# Patent

## Title
Integrated circuit card with situation dependent identity authentication

## Abstract

This invention concerns an integrated circuit (IC) device, such as smart cards, electronic wallets, PC cards, and the like, and various methods for authenticating identities and authorizing transactions based on the authenticated identities in a situation-dependent manner.

## Background
RELATED APPLICATION
This is a continuation of and claims priority to U.S. patent application Ser. No. 09/434,684, filed on Nov. 5, 1999, now U.S Pat. 6,779,113 the disclosure of which is incorporated by reference herein.


TECHNICAL FIELD
This invention relates to integrated circuit (IC) cards, such as smart cards, and methods for using IC cards for authentication purposes. This invention may also be extended to other types of IC devices with limited memory and processing capabilities, such as smart diskettes, electronic wallets, PC cards, and the like. More particularly, the invention relates to devices and methods that manage authentication status in a manner that permits restriction and/or extension of authentication depending on processing needs and situations.
BACKGROUND
Authentication systems are used for security purposes to verify the authenticity of one or more parties or entities during a transaction. Traditionally, authentication systems have been manual, involving personal recognition or quick verification of a party via some form of additional identification. One very familiar authentication process occurs when purchasing an item with a personal check. The sales clerk will process the check only if he/she recognizes the person writing the check or if the person presents another piece of identification (e.g., a credit card or driver's license) to verify their authenticity as the specific person who is tendering the check.
Today, many authentication systems are electronic. A familiar electronic authentication system is a common credit card purchase. A card issuer issues a credit card to a consumer to enable the consumer to purchase items on credit. Credit cards that are primarily in use today consist of magnetic-stripe memory cards that have a single magnetic stripe (“mag-stripe”) on one side. The magnetic stripe contains information about the card issuer, the consumer, and his/her account.
During a purchase transaction, the consumer presents the credit card to a sales clerk, who authenticates the card before finalizing the transaction. The credit card authentication process is typically performed “online”. The sales clerk swipes the card through a reader, which extracts the card data from the magnetic stripe and transmits the data over a network to the card issuer (or a third party contracted to handle authentication requests). The card issuer checks to ensure that the card is still valid (i.e., has not expired), has not been revoked as being lost or stolen, and the corresponding account is below the authorized credit limit. If the authentication is successful, the card issuer returns an approval and the sales clerk completes the transaction. With conventional telecommunications and computerized processes, the entire credit card authentication process is typically handled in an acceptable length of time, such as a few seconds.
Today, there is increasing use of “smart cards” in place of, or in addition to, conventional magnetic stripe cards. A “smart card” is a thin card about the size of a credit card, with a built-in processor that enables the card to modify, or even create, data in response to external stimuli. The processor is a single-wafer integrated circuit (IC) which is mounted on an otherwise plastic card. For this reason, smart cards are often referred to as one class of “integrated circuit cards” or “IC cards”.
As smart card technology becomes more pervasive, it paves the way for conducting a variety of new transactions, such as electronic money, which are not available with conventional mag-stripe cards. Smart cards also open up the arena for conducting certain new “offline” transactions, which do not involve validating a card with a central authority. These offline electronic transactions are typically performed without the human intervention, such as from a sales clerk.
Smart cards are equipped with authentication capabilities used to establish the identity of an entity with which it is communicating. An identity can be an individual human being, a business, a piece of computing hardware, software code, a network node, an organizational role, or an accreditation agent. Smart cards also have authorization capabilities to control access to resources stored on the cards or elsewhere.
Typically, smart cards recognize a small, fixed number of generic authenticatable identities, typically only two or three. While a card may provide different ways to authenticate these generic identities, the access privileges granted to an authenticated identity do not depend directly on which method was used to perform the authentication. Smart cards have resorted to this collapsing of identities on the grounds of saving space and in the era of single-use, purpose-built cards this optimization caused little trouble.
Reusing or “aliasing” a fixed number of generic identities across different datasets has a number of shortcomings in the era of multi-use and multi-application cards. First, all data needed by a particular identity must be organized in a way that does not trigger changes in authentications or authorizations as it is used. This, in turn, means that data access privileges become implicitly intertwined with data location and layout; changing the location of a file may change who can access the file and, if it is a key file, who can access other files. Secondly, data access policies that involve more than the number of generic identities supported by the card simply cannot be expressed.
Accordingly, it is desirable to design a smart card that can track an arbitrary number of identities and that makes data access policies independent of data file location.
Identities authenticated to today's smart cards only persist for the duration of the session in which they are established. As a result, all identities that authorize a transaction or access to data on the card must authenticate themselves to the card each time it is used. This need to concurrently locate in time all the parties that must either approve or witness a card interaction severely limits the scope of applicability of the data and computational security provided by smart cards.
Accordingly, there is a need for improving smart cards to allow multiple uses of a card without requiring repeated authentication of an identity.
Additionally, in some instances it can be desirable to either restrict or extend the identities that are authenticated for a particular transaction. There can be several reasons for doing this. For example, it may be desirable to add one or more identities to the authenticated identities to enable operations that otherwise could not take place without them. Alternately, it may be desirable to limit the authenticated identities in a particular transaction because it is not necessary or desirable to have all of them authenticated. Yet, current smart cards do not provide for situationally-dependent, extension and restriction of authenticated identities on a transaction-by-transaction, or file-by-file basis.
Accordingly, there is a need for flexible, situationally-dependent extension and restriction of authenticated identities.
Apart from issues facing smart cards, another area of concern for facilitating a secure environment is the use of protected resources. One solution is to use capabilities to grant or deny access to the resources. A “capability” is like a ticket that lets you do a particular thing. A key is a familiar example of a capability. Its possession is necessary and sufficient to gain access to what it protects. Neither the key nor the lock knows who is using it and the lock doesn't maintain a list of all keys that can open it.
In a computer system, a capability ticket might permit someone to read a particular file. A ticket is presented to the file system, which validates the ticket and lets the ticket presenter read the file. Operating systems have been constructed using capabilities rather than access control lists to control access to their resources. Despite their usefulness in attacking the problems of access control lists, capabilities have not become popular for a number of reasons, including the difficulty of securely creating capability tickets.
Accordingly, there is a need for a system to securely create capabilities.
SUMMARY
This invention concerns an integrated circuit (IC) device, such as smart cards, electronic wallets, PC cards, and the like, and various methods for authenticating identities and authorizing transactions based on the authenticated identities.
The IC device has a memory and a processor. The IC device maintains an identity authentication table in the memory to hold an arbitrary number of identities. The identity authentication table correlates identities with authentication protocols, so that different protocols can be used to authenticate associated identities. The identity authentication table also correlates counts with the identities. Individual counts specify a number of uses that the IC device can assume a corresponding identity has been authenticated without requiring the IC device to authenticate the identity for each use.
The IC device also maintains an authentication vector in memory. The authentication vector tracks identities in the identity authentication table that are currently authenticated by the IC device.
The IC device further maintains authorization tables in the memory and in association with particular files used in transactions. Each authorization table defines authorization for a particular transaction as a Boolean expression of the identities listed in the identity authentication table.
When the IC device receives an identity, it first looks to see if the identity is listed in the identity authentication table. If so, the IC device uses the corresponding protocol to authenticate the identity. If authentication proves successful, the IC device indicates in the authentication vector that this identity is currently authenticated.
One or more masks can be used to restrict and/or extend the authenticated identities for a particular transaction. Each file has associated therewith two masks—a restriction mask and an extension mask. The mask or masks are combinable with the authentication vector to modify the authenticated identities for a particular transaction.
When the IC device receives a request for a particular transaction, the IC device evaluates what identities need to be authenticated to satisfy the Boolean expression and gain authorization to perform the particular transaction using the authorization table. The IC device can combine one or more masks with the authentication vector to provide a modified authentication vector that modifies the authenticated identities. The IC device then checks the modified authentication vector to determine if the identities needed to satisfy the Boolean expression are currently authenticated, and if so, authorizes the transaction. After the transaction, the modified authentication vector can be returned to the original authentication vector having the original authenticated identities.
The count field in the identity authentication table allows the IC device to support “persistent” authentication. If the count is nonzero (or some other threshold value), the IC device can assume, for purposes of determining authorization, that the identity has been authenticated and need not require receipt of the identity at this time. After each transaction involving the identity, the count is decremented.
The IC device is also configured to perform single command transactions. An instantaneous authentication command containing an operation and an identity are passed to the IC device. The device authenticates the identity using the protocol specified in the identity authentication table and is successful, performs the operation. Immediately thereafter, the IC device deauthenticates the identity SO that only the single operation is performed.



BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 is a block diagram of a point-of-transaction system used to authenticate an IC device.
FIG. 2 is a block diagram of an IC device embodied as a smart card.
FIG. 3 illustrates an identity authentication table maintained in the IC device.
FIG. 4 illustrates an authentication vector maintained in the IC device.
FIG. 5 illustrates a restriction mask maintained in the IC device.
FIG. 6 illustrates an extension mask maintained in the IC device.
FIG. 7 illustrates an authorization table maintained in the IC device.
FIG. 8 is a flow diagram showing steps in a method for authentication an identity to the IC device.
FIG. 9 is a flow diagram showing steps in a method for authorizing a particular request.
FIG. 10 is a flow diagram showing steps in a method for modifying an authentication vector.
FIG. 11 is a flow diagram showing steps in a method for securely creating a capability ticket in the IC device to authorize use of an external protected resource.



DETAILED DESCRIPTION
The following discussion assumes that the reader is familiar with cryptography. For a basic introduction of cryptography, the reader is directed to a text written by Bruce Schneier and entitled “Applied Cryptography: Protocols, Algorithms, and Source Code in C,” published by John Wiley & Sons with copyright 1994 (second edition 1996).
FIG. 1 shows a system 20 having a point-of-transaction unit 22 and a multi-purpose integrated circuit (IC) device 24. The point-of-transaction unit 22 may be a standalone device, in which the IC device is called upon to perform offline verification. Alternatively, the point-of-transaction unit 22 may be connected to a network 26 via a cable or wireless connection represented by dashed line 28 to enable online verification or to facilitate authorization procedures initiated by the IC device. The network 26 can be a data communications network including a wire-based network, such as an enterprise network (e.g., a local area network for a business) or a public network (e.g., the Internet), and a wireless network (e.g., satellite network). The network 26 can also be implemented as a telephone network, or an interactive television network, or any other form for linking the point-of-transaction unit 22 to an external source of information.
The point-of-transaction unit 22 has a central processing unit (CPU) 30, a reader 32 to interface with the IC device 24, and memory 34. Programs 36 and a cryptography module 38 are stored in memory 34 for execution on the CPU 30.
The point-of-transaction unit 22 is representative of many different types of computerized devices that are provided for interaction with users. The point-of-transaction unit 22 may take the form of a general-purpose computer, an ATM (automated teller machine), a kiosk, a vending machine, an automated entry gate, an electronic ticket apparatus, a set top box, and the like. The point-of-transaction unit 22 controls the information transfer to and from the IC device 24.
Depending upon the configuration and operating environment of the point-of-transaction unit 22, one or more software applications 36 may execute on the unit. A user's home or work computer typically executes many different applications. Conversely, a computer implemented as a kiosk, ATM, or vending machine might only execute one specific application.
The IC device 26 is illustrated as a multi-purpose smart card or IC card. The multi-purpose smart card contains various resources that might be used by, or in support of, an application executing on the point-of-transaction unit 22. Among these resources are cryptography capabilities. The IC card stores public and private key pairs and can hold related data such as certificates. The IC card also performs rudimentary cryptographic functions, including encryption, decryption, signing, authentication. The IC card may also contain resources in the form of electronic assets, which represent value. For instance, the IC card might store assets in the form of electronic entertainment tickets, travel reservations, service contracts, medical prescriptions, government entitlement provisions, electronic cash, public transportation tokens, and so one. With such diverse resources, the IC card 24 is capable of supporting multiple applications in different environments.
One exemplary implementation of an architecture that facilitates multi-use IC cards is described in co-pending U.S. patent application Ser. No. 08/647,199, entitled “System And Method For Configuring And Managing Resources On A Multi-Purpose Integrated Circuit Card Using A Personal Computer”, which was filed Mar. 11, 1996 in the names of Doug Barlow, Blair Dillaway, Barbara Fox, Terry Lipscomb, and Terrence Spies. Another architecture is described in copending U.S. patent application Ser. No. 09/178,228, entitled “Integrated Circuit Card with Identity Authentication Table and Authorization Tables Defining Access Rights Based on Boolean Expressions of Authenticated Identities” filed on Oct. 23, 1998 in the name of Scott B. Guthery. These applications are assigned to Microsoft Corporation and hereby incorporated by reference.
It is noted that, in addition to the illustrated smart cards, the IC device might be embodied in other forms, such as an electronic wallet, a personal digital assistant, a smart diskette (i.e., an IC-based device having a form factor and memory drive interface to enable insertion into a floppy disk drive), a PC card (formerly PCMCIA card), and the like. Generally, the IC device 26 is characterized as an electronic device with limited processing capabilities and memory wherein large size number crunching is impractical. However, aspects of this invention may be utilized with IC devices that do not meet this limitation, as well as to verification of non-computerized items, such as conventional credit cards. For purposes of continuing discussion and within the context of the illustrated implementation, the terms “IC device”, “IC card”, and “smart card” will be used interchangeably to reference the IC device 26.
The system 20 implements software that enables authentication of the point-of-transaction unit 22, the IC card 24, and any application running on the unit 22 and IC card 24. In addition, the system software enables authentication of the user to the IC card 24.
In one exemplary implementation, the system software includes a software application interface which executes on the point-of-transaction unit 22 to prevent possible covert attacks from malicious software applications which attempt to gain unauthorized access to resources on the IC card. The application interface implements the application and provides services which facilitate access to the resources on the IC card 24, without allowing the application itself to directly access the card-based resources. The application interface is implemented as a service layer for the operating system and is securely integrated with the operating system through mutual authentication.
During initialization, the application interface and the operating system exchange certificates containing identifications (i.e., serial numbers or the like) which are signed by a trusted certifying authority (e.g., the manufacturer). The operating system and application interface then authenticate each other using the certificates. One technique for authenticating the various components in a computer system, as well as the user, is described in U.S. Pat. No. 5,721,781, entitled “Authentication System and Method for Smart Card Transactions”, which issued Feb. 24, 1998 in the name of Vinay Deo, Robert B Seidensticker, and Daniel R. Simon. This patent is assigned to Microsoft Corporation and is hereby incorporated by reference.
The application interface is preferably an application program interface with a set of functional APIs that can be called by the application to support a particular functionality requested by the application. One exemplary set of APIs are described in the above incorporated U.S. patent application Ser. No. 08/647,199.
Exemplary IC Device Implementation
FIG. 2 shows an exemplary smart card implementation of the IC device 26. The smart card has a reader interface 50 for coupling to a card reader, a CPU or processor 52, a volatile rewritable RAM (Random Access Memory) 54, a ROM (Read Only Memory) 56, and an persistent reader/write memory such as EEPROM (Electrically Erasable Programmable ROM) 58. A multi-bit bus (not shown) connects the components.
The smart card 26 is configured with cryptography acceleration circuitry 60, shown integrated with the CPU 52, which streamlines cryptography computations to improve speed. The cryptography accelerator 60 can alternatively be implemented independently of the CPU.
The ROM 56 stores a cryptographic program 62 that executes on the CPU 52 in conjunction with the cryptography accelerator 60 to perform certain cryptographic functions, including encryption, decryption, signing, and verification. As an example, the cryptographic program 62 can encrypt and decrypt short messages using asymmetric key cryptography, such as RSA, and symmetric key cryptography, such as DES (Data Encryption Standard). The cryptographic program 62 might also be capable of generating and destroying cryptographic keys, such as symmetric keys used in the bulk encryption/decryption of a message. The symmetric keys are typically “sessional,” meaning they are generated for each transaction and then subsequently destroyed.
One or more programs 64 are also stored in ROM 56. These programs are run on the CPU 52 to facilitate sessions with corresponding programs on the point-of-transaction unit 22.
The EEPROM 58 is partitioned into a public storage 70 and a private storage 72. The public storage 70 contains non-confidential user information 74, such as medical data or driver's license information. This information can be distributed freely by the smart card 24, without any special security protocol or the need for the user to enter a personal passcode.
The private storage 72 maintains information to which the user wishes to control access. The processor 52 only retrieves information from the private storage 72 upon authentication by the user and/or other entities. One technique for authenticating the user is to require the user to enter a passcode into the point-of-transaction unit 22. The passcode is passed through the card reader 32 to the card I/O port 50, and to the card CPU 52. The CPU 52 compares the entered passcode to a passcode 76 stored in EEPROM 56, and authenticates the user if the entered and stored passcodes match.
The private storage 72 of EEPROM 58 stores cryptographic keys 78 to facilitate authentication and secure data exchange. As one example, the smart card might store two asymmetric pairs of public and private cryptography keys—a signing pair and a data exchange pair. One or more certificates 80 are also stored in the private storage 72. These certificates might contain a card ID, or user ID, public keys, and a signature of a certifying authority. One certificate might be used in a number of different applications, or alternatively, for only a specific corresponding application.
The IC card is designed to avoid exposing the private keys. The encryption keys are never directly accessible and the asymmetric private signing and exchange keys are not permitted to leave the IC card under any circumstances. In this manner, the IC card prevents a foreign application from ever inadvertently or intentionally mishandling the keys in a way that might cause them to be intercepted and compromised.
Files 82 are also stored in the private segment 72 of the EEPROM 58. These files contain data that is used by the programs during transactions. For instance, the files 82 might represent electronic assets such as tickets, tokens, e-cash, government entitlements, or a pointer to a source of value. The files might alternatively hold travel bonus awards such as air miles or hotel stays, or frequent purchase plans such as video rental or gas purchase. The files might further hold medical prescriptions and reservations.
The private segment 72 of EEPROM 58 also holds an authentication table 84, one or more masks 85, one or more authorization tables 86, and an authentication vector 88. The authentication table 84 holds a list of authenticatable identities, such as people, entities, agencies, code, hardware, and SO on. The mask(s) 85 enable situation dependent authentication of authenticatable identities. The authorization tables 86 determine authorization as a Boolean expression of authenticatable identities listed in the authentication table 84. The authorization tables 86 are associated with the files 82. The authentication vector 88 lists the identities that are currently authenticated by the card.
Identity Authentication Table
The multi-purpose smart card 24 can be used in many different ways and for many diverse environments. The smart card 24 might be used to rent a movie in one case and to withdraw money from a bank in another case. The same card might then be used to purchase groceries or to redeem flight miles.
In each environment, the smart card 24 performs various authentication procedures to verify the authenticity of the participating identity or identities. The authentication procedures may be performed using conventional techniques. For instance, the smart card might verify the user by requesting a PIN and comparing the PIN entered by the user with the passcode 76. The smart card might authenticate a grocery store or a bank by exchanging certificates and/or public keys.
The smart card 24 is designed to keep track of an arbitrary number of identities (limited only by the resources of the card). Identities do not have to be aliased or reused and data access policies can expressed directly in terms of these identities and are independent of other features of the card, such as data location.
FIG. 3 shows an identity authentication table 84 that lists the identities and correlates with them information describing how particular identities are authenticated. More particularly, the authentication table 84 has an identity field 90, a protocol field 92 for storing information describing how the identity is to be authenticated, and a data field 94 to hold the data required by the authentication protocol. The authentication table 84 also has a count field 96, which tracks the number of transactions or uses that an identity may be considered as authenticated without requiring re-authentication using the authentication protocol.
The authentication table 84 holds one or more identities, depending upon the number of uses for the smart card. Identities may be added to and removed from the card by simply altering this table.
For example, suppose the smart card 24 is configured to engage in bank transactions (e.g., withdraw, transfer, etc.), purchase groceries, and rent movies. The authentication table 84 holds four identities: a card holder 98, a video store 100, a bank 102, and a grocery store 104. The IC card 24 authenticates the card holder 98 using a PIN protocol in which the holder enters his/her passcode number. The IC card 24 authenticates the bank using a signed certificate exchange. This involves verifying the bank's certificate using the bank's public signing key. The IC card 24 authenticates the video store and grocery store by simply examining certificates passed in by these entities. A certifying authority, which can be verified by the card, signs the certificates and the card makes a judgement whether to trust the certificates passed in by the video store and grocery store. These authentication practices are common and used for example purposes. Other authentication procedures may be used.
Authentication Vector
The smart card 24 maintains an authentication vector 88 in EEPROM 58. The authentication vector 88 tracks which identities are currently authenticated by the card at any given time.
FIG. 4 shows an authentication vector 88 implemented as a bit array. The vector 88 has one or more bits assigned or associated with various identities that may be authenticated by the card. Continuing with the example identities of FIG. 3, one bit in the authentication vector 88 is associated with each identity (i.e., card holder, a video rental store, a bank, and a grocery store). FIG. 3 shows this scenario by bits 110, 112, 114, and 116.
The participants' associated bit is initially set to one binary value, such as “0”. When the smart card 24 properly authenticates an identity, it resets the corresponding bit to the other binary value, such as “1”. FIG. 3 shows the case in which the user and grocery store have been authenticated, as indicated by bits 110 and 116 being reset to binary value “1”. The bank and video store have not been authenticated, as indicated by bits 112 and 114 being set to binary value “0”.
The identity authentication table 84 and authentication vector 88 combine to track an arbitrary number of identities (limited only by the resources of the card). Identities do not have to be aliased or reused. Moreover, data access policies, as set forth in the authorization tables 86, can expressed directly in terms of the identities and are independent of other features of the card such as data location.
Situationally-Dependent Authentication
There are situations that arise when it is desirable to either extend the authentication vector to include other identities that are not generally authenticated, or to restrict the current authenticated identities. For example, in a particular transaction it might be advantageous to have an unauthenticated identity participate for that transaction only. It may be that the unauthenticated identity is able to provide a resource or operation that is desirable or necessary, but that would otherwise be unavailable. In other instances, it may be desirable to restrict the currently authenticated identities when, for example, having all of them authenticated for a particular transaction is not necessary.
In the described embodiment, one or more masks are provided and enable the IC device to restrict and/or extend the currently authenticated identities. The masks are combinable with the authentication vector to achieve the modification of the authenticated identities.
A mask m is defined as [m1, m2, . . . , mn], and is a vector of n 0's and 1's that can be logically combined with an authentication vector a to provide a modified authentication vector. For example, one might set

a&m=[a1&m1,a2&m2, . . . ,an&mn]

as the “AND-ing” together of the authentication vector a and the mask m, or

a|m=[a1|m1,a2|m2, . . . ,an|mn]

as the “OR-ing” together of the authentication vector a and the mask m.

AND-ing a mask with an authentication vector turns off or hides some authentications and therefore restricts or subtracts from the set of authentications. OR-ing a mask with an authentication vector turns on or activates some authentications and therefore extends or adds to the set of authentications. Preferably, each file has at least one, and more preferably two masks, i.e. a restriction mask and an extension mask, associated therewith. Through the use of the masks, the authenticated identities for each transaction can be modified.
One way of combining the restriction and extensions masks with the authentication vector is as follows:

am=(a&r)|e

where am is the modified authentication vector, r is the restriction mask, and e is the extension mask. The modified authentication vector am, rather than the actual authentication vector, is then used to evaluate an evaluatable expression (e.g. a Boolean expression discussed below in more detail) that controls access to an Object on the IC device or controls the permissibility of a particular transaction or operation. A table for resulting values of a, r, e, and am is given below:

















a
r
e
am









0
0
0
0



0
0
1
1



0
1
0
0



0
1
1
1



1
0
0
0



1
0
1
1



1
1
0
1



1
1
1
1










In order to temporarily hide the authentication of an identity, both r and e are set to 0. In order to temporarily activate or extend the authentication of an identity, e is set to 1. A convention is adopted that if only an r vector is being used, the e vector is taken to be all 0's, and if only an e vector is being used, the r vector is taken to be all 1's. A lone r vector yields an effective or modified authentication vector that is a pure restriction of the authentication vector a. A lone e vector yields an effective authentication vector that is a pure extension of the authentication vector a.
As an example, consider the two masks shown in FIGS. 5 and 6. The mask of FIG. 5 is a restriction mask and the mask of FIG. 6 is an extension mask. These masks can be combined with the authentication vector of FIG. 4 to modify the authenticated identities for a particular transaction. Suppose, in a particular transaction, it is desirable to rent a movie from the video store and pay for the movie through a transfer of funds from the bank. Yet, the currently authenticated identities, as set forth in the FIG. 4 authentication vector, would not allow this to happen because only the holder and the grocery store are authenticated. However, through the use of the masks of FIGS. 5 and 6, authentication for this particular transaction can be granted by combining the masks as given by am=(a&r)|e. Thus, by And-ing the restriction mask of FIG. 5 with the authentication vector, the product is given as [1000]. This operation restricts the grocery store from the transaction because it is not necessary. Or-ing the product [1000] with the extension mask of FIG. 6 yields the modified authentication vector [1110]. This operation modifies the original authenticated identities from the holder and the grocery store, to the holder, the video store, and the bank. The transaction can now progress as desired. When the transaction is completed, the modified authentication vector can be returned to its original FIG. 4 value.
Backward Compatibility
One of the advantages of the above described masks is that they enable compliance with existing smart card standards, including the ISO 7816-4 standard. Standards such as these govern what happens when focus is shifted on the card from directory-to-directory, and from file-to-file. The ISO 7816-4 standard specifies three situations and their impact on security status:
1. When the current EF is changed, or when there is no current EF, the security status, if any, specific to a former current EF is lost.
2. When the current DF is a descendant of, or identical to the former current DF, the security status specific to the former current DF is maintained.
3. When the current DF is neither a descendant of, nor identical to the former current DF, the security status specific to the former current DF is lost. The security status common to all common ancestors of the
In order to support the ISO 7816-4 standard of altering security status on the card as focus moves from file-to-file and directory-to-directory, masks are associated with the directories and files on the card and implement the three above rules.
As an example, consider the following. Suppose that associated with every file and directory on a smart card there is a restriction vector rf and rd respectively. The ISO 7816-4 security semantics of the above listed rules can be implemented by setting the authentication vector a to a new value a′ using these vectors. Suppose further that attention is focussed on a file f in directory dk. Let d0, d1, d2, . . . , dk be the sequence of directories from the root directory d0 to the current directory dk, and let d0, d1′, d2′, . . . d1′, be the sequence of directories from the root directory d0 to the new current directory d1.

    
    
        1. When the current EF f is changed or when there is no current EF, the new authentication vector a′ is defined by a′=a&rf.
        2. When the current DF is a descendant of, or identical to the former current DF, i.e. when di is the same as di′ for all i, 0<=i<=k, then the new authentication vector a′ is defined by a′=a.
        3. When the current DF is neither a descendant of, nor identical to the former current DF, the new authentication vector is defined by a′a&rdj&rdj+1& . . . &rdk, where di is the same as di′ for 0<=i<=j−1, and di is different from di′ for i greater than j.
    
    


The above example constitutes but one example where restriction masks can be used to implement and comply with a specific smart card standard, i.e. the ISO 7816-4 standard. This is not, however, intended to limit application of principles of the invention to only this specific standard. Accordingly, the various masks described above might be used to implement other standards as well, as will be appreciated by those of skill in the art.
Authentication of Executable Programs
The example given above constitutes one scenario in which restriction masks can be used. In the example that follows, one scenario in which an extension mask can be used is described.
An extension mask can be used to provide functionality that would otherwise not exist. One way of accomplishing this is to associate an extension mask with an executable program that authenticates identities for a particular transaction that is implemented by the program. In this way, authorizations can be provided to programs that execute on a smart card that are other than, and typically exceed those authorizations that are available to a party or parties executing the program.
Consider the following scenario. A cardholder wishes to move loyalty points from one loyalty point purse to another at an exchange rate that is agreed to by the owners of the two purses. The executable program on the smart card that achieves this transfer must be able to both read from and write to both purses. While the cardholder should be able to achieve this transfer without the current authentication of the owners of the two purses, it would be undesirable to grant the cardholder both read and write privileges on the two purses. Otherwise, a cardholder might be tempted to write unlimitedly to one or more of their purses. One solution might be to embed the purse owners' authentication keys in the executable program. Then, when the program executes, it can authenticate both purse owners using these keys, do the transfer using the read and write privileges of the purse owners, and then deauthenticate the purse owners before it terminates. The problem with this approach is that the purse owners' keys are on the smart card and thus subject to attack. The better alternative is to define an extension mask e and associate the mask with the executable program. The extension mask is used by the program to authenticate both purse owners. When the program is loaded for execution, the current authentication vector a is set to a′=a|e and remains at this setting while the program executes. Upon termination of the program, the current authentication vector is returned to the a=a′& ̃e. In this way, the executing program can assume the authorizations of the purse owners without containing the purse owner's authentication keys.
Authorization Tables
Once the card has authenticated one or more identities and performed by modification of the authentication vector, it may engage in a transaction if the appropriate identities supporting the desired transaction are authenticated. The smart card 24 maintains authorization tables 86 in the EEPROM 58 that set forth whether a particular transaction can be undertaken given a set of authenticated identities. The authorization tables 86 can be stored in association with particular files 82 so that one authorization table indicates how the transaction of the associated file can be performed.
FIG. 7 shows an authorization table 86 that is associated with a file used to facilitate renting a movie. The authorization table 86 associates movie rental transactions 120 with an authorization expression 122 represented as a Boolean function of authenticatable identities.
Suppose the movie rental file defines two transactions: a rental transaction 124 and a return transaction 126. The rental transaction 124 facilitates renting a movie, and may involve using the card to obtain a physical copy of the movie cassette or obtaining access keys, which can be stored on the card, to enable a receiver to decrypt a video stream carrying the movie. The return transaction 126 facilitates return of the movie, either the physical return of the video cassette or verifiable destruction of the decryption key. These transactions may be performed with various video rental locations, including the video store and the grocery store.
Authorization for each transaction is a function of authenticatable identities. The rental transaction 124 is permitted if the card has authenticated both the card holder and at least one of the video rental locations (i.e., the video store or the grocery store). This authorization is represented by the following Boolean expression:

Rental=(Holder AND Video Store) OR (Holder AND Grocery Store)

Requiring two authenticatable identities ensures that the party authorizing expenditure is truly the card holder, and that the party offering the video movie is truly the video store or grocery store. Absent one of these identities, the card aborts the transaction.
The return transaction 126 does not involve authenticating the identity of the holder because the card (or video owner) need not be concerned with who returned the video, only that it is returned. For instance, a relative of the card holder may use the card to return the movie or access keys to the movie. The card only needs to know if it is returning the movie to the proper place (i.e., the video store or grocery store). Accordingly, authorization for the return transaction only requires authentication of either the video store or the grocery store, as follows:

Return=Video Store OR Grocery Store

It may take an excessive amount of time and card-resident computer program code to provide for the evaluation of an arbitrary Boolean expression on a smart card. Accordingly, one preferred technique is to transform the Boolean expression into a disjunctive normal form and to store this representation of the Boolean expression on the card. A disjunctive normal form is a Boolean expression of the form:

(AAND B AND . . . ) OR (C AND D AND . . . ) OR

(E AND F AND . . . ) OR . . . OR (Y AND Z AND . . . )

It is well known that any Boolean expression can be transformed into this form and that there are ways to minimize the number of terms in the resulting expressions. Therefore, by performing some computing off the card and before the card is personalized, on card space can be saved and on card computation time minimized for the handling of arbitrary Boolean expressions.
Alternatively, a conjunctive normal form may be used as well:

(A ORB OR . . . ) AND (C OR D OR . . . ) AND

(E OR F OR . . . ) AND . . . AND (Y OR Z OR . . . )

The disjunctive form is slightly favored because it would be shorter on average over the kinds of Boolean expressions that are of interest in controlling access in smart cards as compared to the conjunctive form.
Authentication and Authorization Process
FIG. 8 shows steps in a method for authenticating an identity. At step 150, the smart card 24 receives an identity (i.e., name, symbol, number, etc.). The smart card 124 determines whether the identity is listed in the identity authentication table 84 (step 152 in FIG. 8). If not, the smart card 124 rejects authentication (step 154). On the other hand, if the identity is listed (i.e., the “yes” branch from step 152), the smart card performs the authentication protocol associated with the identity (step 156 in FIG. 8).
At step 158 in FIG. 8, the smart card 124 determines whether the authentication is successful. If authentication is unsuccessful, the smart card 124 rejects authentication (step 152). However, if the authentication proves successful, the smart card 124 marks the identity as authenticated by resetting its corresponding bit in the authentication vector 88 (step 160 in FIG. 8).
FIG. 9 shows steps in a method for authorizing a particular transaction. At step 170 in FIG. 9, the smart card receives a request for an operation, along with any identity with which the card may be involved. The card looks up the authorization table 86 associated with the requested operation (e.g., the table for authorizing movie rental), and evaluates the Boolean expression assigned for that operation given the current set of authenticatable identities referenced in the authentication vector 88 (step 172).
If the expression proves false (i.e., the “no” branch from step 174), the smart card 24 rejects the operation (step 176 in FIG. 9). On the other hand, if the expression is true (i.e., the “yes” branch from step 174), the smart card executes the operation (step 178).
Modification of the Authentication Vector
FIG. 10 shows steps in a method for modifying the authentication vector. At step 180, the smart card 24 determines whether there is a restriction that applies to an object on the card (e.g. a directory or file), or an action (e.g. a transaction). If there is, the smart card applies the restriction to the current authentication vector (step 181). In the above examples, this takes place by logically combining a restriction mask with the authentication vector. If no restrictions apply, the smart card 24 determines whether there is an extension that applies to an object or an action (step 182). If there is, then the smart card applies the extension to the current authentication vector. This was accomplished in the above examples by logically combining an extension mask with the authentication vector. The smart card 24 then branches to step 184 and evaluates the access control rules using either the modified or unmodified authentication vector. At step 185, the smart card 24 determines whether the modification is permanent. If it is not, then the smart card 24 restores the original authentication vector (step 186). If it is permanent, then the smart card 24 maintains the modified authentication vector (step 187).
Persistent Authentication
Through the use of the identity authentication table 84, the smart card 24 is capable of maintaining “persistent” authentication of one or more identities. For example, the card holder may wish to authorize a particular use of the card by another person (e.g., parent to child). The card holder authenticates himself/herself to the card and gives the card to the other person, who could use it in a time/space absence of the card holder. However, the persistent authentication is limits the number of times the other person could use the card in the prescribed way.
Situations where such a card capability is useful include those in which the card holder purchases the rights to access a particular resource a fixed number of times (e.g., 100 game coupons, 10 videos, 20 gas fill ups, etc.) or with a prescribed frequency (once per day, for example). The card holder may wish to store and share these rights with others (e.g., one use or for a day), without needing to be present with the others, yet also without relinquishing ultimate control over the card's use.
As shown in FIG. 3, the identity authentication table 84 maintains a count field 96 to track a number of times a particular identity can be considered to be authenticated to the card. For each requested transaction, the card checks if the identity has been authenticated and if so, decrements the count field 96 by one. While the counter is greater than zero, the identity is regarded as being authenticated to the card and all the rights and privileges of the authenticated identity are active on the card. When the counter reaches zero, the identity is not longer deemed “authenticated” and the rights and privileges are deactivated.
In this example, the card holder 98 has a count of 5, while other identities have a count of 0. This means that the card holder is considered to be authenticated for up five uses of the card without requiring further authentication on the part of the card holder.
As an example of this persistent authentication, suppose the card holder wanted to transfer the smart card 24 to another person (e.g., child, spouse, friend, etc.) to rent a video. As noted above, the expression for renting a movie requires both the card holder and a video rental place, as follows:

Rental=(Holder AND Video Store) OR (Holder AND Grocery Store)

The card holder could authorize another person to rent a movie at the video store or grocery store by authenticating himself/herself to the card and giving it to the other person. The person could use the card at the video store so long as the card was able to authenticate either the video store or the grocery store. Upon use to rent a video, the authentication count 96 for the holder is decremented from five to four.
In another example, the smart card may belong to a child, and require both authentication of the child and the parent before engaging in a transaction. In this case, the parent may decide to authenticate himself/herself to the card for a number of uses by the child. When the child engaged in an activity, like purchasing tickets to a movie, the smart card would evaluate the following expression:

Ticket=Holder AND Theater AND Parent

If the child happened to lose the card on the way to the theater, the finder couldn't use it because he/she would not know the child's PIN and therefore could not authenticate the child to the card (even though the parent was already persistently authenticated). In addition, note that the child could not attend a concert at the concert hall because the card also expects authentication of the theater before a ticket purchase can be made.
Instantaneous Authentication Command
In contrast to persistent authentication, another aspect of this invention is an authentication that lasts for only one command to the card and in fact, is combined with the command itself. Suppose, for example, that a single command to the card were “Change the home telephone number to 617-492-6076. Signed Card Holder”. If the card could authenticate the card holder using the signature on the command and the card holder was authorized to update the home telephone number, the authentication and authorization steps could be combined with the execution of the single command into one transaction between the card and the outside world.
An instantaneous authentication command passes sufficient information to the card to enable authentication and instructions to perform a specified transaction. By way of example, suppose an instantaneous authentication command consists of the following fields:














Field
Data Type









Command Header
Plain Text



Identity Name
Plain Text



Message Integrity Code
Plain Text



Command Data
Encrypted Text










When this command is received, the smart card proceeds as follows:

    1. Lookup the identity name in the identity authentication table 84.
    2. Apply the authentication protocol 92 to the encrypted command data.
    3. Verify the message integrity code of the decrypted data with the given message integrity code.
    4. If they match, authenticate the named identity; otherwise, reject the transaction.
    5. Determine if the authenticated identity can perform the operation in the command header.
    6. If so, perform the operation; otherwise, do not perform the operation.
    7. Deauthenticate the named identity.


Secure Creation of Capability Tickets
Another aspect of this invention concerns use of an IC device to securely create and distribute capability tickets that enable an authenticated identity to gain access to an external protected resource. The resource may be any type of device, such as a computer, kiosk, vending machine, ATM, and so forth.
FIG. 11 shows steps in a method for securely creating a capability ticket to authorize use of an external protected resource. At step 190, the smart card receives the card holder identity. The smart card then performs at step 192 the authentication process described above with respect to FIG. 8. If the authentication process proves unsuccessful, the authentication is rejected (step 194). Otherwise, if successful, the card holder can request creation of a ticket (step 196).
At step 198, the smart card determines whether the card holder is authorized to request such a ticket using the authorization tables 86. If not (i.e., the “no” branch from step 198), the request is rejected (step 200). On the other hand, if the card holder is authorized (i.e., the “yes” branch from step 198), the smart card creates a capability ticket for a particular operation on a particular resource (step 202). The card holder now has a transmittable ticket that can be given to the resource to gain the requested access.
The capability ticket may also contain limitations on use generated from data stored on the card. For example, the card may include in the capability ticket the condition that the ticket be used before some specific date. Alternatively, the conditions may be that the ticket can only be used at some specific time during the day or that it is valid only if accompanied by some other capability ticket. A number of well-known techniques can be used to secure the capability ticket prepared by the card against forgery and various attacks such as replay attacks.
At step 204, the card holder presents the capability ticket to the resource. The resource determines whether the ticket is valid (step 206). If not, the resource rejects the ticket (step 208); otherwise, the resource evaluates any “use” conditions attached to the ticket (step 210). If the conditions are not satisfied (i.e., the “no” branch from step 212), the resource rejects the ticket (step 208). If the conditions are satisfied (i.e., the “yes” branch from step 212), the resource provides the requested service (step 214).
Although the invention has been described in language specific to structural features and/or methodological steps, it is to be understood that the invention defined in the appended claims is not necessarily limited to the specific features or steps described. Rather, the specific features and steps are disclosed as preferred forms of implementing the claimed invention.

## Claims

1. An integrated circuit (IC) device comprising:
storage means;
processor means coupled to access the storage means;
cryptographic program means on the storage means for performing cryptographic functions;
an authentication vector stored in the storage means to track identities that axe authenticated;
a plurality of masks stored in the storage means and combinable with the authentication vector to change the identities that are authenticated, each mask being configured to either extend or restrict the identities that are authenticated by the authentication vector;
an authorization table stored in the storage means that defines authorization for a particular transaction as an evaluatable expression of authenticatable identities; and
wherein the processor means is configured to combine the mask with the authentication vector to provide an effective authentication vector and to use the effective authentication vector to evaluate the evaluatable expression of authenticatable identities for a particular transaction.

2. The integrated circuit device of claim 1, wherein the mask extends the identities that are authenticated by the authentication vector.

3. The integrated circuit device of claim 1, wherein the mask restricts the identities that are authenticated by the authentication vector.

4. The integrated circuit device of claim 1 embodied as a smart card.

5. The integrated circuit device of claim 4, wherein the mask, when combined with the authentication vector, complies with the ISO 78164 standard.

6. An integrated circuit (IC) device comprising:
storage means;
processor means coupled to access the storage means;
cryptographic program means on the storage means for performing cryptographic functions;
an authentication vector stored in the storage means to track identities that are authenticated;
a plurality of masks stored in the storage means and combinable with the authentication vector to change the identities that are authenticated, each mask being configured to either extend or restrict the identities that are authenticated by the authentication vector;
a plurality of files in the storage means, individual files having at least one mask associated therewith;
an authorization table stored in the storage means that defines authorization for a particular transaction as a Boolean expression of authenticatable identities; and
wherein the processor means is configured to combine the mask with the authentication vector to provide an effective authentication, vector, and to use the effective authentication vector to evaluate the Boolean expression for a particular transaction.

7. The integrated circuit card of claim 6, wherein the mask extends the identities that are authenticated by the authentication vector.

8. The integrated circuit card of claim 6, wherein the mask restricts the identities that are authenticated by the authentication vector.

9. The integrated circuit card of claim 6 embodied as a smart card.

10. A system comprising:
data storage means;
an authentication vector on the data storage means to track identities that are authenticated;
a mask on the data storage means to change identities that are authenticated;
code means for combining the mask with the authentication vector to change the identities that are tracked by the authentication vector; and
an authorization table that defines authorization for a particular transaction as a Boolean expression of authenticatable identities, and wherein the code means evaluates Boolean expressions after combining the mask with the authentication vector.

11. The system of claim 10, wherein the mask extends the identities that are authenticated.

12. The system of claim 10, wherein the mask restricts, the identities that are authenticated.