# Patent

## Title
USB hub keypad

## Abstract

A method and apparatus for securing a token from unauthorized use is disclosed. The method comprises the steps of receiving a first message transmitted from a host processing device and addressed to a PIN entry device according to a universal serial bus (USB) protocol; accepting a PIN entered into the PIN entry device; and transmitting a second message comprising at least a portion of the first message and the PIN from the PIN entry device to the token along a secure communication path. In another embodiment, the present invention describes an apparatus for securing a token from unauthorized use, comprising a PIN entry device, communicably coupleable to a host processing device transmitting a first message addressed to the PIN entry device, and communicatively coupleable to the token according to a universal serial bus USB protocol, the PIN entry device comprising a user input device, for accepting a user-input PIN; and a processor, communicatively coupled to the user input device, the processor for receiving the first message and combining the first message with the user-input PIN, and for producing a second message having at least a portion of the first message and the user-input PIN.

## Background
CROSS-REFERENCE TO RELATED APPLICATIONS
This application is a continuation-in-part of U.S. patent application Ser. No. 09/449,159, filed Nov. 24, 1999, by Shawn D. Abbott, Bahram Afghani, Mehdi Sotoodeh, Norman L. Denton III, and Calvin W. Long, and entitled “USB-COMPLIANT PERSONAL KEY WITH INTEGRAL INPUT AND OUTPUT DEVICES,” which is a continuation-in-part of U.S. patent application Ser. No. 09/281,017, filed Mar. 30, 1999 by Shawn D. Abbott, Bahram Afghani, Allan D. Anderson, Patrick N. Godding, Maarten G. Punt, and Mehdi Sotoodeh, and entitled “USB-COMPLIANT PERSONAL KEY,” which claims benefit of U.S. Provisional Patent Application No. 60/116,006, filed Jan. 15, 1999 by Shawn D. Abbott, Barham Afghani, Allan D. Anderson, Patrick N. Godding, Maarten G. Punt, and Mehdi Sotoodeh, and entitled “USB-COMPLIANT PERSONAL KEY,” all of which applications are hereby incorporated by reference herein.


BACKGROUND OF THE INVENTION
1. Field of the Invention
The present invention relates to computer peripherals, and in particular to a personal key having input and output devices integrated therewith to provide for increased security.
2. Description of the Related Art
In the last decade, the use of personal computers in both the home and in the office have become widespread. These computers provide a high level of functionality to many people at a moderate price, substantially surpassing the performance of the large mainframe computers of only a few decades ago. The trend is further evidenced by the increasing popularity of laptop and notebook computers, which provide high-performance computing power on a mobile basis.
The widespread availability of personal computers has had a profound impact on interpersonal communications as well. Only a decade ago, telephones or fax machines offered virtually the only media for rapid business communications. Today, a growing number of businesses and individuals communicate via electronic mail (e-mail). Personal computers have also been instrumental in the emergence of the Internet and its growing use as a medium of commerce.
While certainly beneficial, the growing use of computers in personal communications, commerce, and business has also given rise to a number of unique challenges.
First, the growing use of computers has resulted in extensive unauthorized use and copying of computer software, costing software developers substantial revenue. Although unauthorized copying or use of software is a violation of the law, the widespread availability of pirated software and enforcement difficulties have limited the effectiveness of this means of preventing software piracy.
Software developers and computer designers alike have sought technical solutions to attack the problem of software piracy. One solution uses an external device known as a hardware key, or “dongle” coupled to an input/output (I/O) port of the host computer.
While the use of such hardware keys is an effective way to reduce software piracy, to date, their use has been substantially limited to high value software products. Hardware keys have not been widely applied to popular software packages, in part, because the hardware keys are too expensive, and in part, because there is a reluctance on the part of the application program user to bother with a hardware key whenever use of the protected program is desired. Also, in many cases, the hardware keys are designed for use with only one application. Hence, where the use of multiple applications on the same computer is desired, multiple hardware keys must be operated at the same time.
While it reflects a tremendous advance over telephones and facsimile machines, e-mail also has its problems. One of these problems involves security. Telephone lines are relatively secure and a legally sanctioned way to engage in the private transmission of information, however, e-mails are generally sent over the Internet with no security whatsoever. Persons transmitting electronic messages must be assured that their messages are not opened or disclosed to unauthorized persons. Further, the addressee of the electronic message should be certain of the identity of the sender and that the message was not tampered with at some point during transmission.
Although the packet-switching nature of Internet communications helps to minimize the risk of intercepted communications, it would not be difficult for a determined interloper to obtain access to an unprotected e-mail message.
Many methods have been developed to secure the integrity of electronic messages during transmission. Simple encryption is the most common method of securing data. Both secret key encryption such as DES (Data Encryption Standard) and public key encryption methods that use both a public and a private key are implemented. Public and private key encryption methods allow users to send Internet and e-mail messages without concern that the message will be read by unauthorized persons or that its contents will be tampered with. However, key cryptographic methods do not protect the receiver of the message, because they do not allow the recipient to authenticate the validity of the public key or to validate the identity of the sender of the electronic message.
The use of digital certificates presents one solution to this problem. A digital certificate is a signed document attesting to the identity and public key of the person signing the message. Digital certificates allow the recipient to validate the authenticity of a public key. However, the typical user may use e-mail to communicate with hundreds of persons, and may use any one of several computers to do so. Hence, a means for managing a number of digital certificates across several computer platforms is needed.
Internet commerce raises other challenges. Users seeking to purchase goods or services using the Internet must be assured that their credit card numbers and the like are safe from compromise. At the same time, vendors must be assured that services and goods are delivered only to those who have paid for them. In many cases, these goals are accomplished with the use of passwords. However, as Internet commerce becomes more commonplace, customers are finding themselves in a position where they must either decide to use a small number of passwords for all transactions, or face the daunting task of remembering multiple passwords. Using a small number of passwords for all transactions inherently compromises security, since the disclosure of any of the passwords may lead to a disclosure of the others. Even the use of a large number of passwords can lead to compromised security. Because customers commonly forget their password, many Internet vendors provide an option whereby the user can be reminded of their password by providing other personal information such as their birthplace, mother's maiden name, and/or social security number. This feature, while often necessary to promote Internet commerce, severely compromises the password by relying on “secret” information that is in fact, publicly available.
Even in cases where the user is willing and able to keep track of a large number of passwords, the password security technique is often compromised by the fact that the user is inclined to select a password that is relatively easy to remember. It is indeed rare that a user selects a truly random password. What is needed is a means for generating and managing random passwords that can be stored and recalled for use on a wide variety of computer platforms.
Internet communications have also seen the increased use of “cookies.” Cookies comprise data and programs that keep track of a user's patterns and preferences that can be downloaded from the Internet server for storage on the user's computer. Typically, cookies contain a range of addresses. When the browser encounters those addresses again, the cookies associated with the addresses are provided to the Internet server. For example, if a user's password were stored as a cookie, the use of the cookie would allow the user to request services or goods without requiring that the user enter the password again when accessing that service for the second and subsequent time.
However beneficial, cookies can also have their dark side. Many users object to storage of cookies on their computer's hard drive. In response to these concerns, Internet browser software allows the user to select an option so that they are notified before cookies are stored or used. The trouble with this solution is that this usually results in an excessive number of messages prompting the user to accept cookies. A better solution than this all-or-nothing approach would be to allow the storage and/or use of cookies, but to isolate and control that storage and use to comply with user-specified criteria.
Smartcards provide some of the above mentioned functionality, but smartcards do not present an ideal solution. First, personal keys are only valuable to the user if they offer a single, widely accepted secure repository for digital certificates and passwords. Smartcard readers are relatively expensive, and are not in wide use, at least in the United States, and are therefore unsuited to the task.
Second, smartcards typically do not provide for entering data directly into the card. This opens the smartcard to possible sniffer modules in malicious software, which can monitor the smartcard-reader interface to determine the user's personal identification or password information. This problem is especially problematic in situations where the user is using an unknown or untrusted smartcard reader. The lack of any direct input device also prevents the user from performing any smartcard-related functions in the relatively common situation where no smartcard reader is available.
Third, data cannot be accessed from the smartcard unless the smartcard is in the reader. This prevents the user from viewing data stored in the smartcard (i.e. a stored password) until a smartcard reader can be located. Given that smartcard readers (especially trusted ones) can be difficult to find, this substantially limits the usefulness of the card. Of course, the user may simply write the password down on paper, but this may compromise the security of all of the data in the card, and is inconsistent with the goal of providing a central, secure, portable repository for private data. Further, new regulations regarding digital signatures (both in the US and in other countries) require higher security when authenticating the owner to a signing token, often mandating “trusted path,” i.e. one not going through the host computer and operating system.
From the foregoing, it can be seen that there is a need for a personal key that allows the user to store and retrieve passwords and digital certificates without requiring the use of vulnerable external interfaces.
SUMMARY OF THE INVENTION
The present invention satisfies all of these needs with a personal key in a form factor that is compliant with a commonly available I/O interface such as the Universal Serial Bus (USB). The personal key includes a processor and a memory which implement software protection schemes to prevent copying and unauthorized use. The personal key provides for the storage and management of digital certificates, allowing the user to store all of his digital certificates in one media that is portable from platform to platform. The personal key provides for the generation, storage, and management of many passwords, providing additional security and relieving the user from the task of remembering multiple passwords. The personal key provides a means to store cookies and other Java-implemented software programs, allowing the user to accept cookies in a removable and secure form-factor. These features are especially useful when the present invention is used in a virtual private network (VPN). The present invention can also be used for several applications.
Because the personal key is capable of storing virtually all of the user's sensitive information, it is important that the personal key be as secure as possible. Hence, one embodiment of the personal key also comprises a biometric sensor disposed to measure biometrics such as fingerprint data. The biometric sensor measures characteristics of the person holding the key (such as fingerprints) to confirm that the person possessing the key is the actual owner of the key.
Since the personal key represents a single, secure repository for a great deal of the data the user will need to use and interact with a variety of computer platforms, it is also important that the personal key be able to interface (i.e., transmit and receive data) with a large variety of computers and computer peripherals. Hence, one embodiment of the personal key includes an electromagnetic wave transception device such as an infrared (IR) transceiver. This transceiver allows the personal key to exchange information with a wide variety of computers and peripherals without physical coupling.
The present invention is well suited for controlling access to network services, or anywhere a password, cookie, digital certificate, or smartcard might otherwise be used, including:

    
    
        Remote access servers, including Internet protocol security (IPSec), point to point tunneling protocol (PPTP), password authentication protocol (PAP), challenge handshake authentication protocol (CHAP), remote access dial-in user service (RADIUS), terminal access controller access control system (TACACS);
        Providing Extranet and subscription-based web access control, including hypertext transport protocol (HTTP), secure sockets layer (SSL);
        Supporting secure online banking, benefits administration, account management;
        Supporting secure workflow and supply chain integration (form signing);
        Preventing laptop computer theft (requiring personal key for laptop operation);
        Workstation logon authorization;
        Preventing the modification or copying of software;
        Encrypting files;
        Supporting secure e-mail, for example, with secure multipurpose Internet mail extensions (S/MIME), and open pretty good privacy (OpenPGP)
        Administering network equipment administration; and
        Electronic wallets, with, for example, secure electronic transaction (SET, MilliCent, eWallet)
    
    


In one embodiment, the present invention describes a method of securing a token from unauthorized use, comprising the steps of receiving a first message transmitted from a host processing device and addressed to a PIN entry device according to a universal serial bus (USB) protocol; accepting a PIN entered into the PIN entry device; and transmitting a second message comprising at least a portion of the first message and the PIN from the PIN entry device to the token along a secure communication path. In another embodiment, the present invention describes an apparatus for securing a token from unauthorized use, comprising a PIN entry device, communicably coupleable to a host processing device transmitting a first message addressed to the PIN entry device, and communicatively coupleable to the token according to a universal serial bus USB protocol, the PIN entry device comprising a user input device, for accepting a user-input PIN; and a processor, communicatively coupled to the user input device, the processor for receiving the first message and combining the first message with the user-input PIN, and for producing a second message having at least a portion of the first message and the user-input PIN.



BRIEF DESCRIPTION OF THE DRAWINGS
Referring now to the drawings in which like reference numbers represent corresponding parts throughout:
FIG. 1 is a diagram showing an exemplary hardware environment for practicing the present invention;
FIG. 2 is a block diagram illustrating selected modules of one embodiment of the present invention;
FIG. 3 is a diagram of the memory resources provided by the memory of the personal key;
FIG. 4 is a diagram showing one embodiment of how an encryption engine is used to authenticate the identity of the personal key or the application data stored therein;
FIG. 5 is a diagram illustrating the data contents of a file system memory resource of an active personal key that provides authentication and specific configuration data for several applications;
FIG. 6 is a diagram presenting an illustration of one embodiment of the personal key;
FIG. 7 is a block diagram of one embodiment of the present invention in which the user's PIN is entered into a data entry device;
FIG. 8 is a block diagram of an embodiment of the present invention in which the data entry device is coupled to the token and the host computer via a hub;
FIGS. 9A and 9B are diagrams depicting exemplary method steps used to practice the embodiment of the invention depicted in FIG. 7; and
FIGS. 10A and 10B are diagrams depicting exemplary method steps used to practice the embodiment of the invention depicted in FIG. 8.



DETAILED DESCRIPTION OF PREFERRED EMBODIMENTS
In the following description, reference is made to the accompanying drawings which form a part hereof, and which is shown, by way of illustration, several embodiments of the present invention. It is understood that other embodiments may be utilized and structural changes may be made without departing from the scope of the present invention.
Hardware Environment
FIG. 1 illustrates an exemplary computer system 100 that could be used to implement the present invention. The computer 102 comprises a processor 104 and a memory, such as random access memory (RAM) 106. The computer 102 is operatively coupled to a display 122, which presents images such as windows to the user on a graphical user interface 118B. The computer 102 may be coupled to other devices, such as a keyboard 114, a mouse device 116, a printer 128, etc. Of course, those skilled in the art will recognize that any combination of the above components, or any number of different components, peripherals, and other devices, may be used with the computer 102.
Generally, the computer 102 operates under control of an operating system 108 stored in the memory 106, and interfaces with the user to accept inputs and commands and to present results through a graphical user interface (GUI) module 118A. Although the GUI module 118A is depicted as a separate module, the instructions performing the GUI functions can be resident or distributed in the operating system 108, the computer program 110, or implemented with special purpose memory and processors. The computer 102 also implements a compiler 112 which allows an application program 110 written in a programming language such as COBOL, C++, FORTRAN, or other language to be translated into processor 104 readable code. After completion, the application 110 accesses and manipulates data stored in the memory 106 of the computer 102 using the relationships and logic that are generated using the compiler 112. The computer 102 also comprises an input/output (I/O) port 130 for a personal token 200 (hereinafter alternatively referred to also as a personal key 200). In one embodiment, the I/O port 130 is a USB-compliant port implementing a USB-compliant interface.
In one embodiment, instructions implementing the operating system 108, the computer program 110, and the compiler 112 are tangibly embodied in a computer-readable medium, e.g., data storage device 120, which could include one or more fixed or removable data storage devices, such as a zip drive, floppy disc drive 124, hard drive, CD-ROM drive, tape drive, etc. Further, the operating system 108 and the computer program 110 are comprised of instructions which, when read and executed by the computer 102, causes the computer 102 to perform the steps necessary to implement and/or use the present invention. Computer program 110 and/or operating instructions may also be tangibly embodied in memory 106 and/or data communications devices, thereby making a computer program product or article of manufacture according to the invention. As such, the terms “article of manufacture” and “computer program product” as used herein are intended to encompass a computer program accessible from any computer readable device or media.
The computer 102 may be communicatively coupled to a remote computer or server 134 via communication medium 132 such as a dial-up network, a wide area network (WAN), local area network (LAN), virtual private network (VPN) or the Internet. Program instructions for computer operation, including additional or alternative application programs can be loaded from the remote computer/server 134. In one embodiment, the computer 102 implements an Internet browser, allowing the user to access the world wide web (WWW) and other internet resources.
Those skilled in the art will recognize that many modifications may be made to this configuration without departing from the scope of the present invention. For example, those skilled in the art will recognize that any combination of the above components, or any number of different components, peripherals, and other devices, may be used with the present invention.
Architectural Overview
FIG. 2 is a block diagram illustrating selected modules of the present invention. The personal key 200 communicates with and obtains power from the host computer through a USB-compliant communication path 202 in the USB-compliant interface 204 which includes the input/output port 130 of the host computer 102 and a matching input/output (I/O) port 206 on the personal key 200. Signals received at the personal key I/O port 206 are passed to and from the processor 212 by a driver/buffer 208 via communication paths 210 and 216. The processor 212 is communicatively coupled to a memory 214, which may store data and instructions to implement the above-described features of the invention. In one embodiment, the memory 214 is a non-volatile random-access memory that can retain factory-supplied data as well as customer-supplied application related data. The processor 212 may also include some internal memory for performing some of these functions.
The personal key has an interface including a USB driver module 266 communicatively coupled to an application program interface (API) 260 having a plurality of API library routines. The API 260 provides an interface with the application 110 to issue commands and accept results from the personal key 200. In one embodiment, a browser 262, such as the browser available from NETSCAPE, Inc. operates with the API 260 and the public key cryptographic standard (PKCS) module 264 to implement a token-based user authentication system.
FIG. 3 is a diagram of the memory resources provided by the memory 214 of the personal key 200. The memory resources include a master key memory resource 312, a personal identification number (PIN) memory resource 314, an associated PIN counter register 316 and PIN reset register resource 318, a serial number memory resource 310, a global access control register memory resource 320, a file system space 324, auxiliary program instruction space 322, and a processor operation program instruction space 326. The processor operation program instruction space 326 stores instructions that the personal key 200 executes to perform the nominal operations described herein, including those supporting functions called by the application program interface 260 associated with the applications 110 executing in either the host computer 102 or the remote server 134. The auxiliary program instruction space provides the personal key 200 with space to store processor 212 instructions for implementing additional functionality, if desired.
The master key is an administrative password that must be known by the trusted entity or program that will initialize and configure the personal key 200. For example, if the personal key 200 is to be supplied to a number of remotely located employees to enable access to private documents stored in a remote server through a VPN, the system administrator for the remote server may enter the master key (or change the key from the factory settings) before providing the key to the remotely located employees. The system administrator also stores the master key in a secure place, and uses this master key to perform the required secure operations (including, for example, authorization and authentication of the remote users).
In one embodiment, the master key can not be configured, reset, or initialized if the MKEY can not be verified first. Hence, if the master key is unknown the personal key 200 would have to be destroyed/thrown away or returned to the factory to be reset to the factory settings.
The PIN is an optional value that can be used to authenticate the user of the personal key 200. The PIN is initialized by the trusted administrator. Depending on how the personal key 200 initialization program is implemented and deployed, it is possible for the end user to set and/or update their PIN. The PIN may comprise alphanumeric characters or simply numbers.
The PIN can also be checked using an application program interface (API) call that transparently uses the two associated registers 316 and 318. The PIN counter resource 316 is a decrementing counter, while the PIN reset register resource 318 is used to store a limit that is used to reset the PIN counter 316 memory resource. The PIN count and limit registers 316 and 318 are used to prevent a rogue application or user from rapidly testing thousands of random PINs in an attempt to discover the PIN.
When the PIN is initialized, the decrementing counter register 316 is set to the value in the PIN reset register resource 318. Whenever a PIN verification fails the counter register 316 is decremented. When a PIN verification succeeds then the counter register is set to the limit value. When the decrementing counter register 316 reaches 0, no more PIN verifications are permitted until a trusted administrator resets the PIN counter register 316 to the limit value. For example if the PIN reset register resource 318 limit has been set to 3, then a user could fail PIN verification 3 times whereupon the PIN would be rendered useless until it is reset. The counter register 316 would be reset to 3 when a correct PIN was successfully verified.
The serial number is a unique factory installed serial number (SN). The serial number can be used to differentiate a single user from all other personal key 200 users.
The memory 214 of the personal key 200 also includes built in algorithm memory resources 302, including a MD5 hash engine memory 304 for storing related processing instructions, an HMAC-MD5 authorization memory resource 306 for storing related processing instructions, and a random number generator memory resource 308 for storing processing instructions for generating random numbers.
The random number generator can be used to generate challenges to be used when generating authentication digest results as well as to provide seeds to other cryptographic procedures. The MD5 algorithm accepts as an input a message of arbitrary length, and produces a 128-bit “fingerprint” or “message digest” of the input as an output. In doing so, the algorithm scrambles or hashes the input data into a reproducible product using a high speed algorithm such as RFC-1321. The hashed message authentication codes (HMAC) can be used in combination with any iterated cryptographic hash function (e.g. MD5) along with a secret key, to authenticate a message or collection of data. The personal key 200 integrates this method to provide a way for the end user or application data to be authenticated without exposing the secret key.
The present invention allows end user authorization using two security mechanisms. The first mechanism, which is discussed below, allows software running on the host computer 102 or the remote computer/server 134 to authenticate the personal key 200. This first mechanism uses a hashing algorithm and a mutually agreed upon secret value known to both the personal key 200 and the entity attempting to authenticate the personal key. The second mechanism, which is discussed later in this disclosure, allows the personal key 200 to authenticate the user who is trying to use the personal key 200. This second mechanism uses a personal identification number (PIN) to help prevent unauthorized use or access in situations where the key has been lost or stolen.
FIG. 4 is a diagram showing one embodiment of how the HMAC-MD5 engine is used to authenticate the identity of the personal key 200 or the application data stored therein. Associated with the personal key 200 and executing either in the host computer 102 or the remote computer/server 134 is a personal key library of functions which are linked with an application executing in the host computer (e.g. application program 110) or in the remote computer/server 134. A hash algorithm 410 is implemented in both the application 110 and the personal key 200. Both the application 110 and the personal key 200 have access to a secret 406. The secret 406B is retained within the memory 214 of the personal key 200 in a location where it cannot be accessed without suitable permission. Typically, secret 406B is stored in the personal key 200 by the system administrator or some other trusted source. Hence, if the user of the personal key 200 is the entity that the application 110 thinks it is, the application's secret 406A and the personal key's secret 406B are the same. This can be verified by a hashing algorithm without exposing the secret. Similarly, if the user of the personal key 200 is not the entity that the application expects, secrets 406A and 406B will be different. This too can be verified by a hashing algorithm without exposing the secret.
A challenge is generated by the application 110, and provided to the hash algorithms 410 accessible to the application 110 and the hash algorithm implemented in the personal key 200. Each hash algorithm applies the challenge and the resident secret to generate a hashed output 412. If the hash algorithms were equivalent and each of the secrets 406A and 406B were the same, the resulting hashed output 412 or digest string in each case should be the same. If the digest strings 412A and 412B compare equal using logic 414 in the application, the personal key 200 is trusted. Further, if the user authentication was verified, the user is trusted as well. One advantage in this authentication system is that the challenge 408 and the response can be transmitted over untrusted media such as the Internet. The secret 406 remains coded in the application 110 or remote server 134 program and in the personal key 200 where it remains without being exposed to network sniffers/snoopers or potentially compromised user interfaces.
The file system memory resource 324 is fully managed within the application program interface library 260 in either the host computer 102 or the remote server 134. It provides a flexible system for storing, protecting, and retrieving personal key 200 data.
FIG. 5 is a diagram illustrating the data contents of a file system memory resource 324 of an active personal key 200 that provides authentication and specific configuration data for several applications. The master file (MF) 502 is the root directory and uses an identifier (ID) of zero (0). The MF 502 may contain pointers 504A and 504B or other designations to data files 506A and 506B, as well as pointers 508A and 508B to directories 510 and 516. Directories and files are defined by an identifier (1→0xFFFF for the directories, and 0→0xFFFF for files). The directories 510 and 516 also contain pointers (512A–512B and 518A–518C, respectively) to data files (514A–514B and 520A–520C, respectively).
Three file types are implemented, as shown in Table 1 below:








TABLE 1





Type
Access







DATA
Any variable length string of unsigned characters


KEY
Strings that are used as input to cryptographic operations


CTR
Data files that have a decrementing counter (e.g. a counter of



16 bits). The counters range from 0 to 0xFFFF and are used to



limit the number of times a data file can be read.









These file types can be controlled on a per-file basis, according to Table 2 below:









TABLE 2









File Types










Access Types
DATA
KEY
CTR





Read
Control
Never - no
Control




control


Write
Control
Control
Control


Crypt
Always - no control
Control
Always - no





control









The read and write access type controls govern the transfer of files in the personal key 200 to and from the application 110. The crypt access type is used with KEY file types for performing cryptographic operations including the computation of hash values, encrypting, or decrypting data. When set, the controls defined in Table 2 can have one of four attributes listed in Table 3 below:








TABLE 3





Attribute
Access







ALWAYS
Always granted, regardless of whether the proper PIN or



MKEY has been supplied to the personal key 200.


NEVER
Never granted, regardless of whether the proper PIN or



MKEY has been supplied to the personal key 200.


PIN
Access is granted if and only if the proper PIN has been



supplied to the personal key 200, and PIN verification is



successful (user authentication).


MKEY
Access is granted if and only if the proper master key



(MKEY) has been provided to the personal key 200, and



master key verification is successful (super user or security



officer authentication).









A global access control register 320 applies to the entire scope of the personal key 200 file system. Nominally, the global access control register 320 is an 8-bit value that is divided into two global access controls as shown in Table 4 below:










TABLE 4







Global Access Type
Global File System Access









Create
Control



Delete
Control










The create and delete global access types can have one of the four attribute values shown in Table 5 below. The create and delete global controls are enforced by the CreateDir, CreateFile, DeleteDir, and DeleteFile API calls described in Table 5 below.










TABLE 5







Attribute
Access









ALWAYS
Always granted, regardless of whether the proper




PIN or MKEY has been supplied to the personal




key 200.



NEVER
Never granted, regardless of whether the proper




PIN or MKEY has been supplied to the personal




key 200.



PIN
Access is granted if and only if the proper PIN has




been supplied to the personal key 200, and PIN




verification is successful (user authentication).



MKEY
Access is granted if and only if the proper MKEY




has been supplied to the personal key 200, and




PIN verification is successful (super user or




security officer authentication).










Table 6 is an alphabetical listing of personal key 200 APIs 260 in the library. In Table 6, “D” indicates a device-related function, “F” denotes a file system related function, “A” denotes an administrative function, and “C” denotes a cryptographic function.












TABLE 6





Name
Description
D
F
A
C







CloseDevice
Close access to the personal key
✓





CloseFile
Close selected file

✓


CreateDir
Create a directory in the per-

✓
✓



sonal key memory


CreateFile
Create a file in the personal key

✓
✓



memory


Decrement
Decrement a CTR type file

✓


DeleteAllFiles
Reformat file space

✓
✓


DeleteDir
Delete directory

✓
✓


DeleteFile
Delete file

✓
✓


Dir
Return directory and file

✓



information


GetAccessSettings
Return current global


✓



create/delete


GetChallenge
Returns a 64-bit random number


✓
✓


GetSerialNumber
Read unique serial number
✓

✓


HashToken
MD5 hash the selected file or

✓

✓



currently open file - two modes



are supported (1) XOR hash and



HMAC hash


HMAC_MD5
This function is a wrapper for

✓

✓



performing HMAC-MD5 using



the HashToken function in the



HMAC mode. It computes MD5



without exposing the key.


LedControl
Control the output device,
✓



including turning an LED or



other output device on or off


ModifyMasterKey
Update/Modify master key


✓


ModifyPIN
Update/Modify PIN


✓


OpenDevice
Open one of 32 potential
✓



personal keys


ReadFile
Return contents of selected file

✓


ResetDevice
Reset to power-on state
✓

✓


SelectFile
Open a file

✓


SetAccessSettings
Update global create/delete


✓



access settings


VerifyMasterKey
Verify the master key provided


✓



as an argument is the master key



stored in the personal key


VerifyPIN
Verify that the PIN provided as


✓



an argument is the PIN stored in



the personal key (user



authentication)


VerifyPIN2
An alternative command used to



✓



verify the user PIN without



exposing the PIN externally to



the personal key 200. This



command is issued without the



PIN as an argument, and the



personal key 200 returns a



response indicating whether the



PIN entered by the user on the



PIN entry device 272 matches



that of the stored PIN in the



memory 214.


WriteFile
Write contents to the selected

✓



file


MD5_Hash
Hash routine: wrapper (provided



✓



in API library and not



implemented in personal key)


MD5Final
Finish computation and return



✓



digest (provided in API library



and not implemented in personal



key)


MD5Init
Initialize message digest context



✓



(provided in API library and not



implemented in personal key)


MD5Update
Update message digest context



✓



(provided in API library and not



implemented in personal key)









Exemplary Application to a Virtual Private Network
Using the foregoing, the personal key 200 and related APIs 260 can be used to implement a secure document access system. This secure document access system provides remote users access to secret encrypted documents over the Internet to company employees. The system also limits the circulation of secret encrypted documents so that specified documents can be read only a limited number of times.
The application program 110 used for reading documents is linked with the personal key API 260 library to allow document viewing based on the information in the personal key 200. A trusted administrative program controlled by the master key can be used to set up the personal key 200 (by storing the appropriate information with the associated security control settings) for a wide range of employees.
The personal key 200 and the API 260 library can be used to authenticate document viewers and administrators, to supply keys for decryption and encryption of documents, to provide a list of viewable documents, and to enforce document access rights and counters.
The foregoing can be implemented in a number of programs, including an administrative initialization program to set up the personal keys 200 before delivery to the employees (hereinafter referred to as SETKEY), a document encryption and library update program (hereinafter referred to as BUILDDOC), a viewer application that authenticates the user and the personal key 200 (hereinafter referred to as VIEWDOC), and a library application which authenticates the user and updates the personal key (hereinafter referred to as LIBDOC).
The SETKEY program is used to setup personal keys received from the factory for individual users. Document names, access counters, a PIN, and a hash secret are loaded into the personal key 200. Depending on the employee's security clearance, specific documents can be configured for viewing. For sake of clarification the following symbolic names are used in the discussion below:
DOCFilename—iKey data file that holds the document file name
DOCSecret—iKey data file that holds a secret used to make encryption/decryption keys
First, the SETKEY program gains access to the personal key 200 by issuing an OpenDevice command. The VerifyMasterKey command is then issued to open the personal key 200 to master access. A Dir command is used in a loop to obtain and verify the status of the personal key 200. The comments are compared to the contents of a factory-fresh key, and one of several states is determined. If the key is factory fresh, the personal key is initialized. A VIEWDOC directory and file set is then created. An employee database can then be accessed and used to determine the type and extent of the access that is to be granted to each employee. Depending on the security clearance of each employee, one of several types of directory and file sets can be created. The global create and delete access types are then set to the master key using the SetAccessSettings command. The DOCFilename database is then loaded in the personal key 200, and the CreateDir and CreateFile APIs 260 are used as required to create and allocate directories and files. The SelectFile, WriteFile, and CloseFile API commands are used to load the files and the secret. Depending on whether access is to be limited to a particular number of occasions, the DATA or CTR file types are used.
The BUILDOC program is used to accept new documents into the secure access library. Using information from the personal key 200, encryption keys are generated that are used by a document encryption engine in the personal key 200.
The BUILDOC program is a stand-alone application that runs on trusted systems within the secure walls of the organization. It requires validation of the master key. It uses the personal key 200 to create an encryption key for each document file name.
First, the HashToken API 260 with the XOR option is used to hash together the DOCFilename, block number (computed by the BUILDOC program as it reads and encrypts the document), DOCSecret. The block number is calculated by the BUILDOC program as it reads and encrypts the document. The resulting MD5-XOR digest is used as the encryption key that is used by the encryption engine in the BUILDOC application. Then, the CreateFile, SelectFile, WriteFile, and CloseFile APIs 260 along with the HashToken in XOR mode are used on each document that is to be added to the secure document library.
The VIEWDOC program is a web browser 262 plug-in application allows the user to open, decrypt, and view the document based on his/her personal key 200 based document access codes. If desired, the view counters for some types of documents can also be decremented in the VIEWDOC program. The VIEWDOC program does not require file saving or forwarding, screen scraping, and printing.
The VIEWDOC program validates the user and uploads and decrypts the documents. It uses the VerifyPIN command API 260 to authenticate the user. The user can then view the documents listed in the personal key 200 directory as long as the personal key 200 remains communicatively coupled to the USB port 130.
A message facility, such as the message facility used in the WINDOWS operating system (WM_DEVICECHANGE) can be used to determine if the key has been removed. The Dir, SelectFile, ReadFile, and CloseFile command APIs 260 are used to determine which documents can be read. The HashToken with the XOR mode API 260 along with DOCSecret, DOCFilename, and the document block numbers are used to create the decryption key on a per block basis. When the DOCfilename is of file type CTR, the CTR is decremented using the Decrement command API 260. In one embodiment, to reduce complexity, the CTR field is not hashed, but merely managed by VIEWDOC.
The LIBDOC program provides an administrative function that is a subset of SETKEY. It allows a secure document librarian to grant access to documents based upon information stored in the personal key 200. The net effect is that the trusted librarian can update the personal key 200 based list of documents that can be viewed.
The LIBDOC program updates the list of DOCFilenames on a per-personal key 200 basis. After verifying the master key with VerifyMasterKey command API 260 and looking the user name up in the employee data base, the current set of DOCFilenames are updated using the SelectFile, WriteFile, and CloseFile command APIs 260.
Using the foregoing, employees worldwide can carry a personal key 200 loaded with their local database of file names. Individual departments do not have to rely on MIS procedures to restrict who has access to documents. The personal keys 200 of department members can be updated using the LIBDOC program as required. Documents can be decrypted and viewed by the employees only if the personal key 200 secret is correct. The personal secret remains secure because it is never revealed outside of the personal key 200. A simple form of metering can also be used to reduce the number of copies of documents that can be viewed.
FIG. 6 is a diagram presenting an illustration of one embodiment of the personal key 200. The personal key 200 comprises a first housing member 602 and a second housing member 604. The first housing member 602 is sized and shaped so as to accept a circuit board 606 therein.
The first housing member 602 comprises a plurality of bosses 624, which, when inserted into each respective hole 640 in the second housing member 604, secures the first housing member 602 to the second housing member 604. The first housing member 602 and the second housing member 604 also each comprise an aperture 628, which allows the personal key 200 to be affixed to a key chain.
The circuit board 606 is held in position by a plurality of circuit board supports 608. The circuit board 606 comprises a substantially flat circuit connection surface 610 on the periphery of the circuit board 606 for communicative coupling with the host processing device or computer 102 via conductive pins. Circuit connection surface 610 allows communication with a processor 212 mounted on the circuit board 606. The processor 212 comprises memory and instructions for performing the operations required to implement the functionality of the personal key 200 as disclosed herein. The processor is communicatively coupled with a memory 214 on the circuit board to store and retrieve data as required by processor 212 instructions. In the illustrated embodiment, the circuit board 606 also comprises an output device such as a light emitting device 616, e.g. light emitting diode (LED), which provides the user of the personal key 200 a visual indication of the operations being performed by the personal key 200. This is accomplished, for example, by emitting light according to a signal passing from the host computer 102 to the personal key 200. The light emitting device could also comprise a liquid crystal display (LCD) or other device providing a visual indication of the functions being performed in the personal key or data passing to or from the personal key 200.
The energy from the light emitting device 616 is presented to the user in one of two ways. In the embodiment illustrated in FIG. 6, the light emitting device 616 is disposed through a light emitting device orifice 644 in the second housing member 604. In this design, the personal key 200 can be sealed with the addition of a small amount of epoxy or other suitable material placed in the light emitting device orifice 644 after assembly.
In another embodiment, the light emitting device 616 does not extend beyond the interior of the housing 602, 604, and remains internal to the personal key 200. In this embodiment, at least a portion of the first housing 602 or the second housing 604 is at least partially translucent to the energy being emitted by the light emitting device 616 at the bandwidths of interest. For example, if the light emitting device 616 were a simple LED, the second housing 604 can be selected of a material that is translucent at visual wavelengths. One advantage of the foregoing embodiment is that the LED can be placed where it does not allow electromagnetic discharges and other undesirable energy to the circuit board 606 or any of the components disposed thereon. This is because no part of the LED, even the surface, is in contact with the user's hand at any time.
While the foregoing has been described with a single light emitting device 616, the present invention can also advantageously embody two or more light emitting devices, or devices emitting energy in other wavelengths. For example, the foregoing can be implemented with a three color LED (red, yellow and green), or three one-color LEDs to transfer personal key 200 information to the user.
In addition to or as an alternative to the foregoing, information regarding the operation of the personal key 200 is provided by an aural transducer such as a miniaturized loudspeaker or piezoelectric transducer. Such aural information would be particularly beneficial to users with limited or no vision. For example, the aural transducer can be used to indicate that the personal key 200 has been inserted properly into the host computer I/O port 130.
An aural transducer may also be used to provide alert information to the user. This is particularly useful in situations where the user is not expecting any input or information from the key. For example, if the personal key 200 or related device is engaged in lengthy computations, the aural transducer can indicate when the process is complete. Also, the aural transducer can indicate when there has been an internal fault, when there has been an attempt to compromise the security of the key with infected or otherwise harmful software instructions, or to prompt the user to take an action such as providing an input to the key 200.
Further, it is envisioned that as the use of personal keys 200 will become widespread, it will be beneficial to incorporate the functions of other devices within the personal key. For example, a device such as a paging transceiver can be incorporated into the personal key to allow the user to be summoned or contacted remotely. Or, the personal key 200 may be used to store programs and instructions such as the user's calendar. In this application, the personal key 200 can be used to remind the user of events on the calendar, especially in conjunction with the LCD display discussed above. The aural transducer can be operated at a wide variety of frequencies, including minimally audible vibrational frequencies. This design is particularly beneficial, since the personal key is small enough to be placed on the user's key ring, where it will be in pocket or purse for lengthy periods of time where it cannot be seen or easily heard.
FIG. 7 is a block diagram of one embodiment of the present invention in which the user's PIN is entered into a data entry device. In this embodiment, a PIN entry device 272 is communicatively coupled between the host processing device or computer 102 and the token or personal key 200. The I/O port 130 of the host computer is communicatively coupled to the first I/O port of the data entry device 272 via a first communication path 704, and a second I/O port 708 of the data entry device 272 is communicatively coupled 710 to the I/O port 206 of the personal key 200. The data entry device 272 generally comprises a keypad 712 or other input device for accepting a user-entered PIN or other data, and may comprise an output device 714 to provide a prompt or other information, including information assisting the user in determining when and/or how to enter information into the data entry device 272.
First communication path 704 and/or second communication path 710 can be secured by preventing physical access to the communication path, by encrypting messages sent along the communication paths 704, 710, or both. For example, in one embodiment of the invention, the data entry device 272 and the host computer 102 together comprise a kiosk. In such a case, the first communication path 704 can be made physically secure from hackers by assuring that the communication path is internal to the kiosk itself. In this example, the second I/O port 708 of the data entry device 272 is provided external to the kiosk, and may also be made physically secure. In addition to or in the alternative, data transmitted over communication paths 710 and 704 can be made secure through the use of encryption keys stored in the transmitting and receiving devices, and suitable encryptors/decryptors in the associated devices.
FIG. 8 is a block diagram of an embodiment of the present invention in which the data entry device is coupled to the token 200 and the host computer 102 via a hub 802. In one embodiment, the hub 802 comprises a processor 820 having a communicatively coupled memory 822 for storing instructions implementing processor 820 functions. The processor 820 is communicatively coupled to a first hub I/O port 806, a second hub I/O port 808, and a third hub I/O port 812.
The hub 802 is communicatively coupled to the host computer 102 via first communication path 804 through the first hub I/O port 806, to the token 200 via the second communication path 810 through the second hub I/O port 808, and to the data entry device 818 via third communication path 814 through the third hub I/O port 812 and the data entry device I/O port 816. In one embodiment of the present invention, the hub 802 is a USB-compliant hub.
FIGS. 9A and 9B are diagrams depicting exemplary method steps used to practice the embodiment of the invention depicted in FIG. 7. The host computer 102 transmits a message, which is received by the data entry device 272, as shown in blocks 902 and 904. The message may be addressed to the data entry device 272, or can be addressed directly to the token 200, and intercepted by the data entry device 272. Typically, the message comprises a VerifyPIN2 command, but the message may be any of the messages described in Table 6. The VerifyPIN2 command can be sent to verify the identity of the holder of the token 200 before a transaction takes place, or can be part of the authorization request, wherein direct user interaction is required to authorize the use of identified secret values stored in the token.
The data entry device 272 then accepts user-input data such as a PIN, as shown in block 906. In one embodiment of the present invention, the data entry device 272 includes an output device to prompt the user to enter the data. The output device may include, for example, an LCD, LED, or other display, or an aural device. After the data is accepted in the data entry device 272, a second message is generated comprising at least a portion of the first message and the user-input data, and the second message is transmitted to the token 200. The token 200 receives the message, as shown in block 910.
Alternatively, at least a portion of the first message and the user-input data may be transmitted to the token 200 in separate messages.
In one embodiment of the present invention, the communication path upon which the second message is transmitted (illustrated as 710 in FIG. 7) is a secure communication path. The communication path 710 may be secured by denying external physical access, or by encrypting some or all messages transmitted over the communication path 710. By way of example, if a single message having the user input data and the first message are transmitted from the data entry device 272 to the token 200, the entire message may be encrypted with an encryption key in the data entry device 272 before transmission to the token 200 (where it is decrypted by use of the same encryption key). Or, in cases where the user-input data is transmitted in a separate message, the user-input data alone may be encrypted.
The token 200 validates the user-input data and provides a response indicating the validity of the user input data, as shown in blocks 912 and 914. The response is then transmitted to the host computer 102 via the data entry device 272.
In an alternative embodiment, the token 200 may be communicatively coupled to the data entry device so that the second message is transmitted directly to the token without passing through the hub 802.
FIGS. 10A and 10B are diagrams depicting exemplary method steps used to practice the embodiment of the invention depicted in FIG. 8. The host computer 102 transmits a message which is addressed to either the data entry device 818 or the token 200. The hub 802 intercepts the message, and transmits the intercepted message to the data entry device 818, as shown in blocks 1004 and 1006, respectively. The data entry device 818 receives the intercepted message, as shown in block 1008. User-input data such as the user's PIN is then accepted in the data entry device 818. As was described with respect to FIG. 9A, the data entry device 818 may prompt the user for data input, and provide instructions if necessary. A second message including the user-input data is then transmitted from the data entry device 818 to the hub 802, where it is received. This is shown in blocks 1012 and 1014, respectively. Since the user-input data may include sensitive data such as the user's PIN, the communication path 814 used to transmit this data to the hub 802 is typically a secured, whether by physical prevention of access, or by the suitable use of encryption techniques within the data entry device 818 and the hub 802. In one embodiment, this is accomplished by storage of symmetric encryption keys within the hub memory 822 and the data entry device 818.
Turning to FIG. 10B, the hub 802 generates a third message from the second message, and transmits the third message to the token 200. This is shown in blocks 1016 and 1018. The user input data is validated within the token 200 and a response indicating the validity of the user-input data is provided by the PIN to the host computer 102, typically via the hub 802, but not through the data entry device 818. This is illustrated in blocks 1020–1022. The response is then accepted by the host computer 102.
CONCLUSION
This concludes the description of the preferred embodiments of the present invention. The foregoing description of the preferred embodiment of the invention has been presented for the purposes of illustration and description. It is not intended to be exhaustive or to limit the invention to the precise form disclosed. Many modifications and variations are possible in light of the above teaching.
It is intended that the scope of the invention be limited not by this detailed description, but rather by the claims appended hereto. The above specification, examples and data provide a complete description of the manufacture and use of the composition of the invention. Since many embodiments of the invention can be made without departing from the spirit and scope of the invention, the invention resides in the claims hereinafter appended.

## Claims

1. A method for securing a token from unauthorized use, comprising:
intercepting by a hub a first message from the host processing device addressed to the token in the hub;
providing by the hub the intercepted message to a PIN entry device communicatively coupled to the hub, the PIN entry device being different from a keyboard associated with the host processing device;
accepting by the hub a second message from the PIN entry device comprising a user-entered PIN;
generating by the hub a third message from the second message, the third message comprising the user-entered PIN and at least a portion of the first message; and
transmitting the third message from the USB-compliant hub to the token.

2. The method of claim 1, further comprising the step of:
encrypting the third message according to a first encryption key stored in a memory of the token before transmitting the third message to the token.

3. An apparatus for securing a token from unauthorized use, comprising:
a USB-compliant hub, communicatively coupleable between a host processing device and the token, the USB-compliant hub having;
means for intercepting a message addressed to the PIN entry device;
means for generating a third message from the first message and a user-entered PIN; and
means for transmitting the third message to the token; and
a PIN entry device, communicatively coupled to a USB-compliant hub, for accepting a user-entered PIN and providing the user-entered PIN to the USB-compliant hub, the PIN entry device being different from a keyboard associated with the host processing device.

4. The apparatus of claim 3, wherein the means for intercepting a message addressed to the PIN entry device, the means for generating the third message from the first message and a user-entered PIN and the means for transmitting the third message to the token comprises at least one processor having at least one communicatively coupled memory storing processor. instructions for intercepting a message addressed to the PIN entry device, for generating the third message from the first message and a user-entered PIN, and for transmitting the third message to the token.

5. The apparatus of claim 3, wherein the USB-compliant hub further comprises a means for encrypting the third message according to an encryption key stored in a memory of the token.

6. The apparatus of claim 5, wherein the means for intercepting a message addressed to the PIN entry device, the means for generating the third message from the first message and a user-entered PIN, the means for encrypting the third message according to an encryption key stored in the memory of the token and the means for transmitting the third message to the token comprises at least one processor having at least one communicatively coupled memory storing processor instructions for intercepting a message addressed to the PIN entry device, for generating the third message from the first message and a user-entered PIN, for encrypting the third message according to an encryption key stored in the memory of the token and for transmitting the third message to the token.