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`PATENT
`a ——2)
`Imation Corp.
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`Docket No
`=P PO Box 64898
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`10179US01
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`St. Paul, Minnesota 55164-0898
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`651/704-5516
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`2 SS?
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`Transmittal of Patent Application - Rule 1.53(b)
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`Assistant Commissioner for Patents
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`Box: Patent Application
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`Washington, D.C. 20231
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`Inventor(s):
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`Title:
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`Jeffrey A. Morgan, C. Thomas Jennings, Larold L. Olson, Luiz S.
`Pires, and Daniel P. Stubbs
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`COMPUTING ENVIRONMENT HAVING SECURE STORAGE DEVICE
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`Enclosed is the above-mentioned new patent application.
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`Informal drawings.
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`—] Enclosed is an executed declaration or oath.
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`EX] Enclosed are an application assignmentto Imation Corp. and a completed
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`Assignment Recordation Cover Sheet.
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`(0 Enclosedis
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`The fee for filing the application is computed as follows:
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`Please charge to Deposit Account 09-0069 any fees under 37 CFR 1.16 and 1.17
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`which maybe required to file and during the entire pendencyofthis application. This
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`authorization includes the fee for any extension of time under 37 CFR 1.136(a) that
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`may be necessary. To the extent any such extension should become necessary it is
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`hereby requested. A duplicate for fee processing is enclosed.
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`Enclosed is a return receipt postcard
`Telephone Number
`Registration Number
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`651/704-3604
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`Print Name
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`Eric D. Levinson
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`Certificate of Express Mailing
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`Pursuant to 37 CFR 1.10 | certify that this application is being deposited on the date
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`indicated below with the United States Postal Service “Express Mail Post Office to
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`Addressee” service addressed to: Assistant Commissioner for Patents, Washington, D.C.
`20231.
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`Express Mail Mailing Label No. ‘GnatureofPayof Perso Mal plication
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`EL328557004US
`Decembe, IiS, 19 i
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`Date of Deposit
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`Form gq \e\nipcirmstApp Trans-1-a5 Original dot Rev 12/01/97
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`Page 1 of 170
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`Unified Patents Exhibit 1003
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`(8)
`Number Filed
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`$760.
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`-20 =
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`Independent
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`Unified Patents Exhibit 1003
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`PATENT DOCKETNO.10179US01
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`COMPUTING ENVIRONMENT HAVING SECURE STORAGE DEVICE
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`Technical Field
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`This invention relates generally to the field of data storage devices, and more
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`particularly to a computer that automatically operates in a full-access data storage
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`mode when the computer senses the use of a secure storage device.
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`Background
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`There are many challenges to creating a highly secure computing environment
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`including preventing eavesdroppers from accessing private communications,
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`preventing vandals from tampering with information while in transit from sender to
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`receiver, authenticating users logging into a network, verifying a network serveris
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`indeed the serverit professes to be and safeguarding confidential documents from
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`Oneof the greatest challenges, however, is preventing the authorized user
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`from using sensitive data in an unauthorized manner. For example, with
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`conventional security measuresit is very difficult to prevent an authorized user from
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`appropriating sensitive data by simply copying the sensitive data to a removable
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`storage device such as floppy diskette. For these reasons, and for other reasons
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`stated below which will become apparent to those skilled in the art upon reading and
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`understanding the present specification, there is a need in the art for an improved
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`Summary
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`According to the invention, the above-mentioned problemsare addressed by
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`a secure computing environment in which a computer automatically operates in a
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`secure “full-access” data storage mode when the computerdetects the presence of a
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`secure removable storage device. If the computer senses 2 non-secure removable
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`storage device then the computer automatically operates in a ”restricted-access”
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`In the secure full-access mode, storage management software uses a
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`cryptographic key to encrypt and decrypt the data stream between the computer and
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`the removable storage device. Depending upontheselected security level, the
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`information derived of the removable storage device, (2) manufacturing information
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`that has been etched onto the storage device, (3) drive-specific information, such as
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`drive calibration parameters, retrieved from the storage drive, and (4) user-specific
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`a fingerprint scan orretina scan.
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`In addition, the present invention facilitates the use of a secure storage device
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`as a secure “access card” by whichthe user gains accessto sensitive data of the
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`organization. Morespecifically, the user is permitted to access sensitive data stored
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`whenthe computeris operatingin full-access data storage mode.
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`In the restricted-access mode, however, the computer operates the storage
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`storage device but cannot write data to the drive. Alternatively, the user can access
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`only non-sensitive data within the organization and maybe allowed to write the non-
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`sensitive data to the removable storage device in an unencrypted format.
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`Brief Description of the Drawings
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`Figure 1 is a block diagram of a computer that automatically operates in a
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`secure data storage mode whena secure storage deviceis detected;
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`Figure 2 is a flow chart illustrating one embodiment of a method by which a
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`software application executing on the computer of Figure 1 determines whether to
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`Figures 3A and 3Billustrate one embodiment in which the storage device of
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`Figure 1 is an LS-120 SuperDisk™ diskette from Imation Corporation; and
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`Figure4 illustrates a layout for storing data on a disc-shaped magnetic
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`medium within the Imation SuperDisk.
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`Detailed Description
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`The following sections describe in detail how the present invention addresses
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`the problemsoutlined above. In the following detailed description, references are
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`madeto the accompanying drawings thatillustrate specific embodiments in which the
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`invention may be practiced.
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`System Level Overview
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`Figure 1 illustrates a block diagram of a computer 100 that automatically
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`Operates in a secure data storage mode when the computer 100 senses that storage
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`device 151 is a secure storage device. As shownin Figure 1, the computer 100
`includes a processor 112 that in one embodiment belongs to the PENTIUM® family
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`of microprocessors manufactured by the Intel Corporation of Santa Clara, California.
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`However, it should be understood that the invention can be implemented on
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`microprocessorsfrom the Silicon Graphics Corporation, the POWERPC®family of
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`microprocessors from both the Motorola Corporation and the IBM Corporation, the
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`Packard Company, the SPARC®family of microprocessors from the Sun
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`Microsystems Corporation, or the ALPHA® family of microprocessorsfrom the
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`Compaq Computer Corporation. Computer 100 represents any server, personal
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`computer, laptop or even a battery-powered, pocket-sized, mobile computer known
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`Computer 100 includes system memory 113 (including read only memory
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`(ROM) 114 and random access memory (RAM) 115), which is connected to the
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`processor 112 by a system data/address bus 116. ROM 114 represents any device
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`memory (EEPROM),flash memory, etc. RAM 115 represents any random access
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`memory such as Synchronous Dynamic Random Access Memory.
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`Within the computer 100, input/output bus 118 is connected to the data/address
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`bus 116 via bus controller 119.
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`input/output bus 118 is
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`implemented as a standard Peripheral Component Interconnect (PCI) bus. The bus
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`controller 119 examines all signals from the processor 112 to route the signals to the
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`appropriate bus. Signals between the processor 112 and the system memory 113 are
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`merely passed through the bus controller 119. However, signals from the processor 112
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`intended for devices other than system memory 113 are routed onto the input/output bus
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`118. Video display 124 or other kind of display is connected to the input/output bus
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`118 via a video adapter 125.
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`disk drive 120 and one or more removable media drives 12] that are used to access one
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`or more removable storage devices 151. Each storage device 151 represents a
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`removable device having a storage medium for holding digital information such as a
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`floppy diskette, a magneto-optical storage device, an optical disk, a SuperDisk™
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`diskette, a Zip™disk, a Jazz™disk, a tape cartridge, etc. Each removable media drive
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`121 represents a device suitable for servicing access requests for storage device 151
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`such as a floppy drive, a magneto-optical drive, a CD-ROM drive, a SuperDisk™drive,
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`a removable-cartridge drive such as a Zip™drive, or even a tape drive.
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`A user enters commands and information into the computer 100 by using a
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`keyboard 40 and/or pointing device, such as a mouse 42, which are connected to bus
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`118 via input/output ports 128. Other types of pointing devices (not shown in Figure 1)
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`include track pads, track bails, joy sticks, data gloves, head trackers, and other devices
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`suitable for positioning a cursor on the video display 124.
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`Software applications 136 and data are typically stored via one of the storage
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`devices, which mayinclude the hard disk 120 or storage devices 151, and are copied to
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`RAM 115 for execution.
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`In one embodiment, however, software applications 136 are
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`stored in ROM 114 andare copied to RAM 115 for execution or are executed directly
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`from ROM 114.
`In general, the operating system 135 executes software applications 136 and
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`carries out instructions issued by the user. For example, when the user wants to load
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`a software application 136, the operating system 135 interprets the instruction and
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`causes the processor 112 to load software application 136 into RAM 115 from either
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`the hard disk 120 or a storage device 151. Once software application 136 is loaded into
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`it can be used by the processor 112. In case of large software
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`applications 136, processor 112 loads various portions of program modules into RAM
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`115 as needed.
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`The Basic Input/Output System (BIOS) 117 for the computer 100 is stored in
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`ROM 114 andis loaded into RAM 115 upon booting. Those skilled in the art will
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`recognize that
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`the computer 100. Operating system 135 or other software applications 136 use these
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`low-level service routines.
`In one embodiment, computer 100 includesa registry (not shown) whichis a
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`system database that holds configuration information for computer 100. For
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`hidden files, called USER.DAT and SYSTEM.DAT,located on a permanent storage
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`device such as an internal disk.
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`Accordingto the invention, computer 100 automatically operatesin a full-
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`access data storage mode only when the computer 100 detects a secure removable
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`storage device 151 present within any one of the removable media drives 121. In the
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`secure full-access mode, storage management software uses a cryptographic key to
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`encrypt and decrypt the data stream between the computer and the removable
`storage device. Depending uponthe selected security level, the cryptographic key is
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`generated by combining one or more ofthe following:
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`(1) device-specific security
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`information derived from the unique formatinformation of the removable storage
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`device, (2) manufacturing information that has been etched onto the storage device,
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`(3) drive-specific information, such as drive calibration parameters, retrieved from
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`the storage drive, and (4) user-specific information such as a password or biometric
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`information.
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`In order to automatically detect whether a storage device 151 is a secure
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`device, computer 100 determines whether device-specific security information was
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`written to storage device 151. In one embodiment, the device-specific security
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`informationis a function of the low-level format information and, therefore, uniquely
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`identifies the underlying media of storage device 151. For example, in one
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`embodimentthe device-specific security information is a hash of the addresses of the
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`bad sectors for storage device 151. Becauseit is a function of the physical
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`characteristics of the actual storage medium within storage device 151, the format
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`information is inherently unique to each storage device 151. In other words, the
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`addresses of the bad sectors change from device to device.
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`The device-specific security information can be combined with other security
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`informationin order to increase the level of security of computer 100. For example,
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`in another embodiment, the device specific security information can be combined
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`with information that was etched into the storage device 151 via a laser during
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`manufacturing. In yet another embodiment, drive-specific information, such as
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`internal calibration parameters, for one or more of the removable media drives 12]
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`can be used to generate the key. As described below, computer 100 automatically
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`operates in a full-access data storage mode upon detecting the device-specific
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`security information on storage device 151. If the device-specific security
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`information is not detected, then computer 100 operates in a restricted access data
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`storage mode.
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`Methodsof an Exemplary Embodiment of the Invention
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`In the previoussection, a system level overview of various embodiments of
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`the invention was described. In this section, the particular methods performed by the
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`exemplary embodiments are described by reference to a flowchart. The methodsto
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`be performed by the embodiments constitute computer programs madeup of
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`computer-executable instructions.
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`Figure 2 is a flow chart illustrating method 200illustrating in more detail how
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`computer 100 detects the device-specific security information on storage device 151
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`and automatically operates in a full-access data storage mode. Method 200is
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`described in reference to one or more software applications 136 executing on
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`computer 100, referred to hereafter as the storage manager. The storage manager
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`may comprise one or more software applications, device drivers, dynamically-linked
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`library (DLL) oranysuitable combination thereof that managesthe data storage
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`devices of computer 100, including removable media drive 121 andinternal hard disk
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`120.
`In one embodiment, the storage manager performs method 200 anytime a
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`status changeis detected for storage device 151, such as when storage device 15] is
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`inserted into removable media drive 121. In another embodiment, the storage
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`manager performs method 200at the request of a user.
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`Method 200is described in reference to a high secure environment in which a
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`cryptographic key is generated by combiningall of the following: (1) device-specific
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`information ofthe removable storage device, (2) manufacturing information that has
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`been etched onto the storage device, (3) drive-specific information, such as drive
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`calibration parameters, retrieved from the storage drive, and (4) user-specific
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`information such as a password or biometric information.
`In other embodiments,
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`however, variouslevels of security can be achieved by generating the key from a
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`subset of the aboveinputs.
`In block 204,the storage manager detects whether storage device 151 is a
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`“secure” removable device by attempting to read any device-specific security
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`information from storage device 151. In one embodiment, the device-specific
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`security information is a function of the low-level format information and,therefore,
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`uniquely identifies the underlying media of storage device 151. The storage manager
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`proceeds to block 206 whenit successfully detects and reads device-specific security
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`information. If the device-specific security informationis not successfully read, then
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`the storage manager proceeds to block 216 and operates computer 100 ina
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`restricted-access data storage mode asdescribed in detail below.
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`In block 206, the storage managerretrieves drive-specific security
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`information that is specific to removable media drive 121 such asa serial number or
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`calibration parameters, from a non-volatile memory within removable media drive
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`121. Typical calibration parametersthat are suitable for generating the cryptographic
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`key includes configuration parameters for read and write circuitry internal to
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`removable media drive 121, tracking parameters, read channelboost, frequency
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`cutoff values, read threshold values, alignment values, optical alignment correction
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`parameters and analogto digital conversion calibrations. Because these calibration
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`parametersare uniqueto each drive, they are well suited for generating a
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`cryptographic key thatis drive-specific. In one embodiment, the drive-specific
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`information is a hash of the above parametersandis stored in non-volatile memory
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`within removable media drive 121. If the storage manageris unableto retrieve the
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`drive-specific information, the storage manager proceedsto block 216 and operates
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`computer 100 in a restricted-access data storage mode.
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`In block 208, the storage managerretrieves user-specific security information
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`from the computeruser by, for example, prompting the user for a password, or
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`performingaretina orfingerprint scan. If for some reason the storage manager is
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`unable to retrieve the user-specific information from the current user, then the
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`storage managerproceeds to block 216 and operates computer 100in a restricted-
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`access data storage mode.
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`In block 210, the storage manager retrieves manufacturing information that
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`was physically etched on storage device 151 during the manufacturing process. For
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`example, in one embodimenta laser etches a uniqueserial number, run numberor a
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`date stamp on the storage device during manufacturing.
`In another embodiment,
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`however, storage device 151 contains a computerchip for electronically storing a
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`uniqueidentifier. If the storage manageris unable to read the manufacturing-specific
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`security information, then the storage manager proceeds to block 216 and operates
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`computer 100 in a restricted-access data storage mode.
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`In block 212,the storage manager generates a cryptographic key by
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`combining the information, or a portion thereof, that was retrieved in blocks 206
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`through 210. For example, by using the device-specific information retrieved in
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`block 206 and the manufacturing information retrieved in block 210, a highly-secure
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`device-specific cryptographic key can be generated suchthat the data stored on
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`storage device 151 is unreadable if copied to other removable media. Similarly, by
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`incorporating the drive-specific information and the user-specific information in the
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`generation ofthe key, a highly secure computing system is achieved in which data
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`can only be stored on the original storage device from the original storage drive by
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`the authorized user.
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`In one embodiment, in order to generate the cryptographickey, the storage
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`manager combines, such as by concatenating,all or variousportions ofthe
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`information that wasretrieved in blocks 206 through 210 and submits the result to a
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`conventional cryptographic hashing algorithm. For example, the drive-specific
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`information, the manufacturing information, the user information and the storage
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`device-specific information can be combinedand used as input to the cryptographic
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`algorithm. All data written to or read from storage device 151 is encrypted and
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`decrypted, respectively, via the cryptographic key, thereby providing a very high
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`level of security. Thus, in order to access the data on storage device 151, storage
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`device 151 must be anoriginal, secure storage device and mustbe inserted by the
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`original user into storage device 151 that was originally used to write the data. If
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`portionsofall of these inputs are used, then the data on storage device 151,
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`therefore, cannot be accessed via any other drive, either on computer 100 or any
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`other computeror via any other user.
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`Method 200 has been described including blocks 204 through 216. In one
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`embodiment, the storage manager repeats blocks 204 through 216 when a status
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`changeis detected for storage device 151, such as when storage device 151 is
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`removed from removable media drive 121 and a new storage device 151 is inserted.
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`Asdescribed above, upon the completion of method 200, computer 100 operates in a
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`full-access mode ora restricted-access mode as determined by whether the storage
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`managercan successfully retrieve security information from storage device 151,
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`removable mediadrive 121, and the user. Thefollowing sections describe the full-
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`access and restricted-access operating modes.
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`Full-Access and Limited-Access Data Storage Modes ofOperation
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`When computer 100 is operatingin a full-access mode, all data read from
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`storage device 151 is decrypted according to the key generated by the above process.
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`Similarly, all data written to storage device 151 is encrypted using the key. This
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`ensures that any data written to a removable storage device 151 is safely encrypted
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`and cannotbe duplicated.
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`In addition, in full-access mode, computer 100 allowsthe user to accesslocal
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`15
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`area network 51 and remote computer 49. In this manner, the present invention
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`allows storage device 151 to be used as an “access card” by which the user gains
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`access to sensitive data of the organization. In addition, data stored on other storage
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`devices, such as internal hard disk 120, tape cartridges, read/write optical discs, etc.,
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`may actually be encrypted using the unique key generated from the unique format
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`information of key disk 151.
`In this fashion, a user must have a secure storage
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`device 151 in orderto access the data stored on these devices. In this manner, an
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`organization can require thatall authorized users have a secure storage device 151 in
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`order to access data stored within the organization and to store data on any
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`removable media. This data, if copied to another removable media, would be
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`unreadable according to the present invention.
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`Forultra-secure environments, a cryptographic key can be generated from a
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`combination of the unique format informationof a plurality of storage media. For
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`example, in one embodiment, data stored on storage device 151 and hard disk 120
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`may be encrypted using a key derived from the unique formatinformation ofstorage
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`device 151 and from the unique formatinformationof hard disk 120. A
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`cryptographic key is generated by applying one or more cryptographic algorithms to
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`the combination. Because the key is generated from unique information from both
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`storage device 151 and hard disk 120, the user must have storage device 151 in order
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`to access any data stored on hard disk 120.
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`In restricted-access mode, the storage manager configures removable-media
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`drive 121 as a read-only drive such that the user can read data from the removable
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`storage device but cannot write data to the drive. In addition, the user is prevented
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`from accessing non-sensitive data within the organization. For high-security
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`environments, the storage manager prevents both read and write access to storage
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`device 151 when computer 100 is operating in restricted-access mode.
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`In one embodiment, computer 100 is configured to operate in restricted-
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`access mode upon power-up until removable storage device 151 is verified as secure.
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`Here, removable media drives 121 default to read-only operation until otherwise
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`configured via the storage manager. Assuch, the present invention provides a secure
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`computing environment even whentheuser tries to bootdirectly from oneof the
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`removable storage devices 151. During boot process, the storage manager attempts
`to verify that at least one ofthe storage devices 151 contain device-specific security
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`information as described above. The storage manager operates computer 100in
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`restricted-access mode by default until the storage manager has successfully
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`initialized and verified storage devices 151. Upon verification, the storage manager
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`configures computer 100 to operate in a full-access data storage modeandinstructs
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`removable media drives 121 to allow write access to storage devices 151. Onreset,
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`power-up, or even upon removal of one of the storage devices 151, removable media
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`drives 121 automatically return to the restricted-access mode. In addition, the
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`storage manager can detect whenthe user seeksto install a new removable media
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`drive to the system and mayinhibit the drive from being accessed.
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`11
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`Page 12 of 170
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`Page 12 of 170
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`An Exemplary Secure Storage Device
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`Figures 3A and 3Billustrate one embodiment of storage device 151 and how
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