WO 00/42491
`
`-26-
`
`PCT/US00/00711
`
`be created. The global create and delete access types are then set to the master key
`
`using the SetAccessSettings command. The DOCFilename database is then loaded in
`
`the personal key 200, and the CreateDir and CreateFile APIs 260 are used as required
`
`to create and allocate directories and files. The SelectFile, WriteFile, and CloseFile
`
`API commands are used to load the files and the secret. Depending on whether
`
`access is to be limited to a particular numberof occasions, the DATA or CTRfile
`
`types are used.
`
`The BUILDOCprogram is used to accept new documentsinto the secure
`
`access library. Using information from the personal key 200, encryption keys are
`
`gencrated that are used by a document encryption engine in the personal key 200.
`
`The BUILDOCprogramis a stand-alone application that runs ontrusted
`
`systems within the secure walls of the organization.
`
`It requires validation of the
`
`master key. It uses the personal key 200 to create an encryption key for each
`
`documentfile name.
`
`First, the HashToken API 260 with the XORoptionis used to hash together
`
`the DOCFilename, block number (computed by the BUILDOCprogram asit reads
`
`and encrypts the document), DOCSecret. The block numberis calculated by the
`
`BUILDOC programasit reads and encrypts the document. The resulting MD5-XOR
`
`digest is used as the encryption key that is used by the encryption engine in the
`
`BUILDOCapplication. Then, the CreateFile, SelectFile, WriteFile, and CloseFile
`
`APIs 260 along with the HashToken in XOR modeare used on each documentthat is
`
`to be added to the secure documentlibrary.
`
`The VIEWDOCprogram is a web browser 262 plug-in application allows the
`
`user to open, decrypt, an view the document based on his/her personal key 200 based
`
`documentaccess codes. If desired, the view counters for some types of documents
`
`can also be decremented in the VIEWDOCprogram. The VIEWDOC program does
`
`not require file saving or forwarding, screen scraping, and printing.
`
`The VIEWDOC program validates the user and uploads and decrypts the
`
`documents.
`
`It uses the VerifyPIN command API 260 to authenticate the user. The
`
`10
`
`15
`
`20
`
`25
`
`IPR2022-00412
`Apple EX1053 Page 412
`
`IPR2022-00412
`Apple EX1053 Page 412
`
`

`

`WO 00/42491
`
`-27-
`
`PCT/US00/00711
`
`user can then view the documents listed in the personal key 200 directory as long as
`
`the personal key 200 remains communicatively coupled to the USB port 130.
`
`A messagefacility, such as the message facility used in the WINDOWS
`
`operating system (WM_DEVICECHANGE)can be used to determineif the key has
`
`been removed. The Dir, SelectFile, ReadFile, and CloseFile command APIs 260 are
`
`used to determine which documents can be read. The HashToken with the XOR
`
`mode API 260 along with DOCSecret, DOCFilename, and the document block
`
`numbers are used to create the decryption key on a per block basis. When the
`
`DOCfilename is of file type CTR, the CTR is decremented using the Decrement
`
`command API 260. In one embodiment, to reduce complexity, the CTR field is not
`
`hashed, but merely managed by VIEWDOC.
`
`The LIBDOC program provides an administrative function that is a subset of
`
`SETKEY. It allows a secure documentlibrarian to grant access to documents based
`
`upon information stored in the personal key 200. The net effect is that the trusted
`
`librarian can update the personal key 200 basedlist of documents that can be viewed.
`
`The LIBDOCprogram updatesthe list of DOCFilenameson a per-personal
`
`key 200 basis. After verifying the master key with VerifyMasterKey command API
`
`260 and looking the user name up in the employee data base, the current set of
`
`DOCFilenamesare updated using the SelectFile, WriteFile, and CloseFile command
`
`20
`
`APIs 260.
`
`Using the foregoing, employees worldwide can carry a personal key 200
`
`loaded with their local database of file names. Individual departments do not have to
`
`rely on MIS proceduresto restrict who has access to documents. The personal keys
`
`200 of department members can be updated using the LIBDOCprogram asrequired.
`
`25
`
`Documents can be decrypted and viewed by the employees only if the personal key
`
`200 secret 1s correct. The personal secret remains secure becauseit is never revealed
`
`outside of the personal key 200. A simple form of metering can also be used to reduce
`
`the numberof copies of documents that can be used to reduce the numberof copies of
`
`documents that can be viewed.
`
`IPR2022-00412
`Apple EX1053 Page 413
`
`IPR2022-00412
`Apple EX1053 Page 413
`
`

`

`WO 00/42491
`
`-28.
`
`PCT/US00/00711
`
`FIG.6 1s a diagrampresenting anillustration of one embodimentof the
`
`personal key 200. The personal key 200 comprisesa first housing member 602 and a
`
`second housing member 604. Thefirst housing member602 is sized and shaped so as
`
`to accept a circuit board 606 therein.
`
`The first housing member 602 comprises a plurality of bosses 624, which,
`
`wheninserted into each respective hole 640 in the second housing member 604,
`
`securesthe first housing member 602 to the second housing member 604. Thefirst
`
`housing member602 and the second housing member 604 also each comprise an
`
`aperture 628, which allowsthe personal key 200 to be affixed to a key chain.
`
`The circuit board 606is held in position by a plurality of circuit board supports
`
`608. The circuit board 606 comprises a substantially flat circuit connection surface
`
`610 onthe peripheryof the circuit board 606 for communicative coupling with the
`
`host processing device or computer 102 via conductive pins. Circuit connection
`
`surface 610 allows communication with a processor 212 mounted on the circuit board
`
`606. The processor 212 comprises memory andinstructions for performing the
`
`Operations required to implement the functionality of the personal key 200 as
`
`disclosed herein. The processor is communicatively coupled with a memory 214 on
`
`the circuit board to store and retrieve data as required by processor 212 instructions.
`
`In the illustrated embodiment, the circuit board 606 also comprises an output device
`
`222 such as a light emitting device 616, e.g. light emitting diode (LED), which
`
`provides the user of the personal key 200 a visual indication of the operations being
`
`performed by the personal key 200. This is accomplished, for example, by emitting
`
`light according to a signal passing from the host computer 102 to the personal key
`
`200. The light emitting device could also comprise a liquid crystal display (LCD)or
`
`other device providing a visual indication of the functions being performedin the
`
`personal key or data passingto or from the personal key 200.
`
`The energy from the light emitting device 616 is presented to the user in one of
`
`two ways.
`
`In the embodimentillustrated in FIG. 2, the hight emitting device 616 is
`
`disposed through a light emitting device orifice 644 in the second housing member
`
`604. In this design, the personal key 200 can be sealed with the addition of a small
`
`10
`
`20
`
`25
`
`30
`
`IPR2022-00412
`Apple EX1053 Page 414
`
`IPR2022-00412
`Apple EX1053 Page 414
`
`

`

`WO 00/42491
`
`PCT/US00/00711
`
`-29-
`
`amount of epoxy or other suitable material placed in the light emitting device orifice
`
`644 after assembly.
`
`In another embodiment, the light emitting device 616 does not extend beyond
`
`the interior of the housing 602, 604, and remains internal to the personal key 200.
`
`In
`
`this embodiment, at least a portion of the first housing 602 or the second housing 604
`
`is at least partially translucent to the energy being emitted by the light emitting device
`
`616 at the bandwidths of interest. For example, if the hght emitting device 616 were a
`
`simple LED, the second housing 604 can be selected of a materia] that is translucent at
`
`visual wavelengths. One advantage of the foregoing embodimentis that the LED can
`
`10
`
`be placed where it does not allow electromagnetic discharges and other undesirable
`
`energy to the circuit board 606 or any of the components disposed thereon. This is
`
`because no part of the LED, even the surface, is in contact with the user's hand at any
`
`time.
`
`While the foregoing has been described with a single light emitting device
`
`646, the present invention can also advantageously embody two or morelight emitting
`
`devices, or devices emitting energy in other wavelengths. For example, the foregoing
`
`can be implemented with a three color LED (red, yellow and green), or three one-color
`
`LEDs to transfer personal key 200 information to the user.
`
`In addition to or as an alternative to the foregoing, information regarding the
`
`operation of the personal key 200 is provided by an aural transducer such as a
`
`miniaturized loudspeaker or piezoelectric transducer. Such aural information would
`
`be particularly beneficial to users with limited or no vision. For example, the aural
`
`transducer can be used to indicate that the personal key 200 has been inserted properly
`
`into the host computer 120 I/O port 130.
`
`An aural transducer may also be used to provide alert information to the user.
`
`This is particularly useful in situations where the user is not expecting any input or
`
`information from the key. For example, if the personal key 200 or related device is
`
`engaged in lengthy computations, the aural transducer can indicate whenthe processis
`
`complete. Also, the aural transducer can indicate when there has beenan internal
`
`fault, when there has been an attempt to compromise the security of the key with
`
`20
`
`25
`
`30
`
`IPR2022-00412
`Apple EX1053 Page 415
`
`IPR2022-00412
`Apple EX1053 Page 415
`
`

`

`WO 00/42491
`
`~-30-
`
`PCT/US00/00711
`
`infected or otherwise harmful software instructions, or to prompt the user to take an
`
`action such as providing an input to the key 200.
`
`Further, it is envisioned that as the use of personal keys 200 will become
`
`widespread,it will be beneficial to incorporate the functions of other devices within
`
`1)
`
`the personal key. For example, a device such as a paging transceiver can be
`
`incorporated into the personal key to allow the user to be summoned or contacted
`
`remotely. Or, the personal key 200 may be used to store programsandinstructions
`
`such as the user's calendar.
`
`In this application, the personal key 200 can be usedto
`
`remind the user of events on the calendar, especially in conjunction with the LCD
`
`display discussed above. The aural transducer can be operated at a wide vanety of
`
`frequencies, including minimally audible vibrational frequencies. This design is
`
`particularly beneficial, since the personal key is small enough to be placed on the
`
`user's key ring, where it will be in pocket or purse for lengthy periods of time whereit
`
`cannot be seen oreasily heard.
`
`FIGs. 7A-7C are diagrams showing one embodimentof the personal key 200
`
`having an input device 218 including a first pressure sensitive device 702 and a
`
`second pressure sensitive device 704, each communicatively coupled the processor
`
`212 by acommunication path distinct from the USB-compliantinterface 204.
`
`FIG. 7A illustrates an embodiment of the personal key 200 in which an output
`
`device 222 such as an LED or LCDdisplay 706 is communicatively coupled to the
`
`processor 212 by a second communication path distinct from the USB-compliant
`
`interface 204, In this embodiment, input to the personal key processor 212 may be
`
`supplied by depressing a combination of the pressure sensitive devices 702, 704,
`
`optionally as directed by the output device 222.
`
`In an embodimentillustrated in FIGs. 7B and 7C, the pressure sensitive
`
`devices 702 and 704 are simple mechanical push switches communicatively coupled
`
`to the processor 212 via traces on the circuit board 606. In this case, the switches 702
`
`and 704 maybe actuated by depressing a button surface that extends through apertures
`
`708 and 710 in the second housing member 604. FIG. 7B also showsa window 712
`
`permitting viewing of the output device 706 display.
`
`20
`
`25
`
`30
`
`IPR2022-00412
`Apple EX1053 Page 416
`
`IPR2022-00412
`Apple EX1053 Page 416
`
`

`

`WO 00/42491
`
`~31-
`
`PCT/US00/00711
`
`FIG. 7C shows the exterior appearance of this embodimentof the personal key
`
`200 whenthefirst housing member 602 and the second housing member604 are
`
`assembled.
`
`In another embodimentofthe present invention, the pressure switches 702
`
`and 704 do not extend to the exterior of the personal key 200. Instead, the personal
`
`key 200 is configured so that pressure may be exerted on the pressure sensitive
`
`switches 702 and 704 without requiring any portion of the switches to extend to the
`
`exterior of the personal key 200. For example, in one embodiment,at least a portion
`
`of the exterior surface of the personal key200 is sufficiently flexible to permit
`
`pressure exerted on the outside surface of the key 200 to actuate the switches therein.
`
`Alternatively, the first housing member 602 and the second housing member 604 may
`
`be hinged to allow pressure to be applied to the switch.
`
`In another embodiment, the
`
`thresholded output ofa pressure sensitive device such as a strain gauge is used to
`
`indicate user input to the personal key.
`
`The foregoing pressure sensitive devices 702 and 704 may be used as follows.
`
`In one embodiment, the two pressure sensitive devices 702 and 704 is used to enter
`
`alphanumeric information. Here, pressure can be applied to the first pressure sensitive
`
`device 702 to select the desired character. To assist the user, the currently selected
`
`character can be displayed on the output device 222. When the useris satisfied with
`
`the selected character, applying pressure to the second pressure sensitive device may
`
`indicate that the currently displayed character should be entered (thus providing an
`
`“enter” function). This process may be repeated until all of the characters of the user
`
`input (e.g, a user password or personal identification number (PIN) has been entered.
`
`The end ofthe user input can be signified by repeated application of pressure to the
`
`second pressure sensitive device 702, and confirmed by the output device 222. An
`
`aural transduccr can be used alone or in combination with a visual display to indicate
`
`the character, to indicate an error, or to indicate whenthe user input process has been
`
`completed.
`
`The foregoing pressure sensitive devices may also be used to provide a binary
`
`input to the personal key 200. For example, the user’s PEN or password can be
`
`10
`
`15
`
`20
`
`25
`
`30
`
`IPR2022-00412
`Apple EX1053 Page 417
`
`IPR2022-00412
`Apple EX1053 Page 417
`
`

`

`WO 00/42491
`
`-32.
`
`PCT/US00/00711
`
`entered by applying pressure to the first pressure sensitive device 702 and the second
`
`pressure sensitive device 704 in the proper order in rapid succession.
`
`In this way, a
`
`user password or PIN defined as “10100010111” may be entered by depressing the
`
`first pressure sensitive device 502 to indicate a ‘‘O” and the second pressure sensitive
`
`device 704 to indicate a “1.”
`
`FIGs. 8A-8C are diagrams presenting an illustration of another embodiment of
`
`the present invention.
`
`In this embodiment, the input device 218 comprises an edge
`
`exposed wheel 802 coupled to the processor by the input device communication path
`
`808. In this embodiment, the user provides an input by urging the wheel 802 through
`
`a series of tactile positions identifying input characters. When the desired input
`
`character is either shown onthe output device 222 or on the wheel 802itself, the user
`
`can indicate the character as a user input by urging the wheel 802 toward the
`
`centerline of the personal key 200. This process can be repeated for a series of input
`
`characters, until all of the desired characters are provided. The user can also indicate
`
`that no more input will be provided by urging the wheel 802 toward the centerof the
`
`personal key multiple times in rapid succession, or by selecting an inputtactile
`
`position on the wheel 802 and depressing the wheel 802.
`
`Security Features Using the Input and Output Devices
`
`The input device 218 and output device 222 of the present invention can be
`
`advantageously used to enhance the security of the personal key 200. For example,
`
`when connected to the host computer 102, the personal key 200 can be used to
`
`authorize transactions with a remote computer/server 134 communicatively coupled to
`
`the host computer 102 via a communication medium 132 such as a dial-up network,
`
`the Internet, LAN, or WAN. Malicious software, which can be executing in the
`
`remote computer/server 134 or the host computer 102, can send anything it wants to
`
`the personal key 200 for authorization without the knowledge or permission of the
`
`user. Without some sort of user input device 218, the personal key 200 can authorize
`
`transactions without the user’s knowledge that the holder cannot repudiate. Such
`
`transactions may include, for example, payment and legally binding signatures.
`
`20
`
`25
`
`30
`
`IPR2022-00412
`Apple EX1053 Page 418
`
`IPR2022-00412
`Apple EX1053 Page 418
`
`

`

`WO 00/42491
`
`PCT/US00/00711
`
`-33-
`
`Althougha personal identification such as the personal identification number
`
`(PIN)is required to log on and activate the personal key 200, the personal key 200
`
`ordinarily remains active once the PIN has been entered. Hence, the personal key 200
`
`will perform anyaction for any application, without notice to, or authorization by the
`user,
`
`To ameliorate this problem, one embodimentofthe present invention utilizes a
`
`“‘squeeze to sign” authorization technique, in which some direct user action is required
`
`to authorize the use of identified secret values stored in the personal key 200. For
`
`instance, if a private key (such as the secret 406) or PIN stored in the memory214 of
`
`the personal key 200is identified as requiring a “‘squeeze to sign” authorization,
`
`firmware executing in the processor 212 of the personal key 200 requires direct user
`
`input via the input device 410 or the data transceiver 252 before honoring any request
`
`from the host computer 102 or the remote computer/server 134 that involves the use
`
`of the private key or personal information. Ordinarily, the private key and/or other
`
`personal information is designated as requiring direct authorization by an associated
`
`valueor flag in the memory 214. Such data mayalso be designated as “use-only”
`
`indicting that the data cannot be read directly from the key under any circumstances.
`
`The data may be shared with no other entity (as would often be the case with a PIN),
`
`or may be a value shared with the trusted entity and used for authorization, such as the
`
`secret 406. For example, private keys can be used as the secret 406 to perform
`
`authorization via hash functions.
`
`In such cases, the secret value 406 is typically a
`
`shared secret such as a DES key or a password. Since secret values 406 can be stored
`
`in the memory 214 of the personal key 200, before distributing the personal key 200 to
`
`the user, the secret value 406 need not be made available in plaintext form at any time.
`
`Typically, each time a user connects to an SSL sccured web site that supports
`
`client authentication, a browser 262 calls middleware such as one of the APIs 260 or
`
`the PKCS 264, which commandsthe personal key 200 to encrypt a challenge value
`
`with the user’s secret private key 406B (stored in the personal key memory 214).
`
`Assuming the user’s PIN is alreadystored in the personal key 200, thus authenticating
`
`the user to the personal key 200,it still remains to authenticate the key to the secure
`
`15
`
`20
`
`25
`
`30
`
`IPR2022-00412
`Apple EX1053 Page 419
`
`IPR2022-00412
`Apple EX1053 Page 419
`
`

`

`WO 00/42491
`
`PCT/US00/00711
`
`34.
`
`website. In this case, access to the user’s secret private key is required, and the
`output device 222 integrated with the personal key 200 mayactivate to indicate that a
`
`commandthat requires access to the private key has been invoked,and that the user
`
`needs to authorize this access.
`
`In one embodimentof the present inventionthis is
`
`accomplishedby blinking a visual output device (such as an LED or LCD display), or
`
`by beeping an aural device. In another embodimentof the present invention, the
`
`middleware(either the API 260 or the PKCS 264) activates the display 122 attached
`
`to the computer 102, indicating that the user must authorize accessto the private key
`
`before processing can proceed. An input device 218 in the personal key 200 such as
`
`the wheel 802 or one of the pressure sensitive devices 702 and 704 can then be
`
`actuated by the user to indicate that the user has authorized access to the private key.
`
`No authorization is granted if the personal key 200 is removed from the I/O port 130,
`or a “cancel” button presented on the display 122 is selected to refuse the on-screen
`
`dialogue. Access to the private key (in the example above, to perform the hash
`
`function) is granted if the user authorizes as such. The “squeeze to sign” concept thus
`
`makesit less likely that malicious software will be able to use the secret 406B without
`
`the user’s consent or knowledge.
`
`Malicious sofiware may monitor the interface between the personal key 200
`
`and the host computer 102 to capture the value of user’s PIN. Although the PIN
`
`cannotbe read directly,it is possible for the malicious software to examine both the
`
`VerifyPIN command described in Table 6 (and it’s argument) and the response from
`
`the personal key 200. Ifthe response indicates that the proper PIN wasprovided as an
`
`argument to the VerifyPIN command, the malicious software can determine the PIN
`
`itself. The foregoing can also be applied to further safeguard the user’s PIN instead of
`
`the secret 406B. For example, if a sniffer module in malicious software in the host
`
`computer has been able to access the user’s PIN, when it attempted to use that PIN in
`
`a context the user did not expect, the user would be alerted to the fact that the PIN had
`
`been compromised.
`
`FIG. 9 is a flow chart illustrating an embodiment of the present invention in
`
`which processor 212 operations are subject to user authorization. First, the API 260
`
`20
`
`25
`
`30
`
`IPR2022-00412
`Apple EX1053 Page 420
`
`IPR2022-00412
`Apple EX1053 Page 420
`
`

`

`WO 00/42491
`
`-35-
`
`PCT/US00/00711
`
`issues 902 a commandthat invokes a processor 212 operation. The commandis
`
`transmitted via the USB-interface 204 to the personal key 200. The processor 212
`
`accepts the command, as shown in block 904. The personal key 200 then determines
`
`whether the invoked processor commandis one that requires authorization. This can
`
`be accomplished by storing information in the memory 214 of the personal key
`
`indicating which processor commands require authorization. For example, this can be
`
`implemented in a mapstored in the memory 214,a plurality of flags, where it may be
`
`customized for each user, or the information can be stored in the processor 212
`
`firmwareor similar location so that the mapping cannotbe altered.
`
`In one
`
`embodiment, different levels of authorization are implemented for different processor
`
`commands(e.g. a write command may require authorization, whereas a read
`
`command maynot).
`
`In another embodiment, authorization may be premised on data mstead of the
`
`invoked command, or on a combination of the invoked command and data. For
`
`example, the present invention may be configured to require authorization any time
`
`the PIN is accessed in any way, or when the PIN is read from the memory 214 ofthe
`
`personal key 200, but not when other data is read, or when the PIN is written to the
`
`personal key 200. This may be accomplished, for example, by determining which
`
`data stored in the memory 214 is affected by the processor operation, and determining
`
`whetherthe data affected by the processor operation is associated with an
`
`identification designating the data as private information.
`
`Using one of the output devices 222, the data transceiver 252, or the display
`
`122 coupled to the host computer, the personal key 200 may then promptthe user to
`
`authorize the processor operation, as shownin block 906. This may be accomplished
`
`by flashing a display device such as an LED or LCD,byactivating an aural
`
`transducer, or by performing both operations. If desired, the user may be prompted
`
`first with a display device, and if the authorization is not forthcoming within a
`
`specified period of time, the aural transducer may be activated.
`
`To expose the prompting operation as little as possible to malicious software
`
`or other intrusive activity, the promptis preferably performed using a communication
`
`15
`
`20
`
`25
`
`30
`
`IPR2022-00412
`Apple EX1053 Page 421
`
`IPR2022-00412
`Apple EX1053 Page 421
`
`

`

`WO 00/42491
`
`PCT/US00/00711
`
`-36-
`
`path entirely distinct from the communication path between the personal key 200 and
`
`the host computer 102 (in the illustrated example) the USB-interface 204. To further
`
`increase security, the illustrated embodiment prompts the user with the output device
`
`222 via a communication path which not manifested externally from the personal key
`
`in any waythat is visible to the malicious software, and is hence not subject to
`
`tampering.
`
`Next, the user provides an input signaling authorization of the opcration 910.
`
`This can be performed using a variety of input devices, such as the mouse 116, or
`
`keyboard 114, but is preferably performed using an input device 218 or the data
`
`transceiver 252 in the personal kcy 200. This information is communicatedto the
`
`personal key 200 via a communicationpaththat is entirely distinct from the
`
`communication path between the personal key 200 and the host computer 102, and
`preferably entirely internal to the personal key 200 (not manifested externally to the
`
`personal key 200 by a meansvisible to malicious software). This prevents malicious
`
`software interfering with or emulating the user authorization.
`
`Another embodimentof the present invention provides additional PIN
`
`security.
`
`In this embodiment, the VerifyPIN commandis altered from that whichis
`
`described in Table 6. Ordinarily, the VerifyPIN command accepts what the host
`
`computer 102 or remote computer/server 134 believes is the user’s PIN as an
`
`20
`
`25
`
`argument. The personal kcy 200 accepts this commandand returnsa status indicating
`
`whether the proper PIN was provided.
`
`In this alternative embodiment however, the
`
`VerifyPIN commandis altered so that it does not include the PIN as an argument. The
`
`VerifyPIN commandis provided to the personal key 200, and the user is prompted to
`
`enter his or her PIN. After the PIN is entered, it is communicated to the processor 212
`
`via a communication path 220 whichis distinct from the host computer 102 - personal
`
`key 200 interface, and not externally manifested anywhere whereit can be detected by
`
`malicious software. It is then internally verified, and a message providing the result of
`
`that manifestation is transmitted from the personal key 200 to the host computer 200
`
`or remote computer/server 134. This prevents any external manifestation of the PIN.
`
`IPR2022-00412
`Apple EX1053 Page 422
`
`IPR2022-00412
`Apple EX1053 Page 422
`
`

`

`WO 00/42491
`
`-37-
`
`PCT/US00/00711
`
`When combined with the hashing technique using the secret 406 above, the
`
`foregoing provides a highly secure technique for user authorization. The secure
`
`hashing technique authenticates the key, and protects the secret 406 from external
`
`exposure. However, the hashing technique does not authenticate the person
`
`possessing the key (since it may have been lost or stolen). The ability to enter the PIN
`
`directly into the processor 212 of the personal key allows the personal key to
`
`authenticate the user, and since the PIN is never manifested externally from the key,
`
`exposure to malicious software is prevented. Since the third party can authenticate the
`
`personal key and the personal key can authenticate the user, the third party can
`
`perform user authentication with a high degree of confidence.
`
`FIG. 10 1s a flow chart illustrating an embodimentof the present invention in
`
`whichthe PIN is entered directly into the personal key 200.
`
`In block 1002, a
`
`commandis issued which requires access to the user’s PIN, such as the VerifyPIN and
`
`ModifyPIN commandslisted in Table 6. The personal key 200 accepts 1004 the
`
`command,and if necessary, prompts the user for the PIN, as shown in block 1006.
`
`This may be accomplished with the display 122, one of the output devices 222, or any
`
`combination thereof. Preferably, this is accomplished via a communication path
`
`distinct and inaccessible from the USBinterface 204. Using oneof the input device
`
`218 embodiments described above, the user provides the PIN to the personal key 200.
`
`20
`
`Using a value stored in the memory 214, the processor 212 in the personal key 200
`
`validates the user-entered PIN. In one embodiment, this is accomplished by
`
`comparing the user-provided value directly with a value stored in the memory 214.
`
`The personal key then provides 1014 a responseindicating the validity of the PIN,
`
`which is accepted by the API 260. The response indicates whether the user supplied
`
`25
`
`PIN wasvalid.
`
`In one embodiment, a biometric sensor 250 is also communicatively coupled
`
`to the processor 212. The biometric sensor 250 provides data to the processor 212 and
`
`receives commands from the processor 212, as described earlier in this disclosure.
`
`The processoris also optionally communicatively coupled to one or morelight
`
`30
`
`emitting devices 216 or other visual display device to provide a visual indication of
`
`IPR2022-00412
`Apple EX1053 Page 423
`
`IPR2022-00412
`Apple EX1053 Page 423
`
`

`

`WO 00/42491
`
`-38-
`
`PCT/US00/00711
`
`the activities or status of the personal key 200. The processor 212 mayalso be
`
`communicatively coupled with an aural device to provide a vibrational or audio data
`
`to the user of the status or activities of the personal key 200.
`
`Conclusion
`
`This concludes the description of the preferred embodiments of the present
`
`invention.
`
`In summary, the present invention describes a compact, self-contained,
`
`personal token. The token comprises a USB-compliant interface releaseably
`
`coupleable to a host processing device; a memory; and a processor. The processor
`
`provides the host processing device conditional access to data storable in the memory
`
`as well as the functionality required to managefiles stored in the personal key and for
`
`performing computations based on the data in the files.
`
`In one embodiment, the
`
`personal key also comprises an integral user input device and an integral user output
`
`device. The input and output devices communicate with the processor by
`
`communication paths which are independent from the USB-compliant interface, and
`
`thus allow the user to communicate with the processor without manifesting any
`
`private information external to the personal key.
`
`The foregoing description of the preferred embodiment of the invention has
`
`been presented for the purposesof illustration and description.
`
`Jt is not intended to be
`
`exhaustive or to limit the inventionto the precise form disclosed. Many modifications
`
`and variations are possible in light of the above teaching. For example, while the
`
`foregoing personal key has been described as providing for electrical communication
`
`with the host communication, it is envisioned that such electrical communication
`
`includes the optical transfer of data such as is implemented by fiber optics and the
`
`10
`
`15
`
`20
`
`25
`
`like.
`
`It is intended that the scope of the invention be limited not by this detailed
`
`description, but rather by the claims appended hereto. The above specification,
`
`examples and data provide a complete description of the manufacture and use of the
`
`composition of the invention. Since many embodiments of the invention can be made
`
`IPR2022-00412
`Apple EX1053 Page 424
`
`IPR2022-00412
`Apple EX1053 Page 424
`
`

`

`WO 00/42491
`
`-39-
`
`PCT/US00/00711
`
`without departing from the spirit and scope of the invention, the invention resides in
`
`the claims hereinafter appended.
`
`IPR2022-00412
`Apple EX1053 Page 425
`
`IPR2022-00412
`Apple EX1053 Page 425
`
`

`

`WO00/42491
`
`-40-
`
`PCT/US00/00711
`
`a
`
`10
`
`15
`
`20
`
`25
`
`WHAT IS CLAIMED IS:
`
`1.
`
`A compact personal token (200), comprising:
`
`a USB-compliant interface (206) releaseably coupleable to a host processing
`
`device (102);
`
`a memory (214);
`
`a processor (212), communicatively coupled to the memory(214) and
`
`communicatively coupleable to the host processing device (102) via the USB-
`compliant interface (130), the processor (212) for providing the host processing
`device (102) conditional access to data storable in the memory (214); and
`
`a user input device (218), communicatively coupled to the processor (212) by
`
`a path (220) distinct from the USB-compliant interface (206).
`
`2.
`
`The apparatus of claim 1, wherein the user input device (218) is
`
`configured to control an operation of the processor (212),
`
`3.
`
`The apparatus of claim 1, wherein the operation comprises an
`
`operation selected from the group comprising:
`
`an encryption