Page 1 of 10
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`Unified Patents Exhibit 1009
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`U.S. Patent
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`Jan. 4,2000
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`Sheet 1 of4
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`6,012,145
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`0000000000000000000000000000002200 |
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`]|][|[|[l|]l][||]l][l|][l[l|][l|]|][l[l|]|]|][||][J|]|]|][||][l[|[lfl
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`Page 2 of 10
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`Page 2 of 10
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`U.S. Patent
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`Jan. 4,2000
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`Sheet 2 of4
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`6,012,145
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`, _ _ _ _ _ . . _ _ . . _ . . . . _ _ . . _ _ _ _ _ . _ _ _ _ _ _ _ _ _l
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`SPINDLE MOTOR
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`VCM
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` FUNCTION
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`PRE-AMPLIFIER
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`DATA CHANNEL
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`MIXED SIGNAL ASIC
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`MICRO-PRO(ESSOR
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`FLASH EEPROM
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`INTERFACE
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`MOTOR CMDRIVE (DNTRDLLER
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`INTERFACE PCMCIA
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`IEO ELASTOMERIC common
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`lij 68 WAY CONNECTOR
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`Page 3 of 10
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`FIG. 3.
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`Page 3 of 10
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`U.S. Patent
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`Jan. 4,2000
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`Sheet 3 of4
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`6,012,145
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`PASSWORD PROTECTION EXAMPLE
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`THE USER REQUIRES TO SET THE HARD DISK INTO NO DATA PROTECTION MODE
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`THE USER RUNS A PASSWORD PROTECTION UTILITY PROGRAM
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`THE UTILITY PROGRAM DISPLAYS A MENU OF OPTIONS:
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`N — NO DATA PROTECTION
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`P - PARTIAL DATA PROTECTION
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`E - FULL DATA PROTECTION
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`L - CHANGE LOW-LEVEL PASSWORD
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`Ig - ‘SHATNGE MASTER-KEY PASSWORD
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`THE USER SELECTS THE NO DATA PROTECTION OPTION ‘N’
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`THE UTILITY D|SPLAYS:-
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`NO DATA PROTECTION OPTION SELECTED - ENTER PASSWORD:-
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`THE USER ENTERS THE PASSWORD
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`THE UTILITY EXECUTES THE NO DATA PROTECTION MODE COMMAND
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`THE DRIVE IS NOW IN NO DATA PROTECTION MODE
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`THE USER EXITS THE UTILITY BY SELECTING THE QUIT OPTION
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`TTHE OTHER COMMANDS ARE EXECUTED IN A SIMILAR FASHION EXCEPT THAT
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`CHANGING THE PASSWORDS OPTIONS WOULD PROMPT THE USER FOR BOTH THE
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`OLD AND THE NEW PASSWORDS.
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`H6. 4.
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`Page 4 of 10
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`Page 4 of 10
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`U.S. Patent
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`Jan. 4,2000
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`Sheet 4 of4
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`6,012,145
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`PASSWORD PROTECTION HARD DRIVE COMMAND HANDLING SEQUENCE
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`THE DRIVE RECEIVES A DATA PROTECTION COMMAND
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`PASSWORD DATA IS SENT TO THE DRIVE
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`THE MICROPROCESSOR COMPARES EACH OF THE I28
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`BYTES OF PASSWORD WITH THAT STORED IN THE FLASH ROM
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`YES
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`I28 BYTES OF NEW PASSWORD DATA IS SENT TO THE
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`DRIVE AND IS TEMPORARILY STORED IN RAM
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`THE NEW PASSWORD IS WRITTEN TO FLASH ROM
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`I
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`THE WRITE AND READ INHIBIT FLAGS IN ONE OF
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`THE M|CROPROCESSOR’S REGISTERS ARE SET
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`THE WRITE AND READ INHIBIT FLAGS HELD IN ONE OF THE
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`M|CROPROCESSOR’S REGISTERS ARE SET ACCORDING TO
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`THE DATA PROTECTION COMMAND SENT
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`THE DRIVE ENTERS A LOCK UP MODE ONLY
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`RECOVERABLE BY A POWER ON RESET
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`H6. 5.
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`Page 5 of 10
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`Page 5 of 10
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`SECURITY SYSTEM FOR HARD DISK
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`6,012,145
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`password is stored), on the disk drive electronics board, so
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`that the main part of the security system is largely contained
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`in the portable disk drive itself. In one possible form of the
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`invention though the utility software may be formed and
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`arranged to read in a computer system identification number
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`(the BIOS Serial No) and use this as a “user input” password
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`to be compared against a stored password so that the drive
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`is “protected” for automatic access only (possibly subject to
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`use of a master password) from a particular computer.
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`The user may advantageously have the option of setting
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`two or more different levels of security required, such as “no
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`protection”, “read only” or “full protection”.
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`In “no protection” mode the drive password defaults to a
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`free access condition. In “read only” mode, files can be read
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`but not altered and new files may not be added to the drive.
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`In “no access” mode the drive will not allow any access.
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`A Master Password is desirably provided which is stored
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`in a different location in the flash memory. This can only be
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`used by suitable authorised personnel to over-ride any user
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`selected password, for example in the event of a regular
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`password being forgotten. The Master Password could be set
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`during the manufacture of the drive, but more conveniently
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`is set by a purchaser of the disk drive.
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`The system advantageously has means which prevent the
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`use of special computer programs to decode the password
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`and thereby gain access to the protected files so that if an
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`illegal password is attempted, the drive “hangs” and requires
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`a power-on reset before the password can be re-entered.
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`Preferably, said first memory means is a non-volatile
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`read-only-memory (ROM). Where a volatile memory is
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`used then the system should of course be provided with
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`power supply means or at
`least back-up power supply
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`means, though this is generally less convenient. Preferably,
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`said second memory means is a random access memory.
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`Conveniently, said comparison means is a microprocessor
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`which is formed and arranged to fetch a code corresponding
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`to said stored password from the first memory, fetch a code
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`corresponding to the “user-entered” password, and store the
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`codes in first and second registers, and then compare the
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`contents of the registers and only if there is a valid match,
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`access to the disk drive is permitted. Advantageously the
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`microprocessor is further formed and arranged so that if
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`there is no valid match then the drive “hangs” and requires
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`a power-on reset before a new password is entered.
`The first memory (e.g. non-volatile ROM), second
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`memory (e.g.
`random access memory) and comparison
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`means (e. g. microprocessor) are all conveniently provided in
`solid state device means on a printed circuit board used for
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`controlling the disk drive (e.g. a PCMCIA Type III hard disk
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`According to a second aspect of the present invention,
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`there is provided a method of controlling access to a portable
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`hard disk drive comprising the steps of:
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`storing a first password in a first, usually non-volatile
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`memory;
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`storing a user-entered password in a second memory;
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`comparing the first password with the user-entered pass-
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`word; and
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`if a valid match is found, allowing the user access to the
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`disk drive.
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`Preferably, the method includes the step of allowing the
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`user selectively to access one of a plurality of different
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`protection levels by entering a code corresponding to the
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`protection level together with the password.
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`Preferably also, the method includes the step of altering
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`the password stored in the non-volatile memory by entering
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`a code corresponding to a password change, together with
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`10
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`invention relates to a security system
`The present
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`intended for the protection of information recorded on
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`miniature portable hard disk drives for use typically in small
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`portable computers.
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`The advent of the PCMCIA interface and accompanying
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`plug-compatible memory products means that truly portable
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`mass storage devices will soon become commonplace and
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`easily interchangeable between computer systems and simi-
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`lar devices.
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`The need for protection of confidential data files is of
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`prime importance in these small disk drives as they can
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`easily be lost or stolen and thus become available to unau-
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`thorised users. A method of protection and the protection
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`apparatus must exist in the drive itself to ensure that it is
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`secure wherever it is plugged in and run.
`Current methods of file protection such as those included
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`within application software or those using separate utility
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`software packages are not particularly suited to portable
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`devices as they can either be easily decoded by someone
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`skilled in the art or form part of the host system memory.
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`A first object of the present invention is to provide a
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`method of securing the files on a hard disk drive by means
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`of user password protection.
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`A second object of the present invention is to provide a
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`system and method of securing the files on a hard disk drive
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`for “read only” operation.
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`A third object of the present invention is to provide a
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`method of securing the files on a hard disk drive such that
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`“no access” is permitted.
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`A fourth object of the present invention is to provide a
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`method of providing a Master Key password for authorised
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`secondary access in the event that the user password is lost.
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`A fifth object of the present invention is to provide a
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`method of protecting the password from discovery by enci-
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`phering software programs.
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`Asixth object of the invention is to provide a system and
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`apparatus to enable the method to be implemented.
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`In accordance with the present invention there is pro-
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`vided a memory and comparison means with a special utility
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`program to enable the owner or user of a hard disk drive to
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`protect the data files by setting an access password.
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`According to a first aspect of the present invention there
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`is provided a security system for a portable hard disk drive,
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`said system comprising:
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`first memory means for storing a password for allowing a
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`user to have access to information on the disk;
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`second memory means for storing a user-entered pass-
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`word; and
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`comparison means coupled to said first memory means
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`and to said second memory means for comparing the
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`stored password with the user-entered password and for
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`permitting access to information on the disk if the
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`passwords match and preventing access when there is
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`no match.
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`The password is conveniently stored in flash or other solid
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`state non-volatile memory on the disk drive electronics
`board and it controls unauthorised access of the drive
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`depending on the level of protection selected. Code used to
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`interact with an utility program which is run on a commuter
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`in which the disk drive is being used in order to provide a
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`reasonably user-friendly interface for entry and/or amend-
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`ment of passwords, setting of protection mode etc, is also
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`conveniently stored in flash or other solid state memory
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`(which may be the same device as that
`in which the
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`Page 6 of 10
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`6,012,145
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`4
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`a) No data protection (write and read access permitted);
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`b) Partial data protection (read access only permitted);
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`c) Full data protection (no data access permitted);
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`d) Low-level password alteration; and
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`e) Master key password alteration.
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`It will be appreciated that the passwords are entered from
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`the keyboard of a computer in which the disk drive has been
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`installed, via a menu-driven utility. The low-level and mas-
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`ter key passwords each consist of a 127 bytes of data (the
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`128th byte being conveniently used to set a flag indicating
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`current access mode whereby this can be “remembered” by
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`the system for a subsequent access). The low-level password
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`default is all ‘FFh’s which serves as the only means of
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`permanently disabling the drive’s Data Protection system.
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`Master key Password support is also provided as a means for
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`over-riding the Low-Level Password.
`Once a valid Low-Level Password has been set (i.e. at
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`least one of its 127 bytes is non FFh) the drive will default
`on a subsequent power up to Full Data Protection Mode.
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`In the preferred embodiment of the invention, as noted
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`above, re-powering up is arranged to restore the protection
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`mode last set. This is particularly useful where for example
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`it is desired to provide read-only access to one or more users
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`who are not password holders to allow such users readily to
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`access data whilst preventing any unauthorized tampering
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`with the data—for example, where portable hard disk drives
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`are used to supply spare part, product and/or pricing data
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`which requires to be updated more or less frequently,
`to
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`service centres, supermarkets or the like which use comput-
`erized files, manufacturers etc.
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`The particular protection levels are as follows:
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`a) No Data Protection Mode
`This function allows the drive to operate in a mode where
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`both Write and Read operations are permissible.
`It
`is
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`executed internally under the control of the microprocessor
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`IC4 via the following sequence:
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`Set the Sector Count Register to
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`Set the Sector Number Register to
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`Set the Cylinder Low Register to
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`Set the Cylinder High Register to
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`Set the Drive/Head Register to
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`Set the Command Register to
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`93h
`42h
`69h
`26h
`00h (No data
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`protection
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`function)
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`82h (Data
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`protection
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`command)Wait
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`until the Status Register has Busy (Bit 7) = 0 and DRQ
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`(Bit 3) = 1 Password loop:
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`Wait until the Drive/Head Register Bits 0—3=Fh
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`Set the Sector Count Register with the first (or next)
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`Password byte
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`Set the Drive/Head Register to 00h
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`Repeat Password loop until all 127 bytes of the Password
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`have been transferred.
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`Wait for the Status Register DRQ (Bit3)=0 An Interrupt
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`shall also be generated by the drive upon command comple-
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`tion.
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`Read and Write Data access of the drive shall now be
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`permitted. The above is best seen with reference to the
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`flowchart in FIGS. 4 and 5 of the drawings. Similar flow-
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`charts are used for protection levels b) and c) and the
`flowchart in FIG. 5 is also applicable to password changing
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`as will be described.
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`b) Partial Data Protection Mode
`This function is implemented in exactly the same way as
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`that of the No Data Protection Mode with the exception of
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`3
`the existing password stored in said volatile memory and the
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`new password to be stored, so that said new password
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`replaces said existing password.
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`Conveniently, said codes corresponding to different levels
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`of data protection and said passwords are entered from a
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`keyboard of a computer in which the disk drive has been
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`installed via a software utility run on that computer.
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`According to another aspect of the present
`invention,
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`there is provided a circuit board for use with a portable disk
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`drive for controlling access to information on the disk, said
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`circuit board comprising disk drive control means for con-
`trolling the rotation of the disk and for writing and reading
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`information to and from the disk, first memory means
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`disposed on said circuit board for storing first password for
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`allowing a user access to the disk, second memory means
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`disposed on the circuit board for storing a password entered
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`by a user, comparison means mounted on the circuit board
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`and coupled to the first and to the second memory means for
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`comparing the stored first password with the user-entered
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`password and for generating an access control signal to
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`allow the user access to the disk if a valid match is found and
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`to prohibit access if there is no match.
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`These and other aspects of the invention will become
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`apparent from the following description when taken in
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`combination with the accompanying drawings in which:
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`FIGS. 1 and 2 are top and bottom views of a PCB layout
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`for a PCMCIA type III disk drive;
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`FIG. 3 is a circuit block diagram representing the elec-
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`tronic circuitry shown in FIGS. 1 and 2
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`FIG. 4 is a flowchart of the sequence of operation which
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`takes place when a user requires to set a hard disk into ‘No
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`Data Protection Model’; and
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`FIG. 5 is a flowchart of the sequence of operations which
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`takes place when the disk drive receives a ‘Data Protection
`Command’.
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`Reference is first made to FIGS. 1 and 2 of the drawings
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`which depict a printed circuit board generally indicated by
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`reference numeral 10 which has a plurality of electronic
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`components (IC2—IC9) thereon, as indicated in FIG. 1, and
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`which has a central aperture 12 for receiving the protruding
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`flange of a spindle motor (not shown in the interests of
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`clarity).
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`The general principles of operation of a PCMCIA disk
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`drive are well known and will not be discussed further, as
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`these are disclosed in applicants’ copending U.K. Applica-
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`tion No. 9224176.9 and corresponding patent publication
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`No. WO94/11877. As can be seen from FIGS. 1, 2 and 3, IC5
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`is a non-volatile flash EPROM (e.g. ATMEL AT29C512
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`(64K bytes) in a 32 pin TSOP package) constituting a first
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`memory means. Auser-defined password is stored in IC5. A
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`software utility is run on the computer for setting the
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`password and subsequent entry and/or editing of the pass-
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`word for access to the drive data. The user’s password is
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`stored in IC7 STATIC RAM (e.g. Sony CXK5827ATM
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`(32K bytes) in a 28 pin TSOP package).
`The code for interacting with the software utility is also
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`stored in the flash EEPROM IC5 and is read into the DSP
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`RAM in the disk drive microprocessor IC4 (preferably a
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`Zilog 286C95 in 100 pin VQFP package) prior to rewriting
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`a new password in the DSP RAM.
`As described above there are various levels of data
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`protection which can be implemented with this system. A
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`vendor unique interface command 82h is used to control the
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`data protection mechanism in the drive. This is transparent
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`to the user: it is not menu driven, and software recognises the
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`input code (a to c) to determine the level of protection
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`required. Five different levels of protection are provided as
`follows:
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`10
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`15
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`20
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`25
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`30
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`35
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`40
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`45
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`50
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`55
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`60
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`65
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`Page 7 of 10
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`Page 7 of 10
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`

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`6,012,145
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`5
`the Drive/Head Register being set to 01h prior to setting the
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`Command Register.
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`Once the command is completed, Read Data access only
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`shall be permitted. Attempts at sending write commands
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`shall result in Aborted Command Errors.
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`c) Full Data Protection Mode
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`This function is implemented in exactly the same way as
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`that of the No Data Protection Mode with the exception of
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`the Drive/Head Register being set to 02h prior to setting the
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`Command Register.
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`Once the command is completed, No Data access shall be
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`permitted. Attempts at sending Write or Read commands
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`shall result in Aborted Command Errors.
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`d) Low-Level Password Alteration
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`The Low-Level Data Protection Password can be changed
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`by sending the old Low-Level Password along with the new
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`one in the following command sequence:
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`Set the Sector Count Register to
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`Set the Sector Number Register to
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`Set the Cylinder Low Register to
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`Set the Cylinder High Register to
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`Set the Drive/Head Register to
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`(Password Alteration Function)
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`Set the Command Register to
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`(Data Protection Command)
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`93 h
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`42 h
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`69 h
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`26 h
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`03 h
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`82 h
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`Wait until the Status Register has Busy (bit 7)=0 and DRQ
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`(bit 3)=1
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`Password_loop_1:
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`Wait until the Drive/Head Register Bits 0—3=Fh
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`Set the Sector Count Register with the first (or next) Old
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`Password byte
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`Set the Drive/Head Register to 00h
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`Repeat Password_loop_1 until all 128 bytes of the Old
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`Password have been transferred.
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`Wait for the Status Register DRQ (bit 3)=0
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`Password,loop,2:
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`Wait until the Drive/Head Register Bits 0—3=Fh
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`Set the Sector Count Register with the first (or next) New
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`Password byte
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`Set the Drive/Head Register to 00h
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`Repeat Password_loop_2 until all 127 bytes of the Old
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`Password have been transferred.
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`Wait until the Sector Count Register=01h.
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`An Interrupt shall also be generated by the drive upon
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`command completion.
`
`
`e) Master Key Password Alteration
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`The Master Key Protection Password can be changed by
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`sending the old Master Key Password along with the new
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`one in a sequence identical to that of altering the Low-Level
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`Password with the exception of setting the Drive/Head
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`Register to 04h prior to writing the Command Register.
`The setting of a new Master Key Password ordinarily has
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`no effect on the existing Low-Level Password. However,
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`knowledge and unplementatin of the Master Key Password
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`allows a user to change a Low-Level Password. This pro-
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`vides a means for recovering a drive whereby data protec-
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`tion has been invoked but the password has been forgotten.
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`The intention of implementing the Master Key option is for
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`use by restricted personnel only.
`Any incorrect attempt at executing a Data Protection
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`Command Function shall result in the drive being disabled
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`where only a power-on reset shall re-enable the interface.
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`This prevents the use of a systematic ‘Guess-the-Password-
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`Utility’ being used which sends an incrementing password to
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`the drive until it gets it correct.
`It will be understood that various modifications may be
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`made to the invention hereinbefore described without
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`6
`departing from the scope of the invention. For example, one
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`or more of the memory chips may be combined with the
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`microprocessor in a single chip instead of separate chips as
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`disclosed in the embodiment. The system is applicable to all
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`sizes of portable hard disk drive, not necessarily PCMCIA
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`type interfaces.
`Aprincipal advantage of the invention is that the security
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`system is actually present in the disk drive itself. This means
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`that both the hardware and software is present so that if the
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`disk drive is moved between different machines, the security
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`system will remain in place. A further advantage is that the
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`security system is readily implemented on the disk drive
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`PCB using the existing chip already necessary to control the
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`operation of the disk drive. In addition, the control software
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`is readily loaded into the disk drive circuit.
`Afurther advantage is that various levels of protection can
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`be readily set and passwords can be undated to reflect a
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`variety of changing circumstances.
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`We claim:
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`1. A security system for a portable hard disk drive, the
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`system comprising:
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`first, non-volatile, memory means (IC5) within the disk
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`drive comprising memory for storing a first password;
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`second memory means (IC7) within the disk drive for
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`transiently storing a second password which may be
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`entered by a user after powering-up of the disk drive in
`a computer; and
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`comparison means (IC4) coupled to said first memory
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`means and to said second memory means for compar-
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`ing the stored first password with the second password,
`characterized in that:
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`software utility program means is provided externally of
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`the disk drive for running on a computer in which the
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`disk drive is used; and
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`said first, non-volatile, memory means (IC5) within the
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`disk drive also includes memory for storing software
`code for:
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`(a) interacting with the software utility program means so
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`as to enable the disk drive to be set by a user, in a
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`chosen one of at least two disk protection modes from
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`which the user may choose, in which the set mode of
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`the disk drive is retained after powering off and
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`re-powering up such that the drive is usable in the same
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`set mode following re-powering up without having to
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`input a password to the drive, said at least two disk
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`protection modes being selected from:
`a full data protection mode in which a user is prohibited
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`from reading data from, and writing data to, a disk
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`means of the disk drive,
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`a partial data protection mode in which a user is prohib-
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`ited from writing data to and is permitted only to read
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`data from the disk means, and
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`a no data protection mode in which a user is permitted to
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`read data from, and write data to, the disk means;
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`provided that one of said at
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`two selected disk
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`protection modes is the partial data protection mode;
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`(b) controlling the disk drive when it has been set in the
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`partial data protection mode so as to allow it to be used
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`for reading only, without said software utility program
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`means and without password entry after powering off
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`and re-powering up, said comparison means (IC4)
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`operating, when the disk drive has been set in one of the
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`full and partial data protection modes and the user
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`enters the second password, to: permit a user to obtain
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`Page 8 of 10
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`8
`5. Asystem or a circuit board according to claim 4, which
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`includes an EEPROM, which EEPROM requires a voltage
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`to both write data to and erase data from the EEPROM,
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`which voltage is in the range from 4.5 to 5.5 volts so that
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`data can be erased from the EEPROM by a microcontroller.
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`6. A system or a circuit board according to claim 1 or 2,
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`wherein the second memory means is random access
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`memory
`7. A system or a circuit board according to claim 1 or 2,
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`wherein the comparison means is a microprocessor arranged
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`to fetch a code corresponding to said first password from the
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`first memory means and to fetch a code corresponding to the
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`second password from the second memory means and to
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`store these codes in first and second registers prior to
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`carrying out said comparison.
`8. A system or a circuit board according to claim 1 or 2
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`which includes means for disabling the portable disk drive
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`in the event that the second password does not match the first
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`password so that a power-on reset is required before a new
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`password can be entered by the user.
`9. A system or a circuit board according to claim 1 or 2,
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`wherein the first memory means comprises two solid state
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`memory devices, one device being arranged to store said
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`first password and the other device being arranged to store
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`said software code.
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`10. A system, or a circuit board according to claim 1 or 2,
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`wherein the first memory means is arranged to store a
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`further, master key, password which, if successfully matched
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`by a user-entered password, enables a user to obtain full
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`access to the disk means, thus over-riding said first pass-
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`word.
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`11. A system or circuit board according to claim 10,
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`wherein said comparison means is arranged to compare said
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`second password with each of said stored first password and
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`further, master key, password and to permit the user to obtain
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`full access to the disk means if the second password matches
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`either one of the stored passwords.
`12. Amethod of controlling access to a portable hard disk
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`drive