United States Patent
`
`[191
`
`[11] Patent Number:
`
`5,629,981
`
`Nerlikar
`
`[45] Date of Patent:
`
`May 13, 1997
`
`US00562998 IA
`
`[54]
`
`INFORMATION MANAGEMENT AND
`SECURITY SYSTEM
`
`[75]
`
`Inventor: Vlrupax M. Nerlikar. Plano. Tex.
`
`[73] Assignee: Texas Instruments Incorporated,
`Dallas. Tex.
`
`[21] Appl. No.: 283,081
`
`[22] Filed:
`
`Jul. 29, 1994
`
`Wall StreetJournal. WilliamM Bulkeley, “Get ready for the
`‘smart cards’ in health care”, May 1993, one page.
`Wall Street Journal, John .1. Keller, “Bells and whistles turn
`beepers into data receivers”, Sep. 1993 two pages.
`Wall Street Journal, William M. Bulkeley, “Someday, Cards
`May Make Coins Obsolete (smart cards may replace coin
`usage)”, May 1993, one page.
`
`Standard Register, Advertisement—High Tech Document
`Security Video. Jul.—Aug. 1993.
`
`HML 9/00
`Int. Cl.‘
`[51]
`380/25; 380/23; 340/825.34
`[52] US. Cl.
`[58] Field ofsearch .................... 380/23-25; 340/825.34
`
`Primary Examiner—Salvatore Cangialosi
`Attome); Agent, orFirm—Ira S. Matsi1;lames C. Kesterson;
`Richard L. Donaldson
`
`[56]
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`
`3/1986 Dieifns ....................... 380/23
`4,575,621
`9/1987 Wirstmmet al. ......................... 380/23
`4,691,355
`11/1988 Ldbholz et al. .......................... 380/25
`4,783,798
`4/1989 Cargileetal.
`.................... 380/23
`4,819,267
`5,053,774 10/1991
`342/44
`
` 5,153,918 10/1992
`
`5,310,999
`5,319,711
`5,339,073
`5,508,692
`
`5/1994
`6/1994
`8/1994
`4/1996
`
`OTHER PUBLICATIONS
`
`“Software GiantAiming atthe Oflice,” New York Times, Jun.
`8, 1993, p. C1.
`Hardcopy Observer; Published by Lyra Research, ‘Microsoft
`at Work’, vol. III, No. 7, Jul, 1993, pp. 31-39.
`Hanicopy Observer; “Microsoft at Work to go Home?'', vol.
`IV, No. 3, Mar., 1994, p. 9.
`Hanicopy Observer; “Microsoft Gears Up to Supply at Work
`Print Software to OEM", vol. N, No. 2. pp. 30-32.
`Fite, Jr., Franklin. ‘The PC Adopts an Embedded Positio ”,
`Electronic Ehgineering Times, Apr. 25, 1994, p. 46.
`
`[57]
`
`ABSTRACT
`
`A closed loop, (networked) information management and
`security system which provides a secure, end-to—end fully
`automated solution for controlling access,
`transmission,
`manipulation, and auditability of high value information
`comprising an RFID transponder badge 302 and an RF
`reader transceiver 315 which is associated with a host
`
`peripheral or a network. The RF reader transceiver 315
`automatically identifies and verifies authorization of the
`RFID transponder badge holder via a “handshake” pior to
`allowing access to the host pen'pheraL The energy generated
`by the transmission of the interrogation signal from the RF
`reader means 315 provides a pow: source which is accu-
`mulated and then used to activate a transponder 304
`response from the RFID transponder badge 302. The RF
`readu/transceiver 315 writes the access transaction on either
`the RFID transponder badge 302 and/or the host peripheral
`database or the network controller. Alternatively, the RF
`reader means 315 may be associated via network server with
`a LAN, WAN. or MAN. Optionally, an RFID badge 302::
`may be powered by an independent power source such as a
`flatpak battery 314.
`
`42 Claims, 7 Drawing Sheets
`
`MA/couu nus
`
`
`
`'nmm£n' HOST ml/sw
`ADD-011 AND/OR RESIDENI If/I/SW (SOIE ll001Fl(‘ATION)
`
`PLUG-IN BOARDS AND/OR
`PCHCIA CARDS (RFID REAKR. KIM?)
`
`PAGE 1
`
`SECURUS EXHIBIT 1004
`
`PAGE 1
`
`SECURUS EXHIBIT 1004
`
`

`
`U.S. Patent
`
`May 13, 199“?
`
`Sheet 1 of 7
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`5,629,981
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`PAGE 2
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 2 of’?
`
`5,629,981
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`
`

`
`
`U.S. Patent
`
`
`
`May 13, 1997
`
`
`
`
`
`Sheet 3 of 7
`
`
`
`
`5,629,981
`
`
`
`
`
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`M2
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`FIG. 3B \/314
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`‘-\‘~L:R
`
`BADGE
`
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`
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`
`
`PAGE4
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`PAGE 4
`
`

`
`U.S. Patent
`
`5,629,981
`
`AUTHORIZED USER
`ID, DESTINATION(S)
`on RECIPIENT(S)
`IDs
`
`MAX SECURITY
`CLASSIFICATION CODE
`
`TRANSACTION DATE/
`TIME/LOCATION STAMP
`
`AUTHORIZED BROADCAST
`MSG IDs
`
`SECONDARY ID CODE/BIO
`SIGNATURE ADDRESS IN
`SERVER DATABASE
`
`OTHER SENSOR INPUTS
`
`PAYLOAD
`(ACTUAL INFO CONTENT)
`
`CONFIG CONTROL
`
`REVISION CONTROL
`
`ERROR BITS
`
`PRIORITY BITS
`
`ACKNOWLEDGE
`
`omen NEIVIORK CONTROL
`(DBMS UPLINK/DOWNLINK)
`
`FIG. 4
`
`PAGE 5
`
`

`
`U.S. Patent
`
`MULT-USER
`
`NETWORK SERVER
`'
`502
`
`5,629,981
`
`HOST
`PERIPHERAL
`505
`
`READER
`MODULE
`
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`
`EP INTELLIGENT
`CASSETTE
`51 0
`
`REFURBISH EQUIPMENT
`
`EP INTELLIGENT
`CASSETTE
`510
`
`PAGE 6
`
`

`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 5 of 7
`
`5,629,981
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`U.S. Patent
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`May 13, 1997
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`PAGE 8
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`

`
`5,629,981
`
`
`
`
`
`
`1
`INFORMATION MANAGEMENT AND
`
`
`
`SECURITY SYSTEM
`
`
`BACKGROUND OF THE INVENTION
`
`
`
`1. Field of the Invention
`
`
`
`
`
`The present invention relates to a complete, end-to-end,
`
`
`
`
`
`
`
`
`automatic transaction control/monitoring method for
`
`
`
`
`
`transmitting. under variable and high levels of security,
`
`
`
`
`
`
`
`
`high-value business, personal, or Federal/military
`
`
`
`
`
`information, on a real or near real-time basis.
`
`
`
`
`
`
`
`
`2. Related Art
`
`
`
`A “secure document” or “secure information” is any
`
`
`
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`
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`
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`document media (paper, disc, Voice, video, etc.) containing
`
`
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`
`
`
`U.S. classified documents or information (i.e. “confidential,”
`
`
`
`
`
`
`
`“secret,” “top secret.” etc.), business-sensitive, proprietary
`
`
`
`
`
`
`documents or information. highly personal documents or
`
`
`
`
`
`
`
`information, and any document or infonnation where lirn-
`
`
`
`
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`
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`ited and fully controlled/auditable access is desired.
`
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`
`
`
`If an individual wishes to send a secure document via
`
`
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`telefacsimile, for example, the current method of sending
`
`
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`
`
`such a secure document is to call the receiving end and
`
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`somehow make sure by voice communication that the
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`intended, authorized recipient is standing at the other end at
`
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`the receiving telefacsimile. Once the identity and proximity
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`to the receiving telefacsirnile of the intended recipient
`
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`(mainly, via voice familiarity) is verified, the sending indi-
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`vidual sends the document. After sending,
`the intended
`
`
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`recipient provides confirmation to the sending individuals
`
`
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`that the document was printed and received.
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`The same limited security procedure is followed when
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`printing information from an electronic database to a remote
`
`
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`conventional printer or other terminal device.
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`Thus, current hardware and systems involve limited or no
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`automation in handling such secure documents or informa-
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`tion on both a local and network basis. The systems and
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`procedures currently available are mainly “person(s)-in—the-
`loop” systems which require certain labor-intensive actions
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`and a high degree of manual coordination to achieve a
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`limited “secure” operation. The labor-intensive aspect of this
`coordination procedure greatly increases the duration and
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`
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`
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`costs of transmission while it decreases productivity.
`
`
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`
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`Therefore. there is a need in the art to provide a method of
`
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`
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`transmitting secure documents in a way which does not
`
`
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`
`require such labor-intensive manual assistance.
`
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`It is noted that some islands of automation are available,
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`but no end-to-end automation, with full auditability and
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`real-time or near real-time control. Current systems such as
`
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`
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`
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`a secure telephone unit (“STU”) or STU facsimile machines
`
`
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`assure no illegal
`tapping or eavesdropping but do not
`
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`guarantee that the caller, recipient, or group is positively
`identified or is an authorized user or recipient. The positive
`
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`identification and verification of authorization is always
`
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`performed manually. Thus, there is a need for end-to-end
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`automation, with full auditability and real-time or near
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`real-time control of the transmission of secure documents
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`and information.
`
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`A similar problem occurs in handling secure documents
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`and secure information relating to work for various Federal
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`agencies, including, U.S. Department of Defense (DOD).
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`Secure documents and information are often located in a
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`special file cabinet fitted with a piece of securing hardware,
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`e.g., a number lock or combination lock, which is approved
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`by the DOD. Every time the file cabinet is entered, the
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`entering individual must manually enter a myriad of infor-
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`mation into a log such as: which document was used; who
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`PAGE 9
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`2
`handled it; date; time; and what was done with the document
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`(i.e. document was copied; document was sent to another
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`individual at another site). The DOD requires auditing and
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`notification at the end of each month of all the people who
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`handled each secure document. At the very least, the DOD
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`requirements compel manual compilation of all the logs
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`which is extremely tedious and costly.
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`Therefore, there is a need in the art to provide a cost-
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`effective automatic auditing and monitoring capability
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`which also provides electronic time, date and place identi-
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`fication stamps.
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`Further, these specially secured file cabinets are often
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`grouped in secure rooms that have doors secured by special
`locks. Upon entry into the room, an additional log must be
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`maintained to provide notification and accounting to the
`DOD. This additional step also creates additional delay in
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`effective work time and greatly increases costs.
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`Therefore. there is a need in the art to provide a cost-
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`efl’ective automatic room security which mechanizes the
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`room access logs and thereby decreasing costs and increas-
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`ing productivity.
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`Exacerbating the foregoing problems. in order to copy
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`certain secret government documents, only certain “secure”
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`or tempest class copiers may be used so that the copier OPC
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`drum may be cleared after copying and cartridges may be
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`disposed of by only authorized personnel. Before these
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`copies are made, a log sheet must be completed providing
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`the details of the copying of the document. This creates yet
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`another labor-consurning delay that increases costs and
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`decreases productivity. In fact, access logs and usage data
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`are generally maintained manually for secure facilities,
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`information handling equipment, and users.
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`to provide an
`Therefore,
`there is a need in the art
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`automatic information management and security system
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`which eliminates the time inefiiciencies and waste associ-
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`ated With manual logging and tracldng of copies of high-
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`value, secret documents.
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`Underlying the entire system is the fact that it is up to the
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`employees and security personnel to verify whether a par-
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`ticular individual has a secret clearance, badge code number,
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`or some other indicia of authorization and identification.
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`Therefore, to prevent improper access, manual or personal
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`direct intervention is required to verify both authorization
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`and need to know in order to prevent improper and unau-
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`thorized transfer of secure documents. The verification by
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`employees diverts resources from productive activity. The
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`verification by security personnel results in additional salary
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`or expense overhead.
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`Therefore, there is a need in the art to provide a system
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`which greatly reduces the need for manual intervention to
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`prevent unauthorized transfer of secure, proprietary and
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`personal documents.
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`On a related matter, when an individual’ s authorization is
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`revoked and the individual gains unauthorized access to
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`secure documents a security breach occurs. When this
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`security breach is manually detected, it is impossible to
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`infonn all the employees and/or security personnel of the
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`breach in a timely fashion in order to insure manual inter-
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`vention. In a large company, timely notification and com-
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`munication of the changing authorizations of employees is
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`relatively impossible. This is because authorization has
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`traditionally been carried in the form of a color—coded badge
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`or the like. As a result, if the security of a document has been
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`breached by use of an authorization which has been termi-
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`nated or forged, an entire month or more could pass before
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`the monthly DOD audit discovers the security breach.
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`PAGE 9
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`5,629,981
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`4
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`location and revision stamp), creation of a transaction sum-
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`marizing “communication data stream” (e.g., ATM cell,
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`frame) packet, destination ID, additional authentication
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`(e.g., voice signature, biographical identification), send and
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`receive date/time, location stamp, etc. The host computer,
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`network server or network controller maintains this “trans-
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`action” log automatically and dynamically maintains infor-
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`mation authorization, usage, movement, and an upgrade]
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`change log and foils any unauthorized access or tampering
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`and does any real-time reclassification or declassification as
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`required. As such, this is a “transaction” based system that
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`can be enhanced to add fault
`tolerance, redundancy,
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`software-based access control algorithm creation, etc.
`to
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`provide a flexible system.
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`Briefly, in its most generic sense, the present invention
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`comprises a read/write type radio frequency identification
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`(‘‘RFID’’ Radio Frequency, InfraRed or optical) means
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`(transponder) and a radio frequency (transceiver) reader
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`(“RF reader”) means which is associated with a host periph-
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`eral or terminal device wherein the RF reader means pas-
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`sively and automatically identifies and verifies authorization
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`of the RFID means via a “handshake” prior to allowing
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`access to the host peripheral or terminal device or an
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`information network. Preferably, the RF reader means writes
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`the complete transaction via a unique “packet”) on the RFID
`means, and/or the host peripheral or terminal or a network
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`server device. In this fashion, the history of all transactions
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`may be stored on the RFID means and/or host peripheral or
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`terminal device. The present invention may be provided
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`commercially in a “securitization kit” to upgrade existing
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`equipment and information-handling facilities.
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`In a second aspect of the present invention, the RF reader
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`means is embedded, plugged-in, connected or associated
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`with the host peripheral or terminal device. Once a trans-
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`action is completed the RF reader means may record and
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`write the transaction on the RF'l]) means, and/or the host
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`peripheral or terminal device, and/or a server database
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`connected or associated with the terminal device.
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`Optionally, the RFID means may flnther include stored
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`biological data in ROM such as digitized voice signature,
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`retina scan, fingerprints, etc. and other analog sensors
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`(temperature, humidity, pressure, etc.) as well as commer-
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`cially available physical “position” sensors such as Global
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`Positioning System (“GPS”), coastal navigation system
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`(LORAN), or other satellite/magnetic based positioning
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`system. As an added security feature the RFID means may
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`include electronic hardware and/or software encryption
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`means to statically and dynamically “encrypt” the autho-
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`rized user identification code, information destination, trans-
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`action location, time/date, configuration control, and sec-
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`ondary biological user(s) identification.
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`In a third aspect of the invention the RFID means may be
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`coupled with an independent power source such as a battery.
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`The RFID means may comprise an integrated ID, memory
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`storage, and a communications device such as a Personal
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`Computer card (“PC card”) which conforms to standards
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`promulgated by the Personal Computer Memory Card Inter-
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`national Association (“PCMCIA”) having an RF
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`transponder, mass memory, 2-way communication port(s)
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`and input/output data means. Optionally, the RFII) means
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`has encryption device (Integrated Circuit) means to encrypt
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`the output data. In addition, the RFID has unique biographi-
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`cal information patterns in Read Only Memory (ROM) for
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`“static” information and “dynamic” position, time, place,
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`date information.
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`In one preferred embodiment, the RFID means is elec-
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`tronically similar to the “bullet” or flat-pack card disclosed
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`Therefore,
`there is a need in the art to provide an
`automated system for continuously updating comprehensive
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`information about the authorizations of individuals, and to
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`prevent unauthorized access to secure documents at the time
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`access is attempted (real-time control).
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`Transmission of secure information (documents, data,
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`video, etc.) is even more of a concern, given flre planned
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`office integration/automation Systems and Architectures
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`(SW/HW) of the future; a la the ones announced by the
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`Microsoft Corporation (“Microsoft-At-Work”, see FIG. 7),
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`Adobe (‘‘Acrobat’’ for Print Documents). Apple Computer
`(“OCE”), General Magic (“Magic Cap”) etc. covering the
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`emerging multi-media information management systems for
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`oflice and home. For example, the Microsoft Corporation is
`working on a new project currently called “Microsoft at
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`Wor ” which would allow a worker to Write a report and, by
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`tapping a key, have 20 copies of the report printed, copied,
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`and collated on one machine, thereby eliminating the step of
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`having an individual take the report from the printer and take
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`it to a photocopy machine where 20 copies are made. See
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`“Software GiantAiming at the Oflice,” New York Times, Jun.
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`8, 1993, p. Cl. See also, Hardcopy Observer, published by
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`Lyra Research: Vol. 111, Number 7, “Microsoft at Work
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`Oflice,” pp. 31-39 (July 1993); Vol.
`IV, Number 2,
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`“Microsoft-at-Work Software,” p. 30 (February 1994); Vol.
`IV, Number 3, “Microsoft-at-Work For Home Entertainment
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`(SEGA games)”, p. 9 (March 1994). In essence, the systems
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`of the future integrate paper and electronic mediums.
`
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`Therefore,
`there is a need in the art to provide an
`
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`
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`
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`
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`
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`automated information management and sectnity system
`which would be compatible with the present office
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`technology, yet would be compatible with potential inte-
`grated oflice equipment, networks, and architectures of the
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`future.
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`The present invention provides an information manage-
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`ment and security system which overcomes the shortcom-
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`ings of the known systems providing various advantages
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`such as instantaneous, multiple secure access(es) and mini-
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`mizing the total “life-cycle” costs of managing “secure”
`information (from inception to destruction) utilizing present
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`technology while being also compatible with new technol-
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`ogy contemplated for the future. Also provides for transac-
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`tion database services such as archiving, historic usage
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`trends, transaction reporting/abstracting (user-definable) ser-
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`vices.
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`SUMMARY OF THE INVENTION
`
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`It is in View of the above problems that the present
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`invention was developed. The invention is a closed loop
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`information management and security system which pro-
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`vides a secure end-to-end and automated solution for con-
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`trolling access, transmission, manipulation, auditability con-
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`trol of classified, mission-critical, high-value information
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`managed by DOD, National Security Agency, other Federal
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`Agencies, businesses, and individuals respectively.
`The invention has both a generic core or kernel applicable
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`to broad application domains, and a customization scheme
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`(e.g., software, firmware) to support unique user-specific
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`needs. In addition, the basic generic solution kernel of the
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`present invention can be mapped onto existing MIS solu-
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`tions for ease of upgrade or retrofit.
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`The present invention allows information management to
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`be “transaction based.” Each automatic information trans-
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`action is built around a sequence such as a positive caller and
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`recipient handshake and identification (“ID”), information
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`upgrade (write) record, configuration control (date, time,
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`PAGE 10
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`3
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`PAGE 10
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`

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`5,629,981
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`10
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`20
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`25
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`30
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`35
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`5
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`in U.S. Pat. No. 5,053,774 to Schuermann et al., which is
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`hereby incorporated by reference in its entirety.
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`The RF reader means is preferably an RFID reader
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`module which comprises a plug—in PC card having a com-
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`munication antenna. an RF module, a control module, and 5
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`input/out data means. Optionally, the RFID reader means
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`comprise data packetization means, encryption means and
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`bus control means.
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`The invention provides an advantage by minimizing over-
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`all life-cycle-cost to manage high value information from its
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`inception to the end of its usefulness. The invention also
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`provides an advantage by allowing real-time, dynamic clas-
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`sification of information in case of a security breach or
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`authorization changes (levels, users. time, place, etc.).
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`Because the present invention is transaction-based, the
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`invention also has important applications in “pay-per—use”,
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`intelligent electrophotographic toner/development printer
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`cartridges, and ink-jet and thermal transfer cassettes suitable
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`for use in existing and emerging monochrome and color hard
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`copy printing devices such as printers and copiers as well as
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`information transmission/input devices such as telephones,
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`pagers, facsimile machines or telecopiers, modems,
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`scanners, etc.
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`The unique system elements required to facilitate a pay-
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`per-use type transaction record are a transponder, or reader,
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`and external mass memory for transaction data storage in a
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`peripheral network server and/or “ luggable” Integrated
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`Circuit (“IC”) cards commonly referred to in the industry as
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`flash cards or Personal Computer cards (“PC cards”) which
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`conform to standards promulgated by the Personal Com-
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`puter Memory Card International Association (“PCMCIA”).
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`Further features and advantages of the present invention,
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`as well as the structure and operation of various embodi-
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`ments of the present invention, are described in detail below
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`with reference to the accompanying drawings.
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`BRIEF DESCRIPTION OF THE DRAWINGS
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`The accompanying drawings, which are incorporated in
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`and form a part of the specification, illustrate the embodi-
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`ments of the present invention and together with the
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`description. serve to explain the principles of the invention.
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`In the drawings:
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`FIG. 1 illustrates a system architecture and partition block
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`diagram of the present invention;
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`FIG. 2 illustrates a typical secure transaction sequence in
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`accordance with the present invention;
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`FIG. 3a illustrates in greater detail a passive, user “read/
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`write” type RFID badge suitable for the user segment of the
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`information management and security system;
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`FIG. 3b illustrates an “active” user RFID badge of FIG. 3a
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`and a battery to enhance speed and range of the ID device
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`and the transaction;
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`FIG. 3c illustrates a reader “transceiver” module of the
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`present invention;
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`FIG. 4 illustrates one transaction packetization scheme
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`suitable for use in said information management and secu-
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`rity system; and
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`FIGS. 5A and 5B illustrate a general hardware layout in
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`a specific high-value printing cartridge refurbishment appli-
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`cation of said information management and security system.
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`FIG. 6 illustrates a specific application of said information
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`management and security system utilizing technology from
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`the cellular communications industry.
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`FIG. 7 illustrates a planned computer based system which
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`allows electronic signal interaction between various network
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`devices.
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`65
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`PAGE 11
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`6
`DETAILED DESCRIPTION OF THE
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`PREFERRED EMBODIMENTS
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`Referring to the accompanying drawings in which like
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`reference numbers indicate like elements, FIG. 1 and FIG. 2
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`illustrate one general system block diagram for the present
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`invention while FIGS. 3a, 3b, and 3c depict certain hardware
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`elements which may be used in the present invention.
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`To provide an overview, in its most generic sense, the
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`present invention comprises an RFID means and a radio
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`frequency reader (“RF reader”) means which associated
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`with a terminal device or other equipment such as a lock
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`mechanism, wherein said RF reader means automatically
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`interrogates said RFID means which responds by broadcast-
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`ing identification so that said RF reader means identifies and
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`verifies authorization of the RFID means and either stores a
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`record of the transaction or communicates a record of the
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`transaction to a server database prior to allowing access to
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`the terminal device or other equipment.
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`The present invention may be viewed from a transaction
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`standpoint Each transaction is enabled by the hardware
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`comprising an intelligent identification means, a reader
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`means, and network host hardware. The transaction is also
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`enabled by transaction management software that defines
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`initial handshakes, sequences and packetization scheme(s)
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`for identification and authentication. Further, each transac-
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`tion will carry a date and time stamp and optionally carry a
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`location stamp which provides auditability and traceability.
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`These stamps may be dynamically and automatically created
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`inside each reader module.
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`Accordingly, the present invention comprises three seg-
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`ments: a user segment, an equipment or facility segment,
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`and a multi—user or site network segment
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`The user segment is comprised of individuals wishing to
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`send and receive information such as secure documents. For
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`the user segment, the present invention requires intelligent
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`identification means, preferably RFID means as stated
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`above. The RFID means may be any device which allows
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`positive identification of the wearer and which provides an
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`ability to communicate with the single or multiple host!
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`network equipment(s) or facility segrnent(s).
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`The term “terminal device” is broadly defined as any type
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`of electronic equipment or hardware, e.g. printer, copier,
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`pager, pers