System and method for policy enforcement and token state monitoring

• US 20060059548A1
• Filed: 06/29/2005
• Published: 03/16/2006
• Est. Priority Date: 09/01/2004
• Status: Abandoned Application

• Current Assignee: Eric Arnold Hildre, Theodore Delano Putnam
• Original Assignee: Eric Arnold Hildre, Theodore Delano Putnam
• Inventors: Hildre, Eric Arnold, Putnam, Theodore Delano
• Application Number:
  US11/170,248
• Publication Number:
  US 20060059548A1
• Time in Patent Office: Days
• US Class Current: 726/9
• CPC Class Codes: G06F 21/34 involving the use of external additional devices, e.g. dongles or smart cards
• CPC Class Codes: H04L 2209/60 Digital content management, e.g. content distribution
• CPC Class Codes: H04L 51/00 User-to-user messaging in packet-switching networks, transmitted according to store-and-forward or real-time protocols, e.g. e-mail
• CPC Class Codes: H04L 63/0823 using certificates cryptographic mechanisms or cryptographic arrangements for entity authentication involving certificates H04L9/3263
• CPC Class Codes: H04L 9/006 involving public key infrastructure [PKI] trust models network architecture or network communication protocol for supporting authentication of entities using certificates in a packet data network H04L63/0823
• CPC Class Codes: H04L 9/3234 involving additional secure or trusted devices, e.g. TPM, smartcard, USB or software token network architectures or network communication protocols for supporting authentication of entities using an additional device in a packet data network H04L63/0853
• CPC Class Codes: H04L 9/3268 using certificate validation, registration, distribution or revocation, e.g. certificate revocation list [CRL]
• CPC Class Codes: H04L 9/40 Network security protocols

Abstract

Systems and methods for monitoring the state of a token and communication exchanges between the token containing an embedded integrated circuit chip and a system are provided. Communications between the token and the system are established and the exchanged of commands and responses between the token and the system are monitored and evaluated for compliance with an identified policy. The identified policy contains lists of impermissible commands, responses and content, and delivery of the commands and responses is contingent upon compliance with the identified policy. The token is in communication with a token reader which communicates with the system using token reader driver software. Either the token reader driver software or the token itself is adapted to provide for the desired monitoring, evaluation and policy enforcement. Systems and methods are also provided that enforce policies at access points within a physical access system. The physical access system can be used in combination with tokens.

Claims

1. A method for monitoring the state of a token, the method comprising:

establishing communication between a token and a system;

monitoring an exchange of commands from the system to the token and of responses from the token to the system;

identifying a policy to be applied to the exchange of commands;

evaluating the exchange of commands and responses for compliance with the identified policy; and

controlling the exchange of commands and responses in accordance with the policy compliance evaluation.

2. The method of claim 1, wherein the step of establishing communication comprises establishing communication between the system and a token that comprises an embedded integrated circuit chip.

3. The method of claim 2, wherein the step of establishing communication comprises establishing communication between the token and a token reader that is in communication with the system using a token reader driver.

4. The method of claim 3, further comprising modifying the token reader driver to monitor the exchange of commands and responses, to evaluate the commands and responses or to control the exchange of commands and responses in accordance with the policy evaluation.

5. The method of claim 1, wherein the step of monitoring commands and responses comprises monitoring application protocol data units exchanged between the system and the token.

6. The method of claim 1, wherein the step of identifying the policy comprises identifying a list of impermissible commands, responses and token states.

7. The method of claim 6, wherein the step of evaluating the exchange of commands and responses comprises comparing each exchanged command and response to the list of impermissible commands and responses and identifying matches between the exchanged commands and responses and the list of impermissible commands

8. The method of claim 7, wherein the step of controlling the exchange of commands and responses comprises blocking matching commands and responses from delivery to the token or to the system.

9. The method of claim 1, wherein the step of identifying the policy comprises identifying a list of impermissible content in the commands and responses.

10. The method of claim 9, wherein the step of evaluating the exchange of commands and responses comprises reading the contents of each exchanged command and response and identifying commands or responses containing impermissible content, and the step of controlling the exchange of commands and responses comprises blocking commands and responses containing impermissible content from delivery to the token or system.

11. The method of claim 1, wherein the step of monitoring the exchange of commands and responses comprises monitoring a current operational state of the token and determining potential future operational states using the current operational state.

12. The method of claim 11, wherein the step of monitoring the exchange of commands and responses comprises maintaining a historical log of exchanged commands and responses, and the step of determining potential future operational states further comprises using the historical log and the current operational state.

13. The method of claim 11, wherein the step of identifying the policy comprises identifying permissible future operational states and impermissible future operational states.

14. The method of claim 12, wherein the step of evaluating the exchange of commands and responses comprises identifying each potential future state as either permissible or impermissible based upon the identified policy, associating a necessary command or necessary response with each potential future state, the necessary command or necessary response capable of moving the token from the current state to the associated potential future state, identifying permissible subsequent commands and responses and impermissible subsequent commands and responses and identifying a next command or response as permissible or impermissible.

15. The method of claim 1, further comprising continuously updating the identified policy in accordance with a current operational state of the token.

16. The method of claim 2, further comprising using the embedded integrated circuit chip to monitor the exchange of commands and responses, to evaluate the commands and responses, to control the exchange of commands and responses in accordance with the policy evaluation or combinations thereof.

17. The method of claim 16, wherein the step of using the embedded integrated circuit chip further comprises storing a policy engine capable of enforcing the identified policy on the integrated circuit chip and executing the stored policy engine using the integrated circuit chip.

18. A token firewall comprising:

a token comprising an embedded integrated circuit chip;

a token reader capable of communicating with the embedded integrated circuit chip;

a token reader driver that provides communication between the token reader and a system with which the token interacts, the token reader driver comprising;

a communication monitor capable of monitoring an exchange of commands from the system to the token and of responses from the token to the system;

a policy engine capable of analyzing the exchange of commands and responses for compliance with a pre-defined policy; and

a communication controller capable of prohibiting delivery of commands and responses that are not in compliance with the pre-defined policy.

19. The token firewall of claim 18, wherein the token comprises a smart card.

20. The token firewall of claim 19, wherein the token reader comprises a card access device.

21. The token firewall of claim 18, wherein the token reader driver further comprises a policy builder capable of building and updating the policy engine.

22. The token firewall of claim 18, wherein the token reader driver further comprises a token state monitor capable of monitoring a current operational state of the token and of logging a historical record of previous operational states of the token.

23. The token firewall of claim 18, wherein the embedded integrated circuit chip comprises persistent non-modifiable memory, non-persistent modifiable memory, persistent modifiable memory or combinations thereof.

24. The token firewall of claim 23, wherein at least one of the persistent non-modifiable memory, the non-persistent modifiable memory and the persistent modifiable memory comprises a token level policy engine capable of enforcing a token level policy.

25. A method for policy verification in physical access systems, the method comprising:

receiving a request for access from a requesting entity at a point of access within a physical access system;

obtaining profile information for the requesting entity;

creating a profile ticket comprising the profile information;

forwarding the profile ticket to a policy engine server;

using the profile ticket to generate at least one request specific policy;

evaluating the request for access against the request specific policy to generate an access decision; and

granting access to the requesting entity at the point of access in accordance with the access decision.

26. The method of claim 25, wherein the step of gathering profile information comprises using interface devices located at the point of access to obtain the profile information.

27. The method of claim 25, wherein the step of creating the profile ticket comprises creating the profile ticket at a field panel within the physical access system.

28. The method of claim 25, further comprising reviewing the profile information contained in the profile ticket and gathering additional information.

29. The method of claim 28, wherein the additional information comprises threat condition, time of day, day of week, date, holiday status, existence of classified meetings or combinations thereof.

30. The method of claim 28, wherein the step of using the profile ticket to generate at least one request specific policy further comprises matching the profile information and the additional gathered information to a pre-defined policy.

31. The method of claim 30, wherein the step of matching the profile information further comprises matching the profile information and gathered information to at least one policy from a list of pre-defined policies.

32. The method of claim 25, further comprising determining if additional data are needed to evaluate the request for access against the identified policy.

33. The method of claim 32, further comprising:

identifying additional data needed to perform the evaluation;

creating a list of tasks sufficient to obtain the additional data;

adding the list of tasks to the profile ticket to create a task request ticket;

forwarding the task request ticket to at least one field panel within the physical access system;

obtaining the additional data using the list of tasks;

adding the obtained additional data to the task request ticket to create an updated profile ticket; and

forwarding the updated profile ticket to the policy engine server.

34. The method of claim 33, wherein the step of evaluating the request for access further comprises using the additional data to evaluate the request for access against the request specific policy to generate an access decision.

37. The method of claim 25, further comprising adding the access decision to the profile ticket to create an access decision ticket and forwarding the access decision ticket to one or more field panels within the physical access system.

38. The method of claim 25, wherein the step of granting access to the requesting entity at the point of access in accordance with the access decision further comprises using a field panel within the physical access system to grant access in accordance with the access decision.

35. The method of calm 25, wherein the step of evaluating the request further comprises identifying one or more actions to be taken at the point of access.

36. The method of claim 35, wherein the action to be taken comprises granting access, denying access, providing feedback to the requesting entity, notifying a third party, securing the point of access or combinations thereof.