIG. 1; 
     FIG. 6 is a block diagrammatic showing of a preferred implementation of the portion of the system of FIG. 1 providing fundamental security mathematical functions; 
     FIG. 7 is a block diagrammatic illustration of the invention employing the implementations of FIGS. 1-6 and having one or more application interfaces with specific application(s) that are supported by the security management system and method; and 
     FIG. 8 is a flow diagram of a preferred method of invention implemented in the system of FIG.  1 . 
    
    
     DETAILED DESCRIPTION 
     The present invention provides a comprehensive modular security management system (SMS) for an electronic network that can be enterprise-wide for a user entity. The proposed SMS can accommodate new security services as well as new techniques and technologies. It provides a common platform for next-generation products, while adhering to standard requirements and interfaces. The invention uses a layered functional architecture that makes it feasible to compose software applications from products developed and/or modified by different suppliers at different times. 
     Also facilitated are the following features: 
     Many security mechanisms with different efficiency and different level of security 
     A wide range of management functions 
     Full integration with Network Management Systems (NMS) 
     Security policies access from NMS 
     Abbreviated security management from NMS 
     Efficient use of different security mechanisms by different security services 
     Transparency to users and applications 
     Easy applicability to any type of operational environment 
     Scaleability even for a very large-size customer base 
     Adaptability for network changes, enhancements, and new policies. 
     The following definitions are given for reference. 
     Security services are remedies and countermeasures by which security threats are countered. Each security service uses one or more security mechanisms to counter security attacks or threats. In today&#39;s network, various stand-alone security servers and/or proxies are used to provide some sort of piecemeal security, such as an authentication server or an authorization and access controller. Security mechanisms are effective techniques and schemes used to implement a given security service with different degrees of complexity. For example, an abstract service like data confidentiality might be implemented using either the secret key data encryption mechanism or public key data encryption scheme. 
     In most practical cases, a combination of security mechanisms is needed for implementing an effective security service. For example, an authentication service can be implemented with either strong mechanisms or with weak mechanisms (low, medium, or high security). In practice, it is quite common that more than one security service use the same mechanism. 
     Table 1 indicates applicable mechanisms that may be used to implement a service. 
     
       
         
               
             
               
               
               
               
               
               
             
           
               
                 TABLE 1 
               
             
             
               
                   
               
               
                 Security Mechanisms for Implementing Security Services 
               
             
          
           
               
                   
                   
                   
                 ACCESS 
                   
                   
               
               
                 SERVICE 
                 CONFIDENTIALITY 
                 INTEGRITY &amp; 
                 CONTROL &amp; 
                 NON-REPUDIATION &amp; 
               
               
                 MECHANISM 
                 &amp; PRIVACY 
                 PROTECTION 
                 AVAILABILITY 
                 ACCOUNTABILITY 
                 AUTHENTICATION 
               
               
                   
               
               
                 Access 
                 Y 
                   
                 Y 
                   
                 Y 
               
               
                 Control 
               
               
                 Mech. 
               
               
                 Digital 
                   
                 Y 
                   
                 Y 
                 Y 
               
               
                 Signature 
               
               
                 Encryption 
                 Y 
                 Y 
                   
                 Y 
                 Y 
               
               
                 Mech. 
               
               
                 One-Way 
                   
                 Y 
               
               
                 Hash 
               
               
                 (OWH) 
               
               
                 Certification 
                   
                   
                 Y 
                 Y 
                 Y 
               
               
                 Password 
                 Y 
                 Y 
                   
                 Y 
                 Y 
               
               
                 Techniques 
               
               
                 MAC 
                 Y 
                 Y 
                   
                 Y 
                 Y 
               
               
                 Key 
                 Y 
                 Y 
                   
                   
                 Y 
               
               
                 Exchange/ 
               
               
                 Generation 
               
               
                   
               
               
                 Note: Y means “yes”, it applies.  
               
             
          
         
       
     
     A fundamental property of SMS is to be used as a comprehensive autonomous security server, as it may provide security to multiple applications at the same time. The format of exchanging messages and data used by various applications tends to vary from application to application. In the SMS, a protocol handling function preferably is provided across all the five layers, or at least across the top four hierarchical layers, for communication with the users, agents, and the operation environment. 
     In more detail, in FIG. 1, an electronic network  23  is provided with a modular security system according to the invention. The electronic network  23  illustratively includes the network management system stack  25 , the security host  27 , the wide-area network (WAN)  28 , and the local area network  27 . The electronic network  23  is connected through the protocol handler  21  to the layered or hierarchical elements of a modular security management system. That system includes the topmost, or fifth, layer  11  consisting of security policy requirements, also including business requirements. The system also includes the subordinate security management function layer  13 , to the extent separate from layer  11 . This layer  13  is concerned with security aspects which are outside normal scope of security services, but which are needed to support and control security services layer  15  and the security mechanisms layer  17 , which are the next two subordinate layers, in that order. Subordinate to all the foregoing layers is the base, or first, layer  19  of fundamental security mathematical functions. All of these layers will be described in more detail hereinafter. Each of these layers  11 - 19  uses its own segment  31 - 19  of a security management information base. The layers  11 - 19  are linked together, either through protocol handling function unit  21 , or directly, as shown in FIG.  7 . 
     FIG. 2 shows the modules of security policy layer  11 ′ selected for a particular environment including a protocol handling module  41  and an electronic network  42 . They include module  43  for preventing and detecting security violations, module  44  facilitating disaster recovery, module  45  maintaining enterprise-wide risk policy, module  46  establishing a personnel risk policy, and module  47  establishing security policy levels. 
     All of the foregoing modules can be structured as known to those of ordinary skill in the electronic security art. Note that rule-based techniques can be used as part of the security violation detection and prevention module  43  to detect intrusion by observing events and applying a set of rules to make a decision whether a given pattern of activities is suspicious. Rules can also be defined that identify suspicious behavior. Clearly, “security violation detection” and “security violation prevention” modules can benefit from expert system technology. Rule-based threat detection does not require knowledge of security vulnerabilities within security domain—it is based on observing the past pattern and assuming that the future will be like the past. However, past experience shows that a large number of rules are required for implementing this approach effectively. 
     FIG. 3 shows the modules of the security management layer  13 ′ in its preferred implementation with protocol handling module  41  and electronic network  42 . These modules include control and distribution module  51 , event logging module  52 , user interface management module  53 , monitoring module  54 , security service management module  55 , security mechanism management module  56 , and recovery management module  57 . These modules can be structured as known to one of ordinary skill in the art. 
     This security management layer  13 ′ is concerned with security aspects which are outside normal scope of security services, but which are needed to support and control security services and mechanisms. Security management function involves: provision of security services, control and distribution of security-related information in real-time and per pre-specified schedules; event logging, both for normal and abnormal situation; administration and management of various modules in lower layers, e.g., parameter management for security mechanisms like cryptographic keys; user interface management; security monitoring for various security services; key and security (state) recovery in case of violation; and interaction establishment between different security management systems through use of appropriate security management protocol(s). 
     The next subordinate layer  15 ′, the security service function layer, is shown with an illustrative seven modules in FIG.  4 . These modules include the authentication service module  61 , the confidentiality service module  62 , the non-repudiation services module  63 , the integrity services module  64 , the access control services module  65 , the non-denial of services module  66 , and the intrusion detection services module  67 , all of known type in the art. 
     This layer provides a platform to implement various security services. Each security service can be designed and implemented as an autonomous self-contained functional module to provide the “plug-and-play” capability. Although, nothing prevents interactions among various service modules, each module is called using appropriate protocols and procedures. 
     In FIG. 4, the most widely-used security services are shown. ISO standards define the following six basic security services: 
     Confidentiality, or Confidentiality and Privacy, Service is the protection of transmitted information from passive attacks. 
     Integrity Service generally provides protection against message modification for connectionless communications, and provides protection against duplication, insertion, modification, reordering, or replay for connection-oriented communications. 
     Access Control Service is the ability to limit and control the access to host systems and applications via communication links. 
     Non-repudiation and Accountability Service prevents either sender or receiver from denying a transmitted message. 
     Authentication Service is concerned with assuring that a communication is authentic. 
     Non-denial of service is concerned with assuring that prescribed authorized services are available to authorized users. 
     In addition to these six basic services, the provision of intrusion detection services is a desirable feature. 
     These are generic groups of services, since each service may be applied in different variations to different entities, situations, and resources. All security services can be implemented in a form of a security library, interfacing to the upper applications by the corresponding Application Programming Interfaces (APIs). In this regard, see FIG. 7 below. In addition, security services such as packet filtering, firewalling, and intrusion detection may be needed to be implemented as an autonomous server in different part of a network. 
     FIG. 5 shows modules within the security mechanisms layer  17 ′. The generic modules include the message authentication codes module  71 , the digital signatures module  72 , the key exchange/generation module  73 , the password techniques module  74 , the access control mechanisms module  75 , the encryption techniques module  76 , and the certificates module  77 . Within each of these generic modules is a set of specific mechanism modules of known types in the art, but which are not indicated further in FIG.  5 . For example, within digital signature module  72  are RSA, El Gamal, Elliptic Curve, and DSS mechanisms. 
     As mentioned before, there is no single mechanism that will provide all the functions required for each of the security services. In fact, as the number of security services in layer  15  increases, a variety of mechanisms come into play. The layer  17  of the SMS architecture implements various security mechanisms with different efficiencies, degrees of security and computational complexities. For instance, some services may use weak but efficient mechanisms, others may use strong but slower mechanisms. It is also possible to make certain mechanisms mandatory, and others optional. However, cryptographic techniques underlie most of the security mechanisms in use. 
     This layer  17 ′ can include various generic common modules to be used by the security service function (layer  15 ). Examples of these modules are: 
     Public-Key Encryption: RSA, ECC, Rabin, El Gamal algorithms 
     Symmetric One-Key Encryption: DES, Triple DES, FEAL, IDEA, RC 2 , RC 4 , SKIPJACK techniques 
     Message Authentication Code: CBC-MAC, MAA, RIPE-MAC Password techniques, Biometrics mechanisms 
     Digital Signature: DSA mechanism 
     Access Control: access control matrix (ACM), access control list (ACL), conditional access mechanism. 
     The sequence of executing security services and mechanisms, depending on the operational environment and the security perimeter, may be different and results in different security considerations. For example, a digital signature can be generated for a given plaintext message and appended to the message. Then, the plaintext message plus signature can be encrypted using a particular session key. This sequence can easily be reversed. Alternatively, the plaintext message can be encrypted first and then generate a digital signature for the encrypted message. Thus, the order of applying encryption and digital signature mechanisms to the message is dependent on security requirements. SMS provides this flexibility for an end-user or an application. Cryptographic mechanisms are also included in this layer. They include key-exchange, public-key encryption, and symmetric-key encryption, and deserve to be treated as a sub-layer because a number of security service modules (and mechanisms on this layer) relay on the use of conventional encryption. For example, public key certification is a mechanism that required for certificate authorities, and key-exchange/generation, is the fundamental technique required for establishing a session encryption key. Each mechanism, in turn, can contain various algorithms and schemes to be used, based on different mode of operation. For example, a typical MAC module may contain a Cipher Block Chaining MAC (CBC-MAC), MAA, and RIPE-MAC 
     At the lowest or most subordinate of the layers of FIG. 1 are the fundamental security mathematical functions, as shown in FIG.  6 . The layer  19 ′ provides a platform to implement basic mathematical operations and algorithms that are used in conjunction with cryptographic techniques. Layer  19 ′ contains elementary atomic modules, as shown in FIG. 6, in a math library  81 . These modules are needed for cryptographic algorithms and special protocols. Examples of these general-purpose modules are: random number generator  82 , Chinese remainder theorem module  83 , fast exponentiation module  84 , and modular multiplication module  85 , all of known type. Lowest layer  19  also includes fundamental modules  86  for cryptographic functions. 
     FIG. 7 illustrates an example of the implementation of the layered structure of the invention in the context of a known applications or applications  91 . For example, the application could be PGP (Pretty Good Privacy) (not shown). PGP is a freeware providing compatibility, compression, and segmentation for electronic-mails. In addition, PGP provides confidentiality and authentication services. 
     The interactions between functional modules shown in FIG. 7 will be further explained as follows. Before proceeding to the more complex aspects of interface  92 , consider the security management information base  31 - 39  of FIG.  1 . An important component of SMS, or any security management architecture for that matter, is its security management information model. SMS will include a Security Management Information Base (SMIB). The conceptual segments of an SMIB are IDs for network secured resources, user profiles and privileges, secure associations, access control list, and security logs. Note that this concept does not suggest any content or form for the storage of information, its implementation or usage, other than emphasizing the security data needs. Clearly, SMIB must be structured to support implementation of all security services and mechanisms in a computing environment or a communication environment. Also, SMIB must work in a manager/agent relationship to support other MIBs in use. As mentioned above, the SMIB is a repository of all control information and parameters necessary for normal functioning of the security system. The SMIB contains the security profiles of the system/network, security parameters, and logical associations among security entities. At least, a combination of the X.500 and X.509 recommendations could be used. 
     There are interactions within and amongst the SMS functional layers as well as between the functional layers and the security environment and the SMIB. There are at least three types of transactions present in the SMS: 
     message interactions, 
     protocols, and 
     interfaces. 
     These transactions may be explained as follows. 
     Message Interaction—In order to cooperate, modules in functional layers must mutually communicate. One possibility is that for the communicating layers to send direct instructions to each other and receive the return status. Another high-end possibility would be to use a well-defined protocol between modules in different layers. Therefore, depending on implementation environment, this inter-function communication can be as simple as a “function call” in C Language or an inter-object message, or can be as complicated as a secure protocol requiring full-fledge protocol definition. In either case, message sets must be clearly defined. Thus, in FIG. 7, the internal communication between components of SMS  93  , e.g., authentication service  94 , confidentiality service  95 , access control service  96 , integrity service  97 , non-repudiation service  98 , and non-denial of service  99 , can be unrestricted and facilitated according to user needs or can be highly regulated according to a layered hierarchy. 
     Security Protocol—Security protocols are generally defined as interactions between the security function modules and the securing entities (users, applications, other security modules, etc.). The SMS needs security protocols for communication with i) user, ii) security domains, i.e., LAN, WAN, managing applications, Network Management Systems (NMS) stack, etc., iii) SMIB, and iv) host operating system. Note that security protocols are not included in the functional architecture of SMS, because they are means to implement security services rather than tasks to implement security. However, if a module uses services of one or more security protocols, security protocol handling capabilities need to be provided in that layer. 
     Interface—Thus, as shown in FIG. 7, the SMS must be able to interface with various applications  91 , including operations environments. The interfaces  92  should be designed between SMS  93 , including its own components, such as SMIB, and the protected applications  91 , including the involved host machines. It is important to notice that the SMS  93  is accessible from any layer of a communication protocol that needs security services. For example, it is possible for a Transport Layer to request data encryption services from SMS  93 . This type of interface requirements can be implemented using an appropriate Application Interface  92 . This API module  92  is so designed as to be able to handle these requests and put them into the format required by the SMS  93 . Typically, the API modules  92  for various applications and operational environment will differ, so each application needs its own interface module to the SMS  93 . 
     FIG. 8 provides a summary of the present invention. To provide a comprehensive security management system, the security system must provide at least the following steps, in an appropriate electronic processing environment: the step  101  of providing a plurality of security services, the step  102  of providing a plurality of security mechanisms subordinate to the plurality of security services, and the step  103  of linking the plurality of security services and the plurality of security mechanisms with a plurality of security management function superior to the pluralities of security services and security mechanisms.