# Patent

## Title
System and method for controlling mobile device access to a network

## Abstract

The invention provides a method for managing access to a network resource on a network from a mobile device, the method including the steps of intercepting a data stream from the mobile device attempting to access the network resource, extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device, accessing at least one of enterprise service based information and third party information regarding at least one of the mobile device or the user of the mobile device, determining whether the mobile device is authorized to access the network resource, preparing an access decision that specifies whether the mobile device is authorized to access the network resource, and storing the access decision in a database on the network. The method may also include the step of enforcing the access decision by granting access to the mobile device to the network resource if the mobile device is determined to be authorized and denying access to the mobile device to the network resource if the mobile device is determined not to be authorized.

## Background
RELATED CASE INFORMATION
This application claims priority to U.S. Provisional Patent Application No. 60/853,460, filed Oct. 23, 2006, which is hereby incorporated by reference in its entirety.


FIELD OF THE INVENTION
The invention relates generally to systems and methods for controlling mobile device access to a network. More specifically, the invention relates to systems and methods for preventing unauthorized access to a network resource on a network by a mobile device.
BACKGROUND OF INVENTION
Never has data, such as corporate data, been so mobile—and so prone to theft, loss or corruption. With more than 2 billion handheld devices (PDAs, Smart Phones, Blackberry'sTM, thumbdrives, iPodsTM, other handheld devices, etc) already in use, they are becoming more and more commonplace in the corporate environment. Many of these devices are purchased for personal use, but are finding their way into corporate environments and are being used to access corporate information. This changing IT landscape, sometimes referred to as “shadow” IT, is particularly acute at the “mobile edge” or the “perimeter”—the dynamically changing end points of an enterprise network where the type, platform and use of these devices is continuously changing and evolving.
These mobile devices have quickly become the productivity tools of choice for most knowledge workers. The devices are relied upon because of their immediate access to information, their small form factor and faster collection of information. However, such benefits come with tremendous financial, regulatory and brand risk. These devices, if unsecured, can be a primary source of infections via rogue access, data theft, and unsecured transfer of information and inadvertent release of confidential information. Increasingly they are also causing significant IT challenges and helpdesk headaches.
Effective management of these new risks is as critical as it is complex. The complexities lie in many area's of concern. Some analysts estimate that as many as 30% of these devices are lost per year (SANS Institute). The small form factor of these devices also creates new internal security threats due to their ability to be easily concealed. Gartner estimates that more than 70% of unauthorized access to information systems is committed by employees, as are more than 95% of intrusions that result in significant financial losses. Further, Gartner predicts that through 2006, 90 percent of mobile devices containing enterprise data will have insufficient power-on protection and storage encryption to withstand casual to moderate hacker attacks. This risk has led them to recommend that enterprises immediately start addressing their mobile storage risks.
Corporate enterprises are faced with the challenge of managing the balance between end user productivity, an appropriate level of data security while minimizing IT intervention. Organizations are asking if the solution is an extension of current vendors' solutions, or do they require a fresh approach that leverages security best practices empowered by software that can take advantage of knowing and understanding the dynamics at the mobile edge. The liabilities and risks associated with an unsecured mobile edge are growing. While enterprises look to leverage the competitive advantages and productivity gains associated with the introduction of smart phones and other mobile devices, the security risks continue to increase.
Legislation mandating the protection, management, or verification of financial data and personal information is forcing corporate action and accountability. Legislation stipulating the protection of personal data is commonplace, with penalties for failing to comply becoming increasingly severe. HIPAA, PIPEDA, GLBA, The Data Protection Act, SB1386, SOXA, are examples of regulations targeting organizations that deal in maintenance and transfer of sensitive corporate and consumer information.
Further, complicating this challenge is the general openness of the Microsoft Desktop environment. Now more than ever, every port, external disk drive, or memory stick can become a huge regulatory or financial risk. To confront these growing challenges some IT departments have turned to soldering and gluing USB ports to prevent intrusion, or putting titanium “chastity belts” around computers. Others are looking for more elegant ways to manage the risks associated with the inherent access to enterprise data. USB ports, for instance, can be used for a variety functions from input devices such as mice and keyboards to mobile data storage devices (capable of downloading gigabytes of data or uploading unapproved or malicious software). Devices as inconspicuous as iPods and other entertainment devices are now capable of not only downloading more than 30 GBs of data, they can also, unknown to the user and corporate IT, put aware and other potentially malicious software directly onto the users hard disk.
Mobile devices are key competitive tools in today's marketplace and business, as well as government agencies. These organizations should preferably find ways to transparently apply the necessary security policies to them—to minimize knowledge worker productivity. One of the biggest challenges, the protection of sensitive data including client financial information and patient information, has many issues associated with it and requires a comprehensive solution to achieve the intended result.
Prior art security systems for networks commonly employs static, legacy-type and fixed policy-based approaches controlled from within an enterprise system for protecting data and network access to it. However, mobile communications devices having data storage and software applications create new challenges for network security, in particular because the portable mobile communications devices have a range of software, applications, functions and changes to their operating characteristics occur from time to time without authorization from the security system. A mobile device that is compliant with a security policy can be readily changed to present a security risk subsequent to policy compliance checking. For example, various peripherals can be connected to mobile devices, the devices can communicate with various public networks, and application software can be easily added to the devices.
Since mobile communications devices are intended to enhance productivity for mobile knowledge workers, access to the enterprise network and data stored on servers therein is important to ensuring their productivity. Thus, there remains a need for systems and methods that effectively verify that mobile devices attempting to access a network resource is both authorized to access that network resource and in compliance with network security policies.
SUMMARY OF THE INVENTION
Accordingly, the invention provides a method for managing access to a network resource on a network from a mobile device, the method including the steps of intercepting a data stream from the mobile device attempting to access the network resource, extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device, accessing at least one of enterprise service based information and third party information regarding at least one of the mobile device or the user of the mobile device, determining whether the mobile device is authorized to access the network resource based on the extracted information and the enterprise service based information or the third party information, preparing an access decision based on the extracted information and the at least one of enterprise service based information and third party information, wherein the access decision specifies whether the mobile device is authorized to access the network resource, and storing the access decision in a database on the network.
The method may also include the step of enforcing the access decision by granting access to the mobile device to the network resource if the mobile device is determined to be authorized and denying access to the mobile device to the network resource if the mobile device is determined not to be authorized. Moreover, the method may include storing the extracted information in the database.
The invention also relates to a system for managing access to a network resource on a network from a mobile device. The system comprises a means for intercepting a data stream from the mobile device attempting to access the network resource, a means for extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device, a means for accessing at least one of enterprise service based information and third party information regarding at least one of the mobile device or the user of the mobile device, a means for determining whether the mobile device is authorized to access the network resource based on the extracted information and the enterprise service based information or the third party information, a means for preparing an access decision based on the extracted information and the at least one of enterprise service based information and third party information, wherein the access decision specifies whether the mobile device is authorized to access the network resource, and a means for storing the access decision in a database on the network.
The system may also include a means for enforcing the access decision by granting access to the mobile device to the network resource if the mobile device is determined to be authorized and denying access to the mobile device to the network resource if the mobile device is determined not to be authorized, and a means for storing the extracted information in the database.
The access decision may include information regarding at least one of a health profile of the mobile device, the authenticity of the mobile device or a user of the mobile device, or the authorization of the mobile device or the user of the mobile device to access the network resource. In addition, the data stream may be an application level data stream. Also, the enterprise service based information may include at least one of information stored within a database and information stored within an active director, and the third party information may include a certificate authority. Moreover, the access decision may be stored in a decision cache.
The invention further relates to a method for managing access to a network resource on a network from a mobile device, the method including the steps of intercepting a data stream from the mobile device attempting to access the network resource, extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device, submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource, and receiving a response from the compliance server.
If the received response indicates that the query was not received by the compliance server, the method includes the steps of accessing a decision cache to determine if the decision cache includes cached information regarding whether the mobile device has been granted access or denied access during a previous attempt to access the network resource, and granting or denying the mobile device access to the network resource based on the cached information in the decision cache.
If the received response indicates that the query was received by the compliance server and that the mobile device is authorized to access the network resource, the method includes the step of granting the mobile device access to the network resource.
If the received response indicates that the query was received by the compliance server and that the mobile device is not authorized to access the network resource, the method includes the step of denying the mobile device access to the network resource.
The invention also relates to a method for managing access to a network resource on a network from a mobile device, the method including the steps of intercepting a data stream from the mobile device attempting to access the network resource, extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device, submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource, receiving a response from the compliance server, and, if the received response indicates that the query was not received by the compliance server, granting the mobile device access to the network resource.
The invention further relates to a method for managing access to a network resource on a network from a mobile device, the method including the steps of intercepting a data stream from the mobile device attempting to access the network resource, extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device, submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource, receiving a response from the compliance server, and, if the received response indicates that the query was not received by the compliance server, denying the mobile device access to the network resource.
Moreover, the invention relates to a method for managing access to a network resource on a network from a mobile device, the method including the steps of intercepting a data stream from the mobile device attempting to access the network resource, extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device, and accessing a decision cache to determine whether the mobile device has been granted access or denied access during a previous attempt to access the network resource.
If the decision cache includes cached information regarding whether the mobile device has been granted access or denied access during a previous attempt to access the network resource, the method includes the step of granting or denying the mobile device access to the network resource based on the cached information in the decision cache.
If the decision cache does not include cached information regarding whether the mobile device has been granted access or denied access during a previous attempt to access the network resource, the method includes the step of submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource.



BRIEF DESCRIPTIONS OF THE DRAWINGS
FIG. 1 illustrates an exemplary system of the invention in which the access manager intercepts a data stream from a mobile device to a network resource.
FIGS. 2A-2B illustrate exemplary systems of the invention in which the access manager is located in the network zone.
FIG. 3 is a flow chart illustrating an exemplary method of the invention.
FIG. 4 illustrates an exemplary system of the invention having means for carrying out a method of the invention.
FIGS. 5A-5B illustrate exemplary systems of the invention having means for carrying out methods of the invention in which the access manager is located in the network zone.
FIG. 6 illustrates an exemplary system of the invention according to a preferred embodiment.
FIG. 7 illustrates an exemplary system of the invention according to a preferred embodiment.
FIG. 8 illustrates an exemplary system of the invention according to a preferred embodiment.
FIG. 9 illustrates an exemplary design configuration be used by SMS Listeners on device clients according to a preferred embodiment.
FIG. 10 illustrates an exemplary system of the invention according to a preferred embodiment.



DETAILED DESCRIPTION OF THE INVENTION
As described briefly above, and as is shown in the figures, the invention relates to systems and methods for managing access to a network resource on a network from a mobile device. More particularly, the invention relates to compliance checking when a mobile device is accessing any Network Service, for example, synchronizing Email, using a mechanism that intercepts the application level stream, interpreting that stream to extract identifying information, forming a query to a Compliance Service (i.e. a compliance server), which computes the results based on configuration information stored in a device management database, reports the result of the access, and optionally decides to whether to permit or deny the access. Exemplary preferred embodiments of the invention are described below with reference to the figures.
Referring now to system 100 shown in FIG. 1, a client device 110 from the internet zone attempts to access a network resource 120 in the network zone using a data stream, which is preferably an application level data stream. However, the stream can be at any layer in the OSI stack. For example, the data stream may include applications such as email, IM, Enterprise LOB (line-of-business) applications (i.e. sales automation, field force, expense reporting), SQL, voice services (pbx, voicemail), and the like. The data stream is intercepted in the perimeter zone by an access manager 130, which may or may not include a decision cache 131.
Access manager 130 then extracts information from the intercepted data stream relating to at least one of mobile device 110 or a user of mobile device 110. The extracted information may include any type of information about the mobile device, for example, source and destination addresses (e.g., MAC, IP), service type (e.g., Port info), authentication information from an SSL negotiation that includes a client side certification (e.g., a user or device certificate, hard or soft), as well as identifying information embedded in the protocol headers (e.g., authentication information in HTTP headers) or identifying information in the application layer (e.g., username/password, device ID, phone number). The information may also be correlated with other identifying information in database 151. For example, the Device ID from the application layer may be correlated with a device certificate already stored in the database. Access manager 130 submits the extracted information to a compliance server 140, which is preferably located within the network zone.
Compliance server 140 then accesses at least one of enterprise service based information from network enterprise services 150 and third party information from third party services 160 regarding at least one of mobile device 110 or the user of mobile device 110. Compliance server 140 then determines whether mobile device 110 is authorized to access network resource 120 based on the extracted information and the enterprise service based information or the third party information.
After determining whether mobile device 110 is authorized to access network resource 120, compliance server 140 prepares an access decision based on the extracted information and the at least one of enterprise service based information and third party information. The enterprise service based information preferably includes at least one of information stored within a database, such as database 151, and information stored within an directory service. The third party information may include information such as information found within a certificate authority, for example.
The access decision specifies whether mobile device 110 is authorized to access network resource 120. In addition, the access decision preferably includes information regarding at least one of a health profile of the mobile device, the authenticity of the mobile device or a user of the mobile device, or the authorization of the mobile device or the user of the mobile device to access the network resource. A health profile for a mobile device includes factors such as the Mobile OS, the device model, OS updates, applications on the device, anti-virus applications, configurations, policies, and the like.
Generally, the Access Decision may result from a process as simple as checking whether the IP address from the session is in the database, or the compliance server may verify that the device identified in the session has checked into the database recently, or check whether the device health information in the database is up-to-date. The compliance server may also query other directory services while creating the access decision. For example, the username/password of a user of the mobile device may be verified against an directory service in the enterprise services or a certificate, either from the SSL negotiation, from a third party service, or the correlated certificate in the database may be checked for validity.
Compliance server 140 then stores stored the access decision in a database on the network, such as database 151. Compliance server 140 is also capable of storing the extracted information in the database.
The access decisions may also be enforced by access manager 130 by granting access to mobile device 110 to network resource 120 if mobile device 110 is determined to be authorized by compliance server 140 or denying access to mobile device 110 to network resource 120 if mobile device 110 is determined not to be authorized by compliance server 140. However, access decisions can be enforced at the perimeter through a dedicated device, an existing Firewall or router or switch, or at the application server inside the network.
Moreover, the access decision may be stored in a decision cache, for example, in decision cache 131, which may be accessed as a later time by the access manager an as alternative means for determining whether the mobile device is authorized to access the network resource.
FIGS. 2A-2B illustrate a similar system 200, which has one significant difference. In system 200, the access manager 230 is located within the network zone, not within the perimeter zone as in system 100 in FIG. 1. Thus, when client device 210 from the internet zone attempts to access a network resource 220 in the network zone, the data stream is allowed to enter the network zone before it is intercepted by access manager 230, which may or may not include a decision cache 231. After intercepting the data stream, access manager 230 submits the intercepted data stream to a compliance server 240, which is also located within the network zone.
In an alternative embodiment, the network resource may include the access manager. For example, as is shown in FIG. 2B, network resources 220A-C may include access managers 230A-C, respectively. In this configuration, when mobile devices 210A-C attempt to access network resource 220A-C, access managers 230A-C intercept the data stream from within network resource 220A-C, extract information from the intercepted data stream relating to at least one of mobile device 210 or a user of mobile device 210, and forward the extracted information to compliance server 240.
Compliance server 240 then accesses at least one of enterprise service based information from network enterprise services 250 and third party information from third party services 260 regarding at least one of mobile device 210 or the user of mobile device 210. Compliance server 240 then determines whether mobile device 210 is authorized to access network resource 220 based on the extracted information and the enterprise service based information or the third party information.
After determining whether mobile device 210 is authorized to access network resource 220, compliance server 240 prepares an access decision based on the extracted information and the at least one of enterprise service based information and third party information. Compliance server 240 then stores stored the access decision in a database on the network, such as database 251. Compliance server 240 is also capable of storing the extracted information in the database, and may also store the access decision in a decision cache.
Thus, as is described above, the invention relates to a method 300 for managing access to a network resource on a network from a mobile device illustrated in FIG. 3. In step 310, a mobile device attempts to access a network resource using a data stream. In step 320, the data stream is intercepted, for example, by an access manager. In step 330, information is extracted from the data stream, for example, by a access manager. The extracted information may be stored in a database for example, in step 331. Then, in step 340, the compliance server accesses at least one of enterprise information or third party information regarding at least one of the mobile device or the user of the mobile device. In step 350, the compliance server determines whether the mobile device is authorized to access the network resource based on the extracted information and the enterprise service based information or the third party information. After the determination is made, the compliance server prepares, in step 351, an access decision based on the extracted information and the at least one of enterprise service based information and third party information, wherein the access decision specifies whether the mobile device is authorized to access the network resource. The access decision may be stored in a database on the network in step 352.
In addition, the access decision may be enforced, for example, by the access manager, and the mobile device may be granted access in step 353 or denied access in step 354.
As is shown in FIG. 4, the invention also relates to a system 400 for managing access to a network resource 420 on a network from a mobile device 410, the system including the same general components as is described above with reference to FIG. 1.
However, in this system, access manager 430 includes an optional decision cache 431, a means 432 for intercepting a data stream from the mobile device attempting to access the network resource, a means 441 for extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device, and a means 433 for enforcing the access decision by granting access to the mobile device to the network resource if the mobile device is determined to be authorized and denying access to the mobile device to the network resource if the mobile device is determined not to be authorized.
In addition, compliance server 440 preferably includes a means 442 for accessing at least one of enterprise service based information from network enterprise services 450 and third party information from third party services 460 regarding at least one of the mobile device or the user of the mobile device, a means 443 for determining whether the mobile device is authorized to access the network resource based on the extracted information and the stored information, a means 444 for preparing an access decision based on the extracted information and the at least one of enterprise service based information and third party information, and a means 445 for storing the access decision and the extracted information in a database 451 on the network.
FIGS. 5A-5B illustrate a similar system 500, which, like system 200 shown in FIGS. 2A-2B, has one significant difference from system 400. In system 500, the access manager 530 is located within the network zone, not within the perimeter zone. Thus, when client device 510 attempts to access a network resource 520 in the network zone, the data stream is allowed to enter the network zone before it is intercepted by access manager 530. After intercepting the data stream, access manager 530 submits the intercepted data stream to a compliance server 540, which is also located within the network zone.
However, in this system, access manager 530 includes an optional decision cache 531, a means 532 for intercepting a data stream from the mobile device attempting to access the network resource, a means 541 for extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device, and a means 533 for enforcing the access decision by granting access to the mobile device to the network resource if the mobile device is determined to be authorized and denying access to the mobile device to the network resource if the mobile device is determined not to be authorized.
In addition, compliance server 540 preferably includes a means 544 for accessing at least one of enterprise service based information from network enterprise services 550 and third party information from third party services 560 regarding at least one of the mobile device or the user of the mobile device, a means 543 for determining whether the mobile device is authorized to access the network resource based on the extracted information and the stored information, a means 544 for preparing an access decision based on the extracted information and the at least one of enterprise service based information and third party information, and a means 545 for storing the access decision and the extracted information in a database 551 on the network.
FIG. 5B shows an alternative embodiment similar to that shown in FIG. 2B in which the network resource may include the access manager. For example, network resources 520A-B may include access managers 530A-B, respectively. In this configuration, when mobile devices 51A-B attempt to access network resource 520A-B, access managers 530A-B intercept the data stream from within network resource 520A-B, extract information from the intercepted data streams relating to at least one of the mobile devices or a user of mobile devices, and forward the intercepted data streams to compliance server 540.
Compliance server 540 then accesses at least one of enterprise service based information from network enterprise services 550 and third party information from third party services 560 regarding at least one of mobile device 510 or the user of mobile device 510. Compliance server 540 then determines whether mobile device 510 is authorized to access network resource 520 based on the extracted information and the enterprise service based information or the third party information.
After determining whether mobile device 510 is authorized to access network resource 520, compliance server 540 prepares an access decision based on the extracted information and the at least one of enterprise service based information and third party information. Compliance server 540 then stores stored the access decision in a database on the network, such as database 551. Compliance server 540 is also capable of storing the extracted information in the database.
The invention also relates to method for managing access to a network resource on a network from a mobile device, the method including the steps of intercepting a data stream from the mobile device attempting to access the network resource, submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource, receiving a response from the compliance server, and if the received response indicates that the query was not received by the compliance server, accessing a decision cache to determine whether the mobile device has been granted access or denied access during a previous attempt to access the network resource, and allowing or denying the mobile device access to the network resource in a manner consistent with the previous attempt.
According to this embodiment, if the network connection between the access manager and the compliance server is broken, for any reasons, the access manager accesses a decision cache, such as decision cache 131 in FIG. 1, decision cache 231 in FIG. 2A, decision cache 431 in FIG. 4, or decision cache 531 in FIG. 5A, and uses prior information regarding the mobile device to determine whether or not to grant access. The decision cache may include information such as prior instances of granted or denied access, etc. In addition, the information within the decision cache may be time stamped, such that older, less relevant information may be disregarded or ignored.
If, however, the access manager receives a response from the compliance device indicating that the mobile device is authorized, the access manager simply grants the mobile device access to the network resource. Similarly, if the access manager receives a response from the compliance device indicating that the mobile device is not authorized, the access manager simply denying the mobile device access to the network resource.
The invention also relates to a method for managing access to a network resource on a network from a mobile device in which the method includes the steps of intercepting a data stream from the mobile device attempting to access the network resource, submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource, receiving a response from the compliance server, and, if the received response indicates that the query was not received by the compliance server, granting the mobile device access to the network resource. This embodiment sets the default action by the access manager to allow the mobile device access to the network resource if the compliance server is unreachable.
Furthermore, the invention relates to a method for managing access to a network resource on a network from a mobile device in which the method includes the steps of intercepting a data stream from the mobile device attempting to access the network resource, submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource, receiving a response from the compliance server, and, if the received response indicates that the query was not received by the compliance server, denying the mobile device access to the network resource. This embodiment sets the default action by the access manager to deny the mobile device access to the network resource if the compliance server is unreachable.
In addition to the above-described embodiments, the invention relates to an In-Band Compliance Filter that intercepts Mobile Device accesses of Network Services, where the Compliance Filter intercepts and parses the stream, to extract identifying and other information. That information is used as part of a query to a Compliance Service which computes an Access Decision based on information stored in a Database, and logs the Access and the Access Decision. Optionally, if the Access Decision is Deny, the Access Decision may be enforced, by Denying the access (e.g., by terminating the connection) before the Network Service is actually invoked.
The Access Decision may depend on a Health Profile of the Mobile Device, the authenticity of the Mobile Device or the User on the Mobile Device accessing the Network Service, the authorization of the Mobile Device or the User on that Mobile Device to access the Network Service, as well as other Policies governing access to the Network Service (e.g., temporal or location based policies). Verifying authenticity, authorization, or other overlay policies may require consulting other services or databases that may be local or remote to the Compliance Filter and Compliance Service.
If the Compliance Service is not reachable by the Compliance Filter (e.g., because of communication issues), the Compliance Filter may use a previously cached Access Decision, or default to a policy determined Permit or Deny Access Decision.
The Compliance Service may furthermore modify the stream to replace elements of the stream (e.g., identification or authorization credentials) to transform the Mobile Device's request into one that may be effectively processed by the Network Service.
Thus, this invention utilizes a device to server communication system that employs the IP-based network features available on nearly all of the mainstream business-oriented devices on the market today. IP-based networks include such technologies as WiFi, ED-VO, and GPRS. The system has a fundamental assumption that communications should always be originated by the client device, and are generally initiated by a client device attempting to contact a network resource. This assumption is based on the nature of nature of the phone-based technologies like ED-VO and GPRS, wherein the phones are given IP address that may not be directly reached from the Internet. Sources on the Internet may reply to connections from the devices, but may not originate connections to the devices. It has been observed that some carriers allow devices to be assigned directly-addressable IP addresses. In reality, those carriers typically charge a premium for such service, and not many consumers would be willing to undertake the expense.
To mitigate the problem of the server not being able to originate communications to the device via IP, servers are commonly allowed to send SMS messages to the device, telling it to check in via IP. FIG. 6 illustrates the major components of this subsystem. In particular, the system 600 (the OTA Communications subsystem) consists of an enterprise server 610, a web-based provisioning system 620, a corporate firewall 630, a network 640, and a client device 650. The web-based provisioning system 620 includes a device communication service 621, which is located on the server side of the system. The client device 650 includes a download manager 651, a SMS listener 652, a compliance agent 653, and a policy manager 654.
Operation Scenarios
Device/Server communications occur in a number of different operational scenarios, laid out in the top row of the table below.


















Dev

Initial
EAS
Daily

Policy
File



Priority
Method
Provisioning
Compliance
Compliance
Discovery
Update
Distribution
SMS







1
DownloadChunk
X




X



1
Register
X


1
CheckIn

X
X
X
X
X
X


2
GetPackage
X




X


2
GetPolicy
X



X


3
AckAction



X
X
X
X


3
UpdatePackageStatus
X




X


3
SendDeviceDetailInfo
X


X


4
UploadFile



X









Initial Provisioning: The process of getting the software installed onto a device that does not have the client.
EAS Compliance: Executed whenever the device attempts to conduct an EAS transaction (at a defined minimum interval). The process of checking in with the server, passing in compliance data, and checking for any pending actions.
Daily Compliance: Executed at defined intervals, every 24 hours by default. The process of checking in with the server, passing in compliance data, and checking for any pending actions.
Discovery: Executed as a result of discovery actions transmitted in a CheckIn response.
Policy Update: Executed as a result of a GetPolicy action transmitted in a CheckIn response.
File Distribution: Executed as a result of a GetPackage action transmitted in a CheckIn response.
SMS: An SMS message may require an ActAction, plus possibly a CheckIn, depending on the actual command received in the SMS.
Operation Design—Protocol
Authorization/Authentication
Authorization/Authentication is handled in two different ways, depending on where in the lifecycle the system is operating.
Provisioning: During the Provisioning phase, the protocol uses the credentials of the device user, entered by the user in the Download Manager UI. The provisioning process results in a device password passed-back to the device for use on subsequent connections.
Normal operations: Anytime after being initially provisioned, the device will use the unique device ID obtained from the device, and the device password provided during initial provisioning. The credentials are passed by assigning an auth header to the client web service object.
Data Structures
Base Types
The following are enumerated types used by a number of different calls.
enum ActionType
Description: This enum lists the various device actions that may be commanded by the server.
Enumerated items:











Action
Description







TestPopup



Wipe
Indicates the device should execute an immediate



wipe


GetPolicy
Tells the device to call GetPolicy to download the



latest policy.


GetPackage
Tells the device to call GetPackage to download a



file package, consisting of one or more files.


SendDetailedInfo
The device should send the server a list of detailed



device information via the SendDetailedInfo call.


SendFile
Orders the device to send a specified file back to the



server via the SendFile call.


Reset
Indicates the device should acknowledge the com-



mand and then execute a soft reset. The device should



do a controlled shutdown (including re-encrypting



any open files) before resetting, if such a thing exists



for the device type.


ConfirmedWipe
Indicates the device should acknowledge the com-



mand before executing the wipe.


Unlock
Orders the device client to unlock itself, resetting any



policy-based flag that forced it into the locked state



(such as password attempts exceeded).


ReRegister
The device should run the DownloadManager, having



the user re-register the device with the server. This



will re-associate the device with the user.


CommandLine









enum TransmissionMethod
Description: This enum lists the communication channel from which an action command was received. This is of essence for audit purposes, and because we want to prevent certain commands from being executed twice because they were passed via multiple channels simultaneously.
Enumerated items:













Method
Description








OTA
Indicates the action command was received over the air,




via an IP network channel.



SMS
Indicates the action command was received via an SMS




message.









enum ScriptItemType
Description: This type enumerates the commands that may be found in a package installation script.
public enum TDErrors
Description: This enum lists the various errors that may result from calls to this service.
Enumerated items:











Error Code
Description







Authorization
Returned when no authorization header was



found on the method call.


InvalidPath



FileNotFound



InvalidDownloadOffset



DatabaseError



DataNotFound



DirServerNotFound



DirServerSearchError



AuthParamMissing



InvalidRegistration



RegistrationError









Complex Types
ByteArrayReturnEntity
Description: This type is the result of a DownloadChunk call. It consists of an error element, and a data element.
Structure Elements:












Type
Name
Description







ErrorEntity
ErrorEntity
Indicates if any error occurred for this call.




The boolean ErrorEntity.Error flag should




ALWAYS be tested to see if an error




was encountered.


byte[ ]
Value
The bytes returned for this call. Note that




this may be less than buffsize in length.




End of File will be indicated by receiving a




partial or empty buffer.









ErrorEntity
Description: This type is used by many different calls to return runtime error information.
Structure Elements:












Type
Name
Description







boolean
Error
If true, it indicates that there was an error




on the call and the the client should




process this error object. If false,




there was no error and the error object




can be ignored.


enum
ErrorCode
The error code for this error from the


TDErrors

TDErrors enumerated type.


string
ErrorMessage
The string that describes the error condition.









ActionEntity/ActionsEntity
Description: The ActionsEntity type is a sequence of zero or more ActionEntity entries. This type is returned by the CheckIn and Register calls to tell the client what actions are pending. The Register call will always have at least a GetPolicy and GetPackage action pending.
ActionEntity Structure Elements:












Type
Name
Description







string
ActionID
Serialized unique identifier (GUID) for the




pending action. This ID will be sent




back to the server when the action is




completed, and is used for audit




purposes.


enum
ActionType
The type of action that must be taken.


ActionType




string
Action
Parameter for the action. This field is only




required for a couple of the actions,




such as CommandLine and UploadFile.




For all other actions it will be empty.









DeviceDetailInfoEntity
Description: This type is used to send the server detailed information about a specific device. It provides much of the information needed for device audit and vulnerability reporting, as well as critical information needed about the device platform and model for determining which fie packages should be sent to the device.
Structure Elements:
Essential elements are marked as mandatory; all others are highly desired but not required.












Type
Name
Description







string
DeviceID
Unique device ID for this device


string
Model
The model of this device


string
Platform
The device OS platform


string
Carrier
The carrier providing phone service for




this device (if any)


string
PhoneNumber1
The device phone number. Note that some de-




vices may support more than one phone num-




ber and this field may be repeated for each.


string
PhoneNumber2
The device phone number. Note that some de-




vices may support more than one phone num-




ber and this field may be repeated for each.


string
ClientVersion
The version of PDASecure installed on the




device (if any)


string
ROMVersion
The version of the ROM on the device


string
SDCardKey
The encryption key that PDASecure is using




to secure SD Cards (if installed).


string
MemKey
The encryption key that PDASecure is using




to secure main memory (if installed).


string
IMEI
The device IMEI.


string
ESN
The device ESN.


string
Location
The device geographical position in




latitude/longitude


int
MemoryAvailable
The amount of free memory on the device


string
DetailedInfo
String from old GetDetailedInfo code.









RegistrationEntity
Description: This type is the primary parameter of a Register call.
Structure Elements:












Type
Name
Description







string
UserName
The domain login user-




name of the device user.


string
Domain
The domain login do-




main of the device user.


string
UniqueOrgID
If used by the organiza-




tion, this field can contain




extra login credential




information such as the




user badge number, or




Employee ID. See the




Download Manager




document for additional




details.


DeviceDetailInfoEntity
DeviceDetailInfoEntity
A structure that contains




detailed information about




the physical device.









RegistrationResponseEntity
Description: This type is the result of a Register call. It consists of an error element, and a data element.
Structure Elements:












Type
Name
Description







ErrorEntity
ErrorEntity
Indicates if any error occurred for this call.




The boolean ErrorEntity.Error flag should




ALWAYS be tested to see if an error was




encountered.


ActionsEntity
ActionsEntity
List of actions that must be taken to




complete registration


string
pass
Server-generated device password that




must be used for all subsequent connec-




tions that use device authorization




credentials.









ComplianceEntity
Description: This type is included in CheckIn calls, and is used to indicate the current state of device policy compliance.
Structure Elements:












Type
Name
Description







string
PolicyVersion
The version ID of the current policy.


string
PolicyUID
The unique identifier for the current policy.


(GUID)




string
ClientVersion
The version of PDASecure installed on this




device.


string
ComplianceData
An XML string of compliance state, mapped




from compliance portion of policy. (Format




TBD; should be blank until defined)


string
UserName
(Optional) The username pulled from the




Exchange Activesync configuration.









HeartbeatEntity
Description: This type is the result of a CheckIn call. It consists of an error element, and a number of data elements.
Structure Elements:












Type
Name
Description







ErrorEntity
ErrorEntity
Indicates if any error occurred for this call.




The boolean ErrorEntity.Error flag should




ALWAYS be tested to see if an error was




encountered.


dateTime
TimeStamp
Server timestamp for this checkin. The




most recent CheckIn timestamp should




always be recorded


boolean
Compliant
A flag returned from the server to let the




device know if it is considered compliant




or not. If a device is non-compliant it will




not be permitted to ActiveSync until it has




been remediated.


string
ServerVersion
The version of software running on the




server.


ActionsEntity
ActionsEntity
A sequence of zero or more actions pending




for this device.









PackageEntity
Description: This type is the result of a GetPackage call. It consists of an error element, and a number of data elements.
Structure Elements:












Type
Name
Description







ErrorEntity
ErrorEntity
Indicates if any error occurred for this call.




The boolean ErrorEntity.Error flag should




ALWAYS be tested to see if an error was




encountered.


int
PackageID
The unique identifier for this package.


Files
Files
A sequence of PackageFile entries.


byte[ ]
Policy
The current policy for this device/user as




an AES128 ENCRYPTED XML string




(optional, except for initial provisioning).


Script
Script
The installation script for this package.


boolean
LastPackage
If this is TRUE, then this is the only package




waiting for the device. If FALSE, then the




device should install this current package,




and then call GetPackage again for the next




package.









PackageFile
Description: This type describes a single file element returned in the PackageEntity type.
Structure Elements:












Type
Name
Description







int
FileID
The ID of the file on the server


string
FileName
The name of this file


string
FileRename
The name and path where this file should be stored.


long
Size
The size of this file in bytes


string
FileHash
The SHA1 hash for this file









Methods
DownloadChunk
Definition: ByteArrayReturnEntity DownloadChunk(int FileID, long Offset, intBufferSize)
Parameters:













FileID
ID number of the file to download. This number is found in



the the results of the GetPackage call.


Offset
Indicates where in file to obtain data, indexed in bytes



from start of file.


BufferSize
Number of bytes requested for return in this chunk.









Result: Data is returned in the ByteArrayReturnEntity structure—an array of byte.
Description: This method is used to download files to the client. The client should call GetPackage to get a list of FileID's that should preferably be downloaded, along with their file size and a SHA1 checksum hash. The client should then use DownloadChunk to retrieve the file in pieces of size BufferSize. This method is intended to provide the ability to resume a failed download, as it lets the client start downloading the file from any point. This method may also be called in parallel, allowing the client to have several pending chunks at the same time. See the Download Manager documentation for the reasons why this might be desired.
Errors:













Caused



Error
by
Description







TDErrors.Authorization
Client
An authorization header was




not found


TDErrors.FileNotFound
Server
The FileID was legal, but the




file associated with the FileID




was not found on disk at the




server


TDErrors.InvalidDownloadOffset
Client
The client tried to read an off-




set that was before the begin-




ning of the file or past the end




of the file.


TDErrors.InvalidPath
Server
Either (a) the FileID was found




but did not contain a valid file




path or (b) the FileID was not




valid.









Register
Definition: RegistrationResponseEntity Register(RegistrationEntity registrationEntity)
Parameters:















RegistrationEntity
Structure containing user credentials




and device description data.









Result:
Data is returned in the RegistrationResponseEntity structure.
Description: This method is used to initially register the client with the server. Its two primary purposes are (a) to authenticate and associate the user with the device in a fashion that may not be repudiated, i.e., using their domain login credentials, and (b) to pass critical device configuration data to the server so the server may decide how to manage the device (such as which file packages should be associated with the device).
The method is also used to re-register the client with the server in response to a ReRegister action from Checkin. This may be needed if the device is physically transferred to another user, if the software is upgraded and requires special registration, or if the original user is transferred to another domain, auth server, etc.
Note that this method requires the USER's authentication credentials in the header.
Errors:














Error
Caused by
Description








TDErrors.Authorization
Client
An authorization header





was not found.









CheckIn
Definition: HeartbeatEntity CheckIn(string DeviceID, ComplianceEntity ComplianceEntity)
Parameters:















DeviceID
The unique ID of this device.



ComplianceEntity
A data structure that contains policy




compliance information.









Result: Data is returned in the HeartbeatEntity structure.
Description: This method is used to periodically “check in” with the server, pass compliance information, and learn of any pending actions. This call may happen fairly frequently, depending on how a customer has configured their compliance requirements. In a customer environment with EAS compliance enabled, the call will usually happen every time the user attempts to send or receive mail (at an interval of no less than five minutes by default). In an environment with or without EAS compliance, this call will be made every 24 hours.
This call will also be made after every time the device is soft reset, preferably as soon as the software is installed, but at the very least as soon as the user logs in. If the device is in Flight Mode, then the CheckIn should preferably be made as soon as the network is reestablished.
Errors:














Error
Caused by
Description








TDErrors.Authorization
Client
An authorization header





was not found.









GetPolicy
Definition: StringReturnEntity GetPolicy(String DeviceID)
Parameters:















DeviceID
The unique ID of this device.









Result: The policy is returned as an unencrypted XML string in the StringReturnEntity structure.
Description: This method is used to download the current policy for this device. Note that the policy is downloaded in an unencrypted form, and so it should preferably not be written to “disk” on device—it should processed in memory.
Errors:














Error
Caused by
Description








TDErrors.Authorization
Client
An authorization header





was not found.









GetPackage
Definition: PackageEntity GetPackage(string DeviceID)
Parameters:















DeviceID
The unique ID of this device.









Result: Data is returned in the PackageEntity structure.
Description: This method is used to download a list of files pending for installation. The download package contains a list of the files that should preferably be downloaded, along with a script that is broken into three sections: PreDownload, Download, and PostDownload. The script is stateful, in that the device should keep track of which commands have been completed and which have not. GetPackage should preferably be resumable, as some installations require device soft reset. The client should make a number of attempts to install software before failing the command.
Upon completion (successful or complete failure) of a given GetPackage call, the client should preferably provide feedback to the server via an UpdatePackageStatus call. Any policy obtained via GetPackage will be encrypted. The password to use for this encryption will defined in a different document. The device password must also be in the policy.
Errors:












Error
Caused by
Description







TDErrors.Authorization
Client
An authorization header was




not found.


TBD
Server
Package not found on the server









AckAction
Definition: ErrorEntity AckAction(String DeviceID, String actionID, TransmissionMethod transmissionMethod, ErrorEntity actionError)
Parameters:













DeviceID
The unique ID of this device.


actionID
The unique identifier of the action that the client



is acknowledging.


transmissionMethod
The channel via which the action was transmitted to



the device


actionError









Result: Any error is returned in the ErrorEntity structure.
Description: This method is used by the device to acknowledge receipt and/or execution of a specific action.
Errors:












Error
Caused by
Description







TDErrors.Authorization
Client
An authorization header was not




found.



Server
Action not found on the server.









UpdatePackageStatus
Definition: BooleanReturnEntity UpdatePackageStatus(string DeviceID, int PackageID, bool Completed, ErrorEntity PackageStatus, int LastFileID, int LastCommandID)
Parameters:
















DeviceID
The unique ID of this device.



PackageID
The unique ID of this package, obtained in




GetPackage call.



Completed
Set to TRUE if the all files downloaded and




the entire package script executed successfully.




Set to FALSE if any of the preceding failed.



PackageStatus




LastFileID
The FileID of the last file that was successfully




downloaded. This is ignored unless Completed




is FALSE.



LastCommandID
The last command that was successfully




executed in the script. This is ignored unless




Completed is FALSE.










Result: Data is returned in the BooleanReturnEntity structure.
Description: This method is used by the client to send completion or error results back to the server for a specific GetPackage and DownloadChunk sequence of operations. If a GetPackage operation goes well, then this method tells the server that the specified package is installed and fully operational. Otherwise, it tells the server that the operation failed, and what the last successful command was.
Errors:












Error
Caused by
Description







TDErrors.Authorization
Client
An authorization header was not




found.









SendDeviceDetailInfo
Definition: BooleanReturnEntity SendDeviceDetailInfo(DeviceDetailInfoEntity deviceDetailInfoEntity)
Parameters:















deviceDetailInfoEntity
Full structure describing the device









Result: Data is returned in the BooleanReturnEntity structure.
Description: This method is used to send detailed information about the device. This should be called automatically if the software detects that SIM has changed.
Errors:












Error
Caused by
Description







TDErrors.Authorization
Client
An authorization header was not




found.









UploadFile
Definition: BooleanReturnEntity UploadFile
Parameters:















DeviceID
The unique ID of this device.









Result: Data is returned in the BooleanReturnEntity structure.
Description: This method is used to send a file from the device to the server in response to an UploadFile action.
Errors:












Error
Caused by
Description







TDErrors.Authorization
Client
An authorization header was not




found.









Transport
The OTA Communication protocol of the invention is preferably implemented on top of a web services transport, implemented as Microsoft.NET 2.0 on the server. An exemplary system is shown in FIG. 7. Other acceptable foundations include custom IP-based protocols and other commercially-available communications infrastructure.
SMS Messaging System
Change History












Date
Author/Editor
Description







Dec. 23, 2005
Supernor
Initial draft


Jan. 31, 2006
Supernor
Updated design


Mar. 1, 2006
Supernor
Phase 1 draft submitted for review


Mar. 22, 2006
Supernor
Added references.


Aug. 7, 2006
Surafel
Changed GMT timestamp to ActionID









Contents
SMS Messages and carriers:














http://tinywords.com/mobile.html



http://www.slipstick.com/outlook/smcell.htm



http://www.notepage.net/smpt.htm









Email from inside .NET:














http://www.systemnetmail.com/



http://www.aspheute.com/english/20000918.asp



http://www.developer.com/net/asp/article.php/3096831



http://www.4guysfromrolla.com/webtech/080801-1.shtml









Terminology
Server: A collection of modules which may be stored in the customer corporate infrastructure which may include the front end web server, back end database, provisioning portal etc.
Wireless data network: Either phone carrier/operator-based IP network or WiFi network.
Policy: A set of configuration items for the Client that control the security features that will be enforced on that client.
Mobile Device: Any portable computing device, such as a mobile phone, Palm, Pocket PC (2003 or M5), RIM or Symbian Device that can connect to wireless data network.
Client: Client on the mobile device. This client is an application/service that is installed on the Mobile Device, and fulfils at least one of the following functions: Secure control of the device, including user passwords and data encryption, Device feature control, including control of features like Bluetooth, WiFi, IR, etc., Application and image management, ensuring only the proper applications are able to be installed and operated, and Remote policy enforcement, allowing corporations to push a uniform policy to multiple devices.
Initial Connection: First sync from a device without security.
Subsequent Connections: All syncs after the initial installation of software and policy.
Admin: The administrator of the system. Preferably a corporate IT or security administrator.
User: The user of a device client—generally a person with relatively low privileges to change device configuration.
Wireless message: A message packaged for push to the client, typically an SMS, MMS, or similar message.
Protected Data: Data that is important enough to the user that it should be protected with encryption. Protected Data can only be read from/written to by Trusted Applications. Protected Data may be database records or flat files.
Trusted Applications: A specific set of applications that are allowed to read from/write to Protected Data files in their unencrypted forms
Overview
The system requires a mechanism to communicate urgent information and/or commands to devices that are being managed by a particular server. The normal channels of communication between the devices and the server are as follows:
PC Agent: For cradle-based sync.
WiFi-based wireless network: Typically used by PDA's in either a local/closed network or at a public WiFi hotspot.
Carrier/cellular operator wireless network: Used by PDA/phone devices that are equipped and provisioned to send/receive data.
The primary focus of this release is on the latter of these device types—phones. During normal operations of these devices, there is not normally a way for the server to communicate urgent information directly to the device via an IP-based network. This is because they are typically hidden behind a carrier or operator network firewall inside a private network that employs Network Address Translation (NAT). This means the devices can communicate to the Internet, but the Internet cannot typically reach the devices, except in response to a TCP request. Some competitors deal with this issue by dictating that their software should preferably be installed INSIDE the carrier network, in a place where they may directly communicate with the devices. This requires a tremendous amounts of partnering efforts to reach all needed carriers, a system that requires truly massive scalability and reliability, and will not appeal to the enterprises that want to manage devices from multiple carriers at the same time. The system of the invention work around the NAT issue to issue urgent device commands.
In particular, the systems of the invention employ Short Message Service (SMS) messages to issues commands to phone-equipped devices. SMS commands have the advantage of completely bypassing the carrier IP network, and riding instead of the phone service. They also have some known disadvantages. They are usually not free, unless one is already paying for unlimited SMS messages (we do not expect our customers to being doing this—after all, they have “normal” email on the devices). They are extremely limited in size, with a maximum payload of 140 bytes. Delivery is not guaranteed. (The SMS messages would be sent via normal email, queued in the carrier network, and the device would have to be turned on within a few days in order to receive the message before it times out.). Not all devices are equipped or provisioned to receive SMS messages (like PDAs).
Notwithstanding these (and other) disadvantages, SMS capability is important for those devices that ARE equipped and ARE provisioned, if for no other reason than it is a “standard” feature provided by our competitors.
Some of the required SMS commands are relatively benign, like simply commanding the device to check in with the server via normal networking services. However, there are also commands that could be highly risky if a hostile third party were able to issue them on demand. These include such commands as Wipe, LockDevice, or ChangePassword. All three of these particular commands could deny access to the device by the owner, and the first would destroy data. These commands all need to be protected with security features that provide Authentication that the message is from an authorized source and Encryption to hide the message being sent and to protect the Authentication mechanism. They should preferably also defend against attacks such as Replay.
The following descriptions outlines the high level requirements of the core SMS mechanisms and provide a high-level design.
Architecture
The major components of this subsystem, which is shown in FIG. 8 as system 800, include, on the server side, SMS/Email Command Service 810, and, on the client side, The SMS Listener 820.
SMS Operation Scenarios
Wipe
User calls IT Helpdesk and tells them he lost his device, leaving it on the seat of a taxicab. He attempted to contact the cab company but they say they cannot find the device. The device is presumed to be gone forever. IT Helpdesk finds the user and device in the Enterprise Console and clicks the Wipe button. Server sets the Wipe state against the device in the database. The device is also set to “non-compliant” in the database so no new PIM data will flow to the device. SMS Service checks to make sure the organization has SMS messages configured for Wipe. If so, a message is generated and encrypted.
The message takes the form of an email that is addressed to the publicly-visible SMS address of the device (commonly the device phone number@ the carrier SMS address, like 5552223333@vtext.com (verizon). The SMS Service sends the message. The carrier network receives the message and stores it for an unknown period (possibly 24-48 hours) if the device is not online. When the device comes online, the carrier network forwards all pending SMS messages to the device.
The device receives the SMS message, and the message is passed to the SMS Listener component for possible handling. The SMS Listener examines the message to see if it looks like an authentically generated message. Messages generated by the system will have unique characteristics that should make it unlikely/nearly impossible for the Listener to intercept a message that was not intended for it. The SMS Listener determines that this IS an authentic message, and decrypts, validates, authenticates, and parses it. The SMS message is recognized as a Wipe command. The SMS Listener executes a secure wipe of the device using whatever mechanism is already implemented by the code for that particular device/platform.
Wipe with Receipt
Very much like above, except that this organization desires a slightly higher level of certainty that the device is in fact wiped. When the SMS message is recognized as a Wipe with Receipt command, the SMS Listener attempts to contact the server via IP-based networking, informing it that the Wipe command was received. If the SMS Listener is not able to contact the server for a specified time period, then the Wipe command will be executed without issuing a receipt.
Device Lock
The employee who uses this device is in the process of being laid-off. The device contains data that may be of interest to the company, and the company does not want this data destroyed by the user. The company issues a command to the device for it to be locked to prevent the user from logging in. When the SMS Message is recognized as a Lock command, the SMS listener causes PDASecure to lock the device in a fashion similar to the mechanism used for password-attempts exceeded.
No Authentic Software Installed
If the device is hard reset and authentic software is not re-installed, then the SMS Listener will not be in a position to intercept the SMS Message on the device, and the user will see the message. In this case, the SMS message includes a plain-text prefix that is human-readable, such that the user sees an SMS message that looks something like the following:















System Message-OK to



delete



TdGggYWxsIG15IHN0dWZm



ZWQgYW5pbWFscy4gSSB3b



3VsZCBsaXN0ZW4gdG8gdG



hlaXIgaGVhcnQgd210aCB



teSBzdGV0aG9T










Urgent Policy Update
An organization makes a policy change that needs to be pushed out to devices immediately. Policy change is made and admin selects “urgent” checkbox when applying policy. UI backend. UI backend sends a message to the SMS Service
SMS Operation Design—Communications
Message Format
Transmission of the short messages between SMSC and phone is via SS7 within the standard GSM MAP framework. Messages are sent with the additional MAP operation forward_short_message, whose payload length is limited by the constraints of the signalling protocol to precisely 140 bytes. In practice, this translates to either 160 7-bit characters, 140 8-bit characters, or 70 2-byte characters in languages such as Arabic, Chinese, Korean, Japanese or Slavonic languages (e.g. Russian) when encoded using 2-byte UTF-16 character encoding (see Unicode). This does not include routing data and other metadata, which is additional to the payload size.
The diagram below breaks-down the 140 byte SMS message by how we will use it. This arrangement will allow for a 48-character 7-bit user-visible message, or a 21-character 2-byte Unicode user-visible message.














Offset Bytes














0
4
8
12
15













0
User-visible message (40 bytes), padded with spaces
15


16
User visible message (continued)
31












32
User visible message
\n\n (two
T (One
Command ID (19
47



(continued)
newline
hardcoded
characters)




characters)
character)











48
Command ID (19 characters) (continued)
Command
Command
63




code from list
parameters




below (one
(up to 76




character)
characters) -





padded





with a





newline





character





and then





random





nonzero





bytes


64
Command parameters (continued)


79


80
Command parameters (continued)


95


96
Command parameters (continued)


111


112
Command parameters (continued)


127











128
Command parameters (continued)
T (One
139





hardcoded




character)









Putting this in the form of byte offsets and sizes:














Bytes














Start
End

Encrypt-




offset
offset
Size
ed size
Description

















0
39
40
0
User-visible message,







padded with spaces



40
41
2
0
Two newlines



42
42
1
0
Hardcoded “T”



43
61
19
19
Action ID of the command







(from Action table in db)



62
62
1
1
Command Code



63
138
76
76
Parameters, terminated by







a newline and padded with







random bytes.



138
139
1
0
Hardcoded “T”




Total
140
96











As may be noted, this will result in an encrypted data size of 96 bytes, which could be broken (if necessary) into six 16 byte blocks or three 32 byte blocks, etc.
The following are the command codes, which are generally case sensitive.













Command


Param-


Code
Short name
Definition
eters







C
CheckIn
Order the device to check-in





with the server via the normal





network and download 





instructions.



w
Wipe
Orders the device client to wipe





all data on the device.



W
WipeWithReceipt
Same as above, but FIRST
Timeout




attempt to contact the server via
in




normal network and confirm
minutes




receipt of the WIPE command.
0-10080




If the device is unable to estab-
(one




lish a connection within the
week).




timeout specified in the para-





meters, then wipe without con-





necting to the server. If a time-





out of zero is specified, make





one attempt to contact the server





and then wipe.



L
LockUser
Orders the device client to lock





the device and prevent user 





login. Optional: If the user at-





tempts to login, he/she should





be told that the device is locked





and that they should contact the





system administrator. Note that





this is similar to the existing





state that allows for the device





to be locked if the user fails to





enter the correct password, x





times in a row.



U
UnlockUser
Orders the device client to un-





lock itself, resetting any policy-





based flag that forced it into the





locked state (such as password





attempts exceeded).



P
ChangePassword
Forces a change to the device 
Admin




user password to some new 
pass-




password contained in the 
word,




command.
new user





password


A
ServerAddress
New server protocol, IP
Protocol,




address, port, such as
address,




HTTPS://70.21.119.2:9999
port


L
ServerURL
New server URL
URL


R
SoftReset
Order device to soft reset



T
TestMessage
Display a test message
Message





to





display









SMS Operation Design—Server
Server-side Configurable Settings
The following SMS-related items may be configured on the server on a GLOBAL basis:












Item




Name
Data type
Description







SMTP
IP Address or fully-
Address/URL of the SMTP server to


server
qualified hostname
which all SMS messages should be sent




for forwarding.









The following SMS-related items may be configured on the server on a PER ORGANIZATION basis:













Data



Item Name
type
Description







SMS messages
boolean
An overall flag for the organization that


enabled

indicates if they want to use SMS messages.


User message
String
String that would be display to user if they


prefix

ever saw an SMS from the software of the




invention. Default value: “System Message-




OK to delete”. This field is limited to a max-




imum length of 48 7-bit ASCII characters,




42 8-bit characters, or 21 doublebyte




Unicode characters.


User message
String
For the current release:


prefix

“7-bit US-ASCII”


character set

For a future release:




Other standard character sets as dictated by PM.


“From”
string
Email address to use for the “From” address


address

of the SMS message.


SMS Wipe
boolean
If a Wipe command is set for a device, send


enabled

the message via SMS


SMS Wipe
boolean
This is a modifier for the previous command -


with Receipt

if SMS Wipe is enabled and this selection is


enabled

enabled, then attempt to get a wipe command




receipt before actually wiping (see details




below).


SMS Lock
boolean
If a Lock command is set for a device,


enabled

send the message via SMS


SMS Unlock
boolean
etc. etc.


enabled




SMS Change
boolean
etc. etc.


Password




Enabled




SMS Server
boolean
etc. etc.


Address




Change




Enabled




SMS Server
boolean
etc. etc.


URL Enabled




SMS Soft
boolean
etc. etc.


Reset Enabled




SMS Checkin
boolean
General notification message. If a policy or


Enabled

other file upload/download is pending for a




device, and the device should contact the 




server via the normal IP-based network,




send a message via SMS.









SMS Database Features
The Device table should preferably be modified to include flags and associated timestamps for each of the possible SMS commands. Triggers will be placed against each of the commands.
Server Design
The SMS Service should preferably consist of a NET web service that monitors the database, and constructs an SMS message when required.
The SMS Service should preferably support the following methods:
Standard service commands: Stop, Restart, HealthCheck
Special commands: SendMessage(DeviceID, Message) SendMessages(OrgID)
Audit
The SMS Service will log each time an SMS message is sent. The log item will include a timestamp, the Device ID to which the message was sent, and the command type.
Scope of Effort—Server
All of the server features described above will be implemented in two phases in this release. The first phase should preferably consist of all described features and capabilities, EXCEPT for SMS encryption. The second phase will consist of implementing SMS Encryption.
Constuction and transmission of the SMS messages themselves will be based on the built-in System.Net.Mail and SmtpMail packages/classes of .NET 2.0, for example.
SMS Operation Design—Client
Client Design
The basic design shown in FIG. 9 is preferable for all SMS Listeners on the device clients. The client should preferably consist of the following basic modules:
Platform-specific SMS Listener Service: This module contains the logic necessary to start and run the client, and any device-or-platform specific code required to actually listen for incoming SMS messages. The service should preferably be implemented in such a way that there is no danger of missing any incoming SMS messages. In other words, if the device SMS listening methods require that the service always be running, then the service should preferably be implemented in such a way that it will always load on boot and cannot be killed. If the listening methods do not require the service to always be running (such that an incoming message will cause the service to be started), then the service need only register itself for proper invocation.
SMS Message Decode Library: This module should preferably be a static library that provides the methods required to recognize and decode and decrypt incoming SMS messages. Insofar as possible, the library will be implemented in a platform-independent fashion.
PDASecure Configuration Access Library: This module should preferably be a static library that implements any code needed to access PDASecure settings or configuration data.
SMS Message Decode Library Public Methods
The following methods are implemented by this library:
bool HandleMessage(unsigned char *pstrMessage, unsigned char *pstrCryptoKey)
Description: Handles the message pointed to by the parameter. This method will validate that this message is a SMS message, and decrypt it and parse it if it is. The calling application should immediately call IsMessageValid( ) after calling HandleMessage to determine if this is a valid message. Invalid messages should be ignored by the system.
Parameters:
pstrMessage: Pointer to an array of char that contains the message.
pstrCryptoKey: Pointer to the encryption key for the message. This may be NULL for the first phase of this feature.
bool IsMessageValid( )
Description/return values: Returns true if the message was handled by the library. If possible, the calling code should make sure this message does not get exposed to the user. Returnsfalse if the message was NOT handled by the library. The calling code should allow the message to reach the user.
SMSCommand enum getCommand( )
Description/return values: Returns an enumerated value that describes the command that was sent in the message. See SMSDefines.h for all values. If the returned command has parameters, the calling program should call the appropriate parameter retrieval command, as follows.
string getTestMessage( )
Description/return values: Assuming this was a TestMessage command, the method will return the test message string parameter. If this was not a TestMessage command, the string “Not a TestMessage command” will be returned.
Scope of Effort—Client
All of the server features described above will be implemented in two phases in this release.
Phase 1: Implement overall design for Palm and PPC, and command implementation for the following commands: Wipe, Lock, Unlock, TestMessage. The assumption is that the first phase can be done without the OTA Networking features that are being defined as a separate work task (needed for the CheckIn command).
Phase 2: Implement the CheckIn command and SMS Encryption.
SMS Security Requirements
The SMS Security subsystem has the following requirements: scalable, risk of spoofed messages from hostile 3rd party is absolutely minimal, risk of disclosed security keys minimal, low impact to user, and ability to protect all of the required commands.
SMS Security Design
The SMS Security subsystem has the following requirements: Use server+device timestamp successful sync, device ID, and policy ID to encrypt/authenticate contents.
Over The Air Policy (OTAP) Communications
Overview
The client requires a new Over the Air Policy (OTAP) communications method that addresses these issues. At the high level, this method should preferably have the following functions:
The server should preferably allow for the creation of a single policy that will apply to a group of devices. (The admin may perceive this in the user interface as a single policy—Policy Editor requirements are covered in a separate document)
Allow for policy generation of this policy on a one policy file per device basis, where each generated policy file can be distinctly encrypted and protected uniquely for the target device.
Legacy support: Allow admin to configure system to continue to support the functionality of a single policy file for multiple devices.
Support pushing of policy files to devices independent of 3rd-party OTA vendors
Legacy support: Support pushing of policy files via 3rd-party OTA vendors
Support pushing of client status, logs, and compliance information back to the server.
The software of the invention is preferably installed in a corporate environment; thus, a carrier network component is not necessarily required. Because of this environment restriction, and due to carrier/operator network restrictions, the server may not initiate IP-based connections to the client. To mitigate this restriction, the system should preferably support the use of wireless messaging, such as SMS or MMS, to command or notify the client that it needs to contact the server via an IP-based network. All IP-based connections should preferably be initiated by the client.
Architecture
The intent of this document is describe the requirements of an area of product functionality. In order to better describe this functionality, the document may speak of specific product components as if they were designed modules. This document is not intended to be a constraint on design unless explicitly stated. Good design will result in a proper modular architecture, and modules from this document may be combined or further segmented in the final product.
The major components of this wireless push subsystem are shown in FIG. 10. On the server side, server OTAP (SOTAP) components 1000 include a Scheduling Service 1010, a wireless SOTAP Command Service 1020, and a SOTAP Provisioning Service 1030. On the client side, the client OTAP (COTAP) components 1000 include a wireless messaging listener service, the COTAP Listener 1110, and an IP-based network communication service, the COTAP Network Module 1120.
Wireless Push Subsystem Scenarios
Policy Push Scenario
The system should preferably support pushing of policy to devices on demand. The typical push scenario concept of operations is as follows: Policy is changed on the server, saved to the database, and “Applied” to a device or set of devices. The Scheduling Service will recognize that policy for a specific device has changed and will schedule transmission of a wireless message to the device. Per the schedule, the SOTAP Command Service sends a wireless message (SMS, MMS, etc.) to the device, containing a DownloadFile command, commanding it to download a new policy. Note that the SOTAP Command Service does NOT actually transmit the policy, but rather sends a notification that a policy is available and should preferably be downloaded. On the device, the COTAP Listener recognizes the incoming incoming wireless message as a Command, and processes that message. In the case of policy push, the message is recognized as a DownloadFile command, and the COTAP Network Module is commanded to contact the server to download policy. The COTAP Network Module activates the wireless data network connection if necessary, establishes a connection with the SOTAP Provisioning Service, and downloads the new policy. The COTAP Network Module notifies the Client that a new policy is available. The Client processes this policy, rebooting the device if necessary. Upon completion of new policy installation, the Client notifies the COTAP Network Module that a new policy has been installed. The COTAP Network Module activates the wireless data network connection if necessary, establishes a connection with the Policy Provisioning Server, and tells it that the Policy was Applied.
Command Push Scenario
In addition to the DownloadFile command, the system should preferably support pushing of other commands to devices on demand. These commands will include the following:
WipeDevice—Orders the device client to wipe all data on the device. This is typically done by forcing a device hard reset. Note that this particular command can only acknowledge receipt—it cannot provide later feedback.
WipeDeviceWithReceipt—Orders device to attempt to contact server, acknowledging receipt of the command before actually killing the device.
LockDevice—Orders the device client to lock the device and prevent user login. If the user attempts to login, he/she should be told that the device is locked and that they should contact the system administrator.
UnlockDevice—Orders the device client to unlock itself, resetting any policy-based flag that forced it into the locked state (such as password attempts exceeded).
ChangePassword—Forces a change to the device user password to some new password contained in the command.
ServerAddress—Configure the server address for the SOTAP Server
ServerURL—Configures the connection settings for the SOTAP Server
SoftReset—Orders device to soft reset.
All of these commands are preferably processed by the client as soon as they arrive, and do not require the user to log in for the commands to take effect. In some cases, they may force an immediate logout (such as LockDevice or KillDevice).
In general, the scenario for command push is as follows. A Command is ordered on the server for the specific device. The Scheduling Service treats all commands as Immediate Priority, and schedules them to happen as soon as possible. Per the schedule, the SOTAP Command Service sends a wireless message (SMS, MMS, etc.) to the device, containing the specific command along with any other needed data (such as a new password for the ChangePassword command). On the device, the COTAP Listener recognizes the incoming incoming wireless message as a Command, and processes that command, taking whatever action is necessary. For all of the commands except KillDevice, the COTAP Network Module activates the wireless data network connection (if necessary), establishes a connection with the Policy Provisioning Server, and informs it that the command has been obeyed.
Wireless Push Subsystem Requirements
Given the above scenarios, the wireless push subsystem preferably has the following features: The client portions of this subsystem should support the following device platforms: Pocket PC 2003, Windows Mobile 5, RIM, Palm 5, Symbian 7.0, 7.0s, and 9.0. The system should provide a distinct Provisioning Server component, the SOTAP Provisioning Service that may be installed in the corporate network DMZ. This Service is intended to isolate the internal Server components from the Internet. The server should preferably support pushing of commands and policy files to devices independent of 3rd-party OTA vendors.
Wireless Commands
Any Command in transit to the device should preferably be protected by encryption and authentication. All Commands, command data, and authentication/encryption data should preferably fit within an SMS message, and contain data suitable for SMS transmission. The device will avoid having any policy file in an actual file form in the device file system. If the policy must be stored temporarily as a file, it should preferably be protected from deletion by a malicious user.
“On demand” push commands will be either “normal” priority or “immediate” priority. Normal priority push will be scheduled so as to control the number of devices attempting to contact the server at the same time. Immediate priority push will be scheduled to occur as soon as possible. Note that if immediate push is requested for many devices simultaneously, it will have a similar result to normal priority, in that the devices will be scheduled over a period of time (though the immediate push may be scheduled ahead of existing normal priority pushes).
The scheduler should preferably track and log the following push states on a per-device basis: Push Scheduled, Push Rescheduled, Command Sent, Command Acknowledged, Command Failed on Device, Command Failed in Network.
The scheduler should preferably track the number of commands scheduled for a period of time, and reschedule them as necessary to spread server and network loading and ensure timely delivery of commands.
Commands should preferably be serialized, such that the Client OTA Network Module can acknowledge receipt of a specific command.
Policy Handling and Policy Push
The server should preferably allow for the creation of a single policy that will apply to a group of devices. Also, the server should preferably support policy generation on a one policy file per device basis, where each generated policy file can be distinctly encrypted and protected uniquely for the target device. In addition, the server should preferably support policy generation on a one policy file for multiple devices basis, where each generated policy file may be applied to multiple devices. Moreover, administrators should be allowed to configure the system to enable/disable support the functionality of a single policy file for multiple devices on a system or device group basis. Also, the system supports pushing of policy files via 3rd-party OTA vendors.
The system will track the following policy states on a per-policy basis: changed (“dirty” on the server), applied (commanded for push to devices). The system will also track the following policy states on a per-device basis: applied, pending. Furthermore, the system will track each time a device was supposed to receive policy, and will be able to flag a device that has been pending for more than 24 hours (a policy compliance “caution” state), or 72 hours (a policy compliance “danger” state). These times are defaults but should be configurable by the user.
If a device is in a Caution or Danger policy compliance alert state, and a new policy is applied, the device will remain in (and progress thru) the alert states until a policy is successfully applied.
The server should be able to revert any changed but not-applied policy to its applied state. The server should preferably log each time it is contacted by a device, and display it as a “last heard from” time. Once a policy has been applied, it may not be reverted—it can only be changed again. Policy applications should preferably be serialized; the server should preferably track which version of a policy is installed on a per-device basis.
This version of the system should preferably NOT maintain a policy history, allowing for multiple revisions of policy “undo”. ALL policy changes in a given “Apply” on the server should preferably be logged in a text-based logfile. The scheduler should preferably recognize if a Policy Applied message is not received from the device within a configurable time period and retransmit the command.
The COTAP Network Module will include a COTAP Scheduler component that may be configured to contact the server on a periodic basis (such as “every 24 hours”), and attempt to retrieve policy. (Primarily intended for devices that do not support SMS, but may be used as a client heartbeat as well). The frequency of this client-side check should be settable on the server. The client should preferably be configurable to take various actions (such as lock, wipe, etc.), after a certain number of days with no contact with the server. All server components should preferably be implemented using Microsoft-based server products, including Windows Server 2003 and IIS. The server should preferably be stateless outside a single connection, and should preferably be infinitely scalable via standard MS IIS clustering techniques.
OTAP File Transfer Requirements
The COTAP Network Module should preferably allow for periodic transmission of other files to the server, as requested by other client modules. These files could include device logs or device compliance information.
The COTAP Network Module should preferably retrieve a “download list” from the SOTAP Provisioning Service. This download list will include a sequenced list of files that should preferably have action taken against them. The download actions should preferably include a simple DownloadFile action that simply downloads and copies the file to a specified location, an InstallApp action that downloads and installs an executable file, an InstallPolicy action that downloads and installs a policy (per the previous section of this document), an UninstallApp action that uninstalls the specified application, a DeleteFile action that deletes a specified file, a SoftReset action that commands a soft reset of the device, and a RunApp action that causes a specified application to execute in a non-blocking fashion.
The OTAP system also supports automatic resumption of interrupted downloads.

## Claims

1. A method comprising:
intercepting a data stream from a mobile device attempting to access a network resource, wherein the data stream is an application level data stream;
extracting information from the intercepted data stream relating to the mobile device;
accessing enterprise service based information and third party information regarding at least one of the mobile device or a user of the mobile device;
determining whether the mobile device is authorized to access the network resource;
preparing an access decision based at least on whether an anti-virus application is present on the mobile device;
storing the access decision in a database on a network;
evaluating a subsequent attempt to access the network resource;
accessing a cache in order to determine whether a previous attempt to access the network resource was successful; and
permitting the mobile device to access the network resource based on data provided in the cache.

2. The method of claim 1, wherein the access decision includes information regarding at least one of a health profile of the mobile device, the authenticity of the mobile device or a user of the mobile device, or the authorization of the mobile device or the user of the mobile device to access the network resource.

3. The method of claim 1, further comprising enforcing the access decision by granting access to the mobile device to the network resource if the mobile device is determined to be authorized and denying access to the mobile device to the network resource if the mobile device is determined not to be authorized.

4. The method of claim 1, further comprising storing the extracted information in the database.

5. The method of claim 1, wherein the data stream is an application data stream.

6. The method of claim 1, wherein the enterprise service based information includes at least one of information stored within a database and information stored within a directory service.

7. The method of claim 1, wherein the third party information includes a certificate authority.

8. A method for managing access to a network resource on a network from a mobile device, the method comprising:
intercepting a data stream from the mobile device attempting to access the network resource;
extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device;
submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource;
receiving a response from the compliance server; and
if the received response indicates that the query was not received by the compliance server, accessing a decision cache to determine if the decision cache includes cached information regarding whether the mobile device has been granted access or denied access during a previous attempt to access the network resource, and granting or denying the mobile device access to the network resource based on the cached information in the decision cache, and wherein the access to the network is at least based on whether an anti-virus application is present on the mobile device.

9. The method of claim 8, further comprising granting the mobile device access to the network resource if the mobile device is authorized to access the network resource.

10. The method of claim 8, further comprising denying the mobile device access to the network resource if the mobile device is not authorized to access the network resource.

11. A method for managing access to a network resource on a network from a mobile device, the method comprising:
intercepting a data stream from the mobile device attempting to access the network resource;
extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device;
submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource;
receiving a response from the compliance server;
if the received response indicates that the query was not received by the compliance server, prohibiting the mobile device access to the network resource;
accessing a cache in order to determine whether a previous attempt to access the network resource was successful; and
permitting the mobile device to access the network resource based on data provided in the cache, and wherein the access to the network resource is at least based on whether an anti-virus application is present on the mobile device.

12. A method for managing access to a network resource on a network from a mobile device, the method comprising:
intercepting a data stream from the mobile device attempting to access the network resource;
extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device;
submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource;
receiving a response from the compliance server;
if the received response indicates that the query was not received by the compliance server, denying the mobile device access to the network resource;
accessing a cache in order to determine whether a previous attempt to access the network resource was successful; and
permitting the mobile device to access the network resource based on data provided in the cache, and wherein the access to the network resource is at least based on whether an anti-virus application is present on the mobile device.

13. A method for managing access to a network resource on a network from a mobile device, the method comprising:
intercepting a data stream from the mobile device attempting to access the network resource;
extracting information from the intercepted data stream relating to at least one of the mobile device or a user of the mobile device;
accessing a decision cache to determine whether the mobile device has been granted access or denied access during a previous attempt to access the network resource;
if the decision cache includes cached information regarding whether the mobile device has been granted access or denied access during a previous attempt to access the network resource, granting or denying the mobile device access to the network resource based on the cached information in the decision cache, wherein the access to the network is at least based on whether an anti-virus application is present on the mobile device; and
if the decision cache does not include cached information regarding whether the mobile device has been granted access or denied access during a previous attempt to access the network resource, submitting a query to a compliance server to determine whether the mobile device is authorized to access the network resource.