Distributed data processing system

Abstract: A security mechanism is described for a distributed data processing system. Each server in the system maintains a set of security ratings giving its view of the security levels within the system. When a first server wishes to initiate a connection with a second server, the two servers exchange security information, by means of messages, so as to establish an overall security level for the connection, based on a combination of the security information maintained by both servers. However, if the first server decides that the second server cannot be trusted to discuss security, messages are exchanged containing no security information, and each server establishes its own security level for the connection, based on its own locally held security information.

Description: Background to the invention This invention relates to distributed data processing systems. More specifically, the invention is concerned with a data processing system comprising a number of servers connected together by one or more interconnection routes. By a "server" is meant a unit that provides some service to the system; for example, a computer unit which provides a data processing service or an electronic mail service. The interconnection routes may, for example, comprise a local area network (LAN) or a telephone link. The invention is particularly concerned with federated computer systems. A federated system is a distributed data processing system in which there is no central controller or data store. Each server is capable of operating autonomously, and there is no master unit for directing the operation of the system. In such a system, servers can exchange information by setting up connections between them, by way of the interconnection routes. Each such connection between two servers is asymmetric, in that the server at one end starts the connection process. This server is referred to herein as the initiator, while the server at the other end is referred to as the responder. In a federated system, one important consideration is that of security, ie of ensuring that only those with permission to access servers do so. In particular, when a connection is requested, some check has to be made concerning the validity of that connection. Thus, a check must be made as to whether the responder is sufficiently secure to meet the needs of the initiator, whether there is a suitable route between the two servers that will preserve the security of their conversations, and whether the responder is prepared to be used by the initiator. This problem of providing security is made more difficult by the completely distributed nature of the system, and by the fact that there is no single central authority to control the security of the system. R.M.Wong et al., "Issues in secure distributed operating systems design", COMPCON 89, IEEE, Feb 27- March 3, 1989, San Francisco, CA, pages 338-341, describes a distributed system having a security mechanism based on capabilities, each of which consists of a server name, object identifier, and access rights. The server protects the access rights in a capability by adding an authentication field using a unique key for each object. The object of the present invention is to provide a novel way of overcoming the problem of providing security in a federated system. Summary of the Invention According to the invention there is provided a distributed data processing system comprising a plurality of data processing entities including an initiator and a responder, and distributed access control means for setting up a logical link between said initiator and responder over a selected route to allow said initiator and responder to exchange information, characterised in that: said initiator is arranged to store a first security rating (R1) representing the initiator's rating of its own security level, a second security rating (R2) representing the initiator's rating of the responder's security level, and a third security rating (R3) representing the initator's rating of the security level of said route; said responder is arranged to store a fourth security rating (R4) representing the responder's rating of its own security level, a fifth security rating (R5) representing the responder's rating of the initiator's security level, and a sixth security rating (R6) representing the responder's rating of the security level of said route; said distributed access control means comprises means (2-2, 2-3, 2-6) in said initiator, for forming a first combined security rating (LA3) comprising a combination of said first, second and third security ratings (R1, R2, R3), and for sending a connection request including said first combined security rating to said responder; and said distributed access control means also comprises means (3-2, 3-3) in said responder, for forming a second combined security rating (LA6) comprising a combination of said first combined security rating (LA3) with said fourth, fifth and sixth security ratings (R4, R5, R6), and for sending a confirmation message including said second combined security rating to the initiator. Brief Description of the Drawings Figure 1 is a block diagram of a distributed data processing system. Figure 2 is a flow chart showing the operations performed by an initiator in setting up a proposed connection. Figure 3 is a flow chart showing the operations performed by a responder in setting up a proposed connection. Description of an embodiment of the invention One distributed data processing system in accordance with the invention will now be described by way of example with reference to the accompanying drawings. Overall view of the system Referring to Figure 1, the distributed data processing system comprises a plurality of servers 10, 11, 12 interconnected by routes 13, 14. For example, the servers may comprise free-standing computers, each of which is capable of independent operation, as well as contributing a service to the system as a whole. The interconnection routes may comprise local area networks (LANs) or telephone links. The system is organised as a federated system; that is, there is no central controller or store for controlling the operation of the system as a whole. Instead, the responsibility for system control is shared among the individual servers. Security in the system is described by means of security levels which can be assigned to servers and to routes between servers. Because of the federated nature of the system, there is no single repository of information about security levels in the system. Instead, each server maintains its own local view of the security levels in the system. This consists of a table containing a security rating for each server in the system, and for each interconnection route. It is important to note that the local views held in different servers may not be the same; for example, different servers may give a particular route different security ratings. Security ratings Each security rating comprises a set of security factors, where each factor in turn comprises a set of values. For example, a security rating for a particular server might be: (COLOUR = (RED, BLUE, YELLOW), DAY = (MONDAY)) This consists of two factors COLOUR and DAY, where the factor COLOUR consists of three values RED, BLUE and YELLOW, while the factor DAY consists of just a single value MONDAY. In this example, this security rating indicates that the server is entitled to receive electronic documents with status codes RED, BLUE or YELLOW only, and only on Monday. A security factor that contains just a single value (such as the factor DAY above) is referred to herein as an exact factor, since it indicates that a particular condition must be matched exactly. Conversely, a factor that consists of more than one value (such as the factor COLOUR in the above example) is referred to herein as an inexact factor, since it indicates that there is a degree of choice about this factor. Similarly, a security rating that contains only exact factors is referred to as an exact rating, while a rating that contains one or more inexact factors is referred to as an inexact rating. Default ratings The following rules are specified to cover default conditions, where some or all of the information in a security rating is omitted. (i) If a security rating is omitted completely, it is assumed that this is equivalent to a rating comprising all possible factors with all possible values present. (ii) If a factor is omitted from a security rating, it is assumed that this is equivalent to the factor being present with all possible values. (iii) An empty factor (i.e. one with no values) is not allowed. However, it is possible to give a factor a special NULL value. Binding security ratings In operation of the system, different security ratings may be combined by a process referred to as binding. This consists of forming the logical intersection of the ratings, to produce a resultant rating consisting of values common to all these ratings. Where a particular factor is not present in one or more of the ratings, the above default rules apply. For example consider the two ratings: (DAY = (SAT, SUN, MON), COLOUR = (RED, BLUE)) (DAY = (MON, TUE)) The result of binding these two ratings will be: (DAY = (MON), COLOUR = (RED, BLUE)) It should be noted that, in this example, the factor COLOUR is not present in the second of the ratings, and it is therefore assumed as a default condition, that this factor is present with all possible values. Initiating a connection Before any two servers can exchange information, a logical link, referred to herein as a connection, must first be set up between them. The server that initiates the connection is referred to as the initiator and the other server is referred to as the responder. As mentioned above, the security level of a server or route is not known in an absolute manner by a single authority. Rather, the security level ascribed to a particular connection depends on an interaction between the initiator and responder, taking account of the locally held security ratings in each of them. The following list indicates the various security ratings that may influence the security level of a particular proposed connection. R1: the initiator's rating of itself. R2: the initiator's rating of the responder. R3: the initiator's rating of the route or routes available to connect to the responder. R4: the responder's rating of itself. R5: the responder's rating of the initiator. R6: the responder's rating of the route chosen by the initiator. Initiator Referring now to Figure 2, this shows the operation of the initiator in setting up a connection. (2-1) The initiator specifies a required security level (RSL) for the connection. (2-2) The initiator then binds the level RSL with the ratings R1 and R2 to produce a resultant security rating LA2. If LA2 is empty (i.e. there are non intersecting ratings in RSL, R1 and R2) then the attempted connection has failed, since it is not possible to satisfy the security requirements of the initiator. (2-3) The initiator now selects a route to the responder, and binds the security rating R3 of this chosen route with LA2 to produce a resultant security rating LA3. If it is not possible to find a route for which LA3 has non-empty ratings, the attempted connection fails. (2-4) The next action taken depends on whether the rating R2 (i.e. the initiator's view of the security rating of the responder) is exact or inexact. (2-5) If the rating R2 is exact (i.e. contains only exact factors as defined above), this means that the initiator does not trust the responder to discuss security. That is, the responder cannot be trusted to receive security information or to make decisions about security levels, and the initiator must take all responsibility for the security of the connection. In this case, therefore, the initiator sends a connection request message to the responder, containing no security information. (2-6) If, on the other hand, R2 is inexact (i.e. contains at least one inexact factor), this means that the initiator considers that the responder is capable of discussing security levels. The initiator therefore transmits a connection request message to the responder, containing all the factors of LA3 that correspond to inexact factors of R2. These factors represent the initiator's view of what the responder has to know about the required security level. Factors in LA3 which correspond to exact factors in R2 are not transmitted, since the initiator believes that the responder is not capable of discussing these factors. The net result is that the initiator sends only security information on which it believes the responder can be trusted to behave correctly. If it does not trust the responder at all, it sends no security information to it. Responder Referring now to Figure 3, this shows the action of the responder when it receives a connection request message. (3-1) The action of the responder depends on whether any security information (LA3) is present in the connection request. (3-2) If security information is present, the responder binds LA3 with R4, R5 and R6 to produce a resultant security level LA6. If LA6 has any empty ratings, the attempted connection has failed. (3-3) If the attempted connection has not yet failed, it is now considered to have been successful. The responder returns a confirmation message to the initiator, informing it that the connection has been successfully completed, and informing it of the final security level LA6 for the connection for those ratings in LA3. The responder then adopts this level LA6 as its view of the overall security level SLA for this connection. (3-4) If, on the other hand, there is no security information in the connection request, the responder binds the available local security ratings R4, R5 and R6 to produce the security level LA6, and adopts this as its view of the overall security level SLA of the connection. As before, the responder returns a confirmation message to the initiator, but in this case, the message contains no security information. Referring again to Figure 2, the action of the initiator on receiving a confirmation message is as follows. (2-7) The initiator checks whether the confirmation message contains a security level with a subset of LA6's ratings. (2-8) If so, the initiator adopts this subset of LA6 and the other ratings of LA3 as its view of the overall security level SLA of the connection. (2-9) Otherwise, the initiator uses LA3 as its view of the overall security level. In summary, it can be seen that where the initiator does not believe the responder to be capable of discussing security, it does not transmit any security information to it. In this case, both the initiator and responder rely solely on their own local knowledge of the security levels in the system to decide whether or not the connection succeeds, and each produces its own view of the overall security level for the connection. On the other hand, where the initiator believes that the responder is capable of discussing security, a dialogue takes place between them to establish an agreed overall security level, based on the local views of both the initiator and the responder. It should be noted that, in the described system, it is not necessary for the initiator and the responder to have a common security vocabulary; that is, one may consider security factors that the other is completely unaware of. This avoids the need to synchronise the security vocabulary of the servers, and avoids the need for unnecessary exchanges of security information which could, in itself, compromise security.

Claims: A distributed data processing system comprising a plurality of data processing entities including an initiator and a responder, and distributed access control means for setting up a logical link between said initiator and responder over a selected route to allow said initiator and responder to exchange information, characterised in that: said initiator is arranged to store a first security rating (R1) representing the initiator's rating of its own security level, a second security rating (R2) representing the initiator's rating of the responder's security level, and a third security rating (R3) representing the initator's rating of the security level of said route; said responder is arranged to store a fourth security rating (R4) representing the responder's rating of its own security level, a fifth security rating (R5) representing the responder's rating of the initiator's security level, and a sixth security rating (R6) representing the responder's rating of the security level of said route; said distributed access control means comprises means (2-2, 2-3, 2-6) in said initiator, for forming a first combined security rating (LA3) comprising a combination of said first, second and third security ratings (R1, R2, R3), and for sending a connection request including said first combined security rating to said responder; and said distributed access control means also comprises means (3-2, 3-3) in said responder, for forming a second combined security rating (LA6) comprising a combination of said first combined security rating (LA3) with said fourth, fifth and sixth security ratings (R4, R5, R6), and for sending a confirmation message including said second combined security rating to the initiator. A system according to Claim 1 wherein: said distributed access control means further includes means (2-4, 2-5) in said initiator for checking whether or not said second security rating (R2) signifies that the responder can be trusted to receive security information from the initiator and, if not, for sending to the responder an connection request containing no security rating; and said distributed access control means further includes means (3-1, 3-4, 3-5) in said responder for checking whether or not the connection request received from the initiator contains any security rating and, if not, for returning to the initiator a confirmation message containing no security rating. A system according to Claim 2 wherein each said security rating (R1-R6, LA3, LA6) comprises at least one security factor, and each said security factor comprises at least one value. A system according to Claim 3 wherein said means in said initiator for checking whether or not said responder can be trusted to receive security information comprises means for checking whether said second security rating (R2) contains only security factors each with only one value.

Inventors: MCVITIE DAVID GLEN, MCVITIE, DAVID GLEN
Applicants: INT COMPUTERS LTD, INTERNATIONAL COMPUTERS LIMITED
Application year: 1990
Main classification: G06F1
IPC codes: G06F21