Patent Publication Number: US-8543997-B2

Title: Secure dynamic loading

Description:
The present invention relates to a method for loading and executing items of software, referred to as loading units, having different confidentiality levels using a data-processing unit. 
     It also relates to a data-processing unit which is capable of loading and executing items of software which have different confidentiality levels in the form of loading units, the data-processing unit comprising, in addition to a central processing unit, a secure core which is contained in the lowest layer of the operating system and a secure physical zone in the most secure portion of the hardware architecture of this data-processing unit. 
     It is known that the security of a system is dependent on a chain of measures and that it is as weak as the weakest link of this chain. 
     For a data system which comprises a plurality of items of software, the security of the system is therefore dependent on the security which may or may not be provided by each item of software. 
     The very first security element to be taken into account in a system of this type is the integrity of the items of software which are intended to be executed on this system. 
     An item of software is said to be integral when it has not been modified by external elements, such as, for example, a virus, in order to bring about operation which is different from the normal operation envisaged by the designer thereof. 
     In order to provide this integrity with operating systems, solutions based on the authentication of the application when it is loaded have been proposed. These solutions must be accompanied by a process for validation and certification of the application before it is downloaded. 
     Furthermore, security systems are known which unify the problems of specification and interpretation of security policies, access control and authorisation. These systems are known to the person skilled in the art as a “Confidentiality Control System”. 
     A system of this type is constituted by a language for describing the operations which must be controlled by the system, a mechanism for identifying entities which are authorised to carry out these operations, a language specifying the policies of the applications which govern the operations that the entities are authorised to carry out, a language for the authorisation certificates which allow an operation to be delegated from one entity to another entity, and finally an interpreter which allows the requests for operations transmitted by the entities to be validated, based on a specific policy and a group of authorisation certificates. 
     These Confidentiality Control Systems are used principally in distributed environments in order to standardise the languages of the security and authorisation policies and to decentralise these policies. 
     Using these systems, the security policy of a specific application is no longer static but instead dynamic owing to the use and modification of the authorisation certificates. 
     However, these Confidentiality Control Systems lack flexibility because they do not respond to the significant needs of current open data systems. 
     In this manner, it is not possible to implement and provide coherence for security policies which originate from the applications themselves, which security policies are referred to as “discretionary”, with the same level of confidentiality as the security policies which are fixed by the operating system, which security policies are referred to as “mandatory”. 
     The object of the invention is therefore to overcome this disadvantage by providing a method and a system which are capable of downloading and executing software applications, providing a security policy which is dynamic over time and which is coherent both for the data system and for downloaded applications. 
     The invention relates to a method for loading, installing and executing items of software, referred to as loading units, having different confidentiality levels using a data-processing unit, characterised in that it involves at least associating, with each loading unit, at least one information data structure relating to the security requirements and features of this loading unit and associating with the data-processing unit a dynamic data structure which is representative of the current security status of the data-processing unit, the dynamic data structure being updated by means of the security module following a change in the internal status of the processing unit and validating the security requirements and features of each loading unit with respect to the current status of the data-processing unit contained in the dynamic data structure using an autonomous security module and, if the validation is positive, authorising, using the security module, the loading, installation or execution of the loading unit. 
     Other features are:
         each loading unit is associated with       a data structure of identification information of this loading unit;   a data structure of installation restriction; and   a data structure which constitutes a set of security policy rules,
       the information data structure of identification information of this loading unit is formed by a list of attributes which characterise this loading unit comprising at least one coded reference from the list of coded references of identity, site of origin, authentication certificate, integrity information, type of functionality provided, security level, responsible organisation,   the data structure of installation restriction is formed by a list of attributes which define the installation conditions of the loading unit, the list of attributes comprising at least the explicit expression of the restrictions required for installation,   the data structure which constitutes a set of security policy rules comprises at least:   
       a reference for access to one or more other resources;   a reference to one or more loading units, the data structure which constitutes a set of security policy rules being read-accessible both during a loading step and during an execution step,
       the dynamic data structure which is representative of the current status of the data-processing unit comprises at least data which are representative of absolute information, such as a minimum confidentiality level, and data which are representative of relative information, such as the current security level linked to native or non-authenticated applications,   each loading unit is formed by a software component which can be installed in the memory, the installable software component referring to any component of the operating system, other than the secure core, from the data-processing unit to any application which is executed thereby.   
       

     Another aspect is a data-processing unit which is capable of loading, installing and executing items of software, referred to as loading units, having different confidentiality levels, the data-processing unit comprising, in addition to a central processing unit, a secure core which is contained in the lowest layer of the operating system and a secure physical zone which is the most secure portion of the hardware architecture of this data-processing unit, characterised in that it further comprises a security module which is installed in the secure physical zone, the security module carrying out in an autonomous manner the functions of:
         installing new loading units,   controlling and implementing security policy rules, such as attributing and controlling access rights in accordance with the confidentiality level of each loading unit,   maintaining the current status and the integrity of the system in accordance with the components of the operating system and loading units, and   verifying the restrictions defined by a data structure of installation restrictions, associated with each loading unit.       

     Other features of this aspect are:
         the security module, following the installation of this module, provides autonomous control at least of the steps:       for changing the internal status of the system;   for requesting access to the system resources;   for requesting installation of each loading unit on the system,
       in addition to absolute and relative information, the security module controls any new event listed in a dynamic data structure which is representative of the current status of the operating system unit, the security module controlling and updating a variable of the current confidentiality level of the system in accordance with events which arise, such as the detection of an attack, modification of the confidentiality status after installing or uninstalling a loading unit,   upon a request for installation of a loading unit, the security module carries out a verification of the conditions relating to the identity of the loading unit, based on an information data structure for identification of this loading unit, the verification operations involving at least:   
       verifying, based on the identifier thereof, that the site of origin which accommodates the loading unit is included amongst the authorised sites;   verifying the certificate for authentication of the identity of the loading unit;   verifying the integrity of the loading unit;   verifying, with reference to a minimum level of confidentiality, that the confidentiality level associated with the loading unit does not prohibit the installation of the loading unit;   verifying, with reference to a list of prohibited functionalities, that the functionality of the loading unit does not belong to this list and does not prohibit the installation of this loading unit;   verifying, based on its identifier of the site of origin which accommodates the loading unit, that the identity of the distributor of the loading unit does not prohibit the installation of the loading unit,
       following a request for installation of a loading unit and in the presence of a non-empty list of installation restrictions, the security module further carries out:   
       a call to the point of entry of the loading unit in order to execute a plurality of verification operations specific to the loading unit, such as verification of integrity of data or portions of the code of the loading unit, initialisation of specific data of the loading unit;   verifying the presence of components in the system or in the loading unit corresponding to positive attributes and the absence of components or loading unit corresponding to negative attributes,
       verification in the presence of a non-empty list of installation restrictions involves direct verification of the installation restrictions based on one or more lists of restrictions attached to different loading units and/or indirect verification based on a delegation of authorisation of the installation restriction rules which are obtained by means of resolution,   upon a request for installation of a loading unit and in the presence of a data structure which constitutes a non-empty set of security policy rules, the security module carries out verification of the acceptability of the requests from the loading unit, the requests being able to comprise requests for access to resources of the system and the list of loading units which are capable of calling at least one of the corresponding points of entry,   when the verification of the installation restrictions is carried out by means of the indirect verification based on a delegation of translation authorisation, the security module carries out the resolution of the rules relating to the loading unit which is conditional and which is subject to indirect verification, in order to determine the acceptability of the requests from the loading unit which is conditional,   following verification at the true value of all the preceding verification operations, the security module authorises the installation of the loading unit, under the authority of the central processing unit of the data-processing unit, otherwise, in the absence of verification at the true value of one of the preceding verification operations, the security module prohibits the installation of the loading unit, the refusal of installation being able to bring about a signal at the man/machine interface associated with the processing unit, and   the security module is installed in the secure physical zone by means of the secure core of the operating system, the installed security module being verified in terms of its integrity by an integrity verification mechanism during the starting sequence of the processing unit.   
       

    
    
     
       The invention will be better understood from a reading of the following description, given purely by way of example and with reference to the appended drawings, in which: 
         FIG. 1  is a block diagram of a data processing system according to an embodiment of the invention illustrated in the layered structure thereof; 
         FIG. 2  is a flow chart of the security control operation flows; and 
         FIG. 3  is a flow chart of the loading and the installation of an item of software. 
     
    
    
     With reference to  FIG. 1 , a data-processing unit  1  is intended to execute different items of software  2 ,  3  which have different security requirements. 
     This unit  1  is, for example, a workstation or a payment terminal or a mobile telephone. 
     The items of software which can be executed on this unit  1  are permanently loaded, such as the item of software  2 , or can be downloaded using a data communication means  4 , such as the item of software  3 . 
     The unit  1  comprises, in its hardware architecture, a central processing unit  5  which is responsible for carrying out the instructions from the items of software and a secure physical storage zone  6 . This secure zone  6  is at the very least a storage zone which has restricted and controlled access conditions. In order to promote the security of the zone  6 , access control hardware mechanisms which are well known to the person skilled in the art can further be implemented. It is the most secure portion of the hardware structure. 
     In order to ensure operation of the unit  1 , an operating system  7  is installed in order to control the hardware resources of the unit  1 . 
     This operating system  7  comprises, in particular, in the lowest layer thereof, a secure core  8 . This is responsible for providing the security for the processing unit  1  and in particular for ensuring that the access conditions of the secure zone  6  are complied with. 
     In a normal operating mode of the unit  1 , the secure core  8  is executed as soon as the operating system is launched in order to prevent any interference dangerous for the security of the system during this starting phase. 
     A security module  9  is installed in the secure zone  6 . 
     This security module  9 , once installed, is responsible for the security of the unit  1  and in particular for providing the necessary security verification operations before the installation of a new component and verifying that the rules of the security policy of the unit  1  are complied with. 
     This security module  9  comprises a data structure  10  which is referred to as “Etat Courant du Système” or ECS (Current System Status), and which is intended to receive information relating to the security status of the unit  1 . 
     The current system status  10  corresponds to the internal security status of the unit  1 , as maintained by the security module  9 . It includes absolute information, such as, for example, a minimum confidentiality level and information relating to the current security level, such as, for example, the presence of native or non-authenticated software installed in the unit  1 . This ECS data structure  10  is therefore dynamic in that it develops over time with the development of the security status of the processing unit  1 . 
     The items of software  2  and  3  and the components of the operating system  7  other than the secure core  8  are referred to in the remainder of this description and in an undifferentiated manner as “loading units”. These are therefore software components which are installed or able to be installed in the memory of the processing unit  1 . 
     In the remainder of this text, installation is intended to refer to all the following three phases, alone or in combination:
         (down) loading which involves transferring the loading unit to the processing unit  1 ,   actual installation which involves placing the processing unit  1  and the loading unit in a state in which the loading unit can be executed,   executing the loading unit on the processing unit  1 .       

     Each loading unit  2 ,  3 ,  7  is associated with three data structures which define the security information of this loading unit in terms of requirements and features. 
     In this manner, each loading unit  2 ,  3 ,  7  is associated with a data structure  11  which is referred to as “Informations d&#39;Identification de l&#39;Unité” or IIU (Unit Identification Information) and which contains a list of attributes which characterise this loading unit  2 ,  3 ,  7 . For example, this IIU data structure  11  contains, in the form of encoded reference, the identity, the site of origin, the authentication certificate, integrity information, the type of functionalities provided, the security level, the organisation responsible, or any other item of relevant information for characterising the loading unit  2 , 3 , 7 . 
     Each loading unit  2 ,  3 ,  7  is also associated with a second data structure  12  which is referred to as a “Liste des Contraintes d&#39;Installation” or LCI (list of installation restrictions). 
     This LCI data structure  12  defines the non-ambiguous expression of the restrictions required for loading, actual installation of and executing the loading unit. That is to say, the change, installation or execution of the loading unit is carried out only if each restriction is validated by the security module  9 . These restrictions can be expressed using a dedicated expression language or, more simply, take the form of a list of attributes associated with a negative or positive sign. For example, a loading unit associated with the LCI  12  [+name VM; −native type; +level TOP] can be installed only if a component having the name VM exists on the unit  1  and if there are also no native components and the current security level of the unit  1  is TOP. 
     When the conditions of the LCI  12  are met, the security module  9  authorises the loading, installation or execution of the loading unit. However, these restrictions must be complied with even during the subsequent loading of new components, that is to say, for the entire period during which the loading unit is installed on the unit  1 . 
     The LCI data structure  12  may also, but optionally, comprise a point of entry which corresponds to a processing operation which must be carried out by the loading unit itself when it is actually installed. 
     Finally, each loading unit  2 ,  3 ,  7  is also associated with a third data structure  13  which is referred to as “Règles de Politique de Sécurité” or RPS (Security Policy Rules). 
     This RPS data structure  13  defines the requests of a loading unit, such as the access desired to specific resources or to other loading units. 
     This RPS data structure  13  is used at the time of loading and actual installation in order to detect the access requests which are impossible to comply with, and at the time of execution, causing the security module  9  to intervene in exchanges between loading units. 
     The IIU data structures  11 , LCI data structures  12  and RPS data structures  13  are in the form of files which contain rules and security information entered by a security administrator of the unit  1  and/or trusted third parties. 
     The operation of the unit  1  will now be described with reference to  FIG. 2 . 
     During the actual installation of the unit  1 , the security module  9  is installed at  20  in the secure zone  6  by the secure core  8 . Furthermore, the secure core  8  verifies the integrity of the security module  9 . This secure installation process is well known to the person skilled in the art in that it is based on hierarchical and/or linked installation processes in which each level is installed only after verification of the level immediately below. 
     Based on this installation, the security module  9  is considered to be the software component which is trusted in the unit  1  and which renders it secure. In this manner, it validates the security requirements and features of each loading unit  2 ,  3 ,  7  before the loading, installation or execution thereof is authorised. 
     Then, each time the internal status of the unit  1  changes, the security module  9  updates the data structure  10  “Current System Status” at 21 in a secure manner. 
     A change in status may in particular correspond to an event which affects the current confidentiality level of the unit  1 . For example, the detection of an attack downgrades the confidentiality level. In the same manner, the actual installation of a new loading unit  2 ,  3 ,  7  launches a new calculation by the security module  9  of the confidentiality level, this calculation possibly being, for example, the minimum from the confidentiality levels associated with the loading units  2 ,  3 ,  7  installed. 
     The security module  9  receives and also validates at  22  the requests for access to the sensitive resources of the unit  1 . It verifies in particular that each request carried out by a loading unit is valid in view of the rules set out in the RPS data structure  13  corresponding to this loading unit. 
     If a request is refused, this may be silent or indeed signalled to the user of the unit  1  by any appropriate means. 
     The security module is also called at  23  upon each request for installation of a new loading unit. 
     During an installation operation, the security module  9  carries out verification and validation operations,  FIG. 3 . 
     It verifies at  30  that the conditions relating to the identity of the loading unit contained in the IIU data structure  11  are met. 
     By way of example, and in accordance with the information contained in the IIU  11 , the security module  9  verifies:
         that the site of origin is included amongst the authorised sites,   that the authentication certificate of the loading unit is valid,   that the loading unit is integral,   that the confidentiality level thereof is compatible with the general confidentiality level of the unit  1  and/or with the minimum confidentiality levels of the loading units which are already installed,   that the loading unit does not require prohibited functionalities,   that the entity responsible for the loading unit is not included in a list of forbidden entities,
           . . .   
               

     Then, the security module  9  verifies at  31  that the conditions defined in the data structure “List of installation restrictions”  12  are complied with by the current status of the unit  1  contained in the ECS data structure  10 . This verification is, of course, only carried out if this data structure is not empty. 
     If the LCI data structure  12  contains a point of entry, step  32 , this is called at  33  in order to allow the execution of verification operations programmed by the developer of the loading unit. 
     A specific case for verification of the restrictions contained in the LCI data structure  12  relates to the loading units referred to as conditional. These are loading units whose installation rules are dependent on rules belonging to other loading units. For example, a restriction relating to such a loading unit A could be “the installation of the loading unit A is authorised only if loading unit B is installed and authorises the installation of unit A”. 
     These conditional restrictions are resolved by the security module  9  which therefore analyses whether these conditions are met. 
     Then, the security module  9  verifies at  34  the acceptability of the requests of the loading unit contained in the data structure  13  thereof “Security Policy Rules”. 
     In the specific instance that this structure is empty, that is to say, does not contain any requests, this step  34  is not implemented. 
     In particular, it verifies that the requests for access to resources or to other loading units can be granted. 
     In the case of conditional requests linked to a delegation of authorisation of one or more RPS data structures  13  which belong to other loading units, the security module  9  resolves these conditions in order to determine the acceptability of these requests. 
     If all the preceding verification operations have been found to be positive, step  35 , the security module  9  accepts at  36  the loading, installation and/or execution of the loading unit. 
     Otherwise, this loading and/or installation and/or execution are refused by the security module  9 . This refusal can be signalled to the requester by any means. 
     A method is thus described for loading, installing and executing items of software, referred to as loading units, having different confidentiality levels, using a data-processing unit  1 , and involving at least:
         associating with each loading unit  2 ,  3 ,  7     an information data structure  11  for identifying this loading unit;   a data structure  12  for restricting installation; and   a data structure  13  which constitutes a set of security policy rules; and   associating with the data-processing unit  1  a dynamic data structure  10  which is representative of the current security status of the data-processing unit;   applying the installation restrictions and the security policy rules, verifying and updating the dynamic data structure  10  and establishing an interactive dialogue between each loading unit  2 ,  3 ,  7  and the dynamic data structure  10  using an autonomous security module  9  after installation.       

     The method thus described advantageously allows software applications to be downloaded and executed, providing a security policy which is dynamic over time and which is coherent, both for the data system and for the downloaded applications. 
     All the requests for loading and the occurrences of communication between components are carried out through the security module. 
     The discretionary security policies of the loading units are therefore processed in a manner which is as secure as the mandatory policies of the operating system. 
     Furthermore, the factors linked to the status of the system when a loading unit is installed are taken into account via the LCI data structures and, optionally, provided to this loading unit using the ECS data structure. In this manner, the factors linked to the status of the system, such as the current security level, the other applications present, etc. are taken into account during the loading, installation and execution of each loading unit. 
     Another advantage of the invention is to make it possible to ensure that, for each application loaded, that is to say, each loading unit, that the system which receives it, that is to say, the processing unit, is in an adequate security status with respect to its requirements. For example, a sensitive application which manipulates cryptographic keys requires knowledge of the security status of the system before downloading or using the cryptographic keys thereof.