Abstract:
Apparatuses and methods for tapping serial communications and transforming the serial data into a format appropriate for routable networks are significant for purposes of security and troubleshooting, especially in critical infrastructure networks. Communication taps should be completely passive such that any failure would not interrupt the serial communications. Furthermore, automatic determination of unspecified serial protocol frames allow general implementation across various networks, or across devices within a single network, without the need to customize for each implementation.

Description:
CROSS-REFERENCE TO RELATED APPLICATIONS 
       [0001]    This invention claims priority from and is a continuation in part of currently pending U.S. patent application No. 12/884,455, filed Sep. 17, 2010, which is incorporated herein by reference. 
     
    
     STATEMENT REGARDING FEDERALLY SPONSORED RESEARCH OR DEVELOPMENT 
       [0002]    This invention was made with Government support under Contract DE-AC0576RL01830 awarded by the U.S. Department of Energy. The Government has certain rights in the invention. 
     
    
     BACKGROUND 
       [0003]    Critical infrastructure networks still utilize serial communications because of the presence and reliance on legacy systems and because of the slow speed at which the industries upgrade their technology. Because of the electrical, environmental, and operational requirements, traditional IT security and troubleshooting solutions are often unsuitable in these critical systems. For example, many of the legacy devices in critical infrastructure networks cannot support the relatively high computational burden of traditional security and troubleshooting solutions. Furthermore, the security and troubleshooting system cannot introduce any new points of failure in the network. In order to secure these critical infrastructure networks, there is a need for systems and methods of sending serial traffic onto a routable network, where it could be centrally monitored, without adding computational overhead or new points of failure to critical infrastructure networks. 
       SUMMARY 
       [0004]    The present invention includes apparatuses and methods for tapping serial communications between two or more devices and transforming the serial data into a format appropriate for routable networks. The serial communications tapping can enable monitoring of devices that can include, but are not limited to, sensors, switches, valves, relays, workstations, servers, and control computers. The serial communications tap is completely passive such that any failure of the tap apparatus would not interrupt the serial communications. Furthermore, embodiments of the present invention adapt automatically and operate without foreknowledge of the serial protocol frames (i.e., the serial protocol frames are unspecified. Therefore, the embodiments can be easily implemented across various networks without the need to customize for each implementation. 
         [0005]    The embodiments can, for example, facilitate the secure convergence of process control networks with information technology networks through low-cost embedded devices that passively tap serial line communications, perform packetization processes, and wrap them in a routable protocol for transmittal over an Ethernet network. The embedded devices can be placed in-line on legacy links between process control devices. They collect data sent between the process control devices and process the data in order to transmit via another network. 
         [0006]    In one embodiment, apparatuses for passively tapping serial communications comprise passive, serial-communications, interception circuitry that includes at least two serial communications pass-throughs and a processor. Each serial communications pass-through is connected to the processor and is interfaced to a serial communication cable through which the serial communications are transmitted. The serial communications supports bi-directional communication between the two or more devices, in which case one pass-through taps each direction of communication. 
         [0007]    Embodiments described herein can preferably be applied to situations in which the protocol of the serial communications are not pre-specified. The processor executes programming to determine the serial protocol frames according to characteristics of the serial communications. The processer then executes programming to wrap the serial protocol frames in a routable protocol, thereby forming a routable packet, and to transmit the routable packets to one or more routable addresses through an interface connecting the processor to a routable network. Preferably, the routable network is based on internet protocol (IP) and the one or more routable addresses are IP addresses. 
         [0008]    Examples of serial communications having serial protocol frames that are unspecified to the apparatus can include, but are not limited to those based on a process control serial protocol. Examples include, but are not limited to, distributed network protocol 3 (DNP3) and Modbus. RS 232/485 is common for the legacy communication in which embodiments described herein can be implemented. 
         [0009]    Each pass-through can comprise a serial port directly connected to the serial communication cable. At least two pass-throughs are required to tap bi-directional communication between two devices. The interception circuitry must have an impedance greater than that of the serial communication cable. The pass-through can alternatively comprise an inductive coupling. Further still, the pass-through can comprise a capacitive coupling to intercept the serial communications by means of capacitance. 
         [0010]    In some embodiments, the characteristics of serial communications include timing-based signals. In such instances, the processing device can execute further programming to associate timing gaps between the timing-based signals with frame edges that define the serial protocol frames. 
         [0011]    In other embodiments, the characteristics of serial communications include frame synchronization delimiters and length fields and the processing device executes further programming to define the beginning and the length of serial protocol frames according to the frame synchronization delimiters and length fields, respectively. For example, optional offsets can be utilized. The offsets can be variable in length because some protocols utilize a header and then a length field. The offsets can address such instances and others that are similar. 
         [0012]    In still other embodiments, the characteristics of serial communications include frame synchronization delimiters and frame end delimiters and the processing device executes further programming to define the beginning and the end of serial protocol frames according to the frame synchronization delimiters and frame end delimiters, respectively. 
         [0013]    The characteristics of serial communications can alternatively include time variance between signals and the processing device executes further programming to identify a baseline time gap in the signals and to define statistically significant deviations from the baseline time gap as the beginnings and the ends of serial protocol frames. 
         [0014]    Alternatively, the characteristics of serial communications can include byte frequency and the processing device executes further programming to identify statistically significant occurrences of byte frequency patterns and to define the statistically significant occurrences with the beginnings and the ends of serial protocol frames. 
         [0015]    Still other characteristics of serial communications can include byte frequency as well as time variance between signals and the processing device executes further programming to identify statistically significant occurrences of byte frequency patterns, to identify a baseline time gap in the signals, and to define statistically significant deviations from the baseline time gap combined with statistically significant occurrences of byte patterns as the beginnings and the ends of the serial protocol frames. 
         [0016]    In preferred embodiments, the programming executed by the processing device is stored in storage circuitry. The pass-throughs, the processor, the storage circuitry, and the interface are assembled as an embedded system. As used herein, an embedded system refers to a device that runs firmware, provides a few dedicated functions, and has real-time computing constraints. It is dedicated to a particular task. By contrast, a general-purpose computer is designed to be flexible and to meet a wide range of end user needs. 
         [0017]    Another embodiment of the present invention includes methods to passively tap bi-directional serial communications, which have serial protocol frames that are unspecified, transmitted through a serial communication cable between two or more devices. The method, which is executed by a processor, includes passively intercepting the bi-directional serial communications through at least two serial communications pass-throughs connected to the processor and to the serial communication cable and determining serial protocol frames according to characteristics of the serial communications. Routable packets can then be formed by wrapping the serial protocol frames in a routable protocol and transmitting the routable packets to one or more routable addresses through an interface connecting the processor to a routable network. 
         [0018]    The purpose of the foregoing abstract is to enable the United States Patent and Trademark Office and the public generally, especially the scientists, engineers, and practitioners in the art who are not familiar with patent or legal terms or phraseology, to determine quickly from a cursory inspection the nature and essence of the technical disclosure of the application. The abstract is neither intended to define the invention of the application, which is measured by the claims, nor is it intended to be limiting as to the scope of the invention in any way. 
         [0019]    Various advantages and novel features of the present invention are described herein and will become further readily apparent to those skilled in this art from the following detailed description. In the preceding and following descriptions, the various embodiments, including the preferred embodiments, have been shown and described. Included herein is a description of the best mode contemplated for carrying out the invention. As will be realized, the invention is capable of modification in various respects without departing from the invention. Accordingly, the drawings and description of the preferred embodiments set forth hereafter are to be regarded as illustrative in nature, and not as restrictive. 
     
    
     
       DESCRIPTION OF DRAWINGS 
         [0020]    Embodiments of the invention are described below with reference to the following accompanying drawings. 
           [0021]      FIG. 1  is a diagram depicting one embodiment of the present invention in which the pass-through includes a pair of serial ports. 
           [0022]      FIG. 2  is a diagram depicting one embodiment of the present invention in which the pass-through includes an inductive coupling. 
           [0023]      FIG. 3  is a diagram depicting one embodiment of the present invention in which the pass-through includes a capacitive coupling. 
           [0024]      FIG. 4  is a block diagram depicting methods according to embodiments of the present invention. 
           [0025]      FIG. 5  is a diagram depicting a microcontroller for processing serial communications intercepted according to one embodiment of the present invention. 
           [0026]      FIGS. 6-11  are diagrams depicting various approaches to determining an unspecified serial protocol frame according to embodiments of the present invention. 
           [0027]      FIG. 12  is a diagram depicting the wrapping of a serial protocol frame to form a routable packet according to one embodiment of the present invention. 
           [0028]      FIG. 13  is a diagram of a system implementing various embodiments of the present invention. 
       
    
    
     DETAILED DESCRIPTION 
       [0029]    The following description includes the preferred best mode of one embodiment of the present invention. It will be clear from this description of the invention that the invention is not limited to these illustrated embodiments but that the invention also includes a variety of modifications and embodiments thereto. Therefore the present description should be seen as illustrative and not limiting. While the invention is susceptible of various modifications and alternative constructions, it should be understood, that there is no intention to limit the invention to the specific form disclosed, but, on the contrary, the invention is to cover all modifications, alternative constructions, and equivalents falling within the spirit and scope of the invention as defined in the claims. 
         [0030]      FIGS. 1-13  show a variety of embodiments and aspects of the present invention. Referring first to  FIG. 1  a diagram depicts the pass-throughs interfacing the serial communication cable and the interception circuitry passing the serial data to a microprocessor. In this embodiment, each pass-through taps a line between serial ports  101  directly connected to the serial communication cable. Accordingly, the apparatus is connected in line with the serial communication cable. In such instances, the interception circuitry must have an impedance greater than that of the serial communication cable. The impedance in the interception circuitry can be increased using resistors  102  and/or including components having relatively large impedances. The large impedance in the interception circuitry ensures that the serial communications will still transmit through the serial communications cable in the event that the apparatus fails. In preferred embodiments, the impedance of the interception circuitry is at least 10% higher than that of the serial communication cable. 
         [0031]    Referring to  FIG. 2 , the diagram depicts each pass-through as an inductive coupling. The inductive coupling can capture the leading and trailing edges of a bit, which are then amplified by components in the interception circuitry, by electromagnetic induction which is the induction of a voltage in one wire based on the change in current flow of through a primary wire. In a particular embodiment, the inductive coupling utilizes a transformer  201 . A coil of wire of the serial signal can be wound on the primary side of the transformer while a passive capture signal can be wound around the secondary side of the transformer. The coupling can be increased by a transformer so the magnetic field of the primary coil will pass through to the secondary coil such that a change in current flow through one coil will induce a voltage in the other. 
         [0032]    Referring to  FIG. 3 , the diagram depicts the pass through as a capacitive coupling. The capacitive coupling can comprise a capacitor  301  in series between the serial communications cable and the interception circuitry. The capacitive coupling can remove the DC bias from an AC signal. In some embodiments, a DC bias can be reintroduced in the interception circuitry to recreate the original serial communication. 
         [0033]    The serial data intercepted by the pass through is provided to a processor.  FIG. 4  is a block diagram depicting the steps that can be executed by a processor to tap one or more serial communications and transmit the communications to a centralized location for purposes of security and troubleshooting. Serial communications that have been passively intercepted  400  by a serial communications pass-through connected to the processor can have a serial protocol frame that is unspecified. Accordingly, the processor first determines  401  the serial protocol frames according to characteristics of the serial communications. Once the serial protocol frames are known, routable packets are formed  402  by wrapping the serial protocol frames in a routable protocol. The processor can then transmit  403  the routable packets to one or more routable addresses through an interface connecting the processor to a routable network. 
         [0034]    The processor can be a microcontroller having at least two universal synchronous and/or asynchronous receiver/transmitter (USART) ports, at least some memory to store processor-executable instructions, and at least one port for network communication, such as an Ethernet port. Referring to  FIG. 5 , one embodiment of a microcontroller includes an ARM9 microcontroller  501 . Serial communication data intercepted from the serial communication cable is provided through USART  1  and USART  2  ports  502 . Since embodiments described herein can tap bi-directional communication, two signals are intercepted and sent to the microcontroller processor. The ARM9 microcontroller processor receives the serial communications, which are of an unknown protocol, wraps the data to form a UDP packet and then transmits routable packets through the 10/100/1000 Mbit Ethernet controller and port  503  to a network  504 . 
         [0035]    As described elsewhere herein, embodiments of the present invention can automatically determine unspecified serial protocol frames, thereby enabling implementation and operation without foreknowledge of the protocol frames.  FIGS. 6-12  are schematic diagrams depicting various ways that embodiments described herein can automatically determine the unspecified serial protocol frames. 
         [0036]    Referring to  FIG. 6 , the serial protocol frame determination can be based on timing-based signals. In such instances, the processing device can execute further programming to associate timing gaps  601  above a selected time threshold between the timing-based signals with frame edges that define the serial protocol frames. In other words, a substantial time gap can delineate one frame edge from another. 
         [0037]    Referring to  FIG. 7 , determination can be based on frame synchronization delimiters and length fields. The processing device can execute further programming to define the beginning and the length of serial protocol frames according to a frame synchronization delimiter  701  and length field  702 , respectively. For example, optional offsets can be utilized. The offsets can be variable in length because some protocols utilize a header and then a length field. The offsets can address such instances and others that are similar. 
         [0038]    Referring to  FIG. 8 , determination of serial protocol frames can be based on frame synchronization delimiters  801  and frame end delimiters  802 . The processing device executes further programming to define the beginning and the end of serial protocol frames according to the frame synchronization delimiters and frame end delimiters, respectively. 
         [0039]    Determination can alternatively include time variance between signals. The processing device can execute further programming to identify a baseline time gap in the signals and to define statistically significant deviations from the baseline time gap as the beginnings and the ends of serial protocol frames. As used herein, a baseline time gap can refers to the mean value of some or all of the previously processed signal time gaps and the associated standard deviation range. Statistically significant deviations from the baseline time gap can be determined by time gaps that fall outside a standard deviation range from the mean. The gap can be used to identify one frame from another. As depicted in  FIG. 9 , one approach involves the processing device calculating the mean (μ) and standard deviation (σ) of time gaps between each data block in the communication. A protocol frame edge can determined by any time gap that is greater than two standard deviations from the mean. 
         [0040]    Additional alternatives encompass the use of byte frequency. As used herein, byte frequency can refer to frequencies of occurrence for patterns of 2 or more byte sequences that occur in the serial traffic. Statistically significant byte frequency patterns can refer to byte frequencies that have a higher frequency percentage of occurrences relative to other byte frequencies. They can be determined by continuously calculating the frequencies of occurrence for patterns in the data. Those byte frequencies with the highest frequency of occurrence can be designated as statistically significant according to predetermined criteria, such as threshold for a percentage of occurrence. The processing device executes further programming to identify statistically significant occurrences of byte frequency patterns and to define the statistically significant occurrences with the beginnings and the ends of serial protocol frames. Referring to  FIG. 10 , the byte frequency for most data blocks is approximately 7%. However the frequency of 0x01 is 21%. Accordingly, it is identified as the beginning and end between serial protocol frames. 
         [0041]    Referring to  FIG. 11 , determination of the protocol frames can include byte frequency as well as time variance between signals. The processing device executes further programming to identify statistically significant occurrences of byte frequency patterns, to identify a baseline time gap in the signals, and to define statistically significant deviations from the baseline time gap combined with statistically significant occurrences of byte patterns as the beginnings and the ends of the serial protocol frames. 
         [0042]    Once the serial protocol frames are identified, data can be wrapped in order to form routable packets. Referring to one example depicted in  FIG. 12 , a universal datagram protocol (UDP) header  1202  is added to a determined serial frame  1201 . An IP header  1203  can then be added to the UDP frame. Finally, an Ethernet header  1204  and CRC  1205  is added to wrap the IP frame. 
         [0043]      FIG. 13  includes an illustration depicting a legacy process control system  1300  in which various sensor and relays are connected to the system via serial communications. As depicted, a breaker fault protection device  1302 , a recloser  1303 , a line distance relay  1304 , and a line differential relay  1305  communicate data to and from a com processor  1308  via serial cables. The serial cables are tapped by SerialTap devices  1307  according to embodiments of the present invention. The SerialTap devices are interfaced to a security network via Security LAN  1309 . Communications intercepted by the SerialTap devices can be monitored in a control room  1301  using a workstation  1306  separate from the process control system and the SCADA LAN  1310  by which the legacy system communicates. Failure of one or more of the SerialTap devices has no impact on the regular operation of the process control system. 
         [0044]    While a number of embodiments of the present invention have been shown and described, it will be apparent to those skilled in the art that many changes and modifications may be made without departing from the invention in its broader aspects. The appended claims, therefore, are intended to cover all such changes and modifications as they fall within the true spirit and scope of the invention.