Method and appliance for authenticating, by an appliance, a client to access a virtual private network connection, based on an attribute of a client-side certificate

In a method and appliance for authenticating, by an appliance, a client to access a virtual network connection, based on an attribute of a client-side certificate, a client authentication certificate is requested from a client. A value of at least one field in the client authentication certificate received from the client is identified. One of a plurality of types of access is assigned responsive to an application of a policy to the identified value of the at least one field, each of the plurality of access types associated with at least one connection characteristic.

FIELD OF THE INVENTION

The present invention generally relates to data communication networks. In particular, the present invention relates to a method and appliance for authenticating, by an appliance, a client to access a virtual private network connection, based on an attribute of a client-side certificate.

BACKGROUND OF THE INVENTION

Conventional methods of access control typically require receipt and evaluation of authentication credentials from a client prior to granting access. The credentials are typically presented to an access infrastructure or other security gateway, which determines what types of access may be provided to the client. In some methods, a certificate provides information associated with the client, such as a verification of a user's identity. However, conventional methods typically do not use certificate data or other authentication information when identifying a type of connection to establish with or for the user, only when identifying whether or not to grant access. Many different types of connections may be granted to or required of a user—secure connections, accelerated connections, and so on. Policies applicable to the user may indicate that to access a resource, a user is required to establish a particular type of connection, for example, a connection to a virtual private network. Alternatively, a user may qualify for improved connection quality, such as an accelerated connection. Or information about the user request, such as a time of day the request is made, or a particular resource requested, may influence a type of connection established for a user, for example, a load-balanced or traffic-managed connection. A method of determining types of connections responsive to authentication information associated with a user would be desirable in providing access to proprietary resources in a networked environment.

SUMMARY OF THE INVENTION

In one aspect, a method for authenticating, by an appliance, a client to access a virtual network connection, based on an attribute of a client-side certificate, includes the step of requesting a client authentication certificate from a client. A value of at least one field in the client authentication certificate received from the client is identified. One of a plurality of types of access is assigned responsive to an application of a policy to the identified value of the at least one field, each of the plurality of access types associated with at least one connection characteristic.

In one embodiment, a client authentication certificate comprising a Secure Socket Layer (SSL) certificate is requested from the client. In another embodiment, the identified value of the at least one field identifies a username associated with a user of the client. In still another embodiment, the identified value of the at least one field identifies a group of users with which a user of the client is associated. In yet another embodiment, the identified value of the at least one field identifies a policy applicable to a user of the client.

In one embodiment, a user interface having a user name field displaying the identified value of the at least one field is displayed on the client. In another embodiment, a password is received from a user of the client via a password field of the user interface. In still another embodiment, a value of a second field in the client authentication certificate is identified. In yet another embodiment, authorization is granted based on the identified value of the second field.

In one embodiment, the user is authenticated to a first authentication service responsive to the identified value and to a password provided by the user of the client. In another embodiment, the first authentication service comprises an external authentication server. In still another embodiment, the first authentication service comprises an authentication database of the appliance. In yet another embodiment, the user is authenticated to a second authentication service.

In one embodiment, one of a plurality of types of access is assigned, the assigned type of access associated with a connection characteristic identifying an accelerated connection. In another embodiment, one of a plurality of types of access is assigned, the assigned type of access associated with a connection characteristic identifying a load-balanced connection. In still another embodiment, one of a plurality of types of access is assigned, the assigned type of access associated with a connection characteristic identifying a traffic-managed connection. In yet another embodiment, one of a plurality of types of access is assigned, the assigned type of access associated with a connection characteristic identifying a session-managed connection.

In another aspect, an appliance for authenticating a client to access a virtual private network connection based on an attribute of a client-side certificate comprises a means for requesting a client authentication certificate from a client. The appliance comprises a means for identifying a value of at least one field in the client authentication certificate received from the client. The appliance comprises a means for assigning one of a plurality of types of access responsive to application of a policy to the identified value of the at least one field, each of the plurality of access types associated with at least one connection characteristic.

DETAILED DESCRIPTION OF THE INVENTION

Prior to discussing the specifics of embodiments of the systems and methods of an appliance and/or client, it may be helpful to discuss the network and computing environments in which such embodiments may be deployed. Referring now toFIG. 1A, an embodiment of a network environment is depicted. In brief overview, the network environment comprises one or more clients102a-102n(also generally referred to as local machine(s)102, or client(s)102) in communication with one or more servers106a-106n(also generally referred to as server(s)106, or remote machine(s)106) via one or more networks104,104′ (generally referred to as network104). In some embodiments, a client102communicates with a server106via an appliance200.

AlthoughFIG. 1Ashows a network104and a network104′ between the clients102and the servers106, the clients102and the servers106may be on the same network104. The networks104and104′ can be the same type of network or different types of networks. The network104and/or the network104′ can be a local-area network (LAN), such as a company Intranet, a metropolitan area network (MAN), or a wide area network (WAN), such as the Internet or the World Wide Web. In one embodiment, network104′ may be a private network and network104may be a public network. In some embodiments, network104may be a private network and network104′ a public network. In another embodiment, networks104and104′ may both be private networks. In some embodiments, clients102may be located at a branch office of a corporate enterprise communicating via a WAN connection over the network104to the servers106located at a corporate data center.

The network104and/or104′ be any type and/or form of network and may include any of the following: a point to point network, a broadcast network, a wide area network, a local area network, a telecommunications network, a data communication network, a computer network, an ATM (Asynchronous Transfer Mode) network, a SONET (Synchronous Optical Network) network, a SDH (Synchronous Digital Hierarchy) network, a wireless network and a wireline network. In some embodiments, the network104may comprise a wireless link, such as an infrared channel or satellite band. The topology of the network104and/or104′ may be a bus, star, or ring network topology. The network104and/or104′ and network topology may be of any such network or network topology as known to those ordinarily skilled in the art capable of supporting the operations described herein.

As shown inFIG. 1A, the appliance200, which also may be referred to as an interface unit200or gateway200, is shown between the networks104and104′. In some embodiments, the appliance200may be located on network104. For example, a branch office of a corporate enterprise may deploy an appliance200at the branch office. In other embodiments, the appliance200may be located on network104′. For example, an appliance200may be located at a corporate data center. In yet another embodiment, a plurality of appliances200may be deployed on network104. In some embodiments, a plurality of appliances200may be deployed on network104′. In one embodiment, a first appliance200communicates with a second appliance200′. In other embodiments, the appliance200could be a part of any client102or server106on the same or different network104,104′ as the client102. One or more appliances200may be located at any point in the network or network communications path between a client102and a server106.

In one embodiment, the system may include multiple, logically-grouped servers106. In these embodiments, the logical group of servers may be referred to as a server farm38. In some of these embodiments, the serves106may be geographically dispersed. In some cases, a farm38may be administered as a single entity. In other embodiments, the server farm38comprises a plurality of server farms38. In one embodiment, the server farm executes one or more applications on behalf of one or more clients102.

The servers106within each farm38can be heterogeneous. One or more of the servers106can operate according to one type of operating system platform (e.g., WINDOWS NT, manufactured by Microsoft Corp. of Redmond, Wash.), while one or more of the other servers106can operate on according to another type of operating system platform (e.g., Unix or Linux). The servers106of each farm38do not need to be physically proximate to another server106in the same farm38. Thus, the group of servers106logically grouped as a farm38may be interconnected using a wide-area network (WAN) connection or medium-area network (MAN) connection. For example, a farm38may include servers106physically located in different continents or different regions of a continent, country, state, city, campus, or room. Data transmission speeds between servers106in the farm38can be increased if the servers106are connected using a local-area network (LAN) connection or some form of direct connection.

Servers106may be referred to as a file server, application server, web server, proxy server, or gateway server. In some embodiments, a server106may have the capacity to function as either an application server or as a master application server. In one embodiment, a server106may include an Active Directory. The clients102may also be referred to as client nodes or endpoints. In some embodiments, a client102has the capacity to function as both a client node seeking access to applications on a server and as an application server providing access to hosted applications for other clients102a-102n.

In some embodiments, a client102communicates with a server106. In one embodiment, the client102communicates directly with one of the servers106in a farm38. In another embodiment, the client102executes a program neighborhood application to communicate with a server106in a farm38. In still another embodiment, the server106provides the functionality of a master node. In some embodiments, the client102communicates with the server106in the farm38through a network104. Over the network104, the client102can, for example, request execution of various applications hosted by the servers106a-106nin the farm38and receive output of the results of the application execution for display. In some embodiments, only the master node provides the functionality required to identify and provide address information associated with a server106′ hosting a requested application.

In one embodiment, the server106provides functionality of a web server. In another embodiment, the server106areceives requests from the client102, forwards the requests to a second server106band responds to the request by the client102with a response to the request from the server106b. In still another embodiment, the server106acquires an enumeration of applications available to the client102and address information associated with a server106hosting an application identified by the enumeration of applications. In yet another embodiment, the server106presents the response to the request to the client102using a web interface. In one embodiment, the client102communicates directly with the server106to access the identified application. In another embodiment, the client102receives application output data, such as display data, generated by an execution of the identified application on the server106.

Referring now toFIG. 1B, a network environment for delivering and/or operating a computing environment on a client102is depicted. In some embodiments, a server106includes an application delivery system190for delivering a computing environment or an application and/or data file to one or more clients102. In brief overview, a client10is in communication with a server106via network104,104′ and appliance200. For example, the client102may reside in a remote office of a company, e.g., a branch office, and the server106may reside at a corporate data center. The client102comprises a client agent120, and a computing environment15. The computing environment15may execute or operate an application that accesses, processes or uses a data file. The computing environment15, application and/or data file may be delivered via the appliance200and/or the server106.

In some embodiments, the appliance200accelerates delivery of a computing environment15, or any portion thereof, to a client102. In one embodiment, the appliance200accelerates the delivery of the computing environment15by the application delivery system190. For example, the embodiments described herein may be used to accelerate delivery of a streaming application and data file processable by the application from a central corporate data center to a remote user location, such as a branch office of the company. In another embodiment, the appliance200accelerates transport layer traffic between a client102and a server106. The appliance200may provide acceleration techniques for accelerating any transport layer payload from a server106to a client102, such as: 1) transport layer connection pooling, 2) transport layer connection multiplexing, 3) transport control protocol buffering, 4) compression and 5) caching. In some embodiments, the appliance200provides load balancing of servers106in responding to requests from clients102. In other embodiments, the appliance200acts as a proxy or access server to provide access to the one or more servers106. In another embodiment, the appliance200provides a secure virtual private network connection from a first network104of the client102to the second network104′ of the server106, such as an SSL VPN connection. It yet other embodiments, the appliance200provides application firewall security, control and management of the connection and communications between a client102and a server106.

In some embodiments, the application delivery management system190provides application delivery techniques to deliver a computing environment to a desktop of a user, remote or otherwise, based on a plurality of execution methods and based on any authentication and authorization policies applied via a policy engine195. With these techniques, a remote user may obtain a computing environment and access to server stored applications and data files from any network connected device100. In one embodiment, the application delivery system190may reside or execute on a server106. In another embodiment, the application delivery system190may reside or execute on a plurality of servers106a-106n. In some embodiments, the application delivery system190may execute in a server farm38. In one embodiment, the server106executing the application delivery system190may also store or provide the application and data file. In another embodiment, a first set of one or more servers106may execute the application delivery system190, and a different server106nmay store or provide the application and data file. In some embodiments, each of the application delivery system190, the application, and data file may reside or be located on different servers. In yet another embodiment, any portion of the application delivery system190may reside, execute or be stored on or distributed to the appliance200, or a plurality of appliances.

The client102may include a computing environment15for executing an application that uses or processes a data file. The client102via networks104,104′ and appliance200may request an application and data file from the server106. In one embodiment, the appliance200may forward a request from the client102to the server106. For example, the client102may not have the application and data file stored or accessible locally. In response to the request, the application delivery system190and/or server106may deliver the application and data file to the client102. For example, in one embodiment, the server106may transmit the application as an application stream to operate in computing environment15on client102.

In some embodiments, the application delivery system190comprises any portion of the Citrix Access Suite™ by Citrix Systems, Inc., such as the MetaFrame or Citrix Presentation Server™ and/or any of the Microsoft® Windows Terminal Services manufactured by the Microsoft Corporation. In one embodiment, the application delivery system190may deliver one or more applications to clients102or users via a remote-display protocol or otherwise via remote-based or server-based computing. In another embodiment, the application delivery system190may deliver one or more applications to clients or users via steaming of the application.

In one embodiment, the application delivery system190includes a policy engine195for controlling and managing the access to, selection of application execution methods and the delivery of applications. In some embodiments, the policy engine195determines the one or more applications a user or client102may access. In another embodiment, the policy engine195determines how the application should be delivered to the user or client102, e.g., the method of execution. In some embodiments, the application delivery system190provides a plurality of delivery techniques from which to select a method of application execution, such as a server-based computing, streaming or delivering the application locally to the client120for local execution.

In one embodiment, a client102requests execution of an application program and the application delivery system190comprising a server106selects a method of executing the application program. In some embodiments, the server106receives credentials from the client102. In another embodiment, the server106receives a request for an enumeration of available applications from the client102. In one embodiment, in response to the request or receipt of credentials, the application delivery system190enumerates a plurality of application programs available to the client102. The application delivery system190receives a request to execute an enumerated application. The application delivery system190selects one of a predetermined number of methods for executing the enumerated application, for example, responsive to a policy of a policy engine. The application delivery system190may select a method of execution of the application enabling the client102to receive application-output data generated by execution of the application program on a server106. The application delivery system190may select a method of execution of the application enabling the local machine10to execute the application program locally after retrieving a plurality of application files comprising the application. In yet another embodiment, the application delivery system190may select a method of execution of the application to stream the application via the network104to the client102.

A client102may execute, operate or otherwise provide an application, which can be any type and/or form of software, program, or executable instructions such as any type and/or form of web browser, web-based client, client-server application, a thin-client computing client, an ActiveX control, or a Java applet, or any other type and/or form of executable instructions capable of executing on client102. In some embodiments, the application may be a server-based or a remote-based application executed on behalf of the client102on a server106. In one embodiments the server106may display output to the client102using any thin-client or remote-display protocol, such as the Independent Computing Architecture (ICA) protocol manufactured by Citrix Systems, Inc. of Ft. Lauderdale, Fla. or the Remote Desktop Protocol (RDP) manufactured by the Microsoft Corporation of Redmond, Wash. The application can use any type of protocol and it can be, for example, an HTTP client, an FTP client, an Oscar client, or a Telnet client. In other embodiments, the application comprises any type of software related to VoIP communications, such as a soft IP telephone. In further embodiments, the application comprises any application related to real-time data communications, such as applications for streaming video and/or audio.

In some embodiments, the server106or a server farm38may be running one or more applications, such as an application providing a thin-client computing or remote display presentation application. In one embodiment, the server106or server farm38executes as an application, any portion of the Citrix Access Suite™ by Citrix Systems, Inc., such as the MetaFrame or Citrix Presentation Server™, and/or any of the Microsoft® Windows Terminal Services manufactured by the Microsoft Corporation. In one embodiment, the application is an ICA client, developed by Citrix Systems, Inc. of Fort Lauderdale, Fla. In other embodiments, the application includes a Remote Desktop (RDP) client, developed by Microsoft Corporation of Redmond, Wash. Also, the server106may run an application, which for example, may be an application server providing email services such as Microsoft Exchange manufactured by the Microsoft Corporation of Redmond, Wash., a web or Internet server, or a desktop sharing server, or a collaboration server. In some embodiments, any of the applications may comprise any type of hosted service or products, such as GoToMeeting™ provided by Citrix Online Division, Inc. of Santa Barbara, Calif., WebEX™ provided by WebEx, Inc. of Santa Clara, Calif., or Microsoft Office Live Meeting provided by Microsoft Corporation of Redmond, Wash.

The client102, server106, and appliance200may be deployed as and/or executed on any type and form of computing device, such as a computer, network device or appliance capable of communicating on any type and form of network and performing the operations described herein.FIGS. 1C and 1Ddepict block diagrams of a computing device100useful for practicing an embodiment of the client102, server106or appliance200. As shown inFIGS. 1C and 1D, each computing device100includes a central processing unit121, and a main memory unit122. As shown inFIG. 1C, a computing device100may include a visual display device124, a keyboard126and/or a pointing device127, such as a mouse. Each computing device100may also include additional optional elements, such as one or more input/output devices130a-130b(generally referred to using reference numeral130), and a cache memory140in communication with the central processing unit121.

The central processing unit121is any logic circuitry that responds to and processes instructions fetched from the main memory unit122. In many embodiments, the central processing unit is provided by a microprocessor unit, such as: those manufactured by Intel Corporation of Mountain View, Calif.; those manufactured by Motorola Corporation of Schaumburg, Ill.; those manufactured by Transmeta Corporation of Santa Clara, Calif.; the RS/6000 processor, those manufactured by International Business Machines of White Plains, N.Y.; or those manufactured by Advanced Micro Devices of Sunnyvale, Calif. The computing device100may be based on any of these processors, or any other processor capable of operating as described herein.

Main memory unit122may be one or more memory chips capable of storing data and allowing any storage location to be directly accessed by the microprocessor121, such as Static random access memory (SRAM), Burst SRAM or SynchBurst SRAM (BSRAM), Dynamic random access memory (DRAM), Fast Page Mode DRAM (FPM DRAM), Enhanced DRAM (EDRAM), Extended Data Output RAM (EDO RAM), Extended Data Output DRAM (EDO DRAM), Burst Extended Data Output DRAM (BEDO DRAM), Enhanced DRAM (EDRAM), synchronous DRAM (SDRAM), JEDEC SRAM, PC 100 SDRAM, Double Data Rate SDRAM (DDR SDRAM), Enhanced SDRAM (ESDRAM), SyncLink DRAM (SLDRAM), Direct Rambus DRAM (DRDRAM), or Ferroelectric RAM (FRAM). The main memory122may be based on any of the above described memory chips, or any other available memory chips capable of operating as described herein. In the embodiment shown inFIG. 1C, the processor121communicates with main memory122via a system bus150(described in more detail below).FIG. 1Cdepicts an embodiment of a computing device100in which the processor communicates directly with main memory122via a memory port103. For example, inFIG. 1Dthe main memory122may be DRDRAM.

The computing device100may support any suitable installation device116, such as a floppy disk drive for receiving floppy disks such as 3.5-inch, 5.25-inch disks or ZIP disks, a CD-ROM drive, a CD-R/RW drive, a DVD-ROM drive, tape drives of various formats, USB device, hard-drive or any other device suitable for installing software and programs such as any client agent120, or portion thereof. The computing device100may further comprise a storage device128, such as one or more hard disk drives or redundant arrays of independent disks, for storing an operating system and other related software, and for storing application software programs such as any program related to the client agent120. Optionally, any of the installation devices116could also be used as the storage device128. Additionally, the operating system and the software can be run from a bootable medium, for example, a bootable CD, such as KNOPPIX®, a bootable CD for GNU/Linux that is available as a GNU/Linux distribution from knoppix.net.

Furthermore, the computing device100may include a network interface118to interface to a Local Area Network (LAN), Wide Area Network (WAN) or the Internet through a variety of connections including, but not limited to, standard telephone lines, LAN or WAN links (e.g., 802.11, T1, T3, 56 kb, X.25), broadband connections (e.g., ISDN, Frame Relay, ATM), wireless connections, or some combination of any or all of the above. The network interface118may comprise a built-in network adapter, network interface card, PCMCIA network card, card bus network adapter, wireless network adapter, USB network adapter, modem or any other device suitable for interfacing the computing device100to any type of network capable of communication and performing the operations described herein. A wide variety of I/O devices1106a-1106nmay be present in the computing device100. Input devices include keyboards, mice, trackpads, trackballs, microphones, and drawing tablets. Output devices include video displays, speakers, inkjet printers, laser printers, and dye-sublimation printers. The I/O devices may be controlled by an I/O controller123as shown inFIG. 1C. The I/O controller may control one or more I/O devices such as a keyboard126and a pointing device127, e.g., a mouse or optical pen. Furthermore, an I/O device may also provide storage128and/or an installation medium116for the computing device100. In still other embodiments, the computing device100may provide USB connections to receive handheld USB storage devices such as the USB Flash Drive line of devices manufactured by Twintech Industry, Inc. of Los Alamitos, Calif.

In some embodiments, the computing device100may comprise or be connected to multiple display devices124a-124n, which each may be of the same or different type and/or form. As such, any of the I/O devices130a-130nand/or the I/O controller123may comprise any type and/or form of suitable hardware, software, or combination of hardware and software to support, enable or provide for the connection and use of multiple display devices124a-124nby the computing device100. For example, the computing device100may include any type and/or form of video adapter, video card, driver, and/or library to interface, communicate, connect or otherwise use the display devices124a-124n. In one embodiment, a video adapter may comprise multiple connectors to interface to multiple display devices124a-124n. In other embodiments, the computing device100may include multiple video adapters, with each video adapter connected to one or more of the display devices124a-124n. In some embodiments, any portion of the operating system of the computing device100may be configured for using multiple displays124a-124n. In other embodiments, one or more of the display devices124a-124nmay be provided by one or more other computing devices, such as computing devices100aand100bconnected to the computing device100, for example, via a network. These embodiments may include any type of software designed and constructed to use another computer's display device as a second display device124afor the computing device100. One ordinarily skilled in the art will recognize and appreciate the various ways and embodiments that a computing device100may be configured to have multiple display devices124a-124n.

In other embodiments, the computing device100may have different processors, operating systems, and input devices consistent with the device. For example, in one embodiment the computer100is a Treo 180, 270, 1060, 600 or 650 smart phone manufactured by Palm, Inc. In this embodiment, the Treo smart phone is operated under the control of the PalmOS operating system and includes a stylus input device as well as a five-way navigator device. Moreover, the computing device100can be any workstation, desktop computer, laptop or notebook computer, server, handheld computer, mobile telephone, any other computer, or other form of computing or telecommunications device that is capable of communication and that has sufficient processor power and memory capacity to perform the operations described herein.

FIG. 2Ais a block diagram depicting one embodiment of an appliance200. The architecture of the appliance200inFIG. 2Ais provided by way of illustration only and is not intended to be limiting. As shown inFIG. 2, appliance200comprises a hardware layer206and a software layer divided into a user space202and a kernel space204.

Hardware layer206provides the hardware elements upon which programs and services within kernel space204and user space202are executed. Hardware layer206also provides the structures and elements which allow programs and services within kernel space204and user space202to communicate data both internally and externally with respect to appliance200. As shown inFIG. 2, the hardware layer206includes a processing unit262for executing software programs and services, a memory264for storing software and data, network ports266for transmitting and receiving data over a network, and an encryption processor260for performing functions related to Secure Sockets Layer processing of data transmitted and received over the network. In some embodiments, the central processing unit262may perform the functions of the encryption processor260in a single processor. Additionally, the hardware layer206may comprise multiple processors for each of the processing unit262and the encryption processor260. The processor262may include any of the processors121described above in connection withFIGS. 1C and 1D. In some embodiments, the central processing unit262may perform the functions of the encryption processor260in a single processor. Additionally, the hardware layer206may comprise multiple processors for each of the processing unit262and the encryption processor260. For example, in one embodiment, the appliance200comprises a first processor262and a second processor262′. In other embodiments, the processor262or262′ comprises a multi-core processor.

Although the hardware layer206of appliance200is generally illustrated with an encryption processor260, processor260may be a processor for performing functions related to any encryption protocol, such as the Secure Socket Layer (SSL) or Transport Layer Security (TLS) protocol. In some embodiments, the processor260may be a general purpose processor (GPP), and in further embodiments, may be have executable instructions for performing processing of any security related protocol.

Although the hardware layer206of appliance200is illustrated with certain elements inFIG. 2, the hardware portions or components of appliance200may comprise any type and form of elements, hardware or software, of a computing device, such as the computing device100illustrated and discussed herein in conjunction withFIGS. 1C and 1D. In some embodiments, the appliance200may comprise a server, gateway, router, switch, bridge or other type of computing or network device, and have any hardware and/or software elements associated therewith.

The operating system of appliance200allocates, manages, or otherwise segregates the available system memory into kernel space204and user space204. In example software architecture200, the operating system may be any type and/or form of Unix operating system although the invention is not so limited. As such, the appliance200can be running any operating system such as any of the versions of the Microsoft® Windows operating systems, the different releases of the Unix and Linux operating systems, any version of the Mac OS® for Macintosh computers, any embedded operating system, any network operating system, any real-time operating system, any open source operating system, any proprietary operating system, any operating systems for mobile computing devices or network devices, or any other operating system capable of running on the appliance200and performing the operations described herein.

The kernel space204is reserved for running the kernel230, including any device drivers, kernel extensions or other kernel related software. As known to those skilled in the art, the kernel230is the core of the operating system, and provides access, control, and management of resources and hardware-related elements of the appliance200. In accordance with an embodiment of the appliance200, the kernel space204also includes a number of network services or processes working in conjunction with a cache manager232, sometimes also referred to as the integrated cache, the benefits of which are described in detail further herein. Additionally, the embodiment of the kernel230will depend on the embodiment of the operating system installed, configured, or otherwise used by the device200.

In one embodiment, the device200comprises one network stack267, such as a TCP/IP based stack, for communicating with the client102and/or the server106. In one embodiment, the network stack267is used to communicate with a first network, such as network104, and with a second network104′. In some embodiments, the appliance200terminates a first transport layer connection, such as a TCP connection of a client102, and establishes a second transport layer connection to a server106for use by the client102, e.g., the second transport layer connection is terminated at the appliance200and the server106. The first and second transport layer connections may be established via a single network stack267. In other embodiments, the appliance200may comprise multiple network stacks, for example267and267′, and the first transport layer connection may be established or terminated at one network stack267, and the second transport layer connection on the second network stack267′. For example, one network stack may be for receiving and transmitting network packet on a first network, and another network stack for receiving and transmitting network packets on a second network. In one embodiment, the network stack267comprises a buffer243for queuing one or more network packets for transmission by the appliance200.

As shown inFIG. 2, the kernel space204includes the cache manager232, a high-speed layer 2-7 integrated packet engine240, an encryption engine234, a policy engine236and multi-protocol compression logic238. Running these components or processes232,240,234,236and238in kernel space204or kernel mode instead of the user space202improves the performance of each of these components, alone and in combination. Kernel operation means that these components or processes232,240,234,236and238run in the core address space of the operating system of the appliance200. For example, running the encryption engine234in kernel mode improves encryption performance by moving encryption and decryption operations to the kernel, thereby reducing the number of transitions between the memory space or a kernel thread in kernel mode and the memory space or a thread in user mode. For example, data obtained in kernel mode may not need to be passed or copied to a process or thread running in user mode, such as from a kernel level data structure to a user level data structure. In another aspect, the number of context switches between kernel mode and user mode are also reduced. Additionally, synchronization of and communications between any of the components or processes232,240,235,236and238can be performed more efficiently in the kernel space204.

In some embodiments, any portion of the components232,240,234,236and238may run or operate in the kernel space204, while other portions of these components232,240,234,236and238may run or operate in user space202. In one embodiment, the appliance200uses a kernel-level data structure providing access to any portion of one or more network packets, for example, a network packet comprising a request from a client102or a response from a server106. In some embodiments, the kernel-level data structure may be obtained by the packet engine240via a transport layer driver interface or filter to the network stack267. The kernel-level data structure may comprise any interface and/or data accessible via the kernel space204related to the network stack267, network traffic or packets received or transmitted by the network stack267. In other embodiments, the kernel-level data structure may be used by any of the components or processes232,240,234,236and238to perform the desired operation of the component or process. In one embodiment, a component232,240,234,236and238is running in kernel mode204when using the kernel-level data structure, while in another embodiment, the component232,240,234,236and238is running in user mode when using the kernel-level data structure. In some embodiments, the kernel-level data structure may be copied or passed to a second kernel-level data structure, or any desired user-level data structure.

The cache manager232may comprise software, hardware or any combination of software and hardware to provide cache access, control and management of any type and form of content, such as objects or dynamically generated objects served by the originating servers106. The data, objects or content processed and stored by the cache manager232may comprise data in any format, such as a markup language, or communicated via any protocol. In some embodiments, the cache manager232duplicates original data stored elsewhere or data previously computed, generated or transmitted, in which the original data may require longer access time to fetch, compute or otherwise obtain relative to reading a cache memory element. Once the data is stored in the cache memory element, future use can be made by accessing the cached copy rather than refetching or recomputing the original data, thereby reducing the access time. In some embodiments, the cache memory element nat comprise a data object in memory264of appliance200. In other embodiments, the cache memory element may comprise memory having a faster access time than memory264. In another embodiment, the cache memory element may comprise any type and form of storage element of the appliance200, such as a portion of a hard disk. In some embodiments, the processing unit262may provide cache memory for use by the cache manager232. In yet further embodiments, the cache manager232may use any portion and combination of memory, storage, or the processing unit for caching data, objects, and other content.

Furthermore, the cache manager232includes any logic, functions, rules, or operations to perform any embodiments of the techniques of the appliance200described herein. For example, the cache manager232includes logic or functionality to invalidate objects based on the expiration of an invalidation time period or upon receipt of an invalidation command from a client102or server106. In some embodiments, the cache manager232may operate as a program, service, process or task executing in the kernel space204, and in other embodiments, in the user space202. In one embodiment, a first portion of the cache manager232executes in the user space202while a second portion executes in the kernel space204. In some embodiments, the cache manager232can comprise any type of general purpose processor (GPP), or any other type of integrated circuit, such as a Field Programmable Gate Array (FPGA), Programmable Logic Device (PLD), or Application Specific Integrated Circuit (ASIC).

The policy engine236may include, for example, an intelligent statistical engine or other programmable application(s). In one embodiment, the policy engine236provides a configuration mechanism to allow a user to identifying, specify, define or configure a caching policy. Policy engine236, in some embodiments, also has access to memory to support data structures such as lookup tables or hash tables to enable user-selected caching policy decisions. In other embodiments, the policy engine236may comprise any logic, rules, functions or operations to determine and provide access, control and management of objects, data or content being cached by the appliance200in addition to access, control and management of security, network traffic, network access, compression or any other function or operation performed by the appliance200. Further examples of specific caching policies are further described herein.

The encryption engine234comprises any logic, business rules, functions or operations for handling the processing of any security related protocol, such as SSL or TLS, or any function related thereto. For example, the encryption engine234encrypts and decrypts network packets, or any portion thereof, communicated via the appliance200. The encryption engine234may also setup or establish SSL or TLS connections on behalf of the client102a-102n, server106a-106n, or appliance200. As such, the encryption engine234provides offloading and acceleration of SSL processing. In one embodiment, the encryption engine234uses a tunneling protocol to provide a virtual private network between a client102a-102nand a server106a-106n. In some embodiments, the encryption engine234is in communication with the encryption processor260. In other embodiments, the encryption engine234comprises executable instructions running on the encryption processor260.

The multi-protocol compression engine238comprises any logic, business rules, function or operations for compressing one or more protocols of a network packet, such as any of the protocols used by the network stack267of the device200. In one embodiment, multi-protocol compression engine238compresses bi-directionally between clients102a-102nand servers106a-106nany TCP/IP based protocol, including Messaging Application Programming Interface (MAPI) (email), File Transfer Protocol (FTP), HyperText Transfer Protocol (HTTP), Common Internet File System (CIFS) protocol (file transfer), Independent Computing Architecture (ICA) protocol, Remote Desktop Protocol (RDP), Wireless Application Protocol (WAP), Mobile IP protocol, and Voice Over IP (VoIP) protocol. In other embodiments, multi-protocol compression engine238provides compression of Hypertext Markup Language (HTML) based protocols and in some embodiments, provides compression of any markup languages, such as the Extensible Markup Language (XML). In one embodiment, the multi-protocol compression engine238provides compression of any high-performance protocol, such as any protocol designed for appliance200to appliance200communications. In another embodiment, the multi-protocol compression engine238compresses any payload of or any communication using a modified transport control protocol, such as Transaction TCP (T/TCP), TCP with selection acknowledgements (TCP-SACK), TCP with large windows (TCP-LW), a congestion prediction protocol such as the TCP-Vegas protocol, and a TCP spoofing protocol.

As such, the multi-protocol compression engine238accelerates performance for users accessing applications via desktop clients, e.g., Microsoft Outlook and non-Web thin clients, such as any client launched by popular enterprise applications like Oracle, SAP and Siebel, and even mobile clients, such as the Pocket PC. In some embodiments, the multi-protocol compression engine238by executing in the kernel mode204and integrating with packet processing engine240accessing the network stack267is able to compress any of the protocols carried by the TCP/IP protocol, such as any application layer protocol.

High speed layer 2-7 integrated packet engine240, also generally referred to as a packet processing engine or packet engine, is responsible for managing the kernel-level processing of packets received and transmitted by appliance200via network ports266. The high speed layer 2-7 integrated packet engine240may comprise a buffer for queuing one or more network packets during processing, such as for receipt of a network packet or transmission of a network packer. Additionally, the high speed layer 2-7 integrated packet engine240is in communication with one or more network stacks267to send and receive network packets via network ports266. The high speed layer 2-7 integrated packet engine240works in conjunction with encryption engine234, cache manager232, policy engine236and multi-protocol compression logic238. In particular, encryption engine234is configured to perform SSL processing of packets, policy engine236is configured to perform functions related to traffic management such as request-level content switching and request-level cache redirection, and multi-protocol compression logic238is configured to perform functions related to compression and decompression of data.

The high speed layer 2-7 integrated packet engine240includes a packet processing timer242. In one embodiment, the packet processing timer242provides one or more time intervals to trigger the processing of incoming, i.e., received, or outgoing, i.e., transmitted, network packets. In some embodiments, the high speed layer 2-7 integrated packet engine240processes network packets responsive to the timer242. The packet processing timer242provides any type and form of signal to the packet engine240to notify, trigger, or communicate a time related event, interval or occurrence. In many embodiments, the packet processing timer242operates in the order of milliseconds, such as for example 100 ms, 50 ms or 25 ms. For example, in some embodiments, the packet processing timer242provides time intervals or otherwise causes a network packet to be processed by the high speed layer 2-7 integrated packet engine240at a 10 ms time interval, while in other embodiments, at a 5 ms time interval, and still yet in further embodiments, as short as a 3, 2, or 1 ms time interval. The high speed layer 2-7 integrated packet engine240may be interfaced, integrated or in communication with the encryption engine234, cache manager232, policy engine236and multi-protocol compression engine238during operation. As such, any of the logic, functions, or operations of the encryption engine234, cache manager232, policy engine236and multi-protocol compression logic238may be performed responsive to the packet processing timer242and/or the packet engine240. Therefore, any of the logic, functions, or operations of the encryption engine234, cache manager232, policy engine236and multi-protocol compression logic238may be performed at the granularity of time intervals provided via the packet processing timer242, for example, at a time interval of less than or equal to 10 ms. For example, in one embodiment, the cache manager232may perform invalidation of any cached objects responsive to the high speed layer 2-7 integrated packet engine240and/or the packet processing timer242. In another embodiment, the expiry or invalidation time of a cached object can be set to the same order of granularity as the time interval of the packet processing timer242, such as at every 10 ms.

In contrast to kernel space204, user space202is the memory area or portion of the operating system used by user mode applications or programs otherwise running in user mode. A user mode application may not access kernel space204directly and uses service calls in order to access kernel services. As shown inFIG. 2, user space202of appliance200includes a graphical user interface (GUI)210, a command line interface (CLI)212, shell services214, health monitoring program216, and daemon services218. GUI210and CLI212provide a means by which a system administrator or other user can interact with and control the operation of appliance200, such as via the operating system of the appliance200and either is user space202or kernel space204. The GUI210may be any type and form of graphical user interface and may be presented via text, graphical or otherwise, by any type of program or application, such as a browser. The CLI212may be any type and form of command line or text-based interface, such as a command line provided by the operating system. For example, the CLI212may comprise a shell, which is a tool to enable users to interact with the operating system. In some embodiments, the CLI212may be provided via a bash, csh, tcsh, or ksh type shell. The shell services214comprises the programs, services, tasks, processes or executable instructions to support interaction with the appliance200or operating system by a user via the GUI210and/or CLI212.

Health monitoring program216is used to monitor, check, report and ensure that network systems are functioning properly and that users are receiving requested content over a network. Health monitoring program216comprises one or more programs, services, tasks, processes or executable instructions to provide logic, rules, functions or operations for monitoring any activity of the appliance200. In some embodiments, the health monitoring program216intercepts and inspects any network traffic passed via the appliance200. In other embodiments, the health monitoring program216interfaces by any suitable means and/or mechanisms with one or more of the following: the encryption engine234, cache manager232, policy engine236, multi-protocol compression logic238, packet engine240, daemon services218, and shell services214. As such, the health monitoring program216may call any application programming interface (API) to determine a state, status, or health of any portion of the appliance200. For example, the health monitoring program216may ping or send a status inquiry on a periodic basis to check if a program, process, service or task is active and currently running. In another example, the health monitoring program216may check any status, error or history logs provided by any program, process, service or task to determine any condition, status or error with any portion of the appliance200.

Daemon services218are programs that run continuously or in the background and handle periodic service requests received by appliance200. In some embodiments, a daemon service may forward the requests to other programs or processes, such as another daemon service218as appropriate. As known to those skilled in the art, a daemon service218may run unattended to perform continuous or periodic system wide functions, such as network control, or to perform any desired task. In some embodiments, one or more daemon services218run in the user space202, while in other embodiments, one or more daemon services218run in the kernel space.

Referring now toFIG. 2B, a block diagram depicts another embodiment of the appliance200. In brief overview, the appliance200provides one or more of the following services, functionality or operations: SSL VPN connectivity280, switching/load balancing284, Domain Name Service resolution286, acceleration288and an application firewall290for communications between one or more clients102and one or more servers106. In one embodiment, the appliance200comprises any of the network devices manufactured by Citrix Systems, Inc. of Ft. Lauderdale Fla., referred to as Citrix NetScaler devices. Each of the servers106may provide one or more network related services270a-270n(referred to as services270). For example, a server106may provide an http service270. The appliance200comprises one or more virtual servers or virtual internet protocol servers, referred to as a vServer, VIP server, or just VIP275a-275n(also referred to herein as vServer275). The vServer275receives, intercepts or otherwise processes communications between a client102and a server106in accordance with the configuration and operations of the appliance200.

The vServer275may comprise software, hardware or any combination of software and hardware. The vServer275may comprise any type and form of program, service, task, process or executable instructions operating in user mode202, kernel mode204or any combination thereof in the appliance200. The vServer275includes any logic, functions, rules, or operations to perform any embodiments of the techniques described herein, such as SSL VPN280, switching/load balancing284, Domain Name Service resolution286, acceleration288and an application firewall290. In some embodiments, the vServer275establishes a connection to a service270of a server106. The service275may comprise any program, application, process, task or set of executable instructions capable of connecting to and communicating to the appliance200, client102or vServer275. For example, the service270may comprise a web server, http server, ftp, email or database server. In some embodiments, the service270is a daemon process or network driver for listening, receiving and/or sending communications for an application, such as email, database or an enterprise application. In some embodiments, the service270may communicate on a specific IP address, or IP address and port.

In some embodiments, the vServer275applies one or more policies of the policy engine236to network communications between the client102and server106. In one embodiment, the policies are associated with a VServer275. In another embodiment, the policies are based on a user, or a group of users. In yet another embodiment, a policy is global and applies to one or more vServers275a-275n, and any user or group of users communicating via the appliance200. In some embodiments, the policies of the policy engine have conditions upon which the policy is applied based on any content of the communication, such as internet protocol address, port, protocol type, header or fields in a packet, or the context of the communication, such as user, group of the user, vServer275, transport layer connection, and/or identification or attributes of the client102or server106.

In other embodiments, the appliance200communicates or interfaces with the policy engine236to determine authentication and/or authorization of a remote user or a remote client102to access the computing environment15, application, and/or data file from a server106. In another embodiment, the appliance200communicates or interfaces with the policy engine236to determine authentication and/or authorization of a remote user or a remote client102to have the application delivery system190deliver one or more of the computing environment15, application, and/or data file. In yet another embodiment, the appliance200establishes a VPN or SSL VPN connection based on the policy engine's236authentication and/or authorization of a remote user or a remote client102. In one embodiment, the appliance200controls the flow of network traffic and communication sessions based on policies of the policy engine236. For example, the appliance200may control the access to a computing environment15, application or data file based on the policy engine236.

In some embodiments, the vServer275establishes a transport layer connection, such as a TCP or UDP connection with a client102via the client agent120. In one embodiment, the vServer275listens for and receives communications from the client102. In other embodiments, the vServer275establishes a transport layer connection, such as a TCP or UDP connection with a server106. In one embodiment, the vServer275establishes the transport layer connection to an internet protocol address and port of a server270running on the server106. In another embodiment, the vServer275associates a first transport layer connection to a client102with a second transport layer connection to the server106. In some embodiments, a vServer275establishes a pool of transport layer connections to a server106and multiplexes client requests via the pooled transport layer connections.

In some embodiments, the appliance200provides an SSL VPN connection280between a client102and a server106. For example, a client102on a first network104requests to establish a connection to a server106on a second network104′. In some embodiments, the second network104′ is not routable from the first network104. In other embodiments, the client102is on a public network104and the server106is on a private network104′, such as a corporate network. In one embodiment, the client agent120intercepts communications of the client102on the first network104, encrypts the communications, and transmits the communications via a first transport layer connection to the appliance200. The appliance200associates the first transport layer connection on the first network104to a second transport layer connection to the server106on the second network104. The appliance200receives the intercepted communication from the client agent102, decrypts the communications, and transmits the communication to the server106on the second network104via the second transport layer connection. The second transport layer connection may be a pooled transport layer connection. As such, the appliance200provides an end-to-end secure transport layer connection for the client102between the two networks104,104′.

In one embodiment, the appliance200hosts an intranet internet protocol, or intranetIP,282address of the client102on the virtual private network104. The client102has a local network identifier, such as an internet protocol (IP) address and/or host name on the first network104. When connected to the second network104′ via the appliance200, the appliance200establishes, assigns or otherwise provides an IntranetIP, which is a network identifier, such as IP address and/or host name, for the client102on the second network104′. The appliance200listens for and receives on the second or private network104′ any communications directed towards the client102using the client's established IntranetIP282. In one embodiment, the appliance200acts as or on behalf of the client102on the second private network104. For example, in another embodiment, a vServer275listens for and responds to communications to the IntranetIP282of the client102. In some embodiments, if a computing device100on the second network104′ transmits a request, the appliance200processes the request as if it were the client102. For example, the appliance200may respond to a ping to the client's IntranetIP282. In another example, the appliance may establish a connection, such as a TCP or UDP connection, with computing device100on the second network104requesting a connection with the client's IntranetIP282.

In some embodiments, the appliance200provides one or more of the following acceleration techniques288to communications between the client102and server106: 1) compression; 2) decompression; 3) Transmission Control Protocol pooling; 4) Transmission Control Protocol multiplexing; 5) Transmission Control Protocol buffering; and 6) caching. In one embodiment, the appliance200relieves servers106of much of the processing load caused by repeatedly opening and closing transport layers connections to clients102by opening one or more transport layer connections with each server106and maintaining these connections to allow repeated data accesses by clients via the Internet. This technique is referred to herein as “connection pooling”.

In some embodiments, in order to seamlessly splice communications from a client102to a server106via a pooled transport layer connection, the appliance200translates or multiplexes communications by modifying sequence number and acknowledgment numbers at the transport layer protocol level. This is referred to as “connection multiplexing”. In some embodiments, no application layer protocol interaction is required. For example, in the case of an in-bound packet (that is, a packet received from a client102), the source network address of the packet is changed to that of an output port of appliance200, and the destination network address is changed to that of the intended server. In the case of an outbound packet (that is, one received from a server106), the source network address is changed from that of the server106to that of an output port of appliance200and the destination address is changed from that of appliance200to that of the requesting client102. The sequence numbers and acknowledgment numbers of the packet are also translated to sequence numbers and acknowledgement expected by the client102on the appliance's200transport layer connection to the client102. In some embodiments, the packet checksum of the transport layer protocol is recalculated to account for these translations.

In another embodiment, the appliance200provides switching or load-balancing functionality284for communications between the client102and server106. In some embodiments, the appliance200distributes traffic and directs client requests to a server106based on layer 4 or application-layer request data. In one embodiment, although the network layer or layer 2 of the network packet identifies a destination server106, the appliance200determines the server106to distribute the network packet by application information and data carried as payload of the transport layer packet. In one embodiment, the health monitoring programs216of the appliance200monitor the health of servers to determine the server106for which to distribute a client's request. In some embodiments, if the appliance200detects a server106is not available or has a load over a predetermined threshold, the appliance200can direct or distribute client requests to another server106.

In some embodiments, the appliance200acts as a Domain Name Service (DNS) resolver or otherwise provides resolution of a DNS request from clients102. In some embodiments, the appliance intercepts' a DNS request transmitted by the client102. In one embodiment, the appliance200responds to a client's DNS request with an IP address of or hosted by the appliance200. In this embodiment, the client102transmits network communication for the domain name to the appliance200. In another embodiment, the appliance200responds to a client's DNS request with an IP address of or hosted by a second appliance200′. In some embodiments, the appliance200responds to a client's DNS request with an IP address of a server106determined by the appliance200.

In yet another embodiment, the appliance200provides application firewall functionality290for communications between the client102and server106. In one embodiment, the policy engine236provides rules for detecting and blocking illegitimate requests. In some embodiments, the application firewall290protects against denial of service (DoS) attacks. In other embodiments, the appliance inspects the content of intercepted requests to identify and block application-based attacks. In some embodiments, the rules/policy engine236comprises one or more application firewall or security control policies for providing protections against various classes and types of web or Internet based vulnerabilities, such as one or more of the following: 1) buffer overflow, 2) CGI-BIN parameter manipulation, 3) form/hidden field manipulation, 4) forceful browsing, 5) cookie or session poisoning, 6) broken access control list (ACLs) or weak passwords, 7) cross-site scripting (XSS), 8) command injection, 9) SQL injection, 10) error triggering sensitive information leak, 11) insecure use of cryptography, 12) server misconfiguration, 13) back doors and debug options, 14) website defacement, 15) platform or operating systems vulnerabilities, and 16) zero-day exploits. In an embodiment, the application firewall290provides HTML form field protection in the form of inspecting or analyzing the network communication for one or more of the following: 1) required fields are returned, 2) no added field allowed, 3) read-only and hidden field enforcement, 4) drop-down list and radio button field conformance, and 5) form-field max-length enforcement. In some embodiments, the application firewall290ensures cookies are not modified. In other embodiments, the application firewall290protects against forceful browsing by enforcing legal URLs.

In still yet other embodiments, the application firewall290protects any confidential information contained in the network communication. The application firewall290may inspect or analyze any network communication in accordance with the rules or polices of the engine236to identify any confidential information in any field of the network packet. In some embodiments, the application firewall290identifies in the network communication one or more occurrences of a credit card number, password, social security number, name, patient code, contact information, and age. The encoded portion of the network communication may comprise these occurrences or the confidential information. Based on these occurrences, in one embodiment, the application firewall290may take a policy action on the network communication, such as prevent transmission of the network communication. In another embodiment, the application firewall290may rewrite, remove or otherwise mask such identified occurrence or confidential information.

Referring now toFIG. 3, an embodiment of the client agent120is depicted. The client102includes a client agent120for establishing and exchanging communications with the appliance200and/or server106via a network104. In brief overview, the client102operates on computing device100having an operating system with a kernel mode302and a user mode303, and a network stack310with one or more layers310a-310b. The client102may have installed and/or execute one or more applications. In some embodiments, one or more applications may communicate via the network stack310to a network104. One of the applications, such as a web browser, may also include a first program322. For example, the first program322may be used in some embodiments to install and/or execute the client agent120, or any portion thereof. The client agent120includes an interception mechanism, or interceptor350, for intercepting network communications from the network stack310from the one or more applications.

The network stack310of the client102may comprise any type and form of software, or hardware, or any combinations thereof, for providing connectivity to and communications with a network. In one embodiment, the network stack310comprises a software implementation for a network protocol suite. The network stack310may comprise one or more network layers, such as any networks layers of the Open Systems Interconnection (OSI) communications model as those skilled in the art recognize and appreciate. As such, the network stack310may comprise any type and form of protocols for any of the following layers of the OSI model: 1) physical link layer, 2) data link layer, 3) network layer, 4) transport layer, 5) session layer, 6) presentation layer, and 7) application layer. In one embodiment, the network stack310may comprise a transport control protocol (TCP) over the network layer protocol of the internet protocol (IP), generally referred to as TCP/IP. In some embodiments, the TCP/IP protocol may be carried over the Ethernet protocol, which may comprise any of the family of IEEE wide-area-network (WAN) or local-area-network (LAN) protocols, such as those protocols covered by the IEEE 802.3. In some embodiments, the network stack310comprises any type and form of a wireless protocol, such as IEEE 802.11 and/or mobile internet protocol.

In view of a TCP/IP based network, any TCP/IP based protocol may be used, including Messaging Application Programming Interface (MAPI) (email), File Transfer Protocol (FTP), HyperText Transfer Protocol (HTTP), Common Internet File System (CIFS) protocol (file transfer), Independent Computing Architecture (ICA) protocol, Remote Desktop Protocol (RDP), Wireless Application Protocol (WAP), Mobile IP protocol, and Voice Over IP (VoIP) protocol. In another embodiment, the network stack310comprises any type and form of transport control protocol, such as a modified transport control protocol, for example a Transaction TCP (T/TCP), TCP with selection acknowledgements (TCP-SACK), TCP with large windows (TCP-LW), a congestion prediction protocol such as the TCP-Vegas protocol, and a TCP spoofing protocol. In other embodiments, any type and form of user datagram protocol (UDP), such as UDP over IP, may be used by the network stack310, such as for voice communications or real-time data communications.

Furthermore, the network stack310may include one or more network drivers supporting the one or more layers, such as a TCP driver or a network layer driver. The network drivers may be included as part of the operating system of the computing device100or as part of any network interface cards or other network access components of the computing device100. In some embodiments, any of the network drivers of the network stack310may be customized, modified or adapted to provide a custom or modified portion of the network stack310in support of any of the techniques described herein. In other embodiments, the acceleration program120is designed and constructed to operate with or work in conjunction with the network stack310installed or otherwise provided by the operating system of the client102.

The network stack310comprises any type and form of interfaces for receiving, obtaining, providing or otherwise accessing any information and data related to network communications of the client102. In one embodiment, an interface to the network stack310comprises an application programming interface (API). The interface may also comprise any function call, hooking or filtering mechanism, event or call back mechanism, or any type of interfacing technique. The network stack310via the interface may receive or provide any type and form of data structure, such as an object, related to functionality or operation of the network stack310. For example, the data structure may comprise information and data related to a network packet or one or more network packets. In some embodiments, the data structure comprises a portion of the network packet processed at a protocol layer of the network stack310, such as a network packet of the transport layer. In some embodiments, the data structure325comprises a kernel-level data structure, while in other embodiments, the data structure325comprises a user-mode data structure. A kernel-level data structure may comprise a data structure obtained or related to a portion of the network stack310operating in kernel-mode302, or a network driver or other software running in kernel-mode302, or any data structure obtained or received by a service, process, task, thread or other executable instructions running or operating in kernel-mode of the operating system.

Additionally, some portions of the network stack310may execute or operate in kernel-mode302, for example, the data link or network layer, while other portions execute or operate in user-mode303, such as an application layer of the network stack310. For example, a first portion310aof the network stack may provide user-mode access to the network stack310to an application while a second portion310aof the network stack310provides access to a network. In some embodiments, a first portion310aof the network stack may comprise one or more upper layers of the network stack310, such as any of layers 5-7. In other embodiments, a second portion310bof the network stack310comprises one or more lower layers, such as any of layers 1-4. Each of the first portion310aand second portion310bof the network stack310may comprise any portion of the network stack310, at any one or more network layers, in user-mode203, kernel-mode,202, or combinations thereof, or at any portion of a network layer or interface point to a network layer or any portion of or interface point to the user-mode203and kernel-mode203.

The interceptor350may comprise software, hardware, or any combination of software and hardware. In one embodiment, the interceptor350intercept a network communication at any point in the network stack310, and redirects or transmits the network communication to a destination desired, managed or controlled by the interceptor350or client agent120. For example, the interceptor350may intercept a network communication of a network stack310of a first network and transmit the network communication to the appliance200for transmission on a second network104. In some embodiments, the interceptor350comprises any type interceptor350comprises a driver, such as a network driver constructed and designed to interface and work with the network stack310. In some embodiments, the client agent120and/or interceptor350operates at one or more layers of the network stack310, such as at the transport layer. In one embodiment, the interceptor350comprises a filter driver, hooking mechanism, or any form and type of suitable network driver interface that interfaces to the transport layer of the network stack, such as via the transport driver interface (TDI). In some embodiments, the interceptor350interfaces to a first protocol layer, such as the transport layer and another protocol layer, such as any layer above the transport protocol layer, for example, an application protocol layer. In one embodiment, the interceptor350may comprise a driver complying with the Network Driver Interface Specification (NDIS), or a NDIS driver. In another embodiment, the interceptor350may comprise a mini-filter or a mini-port driver. In one embodiment, the interceptor350, or portion thereof, operates in kernel-mode202. In another embodiment, the interceptor350, or portion thereof, operates in user-mode203. In some embodiments, a portion of the interceptor350operates in kernel-mode202while another portion of the interceptor350operates in user-mode203. In other embodiments, the client agent120operates in user-mode203but interfaces via the interceptor350to a kernel-mode driver, process, service, task or portion of the operating system, such as to obtain a kernel-level data structure225. In further embodiments, the interceptor350is a user-mode application or program, such as application.

In one embodiment, the interceptor350intercepts any transport layer connection requests. In these embodiments, the interceptor350execute transport layer application programming interface (API) calls to set the destination information, such as destination IP address and/or port to a desired location for the location. In this manner, the interceptor350intercepts and redirects the transport layer connection to a IP address and port controlled or managed by the interceptor350or client agent120. In one embodiment, the interceptor350sets the destination information for the connection to a local IP address and port of the client102on which the client agent120is listening. For example, the client agent120may comprise a proxy service listening on a local IP address and port for redirected transport layer communications. In some embodiments, the client agent120then communicates the redirected transport layer communication to the appliance200.

In some embodiments, the interceptor350intercepts a Domain Name Service (DNS) request. In one embodiment, the client agent120and/or interceptor350resolves the DNS request. In another embodiment, the interceptor transmits the intercepted DNS request to the appliance200for DNS resolution. In one embodiment, the appliance200resolves the DNS request and communicates the DNS response to the client agent120. In some embodiments, the appliance200resolves the DNS request via another appliance200′ or a DNS server106.

In yet another embodiment, the client agent120may comprise two agents120and120′. In one embodiment, a first agent120may comprise an interceptor350operating at the network layer of the network stack310. In some embodiments, the first agent120intercepts network layer requests such as Internet Control Message Protocol (ICMP) requests (e.g., ping and traceroute). In other embodiments, the second agent120′ may operate at the transport layer and intercept transport layer communications. In some embodiments, the first agent120intercepts communications at one layer of the network stack210and interfaces with or communicates the intercepted communication to the second agent120′.

The client agent120and/or interceptor350may operate at or interface with a protocol layer in a manner transparent to any other protocol layer of the network stack310. For example, in one embodiment, the interceptor350operates or interfaces with the transport layer of the network stack310transparently to any protocol layer below the transport layer, such as the network layer, and any protocol layer above the transport layer, such as the session, presentation or application layer protocols. This allows the other protocol layers of the network stack310to operate as desired and without modification for using the interceptor350. As such, the client agent120and/or interceptor350can interface with the transport layer to secure, optimize, accelerate, route or load-balance any communications provided via any protocol carried by the transport layer, such as any application layer protocol over TCP/IP.

Furthermore, the client agent120and/or interceptor may operate at or interface with the network stack310in a manner transparent to any application, a user of the client102, and any other computing device, such as a server, in communications with the client102. The client agent120and/or interceptor350may be installed and/or executed on the client102in a manner without modification of an application. In some embodiments, the user of the client102or a computing device in communications with the client102are not aware of the existence, execution or operation of the client agent120and/or interceptor350. As such, in some embodiments, the client agent120and/or interceptor350is installed, executed, and/or operated transparently to an application, user of the client102, another computing device, such as a server, or any of the protocol layers above and/or below the protocol layer interfaced to by the interceptor350.

The client agent120includes an acceleration program302, a streaming client306, and/or a collection agent304. In one embodiment, the client agent120comprises an Independent Computing Architecture (ICA) client, or any portion thereof, developed by Citrix Systems, Inc. of Fort Lauderdale, Fla., and is also referred to as an ICA client. Other embodiments of the application client include a Remote Display Protocol (RDP) client, developed by Microsoft Corporation of Redmond, Wash., an X-Windows client, a client-side player, interpreter or simulator capable of executing multimedia applications, email, Java, or .NET code. Moreover, in one embodiment the output of an application executing on the server106can be displayed at the client102via the ICA client.

In some embodiments, the client120comprises an application streaming client306for streaming an application from a server106to a client102. In some embodiments, the client agent120comprises an acceleration program302for accelerating communications between client102and server106. In another embodiment, the client agent120includes a collection agent304for performing end-point detection/scanning and collecting end-point information for the appliance200and/or server106.

In some embodiments, the acceleration program302comprises a client-side acceleration program for performing one or more acceleration techniques to accelerate, enhance or otherwise improve a client's communications with and/or access to a server106, such as accessing an application provided by a server106. The logic, functions, and/or operations of the executable instructions of the acceleration program302may perform one or more of the following acceleration techniques: 1) multi-protocol compression, 2) transport control protocol pooling, 3) transport control protocol multiplexing, 4) transport control protocol buffering, and 5) caching via a cache manager Additionally, the acceleration program302may perform encryption and/or decryption of any communications received and/or transmitted by the client102. In some embodiments, the acceleration program302performs one or more of the acceleration techniques in an integrated manner or fashion. Additionally, the acceleration program302can perform compression on any of the protocols, or multiple-protocols, carried as payload of network packet of the transport layer protocol

The streaming client306comprises an application, program, process, service, task or executable instructions for receiving and executing a streamed application from a server106. A server106may stream one or more application data files to the streaming client306for playing, executing or otherwise causing to be executed the application on the client102. In some embodiments, the server106transmits a set of compressed or packaged application data files to the streaming client306. In some embodiments, the plurality of application files are compressed and stored on a file server within an archive file such as a CAB, ZIP, SIT, TAR, JAR or other archive. In one embodiment, the server106decompresses, unpackages or unarchives the application files and transmits the files to the client102. In another embodiment, the client102decompresses, unpackages or unarchives the application files. The streaming client306dynamically installs the application, or portion thereof, and executes the application. In one embodiment, the streaming client306may be an executable program. In some embodiments, the streaming client306may be able to launch another executable program.

The collection agent304comprises an application, program, process, service, task or executable instructions for identifying, obtaining and/or collecting information about the client102. In some embodiments, the appliance200transmits the collection agent304to the client102or client agent120. The collection agent304may be configured according to one or more policies of the policy engine236of the appliance. In other embodiments, the collection agent304transmits collected information on the client102to the appliance200. In one embodiment, the policy engine236of the appliance200uses the collected information to determine and provide access, authentication and authorization control of the client's connection to a network104.

In one embodiment, the collection agent304comprises an end-point detection and scanning mechanism, which identifies and determines one or more attributes or characteristics of the client. For example, the collection agent304may identify and determine any one or more of the following client-side attributes: 1) the operating system an/or a version of an operating system, 2) a service pack of the operating system, 3) a running service, 4) a running process, and 5) a file. The collection agent304may also identify and determine the presence or versions of any one or more of the following on the client: 1) antivirus software, 2) personal firewall software, 3) anti-spam software, and 4) internet security software. The policy engine236may have one or more policies based on any one or more of the attributes or characteristics of the client or client-side attributes.

In some embodiments and still referring toFIG. 3, a first program322may be used to install and/or execute the client agent120, or portion thereof, such as the interceptor350, automatically, silently, transparently, or otherwise. In one embodiment, the first program322comprises a plugin component, such an ActiveX control or Java control or script that is loaded into and executed by an application. For example, the first program comprises an ActiveX control loaded and run by a web browser application, such as in the memory space or context of the application. In another embodiment, the first program322comprises a set of executable instructions loaded into and run by the application, such as a browser. In one embodiment, the first program322comprises a designed and constructed program to install the client agent120. In some embodiments, the first program322obtains, downloads, or receives the client agent120via the network from another computing device. In another embodiment, the first program322is an installer program or a plug and play manager for installing programs, such as network drivers, on the operating system of the client102.

Communication between a program neighborhood-enabled client102and a server106may occur over a dedicated virtual channel that is established on top of an ICA virtual channel. In other embodiments, the communication occurs using an XML service. In still other embodiments, the client102runs a client-side dialog that acquires the credentials of a user of the client102. In some embodiments, a user management subsystem on a server106receiving the credentials of the user may return a set of distinguished names representing the list of accounts to which the user belongs. Upon authentication, the server106may establish a program neighborhood virtual channel, a control channel, or other communications channel. In some embodiments, an acceleration program302may also be transmitted to the client102in response to a client102request.

C. A Method and Appliance for Authenticating, by an Appliance, a Client to Access a Virtual Private Network Connection Based on an Attribute of a Client-Side Certificate

In some embodiments, a client102may use the client agent120to browse farms38, servers106, and applications in the farms38. In one embodiment, each server106includes an ICA browsing subsystem to provide the client102with browsing capability. After the client102establishes a connection with the ICA browser subsystem of any of the servers106, that browser subsystem supports a variety of client102requests. Such requests include: (1) enumerating names of servers in the farm, (2) enumerating names of applications published in the farm, (3) resolving a server name and/or application name to a server address that is useful to the client102. The ICA browser subsystem also supports requests made by clients102running a program neighborhood application that provides the client102, upon request, with a view of those applications within the farm38for which the user is authorized. The ICA browser subsystem260forwards all of the above-mentioned client requests to the appropriate subsystem in the server106.

In one embodiment, a user of the client102selects an application for execution from a received enumeration of available applications. In another embodiment, the user selects an application for execution independent of the received enumeration. In some embodiments, the user selects an application for execution by selecting a graphical representation of the application presented on the client102by a client agent120. In other embodiments, the user selects an application for execution by selecting a graphical representation of the application presented to the user on a web server or other server106. In some embodiments, an appliance200or acceleration program302accelerates delivery of the graphical representation. In some embodiments, an appliance200caches or stores the graphical representation. In some embodiments an appliance200may cache or store any and all of the associated applications or portions of the associated applications.

In some embodiments, when a client102connects to the network104, the user of the client102provides user credentials. User credentials may include the username of a user of the client102, the password of the user, and the domain name for which the user is authorized. Alternatively, the user credentials may be obtained from smart cards, time-based tokens, social security numbers, user passwords, personal identification (PIN) numbers, digital certificates based on symmetric key or elliptic curve cryptography, biometric characteristics of the user, or any other means by which the identification of the user of the client102can be obtained and submitted for authentication. The server106responding to the client102can authenticate the user based on the user credentials.

In some embodiments, the client102provides credentials upon making a request for execution of an application to a server106, directly or through an appliance200. In one of these embodiments, the client102requests access to an application residing on a server106. In another of these embodiments, the client102requests access to a network on which a desired resource resides. In other embodiments, the client102provides credentials upon making a request for a connection to an appliance200. In one of these embodiments, the client102requests access to a virtual private network. In another of these embodiments, the client102requests a network address on the virtual private network. In still another of these embodiments, the client102initiates a connection to the appliance200.

In some embodiments, the user provides credentials to the server106or appliance200via a graphical user interface presented to the client102by the server106or appliance200. In other embodiments, a server106or appliance200having the functionality of a web server provides the graphical user interface to the client102. In still other embodiments, a collection agent transmitted to the client102by the server106or appliance200gathers the credentials from the client102.

In one embodiment, a credential refers to a username and password. In another embodiment, a credential is not limited to a username and password but includes, without limitation, a machine ID of the client102, operating system type, existence of a patch to an operating system, MAC addresses of installed network cards, a digital watermark on the client device, membership in an Active Directory, existence of a virus scanner, existence of a personal firewall, an HTTP header, browser type, device type, network connection information such as internet protocol address or range of addresses, machine ID of the server106, date or time of access request including adjustments for varying time zones, and authorization credentials.

In some embodiments, a credential associated with a client102is associated with a user of the client102. In one of these embodiments, the credential is information possessed by the user. In another of these embodiments, the credential is user authentication information. In other embodiments, a credential associated with a client is associated with a network. In one of these embodiments, the credential is information associated with a network to which the client may connect. In another of these embodiments, the credential is information associated with a network collecting information about the client. In still other embodiments, a credential associated with a client is a characteristic of the client.

In some embodiments, the user authentication performed by the server106or appliance200may suffice to authorize the use of each hosted application program presented to the client102, although such applications may reside at another server106′. Accordingly, when the client102launches (i.e., initiates execution of) one of the hosted applications, additional input of user credentials by the client102may be unnecessary to authenticate use of that application. Thus, a single entry of the user credentials may serve to determine the available applications and to authorize the launching of such applications without an additional, manual log-on authentication process by the user.

In one embodiment, an appliance200receives a request for access to a resource from a client102. In another embodiment, the appliance200receives a request for access to a virtual private network. In still another embodiment, the appliance200makes a determination as to whether to grant access and what level of access to grant. In yet another embodiment, the appliance200makes a determination as to what type of connection to establish when providing the client with access to the application.

In some embodiments, decisions regarding whether and how to grant a user access to a requested resource are made responsive to determinations by a policy engine regarding whether and how a client102may access an application. In one of these embodiments, a decision regarding a level of access is made responsive to a policy engine determination. In another of these embodiments, a decision regarding a type of access is made responsive to a policy engine determination. In still another of these embodiments, a decision regarding a type of connection is made responsive to a policy engine determination. The policy engine may collect information about the client102prior to making the determination. In some embodiments, the policy engine resides on the appliance200. In other embodiments, the appliance200is in communication with a police engine residing on a server106.

Referring now toFIG. 4, a block diagram depicts one embodiment of an appliance for authenticating a client to access a virtual private network connection, based on an attribute of a client-side certificate. In brief overview, the appliance includes a means for requesting a certificate (402), a means for identifying a value in a certificate (404), and a means for assigning an access type (406). The means for requesting the certificate402requests a client authentication certificate. The means for identifying the value in the certificate404identifies a value of at least one field in the client authentication certificate received from the client. The means for assigning an access type406assigns one of a plurality of types of access responsive to an application of a policy to the identified value of the at least one field, each of the plurality of access types associated with at least one connection characteristic.

In some embodiments, as depicted in shadow inFIG. 4, the means for requesting a certificate402, the means for identifying a value in a certificate404, and the means for assigning an access type406reside on the policy engine236in the appliance200. In one of these embodiments, the means for requesting a certificate402comprises a transmitter sending the request to the client102over a control connection. In another of these embodiments, the means for identifying a value in a certificate404comprises a certificate inspector extracting a value of a field in a certificate. In still another of these embodiments, the means for assigning an access type406comprises a policy application component accessing a policy database to assign the access type.

The means for requesting the certificate402requests a client authentication certificate. In one embodiment, the means for requesting the certificate402further comprises a means for requesting from a client a client authentication certificate comprising a Secure Socket Layer (SSL) certificate. In another embodiment, the means for requesting the certificate402further comprises a means for requesting from a client a client authentication certificate comprising an X.509 certificate. In still another embodiment, the means for requesting the certificate402further comprises a means for requesting from a client a client authentication certificate comprising a certificate by an administrator or user.

In one embodiment, the means for requesting the certificate402further comprises a means for denying authentication of a user of the client if the client authentication certificate is not received. In still another embodiment, the means for requesting further the certificate402comprises a means for requesting the client authentication certificate from the client in response to a failed authentication attempt by a user of the client.

In one embodiment, the means for requesting the certificate402can comprise logic, functions or operations, software, hardware or any combination of software and hardware to request a client authentication certificate from the client102. In another embodiment, the means for requesting the certificate402can comprise any type and form of application, program, service, process, task, thread or executable instruction. In still another embodiment, the means for requesting the certificate402may comprise any component or portion of the appliance200, as illustrated inFIG. 2A. In yet another embodiment, the means for requesting the certificate402resides in the policy engine236on the appliance200. In a further embodiment, the means for requesting the certificate402is a transmitter residing on the appliance200and communicating with the client102over a control connection.

In one embodiment, the means for requesting the certificate402further comprises a means for identifying a value of a field, the value identifying a user name associated with a user of the client. In another embodiment, the means for requesting the certificate402further comprises a means for identifying a value of a field, the value identifying a group of users with which a user of the client is associated. In still another embodiment, the means for requesting the certificate402includes a means for identifying a value of a field, the value identifying a policy applicable to a user of the client.

In one embodiment, the means for requesting the certificate402further comprises a means for identifying a value of a field, the value identifying a network address of the client102. In another embodiment, the means for requesting the certificate402further comprises a means for identifying a value of a field, the value identifying an application executing on the client102. In still another embodiment, the means for requesting the certificate402further comprises a means for identifying a value of a field, the value identifying an operating system attribute of an operating system executing on the client102.

In some embodiments, the means for requesting the certificate402further comprises a means for identifying a value of a field, the value identifying an attribute of the certificate. In one of these embodiments, the means for requesting the certificate402further comprises a means for identifying a value of a field, the value identifying an issuer of the certificate. In another of these embodiments, the means for requesting the certificate402further comprises a means for identifying a value of a field, the value identifying a period of time during which the certificate is valid. In still another of these embodiments, the means for requesting the certificate402further comprises a means for identifying a value of a field, the value identifying a serial number associated with the certificate.

The means for identifying the value in the certificate404identifies a value of at least one field in the client authentication certificate received from the client. In one embodiment, the means for identifying the value in the certificate404comprises a means for receiving from the user the first user name via a login page. In another embodiment, the means for identifying the value in the certificate404comprises a means for comparing a user name identified as a value in the client authentication certificate with the first user name. In still another embodiment, the means for identifying the value in the certificate404comprises a means for determining that the user name and the first user name differ, a means for requesting a second user name and a second password from the user via a user interface on the client, and a means for authenticating the second user name and the second password to a second authentication service. In yet another embodiment, the means for identifying the value in the certificate404comprises a means for determining that the user name and the first user name are the same and authenticating the first user name and the password to a second authentication service.

In one embodiment, the means for identifying the value in the certificate404can comprise logic, functions or operations, software, hardware or any combination of software and hardware to identify a value in a field of a client authentication certificate. In another embodiment, the means for identifying the value in the certificate404can comprise any type and form of application, program, service, process, task, thread or executable instruction. In still another embodiment, the means for identifying the value in the certificate404may comprise any component or portion of the appliance200, as illustrated inFIG. 2A. In yet another embodiment, the means for identifying the value in the certificate404resides in the policy engine236on the appliance200.

The means for assigning an access type406assigns one of a plurality of types of access responsive to an application of a policy to the identified value of the at least one field, each of the plurality of access types associated with at least one connection characteristic. In one embodiment, the means for assigning an access type406resides in an appliance200and comprises a means for applying a policy to the identified value. In another embodiment, the means for assigning an access type406comprises a means for transmitting the identified value to a policy engine. In still another embodiment, the means for assigning an access type406comprises a means for receiving a result of a policy application by the policy engine to the identified value. In some embodiments, the means for assigning an access type406transmits the assignment to the client102. In other embodiments, the means for assigning an access type406transmits the assignment to a server106′. In still other embodiments, the means for assigning an access type406initiates, from the appliance200, establishment of a connection for the client102, the connection have the assigned access type.

In one embodiment, the means for assigning an access type406comprises means for assigning, by a policy engine, one of a plurality of types of access responsive to application of a policy to the identified value. In another embodiment, the means for assigning an access type406comprises a means for authenticating the user to a first authentication service responsive to the identified value and to a password provided by the user of the client. In still another embodiment, the first authentication service comprises an external authentication server. In yet another embodiment, the first authentication services comprises an authentication database of an appliance, such as the appliance200. In a further embodiment, the means for assigning an access type406comprises a means for authenticating a user of the client to a second authentication service, responsive to a first user name and a password if identification of the first value fails.

In one embodiment, the means for assigning an access type406can comprise logic, functions or operations, software, hardware or any combination of software and hardware to assign an access type responsive to a value in a certificate field. In another embodiment, the means for assigning an access type406can comprise any type and form of application, program, service, process, task, thread or executable instruction. In still another embodiment, the means for assigning an access type406may comprise any component or portion of the appliance200, as illustrated inFIG. 2A. In yet another embodiment, the means for assigning an access type406resides in the policy engine236on the appliance200. In a further embodiment, the means for assigning an access type406is in communication with a policy database.

In one embodiment, a user of a client102initiates a connection to an appliance200. In another embodiment, the appliance200identifies a certificate policy associated with the user and identifies and requests from the user authentication information required for authentication and identified by the policy.

In some embodiments, a certificate policy indicates that an authentication policy applies to the user request for access. In one of these embodiments, the certificate policy indicates that the authentication policy applies because the user is associated with a particular network address. In another of these embodiments, the authentication policy specifies that the user must satisfy two-factor authentication. In still another of these embodiments, the authentication policy specifies that the user must provide a client authentication certificate identifying a user name associated with the user and that the user must also provide a password. In yet another of these embodiments, the certificate policy indicates that a value should be extracted from a second field in the client authentication certificate for determining a group name of a group in which the user is a member.

In other embodiments, a certificate policy indicates that an authentication policy applies to the user request for access, the authentication policy specifying that a user need not provide a client authentication certificate. In one of these embodiments, the certificate policy indicates that the authentication policy applies because the user is associated with a particular network address. In another of these embodiments, the authentication policy specifies that the user may provide a user name and password via a user interface on a login page presented to the user. In still another of these embodiment, the authentication policy specifies that the user name associated with the user must be identified from a value of a field in a client authentication certificate, instead of from a user interface on a login page presented to the user.

The means for assigning an access type406comprises a means for assigning one of a plurality of types of access, each of the plurality of access types associated with at least one connection characteristic. In one embodiment, the connection characteristic identifies an accelerated connection. In another embodiment, the connection characteristic identifies a load-balanced connection. In still another embodiment, the connection characteristic identifies a traffic-managed connection. In yet another embodiment, the connection characteristic identifies a session-managed connection. In some embodiment, the connection characteristic identifies a type of connection to establish to satisfy a policy applicable to the user.

In one embodiment, the means for assigning an access type406assigns a type of connection responsive to an application of a policy to a value of a field in the certificate. In another embodiment, the appliance200assigns the type of connection. In still another embodiment, the means for assigning an access type406assigns a type of connection responsive to an authentication policy. In yet another embodiment, the means for assigning an access type406assigns a type of connection responsive to an authorization policy.

In one embodiment, the means for assigning an access type406assigns a type of connection responsive to an auditing policy. In another embodiment, the means for assigning an access type406assigns a type of connection responsive to a session management policy. In still another embodiment, the means for assigning an access type406assigns a type of connection responsive to a traffic-management policy. In yet another embodiment, the means for assigning an access type406assigns a type of connection responsive to a load-balancing policy.

In some embodiments, the means for assigning an access type406assigns a type of accelerated connection. In one of these embodiments, the means for assigning an access type406may assign a type of accelerated connection providing TCP multiplexing. In another of these embodiments, the means for assigning an access type406may assign a type of accelerated connection providing TCP pooling. In still another of these embodiments, the means for assigning an access type406may assign a type of accelerated connection providing TCP compression. In yet another of these embodiments, the means for assigning an access type406may assign a type of accelerated connection providing TCP buffering. In one of these embodiments, the means for assigning an access type406may assign a type of accelerated connection providing caching. In another of these embodiments, the means for assigning an access type406may assign a type of accelerated connection providing any one or more of the acceleration techniques288described in greater detail above in connection withFIG. 2B.

In other embodiments, the means for assigning an access type406assigns a type of load-balanced connection. In one of these embodiments, the means for assigning an access type406assigns a type of load-balanced connection that connects the client102to one of a plurality of server farms38, the server farm38selected responsive to a load-balancing decision. In another of these embodiments, the means for assigning an access type406assigns a type of load-balanced connection that connects the client102to a server106selected responsive to a load-balancing decision. In still another of these embodiments, the means for assigning an access type406assigns a type of load-balanced connection that connects the client102to a server106selected responsive to a global-server load-balancing policy. In yet another embodiment, the means for assigning an access type406assigns a type of load-balanced connection that connects the client102to an appliance200selected responsive to a load-balancing policy. In some embodiments, the means for assigning an access type406assigns a type of load-balanced connection that connects the client102to one of a plurality of vServers275, the vServers275selected responsive to a load-balancing decision.

In still other embodiments, the means for assigning an access type406assigns a type of session-managed connection. In one of these embodiments, the means for assigning an access type406assigns a type of session-managed connection applying a compression technique to traffic transmitted over the connection. In another of these embodiments, the means for assigning an access type406assigns a type of session-managed connection established responsive to an application of a policy defining SSL characteristics of the connection. In still another of these embodiments, the means for assigning an access type406assigns a type of session-managed connection implementing a type of compression.

In yet other embodiments, the means for assigning an access type406assigns a type of audited connection. In one of these embodiments, the means for assigning an access type406assigns a type of audited connection in which a type of packet traffic transmitted over the connection is logged. In another of these embodiments, the means for assigning an access type406assigns a type of audited connection in which a particular server106audits communications sent over the audited connection. In still another of these embodiments, the means for assigning an access type406assigns a type of audited connection in which a particular audit log stores the audit records for communications sent over the audited connection.

Referring now toFIG. 5, a flow diagram depicts one embodiment of the steps taken in a method for authenticating, by an appliance, a client to access a virtual private network connection, based on an attribute of a client-side certificate. In brief overview, a client authentication certificate is requested from a client (step502). A value is identified of at least one field in the client authentication certificate received from the client (step504). One of a plurality of types of access is assigned responsive to an application of a policy to the identified value of the at least one field, each of the plurality of access types associated with at least one connection characteristic (step506).

Referring now toFIG. 5, and in greater detail, a client authentication certificate is requested from a client (step502). In one embodiment, a client authentication certificate comprising a Secure Socket Layer (SSL) certificate is requested from the client. In another embodiment, an appliance, such as the appliance200, requests the client authentication certificate. In still another embodiment, the client authentication certificate is requested from the client responsive to a request by the client for establishment of a virtual private network connection.

In one embodiment, the client authentication certificate is requested from the client responsive to a request by the client for access to a resource, such as an application, a server, a network, or a connection to any of these. In another embodiment, the client authentication certificate is requested from the client in response to a failed attempt to authenticate a user of the client responsive to credentials provided to a user interface on a login page. In still another embodiment, authentication of a user of the client is denied if the client authentication certificate is not received.

A value is identified of at least one field in the client authentication certificate received from the client (step504). In one embodiment, the value identifies a username associated with a user of the client. In another embodiment, the value identifies a group of users with which a user of the client is associated. In still another embodiment, the value identifies a policy applicable to a user of the client.

In one embodiment, a user interface is displayed on the client, the user interface having a user name field displaying the identified value. In another embodiment, a password is received from a user of the client via a password field of the user interface. In still another embodiment, a non-modifiable field is displayed in the user interface. In yet another embodiment, the non-modifiable field displays a value of a second field in the client authentication certificate.

In some embodiments, a user provides a user name and password via the user interface. In one of these embodiments, the user name and password suffice to authenticate and authorize the user. In another of these embodiments, the user optionally provides a client authentication certificate. In still another of these embodiments, the user provides a first factor of authentication by providing credentials, such as a user name or password, via a user interface and provides a second factor of authentication via the client authentication certificate. In one embodiment, an appliance200is configured to include an authentication policy identifying what information to request from the user and what format to specify for the requested information. In another embodiment, an appliance200is configured to include a certificate policy identifying a value of at least one field in a client authentication certificate for inspection by the appliance200.

In other embodiments, the appliance200requires receipt of the client authentication certificate to authenticate or authorize the user. In one of these embodiments, the user is authenticated or authorized solely by the presentation of the client authentication certificate to the appliance200. In another of these embodiments, the appliance makes an authentication and authorization decision responsive to a value of at least one field in the client authentication certificate. In still another of these embodiments, a user name or a group name are identified by values in the fields in the client authentication certificate. In yet another of these embodiments, the appliance200identifies a policy applicable to the user responsive to a user name or a group name identified by a value in the client authentication certificate.

In still other embodiments, the appliance200requests receipt of the client authentication certificate and of a password to authenticate or authorize the user. In one of these embodiments, the user provides a first factor of authentication via the client authentication certificate and a second factor of authentication by providing a password via a user interface. In another of these embodiments, the appliance200requires the user to provide a user name or a group name via the user interface in addition to providing the password via the user interface. In still another of these embodiments, the appliance200identifies a user name or a group name as a value of a field in the client authentication certificate.

In one of these embodiments, the appliance200extracts a user name from a first field in the certificate and requests a password from the client. In another of these embodiments, the appliance200fails to identify a user name in the certificate and instead requests a user name and password from the user. In still another of these embodiments, the appliance200extracts a user name from a second field in the certificate. In yet another of these embodiments, the appliance200determines that the value of the second field and of the first field, or of the user name provided by the user, are the same and authenticates the user responsive to the value of the second field and the previously provided password. In a further of these embodiments, the appliance200determines that the value of the second field and of the first field, or of the user name provided by the user, are not the same, requests a second password from the user, and authenticates the user to a second authentication service with the value of the second field and with the second password.

In yet other embodiments, the appliance200requires a client authentication certificate only upon failure of the user to provide a valid user name and password. In one of these embodiments, the user accesses a login page requesting user name and password. In another of these embodiments, authentication of the received user name and password fails. In still another of these embodiments, the appliance200requests a client authentication certificate. If the client does not provide the certificate, the authentication fails and the user request is denied. If the client does provide the certificate, the appliance200extracts a username from the certificate. In yet another embodiment, the appliance200requests a password from the user and attempts to authenticate the user responsive to the extracted user name and the provided password.

In some embodiments, the appliance200determines that an extracted user name matches a user name provided via a user interface on a login page. In one of these embodiments, the appliance200uses a different authentication service to authenticate the provided user name and password than the authentication service the appliance200used in the first attempt to authenticate the user name and password provided via the user interface on the login page. In other embodiments, the appliance200determines that the extracted user name does not match the user name provided via a user interface on a login page. In one of these embodiments, the appliance200requests a password from the user and uses the first authentication service to authenticate the user based on the extracted user name and the provided password.

In one embodiment, a value of a second field is identified in the client authentication certificate. In another embodiment, a value of a second field is identified, the value identifying a group name in the client authentication certificate. In still another embodiment, a group authorization policy is assigned to a user of the client, based on the value of the second field.

In one embodiment, a first user name is received from a user of the client via a login page. In another embodiment, the first user name is compared with a user name identified by a value of a field in the client authentication certificate. In still another embodiment, a determination is made that the first user name and the user name identified by the certificate differ, a second user name and a second password are requested from the user via a user interface on the client, and the second user name and the second password are authenticated. In yet another embodiment, the second user name and the second password are authenticated to an authentication service. In a further embodiment, a determination is made that the first user name and the user name identified by the certificate are the same and the first user name and a received password are authenticated to an authentication service. In some embodiments, the first user name and the received password are authenticated to a first authentication service and the second user name and the second password are authenticated to a second authentication service. In other embodiments, both the first user name and the received password and the second user name and the second password are authenticated to the second authentication service.

One of a plurality of types of access is assigned responsive to an application of a policy to the identified value of the at least one field, each of the plurality of access types associated with at least one connection characteristic (step506). In one embodiment, an appliance, such as the appliance200, applies the policy and assigns a type of access responsive to the application. In another embodiment, the identified value is transmitted to a policy engine for application of the policy to the identified value. In still another embodiment, an appliance, such as the appliance200, receives a result of a policy application by a policy engine. In yet another embodiment, a policy engine assigns one of a plurality of types of access, responsive to application of a policy to the identified value.

In one embodiment, a user of the client is authenticated to a first authentication service responsive to the identified value and to a password provided by the user of the client. In another embodiment, the first authentication service is an external authentication server. In still another embodiment, the first authentication service is an authentication database of an appliance, such as the appliance200. In some embodiments, a user is authenticated to and granted a type of access by a first authentication service responsive to the identified value of the at least one field of the client authentication certificate. In one of these embodiments, the user is authenticated to and granted a second type of access by a second authentication service responsive to an identified value of a second field in the client authentication certificate.

In one embodiment, the user of the client is authenticated to a second authentication service, responsive to a first user name and a password. In another embodiment, the user of the client is authenticated to the second authentication service if an appliance fails to identify the first value of the identified at least one field in the client authentication certificate. In still another embodiment, the user of the client is authenticated to the second authentication service if an application of a policy to an identified value results in a denial of the authentication request.

In one embodiment, one of a plurality of types of access is assigned responsive to an application of a policy to the identified value of the at least one field. In another embodiment, the type of access assigned satisfies a request by the client for access to a resource, such as a request for execution or retrieval of an application. In still another embodiment, the type of access assigned satisfies a request by the client for establishment of a connection to a resource, such as a virtual private network. In yet another embodiment, the type of access assigned satisfies a policy specifying a type of access authorized for the user.

The type of access assigned is associated with at least one connection characteristic. In one embodiment, the connection characteristic identifies a type of connection to be established for the user of the client providing the client authentication certificate. In another embodiment, the connection characteristic identifies a load-balanced connection. In still another embodiment, the connection characteristic identifies an accelerated connection. In yet another embodiment, the connection characteristic identifies a traffic-managed connection. In a further embodiment, the connection characteristic identifies a session-managed connection. In some embodiments, the connection characteristic identifies a type of connection to establish to satisfy a policy applicable to the user. In other embodiments, the connection characteristic identifies a connection to a quarantined network, responsive to a determination that the user fails to satisfy a policy. In one of these embodiments, the quarantined network provides the user with limited access to requested resources.

In some embodiments, the appliance200identifies information within a client authentication certificate and selects a type of access to grant to the client102. In one of these embodiments, the appliance200requests the certificate after receiving a request from the client102. In another of these embodiments, the appliance200selects the type of access to grant responsive to an application of a policy to the identified information. In still another of these embodiments, the appliance200establishes a type of connection for the client102responsive to the application of the policy to the identified information. In other embodiments, the identified information includes an identification of information associated with a user of the client102requesting access to a network or a resource on the network. In one of these embodiments, the identified information includes an authorization group of which the client102is a member, members of the group having authorization to access particular types of resources across particular types of connections. In another of these embodiments, the appliance200uses authentication information to identify and provide a type of connection between the client and a requested resource. In still other embodiments, the appliance200uses a connection characteristic to identify a type of connection to establish for the client102. In one of these embodiments, the appliance200establishes a connection to a quarantined network, responsive to a determination that the user fails to satisfy a policy, the quarantined network providing the user with limited access to requested resources. In another of these embodiments, the appliance200establishes a load-balanced connection. In still another of these embodiments, the appliance200establishes an accelerated connection. In yet another of these embodiments, the appliance200establishes a traffic-managed connection. In a further embodiment, the appliance200establishes a session-managed connection.

The methods and appliances described above may be provided as one or more computer-readable programs embodied on or in one or more articles of manufacture. The article of manufacture may be a floppy disk, a hard disk, a CD-ROM, a flash memory card, a PROM, a RAM, a ROM, or a magnetic tape. In general, the computer-readable programs may be implemented in any programming language, LISP, PERL, C, C++, PROLOG, or any byte code language such as JAVA. The software programs may be stored on or in one or more articles of manufacture as object code.

Having described certain embodiments of a method and appliance for authenticating, by an appliance, a client to access a virtual private network connection, based on an attribute of a client-side certificate, it will now become apparent to one of skill in the art that other embodiments incorporating the concepts of the invention may be used. Therefore, the invention should not be limited to certain embodiments, but rather should be limited only by the spirit and scope of the following claims.