WO2012154600A1 - Methods and apparatus for providing management capabilities for access control clients - Google Patents

Abstract

Methods and apparatus for managing access control clients (e.g., electronic Subscriber Identity Modules (eSIMs)). In one embodiment, secure elements (e.g., electronic Universal Integrated Circuit Cards (eUICCs)) and management entities of secure elements are associated with credentials. Post-deployment managerial operations can be executed, by transmitting the requested operation with the appropriate credentials. For example, a device can receive secure software updates to electronic Subscriber Identity Modules (eSIMs), with properly credentialed network entities.

Description

METHODS AND APPARATUS FOR PROVIDING MANAGEMENT CAPABILITIES FOR ACCESS CONTROL CLIENTS

Priority

This application claims priority to U.S. Patent Application Serial No. 13/464,677 of the same title filed contemporaneously herewith on May 4, 2012, which claims priority to co-pending U.S. Provisional Patent Application No. 61/483,582 filed May 6, 2011 of the same title, each of the foregoing being incorporated herein by reference in its entirety.

Related Applications

This application is related to co-owned, co-pending U.S. Patent Application

Serial Nos. 13/080,558 filed on April 5, 2011, and entitled "APPARATUS AND METHODS FOR CONTROLLING DISTRIBUTION OF ELECTRONIC ACCESS CLIENTS", 12/952,082 filed on November 22, 2010 and entitled "WIRELESS NETWORK AUTHENTICATION APPARATUS AND METHODS", 12/952,089 filed on November 22, 2010 and entitled "APPARATUS AND METHODS FOR PROVISIONING SUBSCRIBER IDENTITY DATA IN A WIRELESS NETWORK", 12/980,232 filed on December 28, 2010 and entitled "VIRTUAL SUBSCRIBER IDENTITY MODULE DISTRIBUTION SYSTEM", and 12/353,227 filed on January 13, 2009, and entitled "POSTPONED CARRIER CONFIGURATION", and U.S. Provisional Patent Application Serial Nos. 61/472, 109 filed April 5, 2011 and entitled "APPARATUS AND METHODS FOR STORING ELECTRONIC ACCESS CLIENTS", 61/472,115 filed on April 5, 201 1, and entitled "APPARATUS AND METHODS FOR DISTRIBUTING AND STORING ELECTRONIC ACCESS CLIENTS", 61/407,858 filed on October 28, 2010 and entitled "METHODS AND APPARATUS FOR ACCESS CONTROL CLIENT ASSISTED ROAMING" (now U.S. Patent Application Serial No.13/109,851 filed on May 17, 2011, of the same title), 61/407,861 filed on October 28, 2010 and entitled "MANAGEMENT SYSTEMS FOR MULTIPLE ACCESS CONTROL ENTITIES" {now U.S. Patent Application Serial No. 13/079,614 filed on April 4, 2011, of the same title"), 61/407,862 filed on October 28, 2010 and entitled "METHODS AND APPARATUS FOR DELIVERING ELECTRONIC IDENTIFICATION COMPONENTS OVER A WIRELESS NETWORK" (now U.S. Patent Application Serial No. 13/111,801 filed on May 19, 2011, of the same title), 61/407,866 filed on October 28, 2010 and entitled "METHODS AND APPARATUS FOR STORAGE AND EXECUTION OF ACCESS CONTROL CLIENTS" (now U.S. Patent Application 13/080,521 filed on April 5, 2011, of the same title), 61/408,504 filed on October 29, 2010 and entitled "ACCESS DATA PROVISIONING SERVICE" (now U.S. Patent Application Serial No. 13/078,811 filed on April 1, 2011, and entitled "ACCESS DATA PROVISIONING APPARATUS AND METHODS"), 61/409,891 filed on November 3, 2010 and entitled "METHODS AND APPARATUS FOR ACCESS DATA RECOVERY FROM A MALFUNCTIONING DEVICE" (now U.S. Patent Application Serial No. 13/287,874 filed on November 2, 2011, of the same title), 61/410,298 filed on November 4, 2010 and entitled " SIMULACRUM OF PHYSICAL SECURITY DEVICE AND METHODS" (now U.S. Patent Application 13/080,533 filed on April 5, 2011, of the same title), and 61/413,317 filed on November 12, 2010 and entitled "APPARATUS AND METHODS FOR RECORDATION OF DEVICE HISTORY ACROSS MULTIPLE SOFTWARE EMULATION" (now U.S. Patent Application Serial No. 13/294,631 filed on November 11, 2011, of the same titles), each of the foregoing being incorporated herein by reference in its entirety.

Background of the Invention

1. Field of Invention

The present invention relates generally to the field of wireless communication and data networks. More particularly, in one exemplary aspect, the present invention is directed to managing access control clients and secure elements. 2. Description of Related Technology

Access control is required for secure communication in most prior art wireless radio communication systems. As an example, one simple access control scheme might comprise: (i) verifying the identity of a communicating party, and (ii) granting a level of access commensurate with the verified identity. Within the context of an exemplary cellular system (e.g., Universal Mobile Telecommunications System (UMTS)), access control is governed by an access control client, referred to as a Universal Subscriber Identity Module (USIM) executing on a physical Universal Integrated Circuit Card (UICC). The USIM access control client authenticates the subscriber to the UMTS cellular network. After successful authentication, the subscriber is allowed access to the cellular network. As used hereinafter, the term "access control client" refers generally to a logical entity, either embodied within hardware or software, suited for controlling access of a first device to a network. Common examples of access control clients include the aforementioned USIM, CDMA Subscriber Identification Modules (CSIM), IP Multimedia Services Identity Module (ISIM), Subscriber Identity Modules (SIM), Removable User Identity Modules (RUIM), etc.

Traditionally, the USIM (or more generally "SIM") performs the well known Authentication and Key Agreement (AKA) procedure, which verifies and decrypts the applicable data and programs to ensure secure initialization. Specifically, the USIM must both (i) successfully answer a remote challenge to prove its identity to the network operator, and (ii) issue a challenge to verify the identity of the network.

Existing SIM solutions consist of one or more SIM software identities that are "hardcoded" to a physical UICC card media; i.e., the SIM card assembly cannot be re- programmed, etc. Moreover, for all practical intents and purposes, prior art SIM cards are indivisible; that is, the SIM software is inseparable from the physical UICC card media. Consequently, certain operations cannot be performed within the existing SIM card framework. For example, a SIM cannot be moved between SIM cards, modified, revoked, and/or enabled for different network carriers. For reasons described in greater detail subsequently herein, existing SIM card solutions have become increasingly inadequate for the evolving complexities of cellular technologies (and other wireless technologies).

Accordingly, new solutions are needed for post-deployment SIM management capabilities.

Summary of the Invention

The present invention satisfies the aforementioned needs by providing improved apparatus and methods for managing access control clients, including in a post-deployment environment

In one aspect of the present invention, a wireless apparatus is disclosed. In one embodiment, the wireless apparatus includes one or more wireless links configured to communicate with at least one network, a secure element configured to store an access control client, an interface to the secure element, the interface having one or more credentials associated therewith, a processor, and a storage device in data communication with the processor, the storage device comprising computer- executable instructions.

In one variant the computer-executable instructions are configured to, when executed, receive an access attempt to at least one of the access control client and secure element, the access attempt further comprising a submitted credential, attempt to verify the submitted credential with the one of more associated credentials, and enable the access attempt when the submitted credential is successfully verified.

In a second variant, the computer-executable instructions further comprise instructions which when executed, determine a level of access allowed based at least in part on the submitted credential, and grant only the access allowed based at least in part on the determined level of access.

In a third variant, the access attempt is accompanied by a software package configured to perform an operation. The operation has for example a respective level of access, and is only performed if the level of access is allowed.

In another variant, the operation to be performed is one or more of: (i) activation or deactivation at least the access control client, (ii) a change account information (iii) locking of the secure element to a particular network provider, (iv) unlocking of the secure element from a particular network provider, and/or (v) installation of a software component.

In a further variant, the access control client comprises an electronic

Subscriber Identity Module (eSIM).

In a second aspect of the invention, a method for managing one or more access control clients is disclosed. In one embodiment, the method includes: receiving a request to access a secure element and one or more access control clients, the request being accompanied by one or more access credentials; determining based at least in part on the received one or more access credentials, when access the secure element and the one or more access control clients is authorized; and providing access to the requested secure element and the one or more access control clients based at least in part on the determination.

In one variant, the method further includes executing one or more managerial operations, the one or more managerial operations being part of the request for access.The one or more managerial operations have, in one implementation, a respective one or more permission levels.

In a second variant, the individual ones of the one or or more managerial operations are only executed if the respective permission level therefor are permitted by the determined access level associated with the received one or more access credentials.

In a third variant, the one or more managerial operations are one or more of: (i) installation of an access control client, (ii) deletion of an access control client, (iii) modification of an access control client, and/or (iv) update of one or more software elements.

In a fourth variant, the one or more access control clients comprise electronic Subscriber Identity Modules (eSIMs).

In a fifth variant, the determination includes determination of an access level associated with the received one or more access credentials.

In a third aspect of the invention, a mobile device is disclosed. In one embodiment, the device includes a processor, a secure element configured to store one or more access control clients, one or more wireless interfaces configured to communicate with at least one wireless network using the one or more access control clients; and a storage device in data communication with the processor, the storage device comprising computer-executable instructions.

In one variant, the computer-executable instructions are configured to, when executed, receive a request for access to the secure element, the request for access including at least one credential, and allow the requested access upon a determination that the at least credential has access privileges to the requested secure element.

In a second variant, the computer-executable instructions further comprise instructions configured to, when executed, evaluate access rights associated with the at least one credential, permit only actions associated with the request for access which are allowed by the evaluated access rights, and perform the permitted actions.

In a third variant, the one or more access control clients comprise electronic Subscriber Identity Modules (eSIMs).

In a fourth aspect of the invention, a computer-readable apparatus is disclosed.

In one embodiment the computer-readable apparatus includes a storage medium having a plurality of instructions disposed thereon, the instructions configured to, when executed by a processor of a host device, receive a request to access a secure element, the secure element configured to store one or more access control clients, evaluate access rights information provided as part of the request to determine whether the access rights information is approved to access the secure element, and grant access to the secure element upon a determination that the access is approved.

In a first variant, the one or more access control clients comprise electronic Subscriber Identity Modules (eSIMs).

In a second variant, the request to access the secure element is accompanied by a request to access one or more access control clients.

In a third variant, the instructions are further configured to, when executed by the processor, evaluate access rights associated with the request to access the one or more access control clients, and permit access to the one or more access control clients upon a determination that the access is approved, wherein the request to access the one or more access clients includes an operation to be performed on the one or more access clients.

In a fifth aspect of the present invention, a network apparatus is disclosed. Other features and advantages of the present invention will immediately be recognized by persons of ordinary skill in the art with reference to the attached drawings and detailed description of exemplary embodiments as given below.

Brief Description of the Drawings

FIG. I is a graphical representation of one exemplary Authentication and Key Agreement (AKA) procedure using a prior art USIM.

FIG. 2 is a logical flow diagram illustrating one embodiment of a method for managing access control clients according to the invention.

FIG. 3 is a logical flow diagram illustrating one embodiment of a method for verifying a package, and executing or installing the package according to one or more credentials according to the invention.

FIG, 4 is a block diagram of an exemplary apparatus useful for implementing the methods of the present invention.

FIG. 5 is a block diagram of an exemplary software architecture useful for implementing the methods of the present invention.

All Figures€> Copyright 2011-2012 Apple Inc. All rights reserved. DATE

FIRST PUBLISHED THROUGH CURRENT... WE CONSERVATIVELY ASSUME THAT CLIENT MAY HAVE PUBLISHED IMMEDIATELY AFTER PROVISIONAL FILING

Detailed Description of the Invention

Reference is now made to the drawings, wherein like numerals refer to like parts throughout

Overview

The present invention provides, inter alia, methods and apparatus for managing access control clients (e.g., electronic Subscriber Identity Modules (eSIMs)) and secure elements (e.g., electronic Universal Integrated Circuit Card (eUICC)). In a first aspect of the invention, a secure element and/or management entities of secure elements maintain a set of credentials to assist in administrative transactions. A credential may be a certificate issued by a Certificate Authority (CA) that is associated with one or more levels of access. For example, in one exemplary embodiment, network carriers, eUICC appliances, eSIM depots, and Original Equipment Manufacturers (OEMs), etc.) possess credentials that enable appropriate management capabilities to mobile devices that are "in the field" (post-deployment).

Similarly, an access control client can be modified and managed by network entities with appropriate credentials. For instance, a mobile device can and/or authorize a trusted eSIM profile manager to perform various administrative functions. Trusted eSIM profile managers may be allowed to modify, add, delete, etc. various eSIMs stored within a mobile device's eUICC. Other exemplary credentials having a range of functional capabilities and/or access rights or restrictions are described in greater detail herein as well.

Moreover, in another exemplary embodiment, both secure elements and access control clients include credentials and information useful for, inter alia: receiving and granting various access rights based on submitted credentials, and/or submitting and requesting various access rights based on one or more appropriate credentials.

Various other scenarios for managing both access control clients and secure elements are also described in greater detail herein.

Detailed Description of Exemplary Embodiments

Exemplary embodiments and aspects of the present invention are now described in detail. While these embodiments and aspects are primarily discussed in the context of Subscriber Identity Modules (SIMs) of a GSM, GPRS/EDGE, or UMTS cellular network, it will be recognized by those of ordinary skill that the present invention is not so limited. In fact, the various aspects of the invention are useful in any wireless network (whether cellular or otherwise) that can benefit from the secure modification, storage and execution of access control entities or clients. It will also be recognized that while the term "subscriber identity module" is used herein (e.g., eSIM), this term in no way necessarily connotes or requires either (i) use by a subscriber per se (i.e., the invention may be practiced by a subscriber or non- subscriber); (ii) identity of a single individual (i.e., the invention may be practiced on behalf of a group of individuals such as a family, or intangible or fictitious entity such as an enterprise); or (in) any tangible "module" equipment or hardware.

Prior Art Subscriber Identity Module (SIM) Operation -

Within the context of prior art UMTS cellular networks, a User Equipment (UE) includes a mobile device and a Universal Subscriber Identity Module (USIM). The USIM is a logical software entity that is stored and executed from a physical Universal Integrated Circuit Card (UICC). A variety of information is stored in the USIM such as subscriber information, as well as the keys and algorithms used for authentication with the network operator in order to obtain wireless network services. The USIM software is based on the Java Card^TM programming language. Java Card is a subset of the Java™ programming language that has been modified for embedded "card" type devices (such as the aforementioned UICC).

Generally, UICCs are programmed with a USIM prior to subscriber distribution; the pre-programming or "personalization" is specific to each network operator. For example, before deployment, the USIM is associated with an International Mobile Subscriber Identify (IMSI), a unique Integrated Circuit Card Identifier (ICC-ID) and a specific authentication key (K). The network operator stores the association in a registry contained within the network's Authentication Center (AuC). After personalization the UICC can be distributed to subscribers.

Referring now to FIG. 1, one exemplary Authentication and Key Agreement (AKA) procedure using the aforementioned prior art USIM is illustrated in detail. During normal authentication procedures, the UE acquires the International Mobile Subscriber Identify (IMSI) from the USIM. The UE passes the IMSI to the Serving Network (SN) of the network operator or the visited core network. The SN forwards the authentication request to the AuC of the Home Network (HN). The HN compares the received IMSI with the AuC's registry and obtains the appropriate K. The HN generates a random number (RAND) and signs it with K using an algorithm to create the expected response (XRES). The HN further generates a Cipher Key (CK) and an Integrity Key (IK) for use in cipher and integrity protection as well as an Authentication Token (AUTN) using various algorithms. The HN sends an authentication vector, consisting of the RAND, XRES, CK, and AUTN to the SN. The SN stores the authentication vector only for use in a one-time authentication process. The SN passes the RAND and AUTN to the UE.

Once the UE receives the RAND and AUTN, the USIM verifies if the received AUTN is valid. If so, the UE uses the received RAND to compute its own response (RES) using the stored K and the same algorithm that generated the XRES. The UE passes the RES back to the SN. The SN compares the XRES to the received RES and if they match, the SN authorizes the UE to use the operator's wireless network services. Example Operation -

Various aspects of the present invention are now discussed with respect to one exemplary implementation. In the context of this exemplary implementation, instead of using a physical UICC as in the prior art, the UICC is emulated as a virtual or electronic entity such as e.g., a software application, hereafter referred to as an Electronic Universal Integrated Circuit Card (eUICC), that is contained within a secure element (e.g., secure microprocessor or storage device) in the User Equipment (UE). The eUICC is capable of storing and managing multiple SIM elements, referred hereafter as Electronic Subscriber Identity Modules (eSIM). Each eSIM is a software emulation of a typical USIM, and contains analogous programming and user data associated therewith. The eUICC selects an eSIM based upon the eSIM's ICC-ID. Once the eUICC selects the desired eSIM(s), the UE can initiate an authentication procedure to obtain wireless network services from the eSIM's corresponding network operator. Moreover, each eSIM application generally encompasses access control clients such as the aforementioned USIM, CSIM, ISIM, SIM, RUIM, etc. It is understood that each eSIM is associated with a user account, thus an "eSIM" may broadly encompass multiple access control clients (e.g., a user may have a USIM, and a SIM associated with the same eSIM account).

As previously described, the prior art USIM procedure uses a pre-shared key to authenticate to the Core Network (e.g., the aforementioned Home Network (HN), Serving Network (SN), and Authentication Center (AuC), etc.) Prior art solutions have been a "closed" system between the network operator and the mobile device. Specifically, physical SIM cards have been hardcoded for one function only i.e., authenticating the mobile device to the network operator.

However, with the advent of eSIM-based architectures, eSIMs can be made more flexible than hardware SIM cards; for example, as described in co-owned, copending U.S. Patent Application No. 13/093,722 filed April 25, 2011, and entitled "APPARATUS AND METHODS FOR STORING ELECTRONIC SUBSCRIBER IDENTITY MODULES", previously incorporated by reference in its entirety eSIMs can be transferred among devices. As described in greater detail therein, each eUICC appliance can store and transfer eSIMs securely with other eUICC appliances.

Specifically, U.S. Patent Application No. 13/093,722 discloses, inter alia,, devices used for transferring access control clients (e.g., eSIMs) that enforce uniqueness and conservation of the clients by ensuring that the transfer is only performed with a trusted device. In one embodiment described therein, a eUICC appliance is disclosed which is implemented within a Hardware Security Module (HSM), Each HSM can store a large number of eSIMs to facilitate storage and distribution thereof, such as for retail services. The eUICC appliances first verify that their peer eUICC appliances are operating according to an agreed upon and trusted protocol. If both eUICC appliances are in agreement, then, when the source eUICC appliance transfers its eSIM, it will delete its eSIM (or otherwise render its own eSIM inactive). The destination eUICC appliance will retain the only active eSIM.

In a second aspect disclosed in the 13/093,722 application, when an access control client is moved from one device to another, the receiving device issues a challenge or unique identifier. In one embodiment, the sending device encrypts the access control client using the receiving device's public key, and adds a unique identifier or challenge. The combination of the encrypted access control client and unique identifier or challenge is further signed. After transmission, the sending device deletes its access control client. The receiving device verifies the encrypted access control client, and the unique identifier; if valid, then the encrypted access control client and unique identifier are stored for future use.

In the exemplary configuration, access control clients are only transferred between devices that conform to a standard trusted relationship. In this manner, since both devices are operating according to an agreed upon protocol, the access control client can remain unique and conserved throughout transfer. Furthermore, by ensuring that the access control client is encrypted only for the destination device and deleted from the current device, intervening malicious parties cannot subvert or defeat the transfer process.

Moreover, as described in co-owned, co-pending U.S. Patent Application Nos. 13/095,716 filed April 27, 2011 and entitled "SYSTEM FOR DISTRIBUTION OF UNIQUE SUBSCRIBER IDENTITY MODULES", and co-owned, co-pending U.S. Provisional Patent Application Nos. 61/479,319 filed April 26, 2011 and entitled "ELECTRONIC ACCESS CLIENT DISTRIBUTION APPARATUS AND METHODS" (now U.S. Patent Serial No. 13/457,333 filed on April 26, 2012, of the same title), each previously incorporated by reference in its entirety, various network architectures can leverage various attributes of eSIMs to provide flexible, and secure transfer of eSIMs among a distribution network.

For example, U.S. Patent Application Serial No. 13/095,716 discloses, inter alia, methods and apparatus for efficiently distributing and storing access control clients within a network. In one embodiment, an electronic Subscriber Identity Module (eSIM) distribution network infrastructure is described which enforces eSIM uniqueness and conservation, and distributes network traffic to prevent "bottle necking" congestion. Additionally, one disclosed embodiment of the distribution network provides disaster recovery capabilities.

The exemplary embodiment of the network infrastructure for eSIM distribution includes three (3) logical entities: a number of eUICC appliances (or an "appliance cluster"), a number of eSIM depots, and persistent storage. Each eUICC appliance is further divided into a signing appliance, a security module, and secure storage. In one exemplary implementation, the secure storage is composed of volatile memory (such as Random Access Memory (RAM), Static RAM (SRAM), Dynamic RAM (DRAM)).

The eUICC appliance enforces eSIM uniqueness and conservation within the network infrastructure. Specifically, the signing appliance tracks one or more distributed eSIMs, and the issued challenges and/or known statuses associated therewith. The signing appliance instructs the security module to perform encryption and decryption of eSIMs that the signing appliance has received, or that the signing appliance will transmit. The signing appliance can also securely store eSIMs within the secure storage of the eUICC appliance. Thus, the exemplary configuration of the eUICC appliance ensures that each eSIM is accounted for (while stored at the eUICC appliance), and that each eSIM is delivered specifically encrypted for a destination device.

The eSIM depot also provides a distribution channel to prevent network "bottle-necking"; specifically, multiple eSIM depots can retain the same encrypted copy of an eSIM that has not yet been delivered to the destination eUICC. For example, the encrypted combination of eSIM, eUICC, and challenge can be cached in the eSIM depot for subsequent delivery. A device can retrieve the eSIM from any of the eSIM depots; even if one eSIM depot is unavailable, the device can retrieve the eSIM from any of the alternate eSIM depots. Once the device has received the eSIM, the device can decrypt and activate the eSIM.

The 13/095,716 application further discloses embodiments wherein the device can only import a copy from any of the eSIM depots once; the other copies stored at the other eSIM depots are removed, deleted, or rendered inactive thereafter. The device itself may enforce this restriction, or the eSIM depots may maintain synchronization communication, such as via an internal synchronization communication.

Furthermore, the various devices may, in some embodiments, additionally periodically back up their contents to a persistent storage. The persistent storage stores backup data that has been encrypted with a key specific to the device. In the event of a disaster, the persistent storage can provide its backup data, when provided with the appropriate key. In one exemplary embodiment, the persistent storage is composed of non-volatile memory (such as Flash, Hard Disk Drives (HDD), etc).

As yet another example of network architectures useful with the present invention, the invention of U.S. Patent Application Serial No. 13/457,333 discloses, inter alia, methods and apparatus for enabling secure electronic delivery of access control clients and associated network operator and user data to deployed devices. In one exemplary embodiment, a network infrastructure is disclosed that enables delivery of electronic subscriber identity modules (eSIMs) to secure elements (e.g., electronic Universal Integrated Circuit Cards (eUICCs), eUICC appliances, etc.) The network infrastructure enables management and movement of an inventory of eSIMs.

Moreover, various functions of the infrastructure can be flexibly partitioned and/or adapted such that individual parties (e.g., device manufacturers, network carriers, third party resalers, customers, etc.) can host portions of the infrastructure; such piecemeal solutions can advantageously be optimized for each individual party's needs.

In fact, unlike prior art monolithic networks (i.e., where each SIM card is adapted for operation with the specific network carrier only), the capabilities and flexibilities of eSIM-based network architectures introduce new technical and business niche areas including without limitation: manufacture, generation, maintenance and distribution of eSIMs. Consequently, as described in greater detail hereinafter, various aspects of the present invention relate to improved schemes for managing access control clients and secure elements.

In one exemplary embodiment, secure elements and access control clients are associated with, and maintain internal listings, of credentials that are trusted for various administrative actions. For example, the eUICC of each mobile device can verify the credentials for network entities, and authorize certain activities in accordance with the type and level of credential. As a brief aside, the term "credential" as used herein, broadly encompasses mechanisms adapted for authenticating a device, authorizing a level of access, and/or encrypting message exchanges. Common examples of credentials include but are not limited to shared cryptographic secrets (e.g., public/private key pair, private keys, signing keys, digital certificates, etc.), certificates, secure hashes, cryptographic residues, etc.

Furthermore, the term "profile" as used herein, broadly encompasses an account (e.g., a user account) associated with one or more access control clients and/or data. For example, an eSIM profile includes one or more eSIMs and a collection of personal data associated to a specific user or entity (e.g., a collection of users).

Profile Credentials - In one embodiment of the present invention, a profile includes at least: (i) a profile manufacturer signature, (ii) one or more allowed profile appliance credentials, (iii) one or more profile depot policies. The profile is additionally associated with an access control client (e.g., eSIM).

The profile manufacturer signature (i) is generated from the contents of the profile at the time of creation. For example, in one such variant, the profile manufacturer signs the manufactured eSIM profile with a signing key that is unique to the eSIM profile manufacturer. The profile manufacturer's signature is a component of the eSIM profile, and is only accessible when the eSIM profile has been unencrypted (i.e., the encrypted eSIM profile and profile manufacturer signature can be safely stored in unsecured computer media, or at intermediate entities without exposing the eSIM profile's credentials and/or sensitive information). Once decrypted (i.e., within the secure element), the profile manufacturer signature is proof that the profile is valid (i.e., has not been tampered with).

During operation a secure element (e.g., eUICC) can verify that the profile is suitable for use, by verifying the profile manufacturer's signature. Similarly, the secure element can verify that various entities may or may not be granted access to the profile, based on known associations with the profile manufacturer's signature. For example, a first profile manufacturer can be granted access to modify, enable, disable, delete, etc. any profile which has the profile manufacturer's signature (i.e., only profiles manufactured by the profile manufacturer). However, the first profile manufacturer is prohibited from altering profiles which do not bear the profile manufacturer's signature.

The one or more allowed profile appliance credentials (ii) and profile depot policies (iii) elements determine which profile appliances and/or depots the profile can be stored. For example, in one exemplary embodiment, an eSIM profile can only be stored within a select group of profile appliances (or alternately, the eSIM profile may be restricted from storage at a select group of profile appliances). During an eSIM transfer, the eUICC determines if the eSIM can be transferred to the destination profile appliance- if the destination profile appliance is invalid, then the transfer aborts. In other exemplary implementations, the profile depot policy ensures that each eSIM profile can only be transferred within a specified depot infrastructure(s), etc. In some embodiments, policies may be suggestions, rather than restrictions (e.g., such suggestions may be preferred for business reasons, etc.)

More generally, profile credentials are associated with an access control client, and can be verified by a secure element prior to executing the access control client. The profile credentials may also dictate how the access control client can be handled and/or devices that the access control client can be transferred to, or received from. Secure Element Credentials -

In one exemplary embodiment of the invention, every secure element (e.g., eUICC) has an associated secure element credential. The secure element credential enables secure reception of messages from other devices. In one exemplary Public Key Infrastructure (PKI) based implementation, a eUICC device has credentials that include a private key, and a public key that is used in attestation and encryption. For example, as described within co-owned, co-pending U.S. Patent Application No. 13/080,521 filed April 5, 2011, and entitled "METHODS AND APPARATUS FOR STORAGE AND EXECUTION OF ACCESS CONTROL CLIENTS", and co- owned, co-pending U.S. Provisional Patent Application No. 61/407,862 filed October 28, 2011 and entitled "METHODS AND APPARATUS FOR DELIVERING ELECTRONIC IDENTIFICATION COMPONENTS OVER A WIRELESS NETWORK" (now U.S. Patent Application Serial No. 13/111,801 filed on May 19, 2011, of the same title), each previously incorporated by reference in its entirety, the eUICC credentials include a public and private key pair. The private key can be used to decrypt the received encrypted packages, etc. The eUICC credential can initiate a secure "tunnel".

Specifically, U.S. Patent Application Serial No. 13/080,521 discloses, inter alia, secure methods and apparatus by which user equipment and any trusted third- party entity can mutually verify one another. It also discloses methods and apparatus that enable any third-party entity to become trusted, even after the user equipment has been deployed. For example, a mobile device (e.g., UMTS UE) can identify a third- party eSIM (e.g., virtual or electronic SIM - hereinafter "eSIM") vendor, and initiate a trusted dialog to purchase, acquire, or update its eSIM. Similarly, the third-party eSIM vendor can verify that the UE is a trusted device, and securely encode its eSIM for delivery. The trusted dialog is based on a unique device key and endorsement certificate; as described hereinafter, the device key is in one exemplary embodiment based on a public/private key cryptography.

Various aspects of the 13/080,521 invention are directed to secure reception of an access control client (in whole or part). Due to the sensitive nature of access control material for network operators, existing solutions have favored the use of physical card form factors. However, secure delivery of virtualized or electronic access control clients (e.g., eSIMs) is provided, thereby obviating requirements for physical cards and their associated limitations.

Moreover, unlike existing solutions, exemplary embodiments of the 13/080,521 disclosure enables delivery of access control client material without a preexisting access control client, thereby greatly enhancing user flexibility and use experience.

Moreover, a device (e.g., mobile user device) can activate and execute one of multiple stored access control clients (e.g., eSIMs). In particular, when loading an eSIM, the operating system (OS) need only load the list of software necessary for the current run-time environment This "sandboxing" effect ensures that multiple eSIMs can be utilized within the same device without inappropriate access to other eSIMs. U.S. Patent Application Serial No. 13/111,801 (discloses, inter alia, methods and apparatus for delivering an access control client to a device, over a network. In one exemplary embodiment therein, a cellular network can securely deliver an eSIM to a cellular device after the cellular device is deployed. In particular, the cellular device is pre-programmed with limited capabilities for connecting to the network. The cellular device has some limited access capabilities to connect to an update portal, but must receive a fully featured eSIM to make voice calls, receive and transmit user data, etc. For example, a user purchases a mobile device (e.g., a cellular phone) with a simple access module. The access module is configured to connect to the cellular network, authenticate the device, and enable the user to purchase or retrieve a full featured eSIM. The cellular network securely delivers the eSIM that is assembled and activated by the bootstrap OS.

One exemplary embodiment offset forth in the 13/111,801 disclosure includes an access module system that can facilitate delivery of components associated with an access control client (including for example, the operating system, and access control client components). After receiving properly delivered packages that have been correctly signed and/or encrypted, the operating system can assemble and load the components. In various incarnations, the packages can be used to deliver operating systems, access control clients, user account data, etc.

The 13/111,801 disclosure also contemplates software based updates for managing the entire life cycle of the wireless device. Accordingly, the flexibility allotted to the methodologies include capabilities for replacement of any software element of the wireless device, including even the access module, and/or operating system components. For example, a cellular device can receive an entirely new operating system to update its authentication algorithm.

Various other useful applications disclosed in the 13/111,801 application which may be useful with the embodiments disclosed herein include evolving security capabilities, updating revision control, post deployment provisioning of new features and services.

Once a secure connection has been set up with the secure element credential, additional credentials can be used to sign further exchanges to provide varying levels of access. For example, certain credentials may have specific functional capabilities, and/or access rights or restrictions. Such credentials may include, but are not limited to^*, (i) eUICC software platform credentials, (ii) profile policy credentials, (iii) eUICC profile manufacturer trust credentials, and/or (iv) OEM credentials, etc. Moreover, it is appreciated that various capabilities do not necessarily (but none-the-Iess may) overlap permissions to other capabilities. For example, certain credentials may enable software modification, whereas other credentials may be necessary for account management, the two credentials being entirely distinct from one another. These additional credentials may include a signed certificate, additional cryptography, etc.

In one such variant, the eUICC has a eUICC trust credential. The eUICC trust credential can be provided by the eUICC to other eUICCs or eUICC equivalent devices (e.g., profile appliances, etc.) to identify itself. For example, the eUICC trust credential can be a simple certificate issued by a Certificate Authority (CA). Similarly, received credentials can be verified and authorized by the eUICC based on a listing of allowed credentials (discussed in greater detail below)

Moreover, for every set of secure element credentials having the one or more capabilities, there is a complementary set of credentials associated with revocation and management of the one or more capabilities.

In one exemplary embodiment, a eUICC software platform credential enables trusted third party software developers to develop and distribute software patches and/or components. During operation, a network entity that presents a software platform credential (if successfully verified and authorized) can be trusted to provide software patches and/or components for a mobile device. In another such example, a profile policy credential can enable a party (such as a network carrier), to alter the eSIM profile policy (e.g., locking an eSIM to a network carrier, unlocking an eSIM to a network carrier, changing an eSIM to a different user account, etc.) This may find particular use in postponement type business schemes, such as those described within U.S. Patent Application No. 12/353,227 filed on January 13, 2009, and entitled "POSTPONED CARRIER CONFIGURATION", previously incorporated by reference in its entirety. In still other examples, various aspects of eSIM profiles and/or eUICC devices behavior can be modified with appropriate permissions. For instance, an eSIM profile manager credential can be used to verify/authenticate a trusted eSIM profile manager. Trusted eSIM profile managers are trusted to perform functions such as modify, add, delete, etc. various eSIMs stored within the eUICC. In some embodiments, the eSIM profile manager may further require administrative capabilities (i.e., access to all eSIMs on the device), or may be limited to various eSIMs associated with the eSIM profile manager, etc. In another such example, an OEM credential may enable a network entity to modify, add, delete, etc. the firmware associated with the eUICC device (non-specific to any particular eSIM). In some embodiments, the device manufacturer OEM credential may be synonymous with eSIM profile manager credentials, although this is by no means a requirement of practicing the invention.

Moreover, it is further appreciated that credentials may be required for communication between other network entities; for example, profile appliances may provide/receive credentials from other profile appliances to verify appliance to appliance transfers. Similarly, depots may provide/receive credentials from other depots, to verify depot to depot type transfers. Heterogenous transfers (e.g., appliance to depot and vice versa) may reuse existing credentials, or alternately may require a distinct set of specialized credentials.

Methods -

Referring now to FIG. 2, one embodiment of the generalized method 200 for managing access control clients and secure elements according to the invention is described.

At step 202 of the method 200, a package is selected for delivery to a device.

In one approach, the package is requested by the device. In alternative embodiments, the package is directed for transmission to the device (e.g., by a supervisory entity, etc.) In some use cases, a network entity may initiate a transfer to implement one or more network administrative actions. In other typical use cases, a mobile device may request changes to an access control client, secure element, etc.Common examples of such requests include: activating an eSIM profile, deactivating an eSIM profile, changing account information, locking an eUICC to a particular carrier network, unlocking an eUICC from a carrier network, etc.

Furthermore, typical devices include, but are not limited to, mobile devices, profile appliances, profile depots, etc. Still other device types may include client devices, network entities, third party entities, and the like. Moreover, virtually any combination of device to device transaction may benefit from various attributes and capabilities of the present invention. For example, a mobile device can communicate with a profile appliance, a profile appliance may communicate with other profile appliances, a profile appliance may communicate with a depot, a mobile device can communicate with a depot, and so forth.

In one exemplary embodiment of the present invention, the package includes a command, message, software patch, component, and/or access control client. Various examples of commands include enabling, disabling, adding, removing, etc. a function or capability of an access control client profile, or secure element. Examples of messages include notifications, indications, warnings, error messages, etc.

Software patches may include various portions of source code, executable binaries, etc. to modify operation of an access control client, or the secure element.

Similarly, examples of components and/or access control clients include eSIM profiles in whole or in part (various eSIM profiles may include USIM, CSIM, RUIM personalities, etc.)

Referring again to FIG. 2, at step 204, the package is wrapped with the appropriate credential. As previously noted, credentials may include shared cryptographic secrets (e.g., public/private key pair, private keys, signing keys, digital certificates, etc.), certificates, secure hashes, etc. Various credentials are further associated with an appropriate access level. Common examples of properties may include: profiles activity (enabling/disabling a profile), profile accounting (associating a profile to a device, a customer, an account, etc.), profile capabilities (adding, deleting, modifying profile), etc. Moreover, various of the aforementioned properties may or may not overlap.

In one embodiment, a package is encrypted with a public key that is associated with access rights for modifying profile capabilities (where the encrypted package can only be decrypted with the private key associated with an appropriate access level). In other embodiments, a package is appended with a certificate that is associated with certain access rights, the combination being encrypted with a generic public key. In still other embodiments, the package may be encrypted with a first credential, and signed with one or more subsequent credentials. Yet other combinations are also possible (e.g., multiple certificates, multiple levels of cryptography, challenge response transactions, etc.)

Moreover, where several credentials are suitable, selection of the appropriate credential may be based on prescribed criteria, such as e.g., the minimal access level required for appropriate wrapping. For example, network entities having so-called "root" capabilities (i.e., all rights, and all capabilities) may opt to wrap with only the minimum level required. Furthermore, in some embodiments, credentials may be granted by an external entity. For example, in some scenarios, a third party entity may retrieve (or be granted) an appropriate certificate for a package.

At step 206 of the method 200, the package is transmitted to the device.

Responsively, the device verifies the package and installs the package (see FIG. 3 and associated discussion). In some embodiments, the device may return confirmation of receipt. In yet other embodiments, the device may return confirmation of verification, and/or execution. In yet other embodiments, no confirmation is necessary.

FIG. 3 illustrates one embodiment of the generalized method of the invention for verifying a package, and executing or installing the package according to one or more credentials.

At step 302 of the method 300, one or more packages are received, where each package is associated with one or more credentials. In one variant, the credentials are indicative of the level of access associated with the package. For example, a certificate can be used to identify its level of access. In alternate embodiments, the credential can be verified for an appropriate access level (i.e., where not explicitly indicated). For instance, a private key verifies an appropriate access level (only the proper public key can encrypt the package for the private key).

At step 304, the credential is verified and in some cases authorized.

Verification of credentials may include, for instance, checking of a certificate, decrypting an encrypted message, etc. Proper verification of the credential may further include various secondary checks, such as for example, (i) verifying that the access level is commensurate with the received package, (ii) verifying that the access level is appropriate for the originating entity, and/or (iii) requesting verification from a device user, etc.

In some implementations of the method 300, mere verification alone is not sufficient. For example, in some cases a package may be offered by a verified party, but not authorized for installation. For example, in some embodiments, the secure element may not authorize offered changes (e.g., where a device has been locked to a policy)

In some embodiments, verification failure is ignored. For example, where a presented credential has an insufficient access level for the package, the package may be ignored and/or discarded. In yet other implementations, verification failures are flagged as errors, and additional attempts may be made to retry successful delivery of packages (e.g., for a prescribed number of re-attempts). In still other implementations, verification failures will result in revocation of credentials; for example, after a set number of verification failures the credentials associated with the source device are revoked (i.e., no further packages are accepted).

At step 306 of the method 300, the package is installed or executed in accordance with the verified credential. In some embodiments, installation history may also be stored for future reference if desired.

Exemplary Apparatus ~

Referring now to FIG. 4, one exemplary embodiment of an apparatus 400 according to, and useful for implementing the methods of, the present invention is illustrated.

The exemplary apparatus of FIG. 4 is a device with a processor subsystem 402 such as a digital signal processor, microprocessor, field-programmable gate array, or plurality of processing components mounted on one or more substrates. The processing subsystem may also comprise an internal cache memory. The processing subsystem is in data communication with a memory subsystem 404 comprising memory which may for example, comprise SRAM, flash and SDRAM components. The memory subsystem may implement one or a more of DMA type hardware, so as to facilitate data accesses as is well known in the ait. The memory subsystem contains computer-executable instructions which are executable by the processor subsystem.

In one exemplary embodiment, the apparatus 400 can include of one or more interfaces (406) adapted to connect to one or more other devices. In some embodiments, the one or more interfaces include wireless interfaces such as GSM, CDMA, UMTS, LTE/LTE-A, WiMAX WLAN (e.g., 802.11), Bluetooth, etc. by implementing the appropriate antenna and modem subsystems. Network or wired embodiments may implement wireline interfaces interfaces such as Ethernet, Gigabit Ethernet, optical transceivers, etc.

In some embodiments, the apparatus further comprises a user interface subsystem 408 that includes any number of well-known I/O mcluding, without limitation: a keypad, touch screen (e.g., multi-touch interface), LCD display, backlight, speaker, and/or microphone. However, it is recognized that in certain applications, one or more of these components may be obviated. For example, PCMCIA card-type client embodiments may lack a user interface (as they could piggyback onto the user interface of the host device to which they are physically and/or electrically coupled).

In the illustrated embodiment, the device includes a secure element 410 which contains and operates a eUICC (electronic Universal Integrated Circuit Card) application. The eUICC is capable of storing and accessing a plurality of access control clients, where the access control clients are configured to authenticate the user (or user entity) to a respective network. The secure element is accessible by the memory subsystem at the request of the processor subsystem. The secure element may also comprise a so-called "secure microprocessor" or SM of the type well known in the digital security arts.

FIG. 5 illustrates an exemplary software architecture useful for implementing the methods of the present invention. As illustrated, the eUICC application includes an eUICC software platform, and one or more profiles. The eUICC software platform includes without limitation: (i) profile policy credentials, (ii)eUICC trust credentials, (iii) eUICC profile manufacturer credentials, (iv) OEM credentials, (v) eUICC credentials, and (vi) eUICC software platform credentials. Each profile includes, inter alia, a profile depot policy, an allowed profile appliance credentials, and a profile manufacturer's signature. During operation, only one profile is active.

Furthermore, realizations of the secure element are adapted for enabling access to various portions of the secure element based on one or more access levels associated with one or more corresponding credentials. For example, various credentials may enable message notification queues, software installation, data transfer, etc.

Still other realizations of the eUICC are adapted for accessing various portions of an external device based on one or more access levels associated with one or more credentials. For example, various credentials may enable message delivery, software delivery, data transfer, etc.

It will be recognized that while certain aspects of the invention are described in terms of a specific sequence of steps of a method, these descriptions are only illustrative of the broader methods of the invention, and may be modified as required by the particular application. Certain steps may be rendered unnecessary or optional under certain circumstances. Additionally, certain steps or functionality may be added to the disclosed embodiments, or the order of performance of two or more steps permuted. All such variations are considered to be encompassed within the invention disclosed and claimed herein.

While the above detailed description has shown, described, and pointed out novel features of the invention as applied to various embodiments, it will be understood that various omissions, substitutions, and changes in the form and details of the device or process illustrated may be made by those skilled in the art without departing from the invention. The foregoing description is of the best mode presently contemplated of carrying out the invention. This description is in no way meant to be limiting, but rather should be taken as illustrative of the general principles of the invention. The scope of the invention should be determined with reference to the claims.

Claims

WHAT IS CLAIMED IS:

1, A wireless apparatus, comprising:

one or more wireless links configured to communicate with at least one network;

a secure element configured to store an access control client;

an interface to the secure element, the interface having one or more credentials associated therewith;

a processor; and

a storage device in data communication with the processor, the storage device comprising computer-executable instructions, the computer-executable instructions configured to, when executed by the processor:

receive an access attempt to at least one of: (i) the access control client, and (ii) the secure element, the access attempt further comprising a submitted credential;

attempt to verify the submitted credential with the one of more associated credentials; and

enable the access attempt when the submitted credential is successfully verified.

2. The device of Claim 1, wherein the computer-executable instructions further comprise instructions configured to, when executed:

determine a level of access allowed based at least in part on the submitted credential; and

grant only the access allowed based at least in part on the determined level of access.

3. The device of Claim 1, wherein the access attempt is accompanied by a software package configured to perform an operation.

4. The device of Claim 3, wherein the operation has a respective level of access and is only performed if the level of access is allowed

5. The device of Claim 3, wherein the operation to be performed is selected from the group consisting of: (i) activation or deactivation at least the access control client, (ii) a change account information (iii) a lock of the secure element to a particular network provider, (iv) an unlock of the secure element from a particular network provider, and (v) installation of a software component.

6. The device of Claim 1, wherein the access control client comprises an electronic Subscriber Identity Module (eSIM).

7, A method for managing one or more access control clients, comprising:

receiving a request to access a secure element and one or more access control clients, the request being accompanied by one or more access credentials;

determimng based at least in part on the received one or more access credentials, when access the secure element and the one or more access control clients is authorized; and

providing access to the requested secure element and the one or more access control clients based at least in part on the determination.

8. The method of Claim 7, further comprising executing one or more managerial operations, the one or more managerial operations being part of the request for access.

9. The method of Claim 8, wherein the determination includes an access level associated with the received one or more access credentials.

10. The method of Claim 9, wherein the one or more managerial operations have a respective one or more permission levels.

11. The method of Claim 10, wherein individual ones of the one or more managerial operations are only executed if the respective permission level therefor are permitted by the determined access level associated with the received one or more access credentials.

12. The method of Claim 11 , wherein the one or more managerial operations are selected from the group consisting of: (i) installation of an access control client, (ii) deletion of an access control client, (iii) modification of an access control client, and (iv) and update of software elements.

13. The method of Claim 7, wherein the one or more access control clients comprise electronic Subscriber Identity Modules (eSlMs).

14. A mobile device, comprising:

a processor;

a secure element configured to store one or more access control clients; one or more wireless interfaces configured to communicate with at least one wireless network using the one or more access control clients; and

a storage device in data communication with the processor, the storage device comprising computer-executable instructions, the computer-executable instructions configured to, when executed by the processor:

receive a request for access to the secure element, the request for access including at least one credential; and

allow the requested access upon a determination that the at least credential has access privileges to the requested secure element.

15. The device of Claim 14, wherein the computer-executable instructions further comprise instructions configured to, when executed:

evaluate access rights associated with the at least one credential;

permit only actions associated with the request for access which are allowed by the evaluated access rights; and

perform the permitted actions.

16. The device of Claim 14, wherein the one or more access control clients comprise electronic Subscriber Identity Modules (eSIMs).

17. A computer-readable apparatus comprising a storage medium having a plurality of instructions disposed thereon, the instructions configured to, when executed by a processor of a host device:

receive a request to access a secure element, the secure element configured to store one or more access control clients;

evaluate access rights information provided as part of the request to determine whether the access rights information is approved to access the secure element; and grant access to the secure element upon a determination that the access is approved.

18. The computer-readable apparatus of Claim 17, wherein the one or more access control clients comprise electronic Subscriber Identity Modules (eSIMs).

19. The computer-readable apparatus of Claim 17, wherein the request to access the secure element is accompanied by a request to access one or more access control clients.

20. The computer-readable apparatus of Claim 19, wherein the instructions are further configured to, when executed by the processor:

evaluate access rights associated with the request to access the one or more access control clients; and

permit access to the one or more access control clients upon a determination that the access is approved;

wherein the request to access the one or more access clients includes an operation to be performed on the one or more access clients.