Title of Invention

A METHOD FOR ENHANCING APPLICATION LAYER COMMUNCIATION SECURITY

Abstract Systems and methods for enhancing electronic communication security are provided. An electric communication related to an application is received and stored. One or more risk assessments are made with respect to the received communication thereby generating a risk profile associated with the communication. The risk profile is analyzed with respect to data associated with previously received communications to determine if the received communication is anomalous. If the received communication is determined to be anomalous, an anomaly indicator signal is output.
Full Text SYSTEMS AND METHODS FOR ENHANCING ELECTRONIC COMMUNICATION SECURITY
CROSS-REFERENCE TO RELATED PATENT APPLICATIONS
This application claims priority to U S patent application nos 10/361,091 and 10/361,067 filed on February 7,2003 and application nos 10/093,553,10/094,211, and 10/094,266 all filed on March 8, 2002, which applications are all hereby incorporated herein in their entirety
BACKGROUND
The present invention is directed to systems and methods for enhancing security associated with electronic communications More specifically, without limitation, the present invention relates to computer-based systems and methods for assessing security risks associated with electronic communications transmitted over a communications network Further, the present invention in some embodiments relates to computer-based systems and methods for assessing security risks assocjated with electronic communications transmitted over a communications network and for responding to a range of threats to messaging systems
The Internet is a global network of connected computer networks Over the last several years, the Internet has grown in significant measure A large number of computers on the Internet provide information in various forms Anyone with a computer connected to the Internet can potentially tap into this vast pool of information
The information available via the Internet encompasses information available via a variety of types of application layer information servers such as SMTP (simple mail transfer protocol), POP3 (Post Office Protocol), GOPHER (RFC 1436), WAIS, HTTP (Hypertext Transfer Protocol, RFC 2616) and FTP (file transfer protocol, RFC 1123)
One of the most wide spread method of providing information over the Internet is via the World Wide Web (the Web) The Web consists of a subset of the computers connected to the Internet, the computers in this subset run Hypertext Transfer Protocol (HTTP) servers (Web servers) Several extensions and modifications to HTTP have
been proposed including, for example, an extension framework (RFC 2774) and authentication (RFC 2617) Information on the Internet can be accessed through the use of a Uniform Resource Identifier (URI, RFC 2396) A URI uniquely specifies the location of a particular piece of information on the Internet A URI will typically be composed of several components The first component typically designates the protocol by which the address piece of information is accessed (e g., HTTP, GOPHER, etc ) This first component is separated from the remainder of the URI by a colon (') The remainder of the URI will depend upon the protocol component Typically, the remainder designates a computer on the Internet by name, or by IP number, as well as a more specific designation of the location of the resource on the designated computer For instance, a typical URI for an HTTP resource might be
http //www.serverxom/dirl/dir2/resource htm where http is the protocol, www server com is the designated computer and /dirl/dir2/resouce htm designates the location of the resource on the designated computer The term URI includes Uniform Resource Names (URN's) including URN's as defined according to RFC 2141
Web servers host information in the form of Web pages; collectively the server and the information hosted are referred to as a Web site A significant number of Web pages are encoded using the Hypertext Markup Language (HTML) although other encodings using extensible Markup Language (XML) or XHTML The published specifications for these languages are incorporated by reference herein; such specifications are available from the World Wide Web Consortium and its Web site (http //www w3c org) Web pages in these formatting languages may include links to other Web pages on the same Web site or another As will be known to those skilled in the art, Web pages may be generated dynamically by a server by integrating a variety of elements into a formatted page prior to transmission to a Web client Web servers, and information servers of other types, await requests for the information from Internet clients
Client software has evolved that allows users of computers connected to the Internet to access this information Advanced clients such as Netscape's Navigator and
Microsoft's Internet Explorer allow users to access software provided via a variety of information servers in a unified client environment Typically, such client software is referred to as browser software
Electronic mail (e-mail) is another wide spread application using the Internet A variety of protocols are often used for e-mail transmission, delivery and processing including SMTP and POP3/MAPI (Messaging Application Programming Interface) as discussed above. These protocols refer, respectively, to standards for communicating e-mail messages between servers and for server-client communication related to e-mail messages These protocols are defined respectively in particular RFC's (Request for Comments) promulgated by the IETF (Internet Engineering Task Force) The SMTP protocol is defined in RFC 821 and 822, and the POP3 protocol is defined in RFC 1939 MAPI is a protocol developed by Microsoft (Microsoft Corp , Redmond, WA) for allowing higher level communication and organization for mail-capable application than provided through the POP3 protocol, the reference manual for MAPI can be found through Microsoft's online reference manual (http //msdn microsoft com/library/) In addition, the IMAP protocol has evolved as an alternative to POP3 that supports more advanced interactions between e-mail servers and clients This protocol is described in RFC 2060
Since the inception of these standards, various needs have evolved in the field of e-mail leading to the development of further standards including enhancements or additional protocols For instance, various enhancements have evolved to the SMTP standards leading to the evolution of extended SMTP Examples of extensions may be seen in (1) RFC 1869 that defines a framework for extending the SMTP service by defining a means whereby a server SMTP can inform a client SMTP as to the service extensions it supports and in (2) RFC 1891 that defines an extension to the SMTP service, which allows an SMTP client to specify (a) that delivery status notifications (DSNs) should be generated under certain conditions, (b) whether such notifications should return the contents of the message, and (c) additional information, to be returned with a DSN, that allows the sender to identify both the reciprent(s) for which the DSN was issued, and the transaction in which the original message was sent
Both HTTP and SMTP communicate in a standard configuration communicate messages over an open (unencrypted) channel To enhance security of transmissions various technological advance have been implemented. For both these protocols, two approaches have evolved channel encryption and message encryption Channel encryption provides for establishing a secure channel where any amount of data can be communicated using an established encryption Message encryption provides for establishing encryption of individual messages, which are then forwarded over a particular channel These approaches can be combined leading to two levels of encryption one at the channel level and one at the message level
For HTTP, a particular form of message level encryption has been adopted as a standard referred to as S-HTTP The specifics of this protocol can be found in RFC 2660 HTTP requests and responses support communication of data according to the MIME (Multipurpose Internet Mail Extensions) standard (RFC) A security enhanced version of this has been implemented and referred to as S/MIME (Secure/ Multipurpose Internet Mail Extensions), this security enhanced version also can provide for a measure of message level encryption Specific details of S/MIME can be found at RFC 2311 and 2633; additional details surrounding use of S/MIME are defined in a variety of other RFC's including without limitation RFC 2312,2632,2634,2785-6,2984, 3058,3114, 3125-6,3183,3185,3211,3217-8, 3274,3278,3369-70 and 3394 (further details on current S/MIME development can be found at the IETF's S/MIME Charter home page http //www letf org/html charters/smirne-charter.html)
For channel level encryption, early development by Netscape Communications led to the SSL (Secure Socket Layer) protocol, documentation for version 3 0 can be found at http //wp netscape com/eng/ssl3/ssl-toc html. This channel encryption mechanism is commonly used and URLs indicate use of this protocol through use of https rather than http A newer technology that is intended as backward compatible with SSL is TLS (Transport Layer Security), a full description of this can be found in RFC 2246 Additional details surrounding use of TLS are defined in a variety of other RFC's including without limitation RFQ2712, 2817-8 and 3268 (further details on
current TLS development can be found at the IETF's TLS Charter home page http //www letf org/html charters/smime-charter html)
For SMTP, similar technologies have been applied For message level encryption, various forms of public key encryption technology have been used One of the most prevalently used public key encryption technologies is leferred to as PGP (PRETTY GOOD PRIVACY) S/MIME can also be used in conjunction with SMTP delivered messages As with HTTP, SSL or TLS can be used as a channel level encryption mechanism Further, both channel and one or more forms of message encryption can be used in connection with secure SMTP delivery
The various standards discussed above are hereby incorporated by reference herein for all purposes The standards referred to by RFC's are available to the public through the IETF and can be retrieved from its Web site (http.//www.ietf org/rfc html) The specified protocols are not intended to be limited to the specific RFC's quoted herein above but are intended to include extensions and revisions thereto Such extensions and/or revisions may or may not be encompassed by current and/or future RFC's
A host of e-mail server and client products have been developed in order to foster e-mail communication over the Internet E-mail server software includes such products as sendmail-based servers, Microsoft Exchange, Lotus Notes Server, and Novell GroupWise, sendmail-based servers refer to a number of variations of servers originally based upon the sendmail program developed for the UNIX operating systems A large number of e-mail clients have also been developed that allow a user to retrieve and view e-mail messages from a server, example products include Microsoft Outlook, Microsoft Outlook Express, Netscape Messenger, and Eudora In addition, some e-mail servers, or e-mail servers in conjunction with a Web server, allow a Web browser to act as an e-mail client using the HTTP standard
As the Internet has become more widely used, it has also created new risks for corporations Breaches of computer security by hackers and intruders and the potential for compromising sensitive corporate information are a very real and serious threat
Organizations have deployed some or all of the following security technologies to protect their networks from Internet attacks
Firewalls have been deployed at the perimeter of corporate networks Firewalls act as gatekeepers and allow only authorized users to access a company network Firewalls play an important role in controlling traffic into networks and are an important first step to provide Internet security
Intrusion detection systems (IDS) are being deployed throughout corporate networks While the firewall acts as a gatekeeper, IDS act like a video camera IDS monitor network traffic for suspicious patterns of activity, and issue alerts when that activity is detected IDS proactively monitor your network 24 hours a day in order to identify intruders within a corporate or other local network
Firewall and IDS technologies have helped corporations to protect their networks and defend their corporate information assets However, as use of these devices has become widespread, hackers have adapted and are now shifting their point-of-attack from the network to Internet applications The most vulnerable applications are those that require a direct, "always-open" connection with the Internet such as web and e-mail As a result, intruders are launching sophisticated attacks that target security holes within these applications
Many corporations have installed a network firewall, as one measure in controlling the flow of traffic in and out of corporate computer networks, but when it comes to Internet application communications such as e-mail messages and Web requests and responses, corporations often allow employees to send and receive from or to anyone or anywhere inside or outside the company This is done by opening a port, or hole in their firewall (typically, port 25 for e-mail and port 80 for Web), to allow the flow of traffic Firewalls do not scrutinize traffic flowing through this port This is similar to deploying a security guard at a company's entrance but allowing anyone who looks like a serviceman to enter the building An intruder can pretend to be a serviceman, bypass the perimeter security, and compromise the serviced Internet application
FIG 1 depicts a typical pnor art server access architecture With in a corporation's local network 190, a variety of computer systems may reside These systems typically include application servers 120 such as Web servers and e-mail servers, user workstations running local clients 130 such as e-mail readers and Web browsers, and data storage devices 110 such as databases and network connected disks These systems communicate with each other via a local communication network such as Ethernet 150 Firewall system 140 resides between the local communication network and Internet 160 Connected to the Internet 160 are a host of external servers 170 and external clients 180
Local clients 130 can access application servers 120 and shared data storage 110 via the local communication network. External clients 180 can access external application servers 170 via the Internet 160 In instances where a local server 120 or a local client 130 requires access to an external server 170 or where an external client 180 or an external server 170 requires access to a local server 120, electronic communications in the appropriate protocol for a given application server flow through "always open" ports of firewall system 140
The security risks do not stop there After taking over the mail server, it is relatively easy for the intruder to use it as a launch pad to compromise other business servers and steal critical business information This information may include financial data, sales projections, customer pipelines, contract negotiations, legal matters, and operational documents This kind of hacker attack on servers can cause immeasurable and irreparable losses to a business
In the 1980's, viruses were spread mainly by floppy diskettes In today's interconnected world, applications such as e-mail serve as a transport for easily and widely spreading viruses Viruses such as "I Love You" use the technique exploited by distributed Denial of Service (DDoS) attackers to mass propagate. Once the "I Love You" virus is received, the recipient's Microsoft Outlook sends emails carrying viruses to everyone in the Outlook address book The "I Love You" virus infected millions of computers within a short time of its release Trojan horses, such as Code Red use this
same technique to propagate themselves Viruses and Trojan horses can cause significant lost productivity due to down time and the loss of crucial data
The Nimda worm simultaneously attacked both email and web applications It propagated itself by creating and sending infectious email messages, infecting computers over the network and striking vulnerable Microsoft IIS Web servers, deployed on Exchange mail servers to provide web mail
Most e-mail and Web requests and responses are sent in plain text today, making it just as exposed as a postcard This includes the e-mail message, its header, and its attachments, or in a Web context, a user name and password and/or cookie information in20 an HTTP request In addition, when you dial into an Internet Service Provider (ISP) to send or receive e-mail messages, the user ID and password are also sent in plain text, which can be snooped, copied, or altered This can be done without leaving a trace, making it impossible to know whether a message has been compromised
As the Internet has become more widely used, it has also created new troubles for users In particular, the amount of "spam" received by individual users has increased dramatically in the recent past Spam, as used in this specification, refers to any communication receipt of which is either unsolicited or not desired by its recipient
The following are additional security risks caused by Internet applications
• E-mail spamming consumes corporate resources and impacts productivity Furthermore, spammers use a corporation's own mail servers for unauthorized email relay, making it appear as if the message is coming from that corporation
• E-mail and Web abuse, such as sending and receiving inappropriate messages and Web pages, are creating liabilities for corporations Corporations are increasingly facing litigation for sexual harassment or slander due to e-mail their employees have sent or received
• Regulatory requirements such as the Health Insurance Portability and Accountability Act (HIPAA) and the Gramm-Leach-Bliley Act (regulating financial institutions) create liabilities for companies where confidential patient
or client information may be exposed in e-mail and/or Web servers or communications including e-mails, Web pages and HTTP requests Using the "always open" port, a hacker can easily reach an appropriate Internet application server, exploit its vulnerabilities, and take over the server. This provides hackers easy access to information available to the server, often including sensitive and confidential information The systems and methods according to the present invention provide enhanced security for communications involved with such Internet applications requiring an "always-open" connection
Anti-spam systems in use today include fail-open systems in which all incoming messages are filtered for spam In these systems, a message is considered not to be spam until some form of examination proves otherwise A message is determined to be spam based on an identification technique Operators of such systems continue to invest significant resources in efforts to reduce the number of legitimate messages that are misciassified as spam The penalties for any misclassification are significant and therefore most systems are designed to be predisposed not to classify messages as spam
One such approach requires a user to explicitly list users from whom email is desirable Such a list is one type of "whitelist" There are currently two approaches for creating such a whitelist In a desktop environment, an end-user can import an address book as the whitelist This approach can become a burden when operated at a more central location such as the gateway of an organization Therefore, some organizations only add a few entries to the whitelist as necessary In that case, however, the full effect of whitehsting is not achieved The present invention improves upon these systems by including a system that allows a more effective solution for whitehsting while requiring reduced manual effort by end-users or administrators The present invention also allows a whitelist system to be strengthened by authenticating sender information
Other systems in use today employ a fail-closed system in which a sender must prove its legitimacy A common example of this type of system uses a challenge and response Such a system blocks all messages from unknown senders and itself sends a
confirmation message to the sender The sender must respond to verify that it is a legitimate sender If the sender responds, the sender is added to the whitehst However, spammers can create tools to respond to the confirmation messages Some confirmation messages are more advanced in an effort to require that a human send the response The present invention is an improvement upon these systems The present invention can reference information provided by users to determine who should be whitehsted rather than rely on the sender's confirmation The systems and methods according to the present invention provide enhanced accuracy in the automated processing of electronic communications
U S Patent No 6,052,709, the disclosure of which is incorporated herein by this reference, assigned to Bright Light Technologies discloses a system for collecting spam messages so that rules can be created and sent to servers The disclosed system includes the steps of data collection, rule creation, and distribution of rules to clients The disclosed system is directed to a particular method of data collection for spam messages No system or method for creating rules based on input data are disclosed Nor does it disclose a systematic approach to generating rules Furthermore, the disclosed system is limited to spam threats and only allows one type of input The threat management center of the present invention is operative on all messaging threats including, but not limited to, spam, virus, worms, Trojans, intrusion attempts, etc The threat management center of the present invention also includes novel approaches to the process of rule creation Additionally, the present invention improves on the state of the art by providing a more generalized and useful data collection approach The data collection system of the present invention includes modules that process input into data that can be used by the rule creation process The present invention can also use feedback from application layer security servers as input to the rule creation process
U S Patent Application Serial No 10/154,137 (publication 2002/0199095 Al), the disclosure of which is incorporated herein by this reference, discloses a system for message filtering The disclosed system allows spam messages to be forwarded to a database by users of the system In contrast, the systems and methods of the present invention do not rely on the users, rather the messaging security system(s) can
automatically determine spam using identification techniques and then forward the results to a database The system of the present invention can add known spam messages as well as misclassified messages forwarded by users to the database to retrain the system Systems known in the art require the forwarding of entire messages to the databases In the present invention, individual messaging or application layer security systems can extract meaningful features from spam messages, threatening messages and/or non-spam/non-threatenmg messages and forward only relevant features to a database
U S Patent No 6,161,130, the disclosure of which is incorporated herein by this reference, discloses a technique for detecting "junk" email The disclosed system is operative only on spam and not the entire class of messaging security threats The inputs for the disclosed system are limited spam and non-spam e-mail. This patent discloses text analysis based features such as the tokens in a message This patent discloses "predefined handcrafted distinctions" but does not further disclose what they are or how these can be created The system of the present invention can classify based on not only the text analysis but also other features of messages Additionally, the system of the present invention can include fully automated feature extraction for nontext based features
In addition, known security systems have been developed to provide peer-to-peer communication of threat information Such systems are typically designed for a ring of untrusted peers and therefore address trust management between the peers Additionally, current peer-to-peer systems do not have a central entity The system of the present invention operates between a set of trusted peers; therefore, trust management need not be addressed by the present invention Further, a centralized threat management system coordinates threat information among multiple trusted application layer security systems communicating in a peer-to-peer manner Therefore, the threat notification system can process more real-time data exchange This makes the distributed IDS (intrusion detection system) more scalable
In addition, current systems only exchange intrusion alerts These systems can only notify each other of attacks of which they are aware While the underlying
detection method could be misuse or anomaly detection, the data exchanged is only the detected attack information The system of the present invention distributes more general information about traffic patterns as well as specific threat information As a non-limiting example, if anomaly detection is used, the system of the present invention can exchange the underlying statistics instead of waiting for the statistics to indicate an attack Exchanged statistics can include information about the frequency of certain attacks Therefore, even if other systems already have a signature for a certain attack, the system of the present invention will notify them of an outbreak of this attack Additionally, traffic patterns can be exchanged among peers and that information can be further processed by the other peers to infer a global view of traffic patterns This information exchange can be similar to routing protocols that allow each node to infer a global view of the network topology
SUMMARY
The present invention is directed to systems and methods for secure delivery of electronic communications A typical architecture can include one or more of the following components 1) a centralized threat management center that can collect threat information and create rules and/or policies for messaging security systems, 2) a peer-to-peer based messaging notification system that is operative between messaging security systems, and 3) a hierarchical messaging pushback system that blocks communications as close as possible to the source by sending notifications to systems on a path towards the source
A preferred embodiment according to the present invention for a secure electronic communication delivery system, or as an overall environment supporting a variety of features including secure delivery, includes a system data store (SDS), a system processor and one or more interfaces to one or more communications networks over which electronic communications are transmitted and received The SDS stores data needed to provide the desired system functionality and may include, for example, received communications, data associated with such communications, information related to known security risks, configuration data regarding secure delivery mechanisms, recipient secure delivery preferences, information related to corporate policy with respect to communications for one or more applications (e g, corporate e-mail policy, Web access guidelines, message interrogation parameters, and whitehsts) and predetermined responses to the identification of particular security risks, situations or anomalies
The SDS may include multiple physical and/or logical data stores for storing the various types of information Data storage and retrieval functionality may be provided by either the system processor or data storage processors associated with the data store. The system processor is in communication with the SDS via any suitable communication channel(s), the system processor is in communication with the one or more interfaces via the same, or differing, communication channel(s) The system processor may include one or more processing elements that provide electronic
communication reception, transmission, interrogation, analysis and/or other functionality
In a threat management center, the SDS may further include one or more sets of threat management goals and/or one or more sets of test data Accordingly, one preferred threat management method includes a variety of steps that may, in certain embodiments, be executed by the environment summanzed above and more fully described below or be stored as computer executable instructions in and/or on any suitable combination of computer-readable media Threat information is received from one or more sources, such sources can include external security databases and threat information data from one or more application and/or network layer security systems The received threat information is reduced into a canonical form Features are extracted from the reduced threat information, these features in conjunction with configuration data such as goals are used to produce rules In some embodiments, these rules are tested against one or more sets of test data and compared against the same or different goals, if one or more tests fail, the rules are refined until the tests succeed within an acceptable margin of error The rules are then propagated to one or more application layer security systems
One preferred threat pushback method includes a variety of steps that may, in certain embodiments, be executed by the environment summanzed above and more fully described below or be stored as computer executable instructions in and/or on any suitable combination of computer-readable media A communication is received A threat profile associated with the received communication is generated In some cases, the generation occurs through application of one or more tests to the received communication, wherein each of the one or more tests evaluates the received communication for a particular security risk In other instance, a manual entry of a threat profile via a provided interface serves to generate the threat profile The threat profile is compared with configuration information Typically, configuration information can include threat types of interest and weights associated therewith In some embodiments, the comparison is accomplished by calculating a threat value from the threat profile and determining whether the threat value satisfies a predetermined
threat condition If the comparison indicates the received communication represents a threat, one or more computer addresses in a back path of the received communication are identified, and information based upon the stored threat profile is outputted
In some embodiments, identified address along the back path are authenticated prior to propagation of threat information In other embodiments, an interface may be provided to allow establishing configuration information regarding one or more threat types, wherein configuration information comprises threat types of interest and weights associated therewith
Accordingly, one preferred method of whitelist usage includes a variety of steps that may, in certain embodiments, be executed by the environment summarized above and more fully described below or be stored as computer executable instructions in and/or on any suitable combination of computer-readable media In some embodiments, an electronic communication directed to or originating from an application server is received The source of the electronic communication may be any appropriate internal or external client or any appropriate internal or external application server One or more tests are applied to the received electronic communication to evaluate the received electronic communication for a particular security risk A risk profile associated with the received electronic communication is stored based upon this testing The stored risk profile is compared against data accumulated from previously received electronic communications to determine whether the received electronic communication is anomalous If the received communication is determined to be anomalous, an anomaly indicator signal is output The output anomaly indicator signal may, in some embodiments, notify an application server administrator of the detected anomaly by an appropriate notification mechanism (e g, pager, e-mail, etc ) or trigger some corrective measure such as shutting down the application server totally, or partially (e.g , deny access to all communications from a particular source)
Some embodiments may provide support for communicating information based upon the stored risk profile to a threat notification system to a further security appliance or further security appliances Without limitation, such security appliances can include threat management centers and other application layer security systems Such
communication of information can be instead of, or in addition to, any anomaly indicator signal In some embodiments, anomaly detection need not occur nor does an anomaly indicator signal need to be output
In some embodiments, an electronic communication directed to or originating from an email server is received One or more tests can be applied to the received electronic communication to compare the sender's address in the received electronic communication to addresses contained in one or more whitehsts
Some embodiments may also support a particular approach to testing the received electronic communication, which may also be applicable for use in network level security and intrusion detection In such embodiments, each received communication is interrogated by a plurality of interrogation engines where each such interrogation engine is of a particular type designed to test the communication for a particular security nsk Each received communication is interrogated by a series of interrogation engines of differing types The ordering and selection of interrogation engine types for use with received communications may, in some embodiments, be configurable, whereas in others the ordering and selection may be fixed
Associated with each interrogation engine is a queue of indices for communications to be evaluated by the particular interrogation engine When a communication is received, it is stored and assigned an index The index for the receive communication is placed in a queue associated with an interrogation of a particular type as determined by the interrogation engine ordering. Upon completion of the assessment of the received communication by the interrogation engine associated with the assigned queue, the index is assigned to a new queue associated with an interrogation engine of the next type as determined by the interrogation engine ordering The assignment process continues until the received communication has been assessed by an interrogation engine of each type as determined by the interrogation engine selection If the communication successfully passes an interrogation engine of each type, the communication is forwarded to its appropriate destination In some embodiments, if the communication fails any particular engine, a warning indicator signal may be output, in some such embodiments, the communication may then be
forwarded with or without an indication of its failure to its appropriate destination, to an application administrator and/or both
In some embodiments, the system can use a selected secure delivery mechanism for forwarding of the message to its destination Such secure delivery can occur as an independent standalone system requiring none of the interrogation and/or threat management features discussed above or below, or may work within an integrated environment providing some, or all, of the discussed features
The present invention can provide secure communication services by securing a communication link (channel-layer security) or by securing the data sent (message-layer security) Channel-layer and message-layer security can be provided separately or in combination Some preferred embodiments of the present invention can provide a channel-layer security using SSL or TLS One preferred embodiment of the present invention can send and/or receive electronic communications including, as a non-limiting example, e-mail and Web requests and responses In addition, or alternatively, the present invention can send and/or receive other forms of electronic communication such as instant messages, files, pager messages, and voice using applicable protocols
Accordingly, one preferred method of secure delivery includes a variety of steps that may, in certain embodiments, be executed by the environment summarized above and more fully descnbed below or be stored as computer executable instructions in and/or on any suitable combination of computer-readable media An electronic communication is received In some embodiments, a determination is made as to whether the received communication requires secure delivery, in some such embodiments, a configured default may require secure delivery In other embodiments, no determination need be made as secure delivery is assumed Secure delivery of the communication to a predetermined recipient is attempted The attempt uses a secure delivery mechanism selected from a group of one or more available delivery mechanisms In some embodiments, if the first attempt fails, a second delivery mechanism is chosen and an attempt to deliver via this second mechanism occurs In some such embodiments, repeated attempts to deliver by different mechanisms may occur until successful delivery or until exhaustion of available mechanisms
In some embodiments using this queuing approach, the assignment of an index for a received communication to a queue for an interrogation engine of a particular type may involve an evaluation of the current load across all queues for the particular interrogation engine type If a threshold load exists, a new instance of an interrogation engine of the particular type may be spawned with an associated index queue The index for the received communication may then be assigned to the queue associated with the interrogation engine instance In some embodiments, the load across the queues associated with the particular type may be redistributed across the queues including the one associated with the new interrogation engine instance prior to the assignment of the index associated with the newly received communication to the queue Some embodiments may also periodically, or at particular times such as a determination that a particular queue is empty, evaluate the load across queues for a type of interrogation engine and if an inactivity threshold is met, shutdown excess interrogation instances of that type and disassociating or deallocating indices queues associated with shutdown instances
Alternatively, a fixed number of interrogation engines of each particular type may be configured in which case dynamic instance creation may or may not occur In fixed instance embodiments not supporting dynamic instance creation, assignment to a particular queue may result from any appropriate allocation approach including load evaluation or serial cycling through queues associated with each interrogation engine instance of the particular type desired
In some embodiments, anomaly detection may occur through a process outlined as follows In such a process, data associated with a received communication is collected The data may be accumulated from a variety of source such as from the communication itself and from the manner of its transmission and receipt The data may be collected in any appropriate manner such as the multiple queue interrogation approach summarized above and discussed in greater detail below Alternatively, the data collection may result from a parallel testing process where a variety of test is individually applied to the received communication in parallel In other embodiments, a single combined analysis such as via neural network may be applied to
simultaneously collect data associated with the received communication across multiple dimensions
The collected data is then analyzed to determine whether the received communication represents an anomaly The analysis will typically be based upon the collected data associated with the received communication in conjunction with established communication patterns over a given time period represented by aggregated data associated with previously received communicarions The analysis may further be based upon defined and/or configurable anomaly rules In some embodiments, analysis may be combined with the data collection, for instance, a neural network could both collect the data associated with the received communication and analyze it
The adaptive communication interrogation can use established communication patterns over a given time period represented by aggregated data associated with previously received communications The analysis can further be based upon defined and/or configurable spam rules In some embodiments, analysis can be combined with the data collection, for instance, a neural network could both collect the data associated with the received communication and analyze it
Finally, if an anomaly is detected with respect to the received communication, an indicator signal is generated The generated signal may provide a warning to an application administrator or tngger some other appropriate action In some embodiments, the indicator signal generated may provide a generalized indication of an anomaly, in other embodiments, the indicator may provide additional data as to a specific anomaly, or anomalies, detected In the latter embodiments, any warning and/or actions resulting from the signal may be dependent upon the additional data
Data collected from received communications can be analyzed to determine whether the received communication is on one or more whitelists The analysis is typically based upon the collected data associated with the received communication in conjunction with reference to one or more whitehsts. If no match to a whitelist is found, the communication can be subject to a certain level of interrogation If a match to the whitehst is found, the communication can either bypass any message interrogation or it can be subject to a different level of interrogation In one preferred
embodiment, if a match to a whitelist is found, the message can be subject to either adaptive message interrogation or no message interrogation If no match to a whitehst is found, the message can be subject to normal message interrogation Additionally, a whitehst can be created and/or updated based on outbound communication In one preferred embodiment, some or all of the destination addresses of outbound communications are added to a whitehst If a destination address already appears on a whitehst, a confidence value associated with the destination can be modified based upon the destination address' presence For instance, a usage count may be maintained, such a usage count can reflect absolute usage of the address or usage of the address over a given period of time
Additional advantages of the invention will be set forth in part in the description which follows, and in part will be obvious from the description, or may be learned by practice of the invention The advantages of the invention will be realized and attained by means of the elements and combinations particularly pointed out in the appended claims It is to be understood that both the foregoing general description and the following detailed description are exemplary and explanatory only and are not restrictive of the invention, as claimed
BRIEF DESCRIPTION OF THE DRAWINGS
The accompanying drawings, which are incorporated in and constitute a part of this specification, illustrate embodiments of the invention and together with the description, serve to explain the principles of the invention
FIG. 1 depicts a typical prior art access environment
FIG. 2 depicts a hardware diagram for an environment using one preferred embodiment according to the present invention
FIG. 3 is a logical block diagram of the components in a typical embodiment of the present invention
FIG. 4 is a flow chart of an exemplary anomaly detection process according to the present invention
FIG. 5 is a sample anomaly detection configuration interface screen
FIG. 6 is a bock diagram depicting the architecture of an exemplary embodiment of a security enhancement system according to the present invention
FIG. 7 is a block diagram depicting the architecture of an exemplary embodiment of a risk assessment approach according to the present invention using multiple queues to manage the application of a plurality of risk assessments to a received communication
FIGs. 8A-8B are a flow chart depicting the process of accessing risk associated with a received communication using the architecture depicted in FIG 7
FIG. 9 is a flow chart of an exemplary communication assessment process according to the present invention
FIG. 10 is a flow chart of an exemplary whitelist management process according to the present invention
FIG. 11 is a flow chart of an exemplary interrogation process according to the present invention
FIG. 12 depicts an overview of information flow through one preferred embodiment of the threat management architecture
FIG. 13 depicts a block diagram of the Threat Management Center (TMC) using one preferred embodiment according to the present invention
FIG. 14 depicts an exemplary Threat Pushback System using one preferred embodiment according to the present invention
FIG. 15 depicts components of a typical individual Messaging Security System (or application layer security system) according to the present invention
FIG. 16 is a flow chart of an exemplary secure delivery process according to the present invention
FIG. 17 is a flow chart of a further exemplary secure delivery process according to the present invention
DETAILED DESCRIPTION
Exemplary embodiments of the present invention are now described in detail Referring to the drawings, like numbers indicate like parts throughout the views As used in the description herein and throughout the claims that follow, the meaning of
"a," "an," and "the" includes plural reference unless the context clearly dictates otherwise Also, as used in the description herein and throughout the claims that follow, the meaning of "in" includes "in" and "on" unless the context clearly dictates otherwise Finally, as used in the description herein and throughout the claims that follow, the meanings of "and" and "or" include both the conjunctive and disjunctive and may be used interchangeably unless the context clearly dictates otherwise
Ranges may be expressed herein as from "about" one particular value, and/or to "about" another particular value When such a range is expressed, another embodiment includes from the one particular value and/or to the other particular value Similarly, when values are expressed as approximations, by use of the antecedent "about," it will be understood that the particular value forms another embodiment It will be further understood that the endpoints of each of the ranges are significant both in relation to the other endpomt, and independently of the other endpoint Architecture of a Typical Access Environment
FIG 12 depicts an overview of information flow through one environment using various aspect of the threat management architecture of the present invention At the Message Security System (MSS) (e g, 1205), statistics can be collected based on traffic and threat patterns The statistics can be processed locally by an individual MSS, or they can be processed by an external processor. An MSS is an example of an application layer security system such as hardware device 210 Detailed information can be sent from one or more MSS back to the Threat Management Center (TMC) 1210 In some embodiments, information can be shared among MSSs in the network In some embodiments, a plurality of MSSs may operate as a peer-to-peer system 1215 In a preferred embodiment, information gathered and/or computed statistics can be sent from a MSS 1205 to the threat notification and pushback system 1220 Application Layer Security System
FIG 15 depicts message flow through an exemplary Message Interrogation Engine (MIE) 4035, described in greater detail herein below The MIE can use rules and policies to perform interrogation Input from the TMC can be added to the set of rules and policies 4005 The MIE produces a set of statistics 4010 based on its
recorded history The statistics processing module (SPM) 4025 can process this information and prepare it for distribution Certain information can be sent back to the TMC for analysis 4030 Information can be sent to and from peers 4015 as part of the peer-based threat notification system Information is also pushed to towards the source using the threat pushback system 4020 The SPM 4010 can also receive input from the peer-based threat notification system and the threat pushback system Based on its history and analysis, the SPM 4010 can create new rules and policies 4005 for the local MIE
FIG 2 depicts a typical environment according to the present invention As compared with FIG 1, the access environment using systems and methods according to the present invention may include a hardware device 210 connected to the local communication network such as Ethernet 180 and logically interposed between the firewall system 140 and the local servers 120 and clients 130 All application related electronic communications attempting to enter or leave the local communications network through the firewall system 140 are routed to the hardware device 210 for application level security assessment and/or anomaly detection Hardware device 210 need not be physically separate from existing hardware elements managing the local communications network For instance, the methods and systems according to the present invention could be incorporated into a standard firewall system 140 or router (not shown) with equal facility In environment not utilizing a firewall system, the hardware device 210 may still provide application level security assessment and/or anomaly detection
For convenience and exemplary purposes only, the foregoing discussion makes reference to hardware device 210, however, those skilled in the art will understand that the hardware and/or softwaie used to implement the systems and methods according to the present invention may reside in other appropriate network management hardware and software elements Moreover, hardware device 210 is depicted as a single element In various embodiments, a multiplicity of actual hardware devices may be used Multiple devices that provide security enhancement for application servers of a particular type such as e-mail or Web may be used where communications of the
particular type are allocated among the multiple devices by an appropriate allocation strategy such as (1) serial assignment that assigns a communication to each device sequentially or (2) via the use of a hardware and/or software load balancer that assigns a communication to the device based upon current device burden. A single device may provide enhanced security across multiple application server types, or each device may only provide enhanced security for a single application server type
In one embodiment, hardware device 210 may be a rack-mounted Intel-based server at either 1U or 2U sizes The hardware device 210 can be configured with redundant components such as power supplies, processors and disk arrays for high availability and scalability The hardware device 210 may include SSL/TLS accelerators for enhanced performance of encrypted messages
The hardware device 210 will include a system processor potentially including multiple processing elements where each processing element may be supported via Intel-compatible processor platforms preferably using at least one PENTIUM III or CELERON (Intel Corp, Santa Clara, CA) class processor, alternative processors such as UltraSPARC (Sun Microsystems, Palo Alto, CA) could be used in other embodiments. In some embodiments, security enhancement functionality, as further described below, may be distributed across multiple processing elements The term processing element may refer to (1) a process running on a particular piece, or across particular pieces, of hardware, (2) a particular piece of hardware, or either (1) or (2) as the context allows
The hardware device 210 would have an SDS that could include a variety of primary and secondary storage elements In one preferred embodiment, the SDS would include RAM as part of the primary storage, the amount of RAM might range from 128 MB to 4 GB although these amounts could vary and represent overlapping use such as where security enhancement according to the present invention is integrated into a firewall system The primary storage may in some embodiments include other forms of memory such as cache memory, registers, non-volatile memory (e g, FLASH, ROM, EPROM, etc), etc
other embodiments, the data store may use database systems with other architectures such as object-oriented, spatial, object-relational or hierarchical or may use other storage implementations such as hash tables or flat files or combinations of such architectures Such alternative approaches may use data servers other than database management systems such as a hash table look-up server, procedure and/or process and/or a flat file retrieval server, procedure and/or process Further, the SDS may use a combination of any of such approaches in organizing its secondary storage architecture
The hardware device 210 would have an appropriate operating system such as WINDOWS/NT, WINDOWS 2000 or WINDOWS/XP Server (Microsoft, Redmond, WA), Solaris (Sun Microsystems, Palo Alto, CA), or LINUX (or other UNIX variant) In one preferred embodiment, the hardware device 210 includes a pre-loaded, pre-configured, and hardened UNIX operating system based upon FreeBSD (FreeBSD, Inc , http //www freebsd org) In this embodiment, the UNIX kernel has been vastly reduced, eliminating non-essential user accounts, unneeded network services, and any functionality that is not required for security enhancement processing. The operating system code has been significantly modified to eliminate security vulnerabilities
Depending upon the hardware/operating system platform, appropriate server software may be included to support the desired access for the purpose of configuration, monitoring and/or reporting. Web server functionality may be provided via an Internet Information Server (Microsoft, Redmond, WA), an Apache HTTP Server (Apache Software Foundation, Forest Hill, MD), an lPlanet Web Server (lPlanet E-Commerce Solutions - A Sun - Netscape Alliance, Mountain View, CA) or other suitable Web server platform The e-mail services may be supported via an Exchange Server (Microsoft, Redmond, WA), sendmail or other suitable e-mail server Some embodiments may include one or more automated voice response (AVR) systems that are in addition to, or instead of, the aforementioned access servers. Such an AVR system could support a purely voice/telephone driven interface to the environment with hard copy output delivered electronically to suitable hard copy output device (e g, printer, facsimile, etc ), and forward as necessary through regular mail, courier, interoffice mail, facsimile or other suitable forwarding approach In one preferred
The SDS may also include secondary storage including single, multiple and/or varied servers and storage elements For example, the SDS may use internal storage devices connected to the system processor In embodiments where a single processing element supports all of the security enhancement functionality, a local hard disk drive may serve as the secondary storage of the SDS, and a disk operating system executing on such a single processing element may act as a data server receiving and servicing data requests
It will be understood by those skilled in the art that the different information used in the security enhancement processes and systems according to the present invention may be logically or physically segregated within a single device serving as secondary storage for the SDS, multiple related data stores accessible through a unified management system, which together serve as the SDS, or multiple independent data stores individually accessible through disparate management systems, which may in some embodiments be collectively viewed as the SDS The various storage elements that comprise the physical architecture of the SDS may be centrally located, or distributed across a variety of diverse locations
The architecture of the secondary storage of the system data store may vary significantly in different embodiments In several embodiments, database(s) are used to store and manipulate the data, in some such embodiments, one or more relational database management systems, such as DB2 (IBM, White Plains, NY), SQL Server (Microsoft, Redmond, WA), ACCESS (Microsoft, Redmond, WA), ORACLE 81 (Oracle Corp, Redwood Shores. CA), Ingres (Computer Associates, Islandia, NY), MySQL (MySQL AB, Sweden) or Adaptive Server Enterprise (Sybase Inc , Emeryville, CA), may be used in connection with a variety of storage devices/file servers that may include one or more standard magnetic and/or optical disk drives using any appropriate interface including, without limitation, IDE and SCSI In some embodiments, a tape library such as Exabyte X80 (Exabyte Corporation, Boulder, CO), a storage attached network (SAN) solution such as available from (EMC, Inc , Hopkinton, MA), a network attached storage (NAS) solution such as a NetApp Filer 740 (Network Appliances, Sunnyvale, CA), or combinations thereof may be used In
embodiment, an Apache server variant provides an interface for remotely configuring the hardware device 210 Configuration, monitoring, and/or reporting can be provided using some form of remote access device or software. In one preferred embodiment, SNMP is used to configure and/or monitor the device In one preferred embodiment, any suitable remote client device is used to send and retrieve information and commands to/from the hardware device 210 Such a remote client device can be provided in the form of a Java client or a Windows-based client running on any suitable platform such as a conventional workstation or a handheld wireless device or a proprietary client running on an appropriate platform also including a conventional workstation or handheld wireless device Application Layer Electronic Communication Security Enhancement
FIG 3 depicts a block diagram of the logical components of a secunty enhancement system according to the present invention The overall analysis, reporting and monitoring functionality is represented by block 310, and anomaly detection is represented by block 370
Blocks 320-360 represent different assessments that may be applied to electronic communications These blocks are representative of assessments that may be performed and do not constitute an exhaustive representation of all possible assessments for all possible application server types The terms "test" and "testing" may be used interchangeably with the terms "assess", "assessment" or "assessing" as appropriate in the description herein and in the claims that follow
• Application specific firewall 320 provides functionality to protect against application-specific attacks For tnstance in the context of e-mail, this assessment could protect against attacks directed towards Extended SMTP, buffer overflow, and denial of service
• Application specific IDS 330 provides real-time monitoring of activities specific to the application server This may also retrieve information from multiple layers including the application layer, network layer and operating system layer This compliments a network intrusion detection system by adding an additional layer of application specific IDS monitoring
• Application specific anti-virus protection and anti-spam protection 340 provides support for screening application specific communications for associated viruses and/or spam
• Policy management 350 allows definition of corporate policies with respect to the particular application in regard to how and what application specific communications are sent, copied or blocked Executable attachments or communication components, often sources of viruses and/or worms, and/or questionable content can be stripped or quarantined before they get to the application server or client Mail messages from competitors can be blocked or copied Large messages can be relegated to off-peak hours to avoid network congestion
• Application encryption 360 provides sending and receiving application communications securely, potentially leveraging hardware acceleration for performance
The application security system processes incoming communications and appears to network intruders as the actual application servers This prevents the actual enterprise application server from a direct or indirect attack
Electronic communications attempting to enter or leave a local communications network can be routed through present invention for assessment The results of that assessment can determine if that message will be delivered to its intended recipient
An incoming or outgoing communication, and attachments thereto, are received by a security system according to the present invention The communication in one preferred embodiment is an e-mail message In other embodiments, the communication may be an HTTP request or response, a GOPHER request or response, an FTP command or response, telnet or WAIS interactions, or other suitable Internet application communication
The automated whitehst generation of the present invention allows the system to automatically create and/or maintain one or more whitehsts based on the outbound email traffic In some embodiments, the system can monitor outbound, and/or inbound, email traffic and thereby determine the legitimate email addresses to add to the
whitelist The software can use a set of metrics to decide which outbound addresses are actually legitimate addresses
A data collection process occurs that applies one or more assessment strategies to the received communication The multiple queue interrogation approach summarized above and described in detail below provides the data collection functionality in one preferred embodiment Alternatively, the assessments may be performed on each received message in parallel A separate processing element of the system processor would be responsible for applying each assessment to the received message In other embodiments, multiple risk assessments may be performed on the received communication simultaneously using an approach such as a neural network The application of each assessment, or the assessments in the aggregate, generates one or more risk profiles associated with the received communication The risk profile or log file generated based upon the assessment of the received communication is stored in the SDS The collected data may be used to perform threat analysis or forensics This processing may take place after the communication is already received and forwarded
In one preferred embodiment, particular assessments may be configurably enabled or disabled by an application administrator An appropriate configuration interface system may be provided as discussed above in order to facilitate configuration by the application administrator
An anomaly detection process analyzes the stored risk profile associated with the received communication in order to determine whether it is anomalous in light of data associated with previously received communications In one preferred embodiment, the anomaly detection process summarized above and described in detail below supports this detection functionality Anomaly detection in some embodiments may be performed simultaneously with assessment For instance, an embodiment using a neural network to perform simultaneous assessment of a received communication for multiple risks may further analyze the received communication for anomalies; in such an embodiment, the data associated with the previously received communications may be encoded as weighting factors in the neural network
In some embodiments, the thresholds for various types of anomalies may be dynamically determined based upon the data associated with previously received communications Alternatively, an interface may be provided to an application administrator to allow configuration of particular thresholds with respect to individual anomaly types In some embodiments, thresholds by default may be dynamically derived unless specifically configured by an application administrator
Anomalies are typically detected based upon a specific time period Such a time period could be a particular fixed period (e g, prior month, prior day, prior year, since security device's last reboot, etc ) and apply to all anomaly types Alternatively, the time period for all anomaly types, or each anomaly type individually, may be configurable by an application administrator through an appropriate interface. Some embodiments may support a fixed period default for all anomaly types, or each anomaly type individually, which may be overridden by application administrator configuration.
In one preferred embodiment, the stored risk profile associated with the received communication is aggregated with data associated with previously received communications of the same type This newly aggregate data set is then used in analysis of subsequently received communications of that type
If an anomaly is detected, an anomaly indicator signal is output The outputted signal may include data identifying the anomaly detected and the communication in which the anomaly was detected Various types of anomalies are discussed below with respect to e-mail application security These types of anomalies may be detected using the specific detection approach discussed below or any of the aforementioned alternative anomaly detection approaches
The outputted signal may trigger a further response in some embodiments, alternatively, the outputted signal may be the response In one preferred embodiment, the outputted signal may be a notification to one or more designated recipient via one or more respective, specified delivery platform For instance, the notification could be in the form of an e-mail message, a page, a facsimile, an SNMP (Simple Network Management Protocol) alert, an SMS (Short Message System) message, a WAP
(Wireless Application Protocol) alert, OPSEC (Operations Security) warning a voice phone call or other suitable message Alternatively, such a notification could be triggered by the outputted signal
Using SNMP allows interfacing with network level security using a manager and agent, an example would be monitoring traffic flow through a particular router OPSEC is a formalized process and method for protecting critical information WAP is an open, global specification that empowers mobile users with wireless devices to easily access and interact with information and services instantly An example would be formatting a WAP page to a wireless device that supports WAP when an anomaly is detected WAP pages are stripped down versions of HTML and are optimized for wireless networks and devices with small displays. SMS is a wireless technology that utilizes SMTP and SNMP for transports to deliver short text messages to wireless devices such as a Nokia 8260 phone SMS messages could be sent out to these devices to alert a user of an intrusion detection of anomaly alert
Instead of or in addition to a notification, one or more corrective measures could be triggered by the outputted signal. Such corrective measures could include refusing acceptance of further communications from the source of the received communication, quarantining the communication, stripping the communication so that it can be safely handled by the application server, and/or throttling excessive numbers of incoming connections per second to levels manageable by internal application servers
In one preferred embodiment, an interface may be provided that allows an application administrator to selectively configure a desired response and associated this configured response with a particular anomaly type such that when an anomaly of that type is detected the configured response occurs.
Finally, if an anomaly is detected with respect to a received communication, the communication may or may not be forwarded to the intended destination Whether communications determined to be anomalous are forwaided or not may, in certain embodiments, be configurable with respect to all anomaly types Alternatively, forwarding of anomalous communications could be configurable with respect to individual anomaly types In some such embodiments, a default forwarding setting
could be available with respect to any individual anomaly types not specifically
configured
Secure Communication Delivery
Communication services performed according to the present invention can be executed on one system processor or they may be distributed across multiple system processors All relevant functionality of the present invention can be configured by one or more administrators One preferred embodiment can include an interface for an administrator to perform certificate and user/domain management and feature configuration A user management interface can be provided for administration of user parameters and certificates The present invention can be programmed or adapted so that any feature can have an interface for its configuration in a menu-driven system
In one preferred embodiment with reference to FIG 16, processing of an inbound communication begins with receipt of an electronic communication designated for delivery to a predetermined recipient 5005 The received communication can, but need not in all embodiments, undergo the testing and analysis described herein above and below regarding threat and/or anomaly detection A secure delivery mechanism is chosen for use with the received communication 5010. This mechanism is chosen based upon a prioritization of available delivery mechanisms An attempt is made to deliver the message according to the selected mechanism 5015 If the attempt is successful 5020, the process is complete 5025 In some embodiments, the selection and delivery attempt process can be repeated with an additional selected delivery mechanism upon failure of the attempt to deliver. In some such embodiments, repetition can continue until successful delivery of the communication occurs or all available delivery mechanisms have been attempted In some embodiments, insecure delivery is performed if no secure delivery mechanism is available or if all available secure delivery mechanisms have failed
In one preferred embodiment, the delivery mechanism can include a base mechanism and one or more security options The base mechanism is preferably instant messaging, SMTP, HTTP, or FTP One skilled in the art will recognize that other commonly used delivery mechanisms can be used as appropriate Delivery
mechanisms can also include a security option These options can preferably include SMTP notification with HTTP presentment, S/MIME, PGP, TLS, SSL and combinations thereof, however, other channel and/or message level security technology as known by those skilled in the art could be applied. Delivery mechanisms can use an appropriate message-level encryption technique, a channel-level encryption technique, or a combination of the two In some embodiments, the available delivery mechanisms can be selected based on the communication source, a predetermined recipient, a default configuration or combinations thereof
In selecting a secure delivery mechanism, the selection process may include a determination of available secure delivery mechanisms and a prioritization of such mechanisms The determination and prioritization can in some embodiments occur concurrently with, or as part of, the selection process such as in the case of a default prioritization that serially checks availability of particular delivery mechanisms in the order defined by the default prioritization and chooses the first such available mechanism, FIG 17 depicts one such process
In some preferred embodiments, the delivery mechanisms can be prioritized based upon a rating associated with each delivery mechanism. The prioritization of the delivery mechanisms can be retrieved based upon the recipient or the communication source Additionally, in some embodiments, the communication source can be provided with an interface for designating a prioritization of the plurality of delivery mechanisms That prioritization information can then be received from the provided interface In addition, or instead, an interface can be provided to recipients that allow the recipient to specify a default prioritization of delivery mechanism This configuration information is received from the provided interface and used for secure delivery of communications to that recipient
In one preferred embodiment, each delivery mechanism can be associated with a rating The rating can be based upon various criteria including delivery efficiency, delivery cost, delivery security and combinations diereof
In the alternative, or in addition, an administrator can be provided with an interface for designating a prioritization of the plurality of delivery mechanisms The
designated prioritization information can then be received from the provided interface A configuration specified by an administrator can, for example, be used to specify a default prioritization of delivery mechanism
In some embodiments, a determination is made as to whether the communication requires secure delivery The requirement of secure delivery can be determined in a number of ways based upon communication source, communication content, communication recipient, configuration data or a combination of such bases The content of the communication can be parsed for indicia indicating a desire for secure delivery The received communication can then be specified as requiring secure delivery based upon the parsing. The parsing can be performed by applying one or more filtering rules to the received communication. The filtering rules can be based on content, attachments, sources, recipients, or other indicia one skilled in the art would recognize as appropriate. In some embodiments, the parsing may be limited to a header portion of the communication such as the header portion of an SMTP e-mail message or an HTTP request or response The received communication can be specified as requiring secure delivery if one or more predetermined keywords are parsed from the received communication, or the header thereof. Instead, or in addition, the source or recipient of the communication can be used to determine secure delivery For instances, all messaged to a particular recipient or from a particular source could be designated as requiring secure delivery Further, configuration data submitted by an administrator, or from a communication source, could serve to designate a particular communication for secure delivery
The present invention can be configured to use or attempt to use any combination of message-level and channel-level security for a communication to be delivered Recipients and domains can be associated in a database with a variety of secure delivery mechanisms The delivery mechanisms can be prioritized as described above A prioritized order can be used based upon the delivery mechanism, the base mechanism of the delivery mechanism, the security option or options of the delivery mechanisms or a combination of these factors In one preferred embodiment, the prioritized order is based upon security options associated with the delivery
mechanism, from highest preference to lowest S/MIME, PGP, SWM (Secure Web Mail) with password and random URL, TLS or SSL, SWM with random URL One skilled in the art will recognize that alternative orders of priority can be used Such alternative order can include all, some, or none of the secure delivery mechanisms listed above
In one.preferred embodiment, a secure delivery process with a default prioritization based upon security options of PGP, S/MIME, TLS or SSL, SWM (with or without user authentication) is used as depicted in FIG 17 A communication is received 5100 Selection of a secure delivery mechanism occurs according to an implicit default prioritization of security options as depicted in steps 5105,5115, 5125, and 5135 A determination of available secure delivery mechanisms occurs concurrently with the selection as follows
(Table Removed)
For each recipient of a message to be delivered by SWM, a random string can be generated and a URL created using it For example, the URL https //boxname/msg isp'?ran=12fugrl980dh89 could be used The present invention can generate an e-mail with the URL enclosed in it Such an e-mail can be used to inform a recipient that a message can be retrieved at the included link Some embodiments can provide additional authentication by using a username/password or securelD authentication mechanism Some embodiments of the present invention can be configured to perform user authentication before displaying the message containing the browser link
The SWM can execute on or as one or more processing elements These processing elements can be part of the system processor of the present invention, or they can be separately provided with a communication link between them and the system processor In either case the received communication is copied to the SDS of the present invention, or some storage associated with the separately provided processing elements The location of the copy of the communication can be used in some embodiments to generate the URL, however, other embodiments can generate the URL independently of the copy location
The SWM provides for secure presentment of the received communication through appropriate encryption using message level encryption (c g , S-HTTP, S/MIME, PGP, etc) and/or channel level encryption (e g, SSL or TLS). In one preferred embodiment, SSL channel level encryption serves as the security option for providing secure presentment The various public and private keys for use in encryption can be available locally within the SDS of the present invention, in addition, or instead, the system processor can obtain such keys from an appropriate (preferably trusted and authenticated) key server Server-based PGP
Embodiments including server-based PGP can be programmed or adapted to send and/or receive server-based PGP messages Server-based PGP can be used in environments where it is desired to provide confidentiality, authentication and assurances of message integrity This functionality can be implemented using a PGP
(Table Removed)
In some embodiments, a loop back can occur upon failure of delivery in step 5150 The loop back would lead back to the next available mechanism after the one that failed For instance, if PGP was determined to be available but delivery failed, the loop back would re-enter the process at step 5115 to determine availability of S/MEME In such alternatives, the decision to proceed to the next step is based upon success or failure of delivery instead of, or in addition to, availability of the particular security option In addition, or in alternative embodiments, the insecure delivery step can be totally removed or substituted with a loop back to step 5105 and continue checking for available secure delivery mechanisms until one is found, in addition, a constraint could be place on such a loop back so that the loop only occurred a fixed number of times or occurred for a fixed time period.
The present invention can operate independently of, or in concert with, other networking administration methods and systems as discussed herein above and below The following components of the present invention can be incorporated into the present invention Once incorporated, they can be configured separately or in combination Secure Web Mail (SWM)
SWM service can send a notification message to a recipient with a link to a secure web page to access an original message When the provided link is followed, the recipient's browser can establish a secure connection with a server containing the original message. The message can then be viewed securely The user access to the message through the browser connection can also be secured by appropriate authentication means As non-limiting examples, the authentication for the user access may be based on a random URL, username/password combination, SecureDD, or combinations thereof
In one preferred embodiment, an administrative interface for the recipient can be provided to configure the maintenance of read and unread messages As a non-limitmg example, the system can be configured to delete message once it is viewed
toolkit such as PGP Freeware (Massachusetts Institute of Technology, Cambridge, MA) or provided by Network Associates Technology, Inc (Santa Clara, CA)
One preferred embodiment can include a configuration interface to administer the domains and/or users that can send and/or receive messages using the PGP/MIME format The administration interface can also provide facility for public-key management for domains The present invention can be configured to generate a PGP/MIME message from an original message for those recipients or the domains that are specified to require PGP/MIME message-level encryption The various public and private keys for use in encryption can be available locally within the SDS of the present invention, in addition, or instead, the system processor can obtain such keys from an appropriate (preferably trusted and authenticated) key server Incoming Messages
In one preferred embodiment of the present invention, if the recipient or domain of an incoming message can be matched in the database to a recipient or domain on a PGP user list, then the message can be decrypted using the corresponding public key Authentication of the sender can also performed Outgoing Messages
In a preferred embodiment, the recipients and domains of an outgoing message can also be checked against a PGP user list If a recipient or destination domain matches a recipient of domain appearing in the PGP user list, then a new communication can be created using the PGP/MIME format The new communication can be created using the original filename with a pgp extension, or other suitable naming convention After creation, a process compliant with the appropriate protocol can deliver the encrypted communication Server-based S/MIME (Secure/Multipurpose Internet Mail Extensions)
Some preferred embodiments of the present invention can include the ability to send and receive server-based S/MIME messages S/MIME can be used to bolster privacy, integrity and provide authentication The present invention can generate an S/MIME message from an original message recipients and/or domains that are
specified to require the S/MIME format This feature can be configurably turned on or off
Server-based S/MIME functionality can be implemented using an S/MIME toolkit Some preferred embodiments can include a configuration interface to administer domains and users that can receive and/or send messages using the SMIME format An interface can also be provided for public-key management of the domains The various public and private keys for use in encryption can be available locally within the SDS of the present invention, in addition, or instead, the system processor can obtain such keys from an appropriate (preferably trusted and authenticated) key server Incoming Messages
An incoming message can be checked to see if it is in S/MIME format If the recipients or the destined domain of a message matches a member of the S/MIME user list, then the message is decrypted using the corresponding public key Authentication of the sender can also be performed Outgoing Messages
A recipient of an outgoing message can be checked against the S/MIME user list. If the recipient or the destination domain requires or supports S/MIME encryption, then a new message can be created based on the S/MIME format The new S/MIME message can be created using the original filename with a smime extension, or other suitable naming convention. The present invention can then deliver the S/MIME message to its intended recipients SSL/TLS
In some preferred embodiments, messages can be delivered using a secure communication channel employing SSL/TLS or other appropriate secure channel protocol A recipient of an outgoing message can be checked against the SSL/TLS user list If the recipient or the destination domain requires or supports channel-level encryption, then the message can be delivered using such a channel The various public and private keys for use in encryption can be available locally within the SDS of the
present invention, in addition, or instead, the system processor can obtain such keys from an appropriate (preferably trusted and authenticated) key server Threat Management Center
A TMC system can reside on a computer system in communication with one or more application and/or network layer security systems A typical hardware configuration for the TMC includes a system processor and a system data store, which can be similar in capacity to those described herein above with respect to the application layer security systems Typically, the communication can occur via a computer network such as the Internet, however, one or more systems can connect to the TMC via other mechanism including direct connection and dial-up access
The TMC includes at least one input, a processing system, and at least one output FIG 13 depicts a flow chart of a rule creation process man exemplary TMC Input 200S can be information about messages, messaging systems, attacks, vulnerabilities, threats associated with them, or any other information one skilled in the art would find relevant to threat analysis In addition, feedback to the TMC may also be provided by one or more application layer security systems The final output of the TMC 2010 can includes rules and/or policies mat can be used to protect against threats, both known and unknown by application layer security systems These rules and/or policies 2010 can be used by one ore more application layer security systems.
In one preferred embodiment, rule and policy creation can be based on the set of threat information that is received Information can be received from one or more MSSs or any other threat information source configured to communicate with a TMC
The output 2010 of the TMC can be influenced by a Rules and Policy Application Programming Interface (API) 2015. While only one API is depicted in the exemplary embodiment of FIG. 13, one skilled in the art will realize that multiple APIs can be configured to perform the functions desired In some embodiments, the API can be modified as often as necessary or desired to account for any changes in threat and/or traffic patterns The API can be programmed or adapted to use proprietary formats based on message interrogation systems in place on application layer security servers as well as standard intrusion detection rule formats
In some embodiments, the output of the Rules and Policy API can be in a natural language In other embodiments the output can be in a rules expression language including but not limited to regular expressions, intrusion detection information format such as IDMEF, mail filtering languages such as SIEVE, proprietary rule expression formats or other formats one skilled in the art would find appropriate As a non-limiting example, natural language output can be used to explain to an administrator or user how to configure the system with the suggested rules and policies
The API can be used to improve the final set of rules generated by the TMC As a non-limiting example, some message security systems include interrogation engines that use proprietary rule formats In such a system, a rule to block incoming messages with a "threat exe" attachment can be specified as Attachment Filtering Rule Direction Incoming Attachment threat exe Action Drop message
As a non-limiting example, a rule to block incoming messages with a "Threat Title" subject in such a system can be specified as Mail Monitonng Rule Direction Both Field Subject Data Threat Title Action Drop message
Different embodiments can use different types of rules for performing different types of filtering If a Rules and Policy API 2015 is used, the Rule and Policy Creation module 2020 must be programmed or adapted to communicate with the API
The output 2010 of the TMC can be influenced by goals 2025 The goals 2025 can be global goals, goals for individual messaging security servers, or goals for individual users As non-limiting examples, some MSS embodiments can have more conservative threat management policies Some embodiments can be configured to use
rules that are automatically put in place while other embodiments can be configured to use rules to be approved by a local administrator In some situations it may be desirable to use rules that discard objectionable content while in other situations it may be desirable to quarantine that content In other situations, a higher or lower confidence in the likelihood of a threat before an action is taken may be desirable The goals 2025 can be global goals or different goals for different MSSs As a non-limiting example, the goal may be a certain effectiveness value and a certain accuracy value For example, a goal can be given to the system that specifies 95% effectiveness and 99 9% accuracy for spam detection
In some embodiments, as another goal, the system can allow one or more users, MSS, or other entity to provide a definition of threatening communications As a non-limiting example, in the case of spam, spam may not be well defined Rather than allowing only a binary decision, the present invention can classify messages in different categories (e g business email, personal email, chain letters, adult language, porn, web product offerings, newsletters, mailing lists, etc.) In some embodiments, an individual user, administrator or other suitable human or computerized user can register preferences concerning receipt of any of these types of content The system can then enforce that policy for that entity This can be useful in the threat pushback system further described below and depicted in FIG 14
Inputs to Rule and Policy creation 2020 can include, but are not limited to the following
1 Spam and non-spam messages from archives such as SpamArchive org, user reported spam, spam identified by the individual messaging security systems, information about misclassified messages, information from databases of known spam such as Distributed Checksum Clearinghouse (http //www rhyolite com/anti-spam/dcc) and Razor (http //razor sourceforge net)
2 Virus information from virus signatures, or other sources of virus information such as virus alert newsletters, and/or virus alert databases The system can use this information to develop virus information before signatures are available This information can be obtained from anti-virus vendors Sophos and McAfee, for
example This information can be retrieved via HTTP, FTP, SMTP, by direct database access, or other appropriate means In some embodiments, the system can create rules to block virus outbreaks before virus signatures are available as well as for deployments that do not have other anti-virus systems deployed 3 Intrusion information This information can be extracted from vulnerability alerts from sources such as bugtraq, CERT, software vendors, open-source projects, information sharing projects such as the FBI InfraGard, or other sources as appropriate The information can also be received from distributed intrusion detection systems or it can be manually entered by users
The system can perform input parsing and feature extraction according to input type and source In the case of spam messages, the input can include spam messages that are stored in proprietary formats such as Microsoft's pst format, Unix mbox format, forwarded spam or spam sent as an attachment, an archive of spam messages, or other source The spam messages can be accessed from local storage or from remote storage using protocols such as, but not limited to, HTTP, SCP, FTP, POP, IMAP, or RPC For an individual message, relevant features can include headers, origin, and message contents Each type of feature can be extracted and stored as appropriate
One preferred embodiment can use regular expression content matching tools to parse messages and extract features A prefilter can be used that defines the regular expression used for content matching This determines the type of features that are extracted As a non-limiting example, for extracting message subjects, a regex filter can be used that only examines subject lines To extract information about all headers, a regex filter can be used that only observes message headers Similarly different pre-filters can be used to extract different types of content from the body A normal tokenizer pre-filter can provide normal content features. These features can be words, phrases, n-grams, or other features one skilled in the art would find useful The prefilter can be sensitive to certain types of words including ignoring certain email address and domain names The prefilter can also cause the features to focus on email addresses, URLs, phone numbers, etc
The system can include an anonymization module that assures that sensitive features are not extracted and exposed As a non-limiting example, the anonymization module can determine the identification of the spam victim and the domain and prevent exposure of that information.
For virus alerts, input can be email messages that explain the presence and properties of a new virus or worm The input parser can be configured to parse these messages and determine the relevant properties of a threat These properties can include, but are not limited to, the attachment name or types, subject lines, and from addresses The input parser may be given different format definition files or pre-filters for the different sources of virus alerts Alternatively, the virus alert parser can be in communication with web pages to access other information The information can be parsed for relevant properties. In other embodiments, the virus alert parser may interact directly with a database that stores such information or a user may manually enter data based on such information into the system
The rule creation system 2020 can reside on a single system or multiple processes can run on multiple systems Threat information can be reduced to a canonical form and the relevant features extracted. The system can utilize a diversity of algorithms to determine the relevant features and/or reduce the feature set In some embodiments, each located feature can be associated with an interrogation system on the MSS The TMC can determine the appropriate type of rule to create In some embodiments, a feature can be expressed using a plurality of interrogation systems In some embodiments, feature sets can be reduced and efficient types of rules can created
In some embodiments, resultant rules can have a given weight and certain interrogation systems may have some weight in the overall threat value for a particular message These values can be determined based on the input from the system Therefore, these values can be adjusted when desired based on new threats, feedback from the MSSs, and other appropriate sources The MSSs can be programmed or adapted to determine an aggregate threat likelihood based on automatically adjusted weights, or confidence values for each rule and interrogation system, or other relevant
information In one preferred embodiment, the rule creation system 2020 can include a scheduler that looks for new threat information
The system first creates a set of candidate rule sets 3030 Before these are distributed, the system can use goal-based testing 2035 to determine the validity of these rules
Some embodiments of the present invention can test the rules and policies The test data 2045 may include threatening and non-threatening data The system can use the test data sets to discover false positives and negatives of the system as well as general system performance The goals 2040 used for rule creation can also used as input to the testing Additional goals, including but not limited to, performance goals can be specified for testing If specified goals are not met, the system can automatically adjust the feature sets, the weights of individual features, the weights of each interrogation system, and any other relevant parameters to reach the goals Once the correct tuning is achieved, the rule sets can be approved and distributed the MSSs Threat Pushback System
Many systems known in the art only address symptoms of an attack in the local environment Besides notifying other systems that participate in the network of MSSs, some embodiments of the present invention can determine the source of a threat and push the threat back towards the source Once the source of a threat is determined, the system can send messages up the network to other systems in the hierarchy
A threat pushback system can reside on a computer system as part of, or as a compliment to, an application client, an application layer security system or a TMC A typical hardware configuration for the threat pushback system includes a system processor and a system data store, which can be similar in capacity to those descnbed herein above with respect to the application layer security systems Typically, the communication can occur via a computer network such as the Internet, however, one or more other mechanism can be used including direct connection and dial-up access
FIG 14 depicts an exemplary threat pushback system Two threat aware modules 3030, 3035 are depicted Once a threat is detected locally 3005, the threat information can be passed to a Threat Notification Module (TNM) 3020 The TNM
can pass a threat notification 3040 including information about the threat to the Threat Detection Module of another system 3025 In a preferred embodiment, the TNM of a MSS can pass information to another MSS In still another embodiment, any TMN at any location in the network such as within, or connected to, client applications/systems, application layer security systems and/or threat management centers can pass information to its parent in the network hierarchy
The threat notification protocol can be standardized across the participating systems Some embodiments can include a threat response module 3015 programmed or adapted to respond to the threat notification information
In a preferred embodiment, the system of the present invention can be programmed or adapted to function at the application-layer Such an embodiment can be readily deployable If an underlying network-layer pushback system is operational, the system can utilize some of its functionality to determine the path to a threat Additionally, the threat notification system can determine the source of the attack As a non-limiting example, in the case of spam, to determine the source of the attack, message headers must be examined The system can determine how many of these headers can be trusted. Forged headers can be identified and ignored This process may include lookups to external databases such as registries of IP and ASN numbers such as ARIN or databases of spam sources such as spamhaus
Because an attacker may be able to forge the path information that is shown in the communication, the system can process the available information to determine the correct path This can be accomplished with any combination of application level information, network information, or information from external systems such as IP traceback systems, and other resources known to one skilled in the art At the application level, an attacker may be able to forge some identifying information The path determination module can provide the path information to the notification sender module The path determination module can include a path extraction submodule and a path verification submodule
In one embodiment, the path extraction submodule can parse the identifying information and provide that as the path information That information, however, has
not verified and could be inaccurate In another preferred embodiment, the path verification module can process the extracted path information to determine the valid path information As a non-limiting example, the path extraction submodule can read message information such as the headers The Return-Path or Received headers can provide information regarding the padi of email servers that a message traveled The "FROM" header can be used to identify the email address of the sender The "MAIL FROM" RFC 821 header can be used to indicate the email address of the sender The "EHLO" RFC 821 header can be used to indicate the domain or hostname of the sender Other headers and message features may be used including the Message-Id and the actual contents of the message Call for action information is contact information provided for the receiver such as a reply email address, a URL, a postal address, or a phone number. This information in a message can be used Other information known to one skilled in the art, including but not limited to the IP address of the network connection, can also be used
Several verification methods can be used to determine information authenticity As a non-limiting example, most of the above-mentioned headers are easily forged, so a more reliable source is the Return-Path or Received headers The goal of the present invention is to determine the longest possible authentic path In one embodiment of the present invention, only the last header is used since this header represents the actual server that contacted the victim's server Each Received header contains Received from and Received by information These fields can be verified with DNS for appropriate MX records, A records, and/or reverse records, as well as other appropriate sources known to one skilled in the art These hosts can be checked against open relay lists, dial-up addresses lists and known spam sources lists The presence on any of these lists can provide additional information about the last accurate Received header Additionally, the chain of received headers can be verified against each other. Inconsistencies in this chain can also give additional information about the last accurate Received header Other details of these headers can be used to verify the path As a non-limiting example, the date information and server version information can be used
Once the system determines that a pushback message needs to be forwarded in a particular direction, the system can determine what information needs to be included in the pushback message The threat notification of the present invention includes additional detailed information about the threat in addition to the IP address of the source
Detailed threat information can allow systems to make local decisions about how to react to a threat As a non-limiting example, the above described threat classification system can be used to process spam messages Information concerning a spam attack sent through the threat pushback system can include information concerning the category of threat and other relevant charactenstics
The receiving system can be configured to block certain portions of communications at an organizational level Furthermore, ISPs could use this information to block certain categories of spam messages including, but not limited to, fraudulent messages The system can be configured such that an organization can have policies to block chain letters and adult language At the desktop level, an individual can configure the system to block newsletters and mailing lists in addition This allows a common definition for blocked material as close to the source as possible while not requiring a common definition of spam
The threat information can indicate, among other parameters, the presence of a threat, as well as identify the source, and/or provide detailed threat and/or response information To identify the source, the information provided can include the identity of the source such as its IP address or hostname, path information, entire determined path information Additionally, path information can be provided so that other hosts can perform independent own extraction and/or verification The system of the present invention can also indicate the traffic that is determined to be a threat so that the receivers on the path can determine the details from stored information This systems and methods of the present invention are an enhanced form of reverse path forwarding used in routing systems
Whitclisting
In one embodiment, the system can be configured so that communications matched to a whitelist entry may be subject to either no interrogation or less rigorous interrogation Once a whitelist has at least one entry, the incoming message interrogation system can utilize it in connection with the interrogation of a message
FIG 10 depicts operations that can be performed on a whitelist to add an entry Once an outgoing address passes any exclusion conditions 1005 described above, it can be added to a whitelist The whitelist can be stored on the SDS The system first checks to see if the address is already present on the list 1010 If present, the list can be updated with any new information 1015 Before new information is updated, the system can check for sufficient space in the SDS 1025 If sufficient space is not available, additional space is allocated from the SDS 1030 If an address is not found in a whitelist, an initial record can be added for that address Before a new address is added to a whitelist 1040, the system can check for sufficient space in the SDS 1020 If sufficient space is not available, additional space is allocated from the SDS 1035 In many embodiments, explicit space allocation need not occur rather implicit space allocation occurs as a result of an information update 1015 or an add entry 1040
The initial record for an outbound address can include the email address, the internal email address, the message sent time, usage count, last time used and/or any other characteristics one skilled in the art would find relevant or useful In the case of an email address that is already present on a whitelist, the system can use a separate record for each instance of that email address being used as an outbound address or the system can maintain a single record for each outbound address with a summary of information in that entry, including information describing instances of use The system can store records in a number of other ways using different data structures The records may include other representations of data in addition to the email address, including by not limited to a hash of the email address
In a preferred embodiment, the system can store records in a MySQL database As a non-limiting example, the following command can be used to build a database
comprising the external and internal email addresses, date of last update, and an
occurrence counter
create table ct_whitehst
(out_emailaddress varchar(255) not null, - External email address
in_emailaddress varchar(255) not null, - Internal email address
lastupdatetime datetime, - Last update of this address
curr_count integer, - Address occurrence counter
Maintaining the Whitelist
In some embodiments, the system can allow unlimited storage In other embodiments, the storage available for the list can be limited In still other embodiments, the system can allow for management of the size of the list A number of caching techniques can be used, including but not limited to first in first out and least recently used Other techniques can include an accounting of the number of internal users that reported the outbound address List cleanup can occur in real-time or periodically Additionally, one skilled in the art will recognize that a wide variety of list management techniques and procedures can be used to manage a whitelist in connection with the present invention Whitelist Usage
An example of a system using a whitelist according to the present invention is shown in FIG 9 One or more relevant parameters of inbound communication 905 are compared against one or more whitelists 910 In some embodiments, the whitelist is checked at each incoming email message In a preferred embodiment, the comparison includes origination email addresses If the check against a whitelist 910 reveals no match, then the message is subject to normal message interrogation 915 Normal message interrogation can employ analysis criteria that are the most sensitive to spam or other threats as discussed hereinabove If a message passes normal interrogation 915, i e it is determined not to be spam or a threat (or to have a lower likelihood of being spam or a threat), it can be presented to its intended recipient for delivery 920 If the check against a whitelist 910 reveals a match, the system can be configured to
process the message in a variety of ways In one embodiment, the system can be programmed or arranged to bypass 925 any message interrogation and deliver the message to its intended recipient 920 In an alternative embodiment, the system can be programmed or arranged to process the message using adaptive message interrogation 930 If adaptive message interrogation 930 determines a message is not spam, it can forward the message for delivery 920
In some embodiments, both options 925,930 are selectively available The decision whether to pass whitelisted communications through adaptive message interrogation 930 or to bypass any message interrogation 925 can be made per deployment or can be based on the details of the whitehst entry. For instance, messages from more frequently used outbound address can bypass 925 interrogation completely whereas messages from less frequently used outbound addresses can be subjected to adaptive message interrogation 930
If the message goes through normal or adaptive interrogation with the whitehst information, the interrogation module can utilize the whitehst information to effect the type and/or level of interrogation In some preferred embodiments, the adaptive message interrogation can use multiple levels of trust, as further described below and in FIG 11 In other embodiments, the adaptive message interrogation can set a confidence indicator indicative of the confidence the interrogator has in its characterization
Messages that are not delivered to the intended recipient can be either quarantined or deleted In an alternative embodiment, messages determined to be spam can be indicated as spam or a threat and forwarded to the intended recipient.
Additionally, each outbound email address can be assigned a confidence value According to the confidence value associated with a given incoming email address, incoming messages can be subjected to variable levels of interrogation In one preferred embodiment, incoming messages associated with lower confidence values are subjected to more aggressive spam interrogation and incoming messages associated with higher confidence values are subjected to less aggressive spam interrogation In
other embodiments, the message can be given positive credits to offset any negative spam detection points based on the confidence value
One preferred embodiment of the system allows some or all external email recipients to be whitelisted 935 Some embodiments can have a metric that describes the number of outgoing messages to a particular email address When the metric reaches a certain threshold, the email address can be whitehsted Other embodiments can include the ability to track addresses over time In those embodiments, if the metric exceeds a certain value for a particular outbound email address during a particular time, then that entry can be whitehsted
The parameters described above may be configurable by an application administrator through an appropriate interface Some embodiments may support fixed parameters which may be overridden by application administrator configuration
In some embodiments, the threshold for characterization as spam or a threat may be dynamically determined based upon the data associated with previously received communications. Alternatively, an interface may be provided to an application administrator to allow configuration of particular thresholds with respect to individual addresses. In some embodiments, thresholds by default may be dynamically derived unless specifically configured by an application administrator.
When spam or a threat is detected, instead of, or in addition to, a notification, one or more response measures could be triggered Such responsive measures could include refusing acceptance of further communications from the source of the received communication, quarantining the communication, stripping the communication so that it can be forwarded to its intended recipient, and/or throttling excessive numbers of incoming communications from certain sources Authenticated Whitelist
One issue with whitelists is that attackers or spammers can pretend to send messages from whitehsted addresses and therefore bypass filtering and anti-spam tools It is relatively easy for an attacker to forge the sender information on messages To overcome this limitation of whitehsts, the system of the present invention allows the authentication of the sender information There are several methods for integrating
sender authentication with a whitelist system In one embodiment, only authenticated senders can be whitelisted Such a procedure can reduce the likelihood of forged senders being whitehsted However, in many environments, the percentage of messages that are authenticated is low, thereby reducing the effectiveness of whitehsting Some embodiments of the present invention can allow both authenticated and unauthenticated senders to be whitehsted In these embodiments, a higher trust value is given to messages from authenticated senders SMIME and PGP offer mechanism for providing authentication
One such embodiment is depicted in FIG 11 As a non-hmiting example, when a message 1105 is received from a sender on a whitelist 1115 an associated level of trust is retrieved or calculated 1135 In some embodiments, the trust level value is a single value associated with the whitelist entry that simply requires retrieval In other embodiments, the trust level value can be calculated as a weighted sum of various characteristics of the entry, in some such embodiments, the weights can be statically defined, defaulted subject to override by a user or other computer system or dynamically configurable That associated level of trust can be compared to a threshold level 1140 Any communications that have a trust level that meets or exceeds the trust level threshold can bypass message interrogation 1120 while communications that do not have a trust sufficient trust level will be processed with at least some interrogation 1125 Messages that bypass interrogation 1120 as well as messages that pass interrogation 1125 can be delivered to the intended recipient 1145 In such an embodiment, messages not associated with a whitelist entry are subjected to interrogation and further processing 1150
Some embodiments of the present invention can allow the trust level threshold 1130 to be configured by an administrator, other user of the system or other computer systems Exclusions from Whitelist
The spam/threat detection according to present invention examines every outbound message and maintains a list of known outbound email addresses The resulting list can then be used as the list of trusted senders However, it may not be
advisable in all cases to add every outbound message recipient to the list of trusted senders for incoming mail For example, while a user may send a message to a newsgroup, that does not indicate that messages from this newsgroup should necessarily bypass mail filtering To further illustrate, a user may send an unsubscribe message to a newsletter or in response to a spam message Thus, there can be situations in which unconditional whitelist addition is not advisable The system of the present invention allows certain exclusion conditions to be entered and applied
These exclusion conditions can include rule sets, heuristics, artificial intelligence, decision trees, or any combination thereof The conditions can be set by and administrator or other user of the system Multiple Queue Approach to Interrogation of Electronic Communications
With reference to FIG 7, a multiple queue approach is provided for applying a plurality of risk assessments to a received communication
Messages are first placed in an unprocessed message store 730, a portion of the SDS, for advanced processing and administration Messages come in from an external source 740 and are placed in this store 730 This store 730 maintains physical conirol over the message until the end of the process or if a message does not pass interrogation criteria and is, therefore, quarantined
An index to the message in the store 730 is used to pass through each of the queues 771B, 781B-784B, 791B in the queuing layer 720 and to the interrogation engines 771 A, 781A-784A, 791A instead of the actual message itself to provide scalability and performance enhancements as the index is significantly smaller than the message itself
Both the queues and the interrogation engines use the index to point back to the actual message in the unprocessed message store 730 to perform actions on the message Any suitable index allocation approach may be used to assign an index to a received message, or communication For instances, indices may be assigned by incrementing the index assigned to the previously received communication beginning with some fixed index such as 0 for the first received communication, the index could be reset to the fixed starting point after a sufficiently large index has been assigned In
some embodiments, an index may be assigned based upon characteristics of the received communication such as type of communication, time of arrival, etc
This approach provides independent processing of messages by utilizing a multi-threaded, multi-process methodology, thereby providing a scalable mechanism to process high volumes of messages by utilizing a multi-threaded, multi-process approach
By processing messages independently, the queuing layer 720 decides the most efficient means of processing by either placing an index to the message on an existing queue or creating a new queue and placing the index to the message on that queue In the event that a new queue is created, a new instance of the particular interrogation engine type will be created that will be acting on the new queue
Queues can be added or dropped dynamically for scalability and administration The application administrator can, in one preferred embodiment, configure the original number of queues to be used by the system at start-up The administrator also has the capability of dynamically dropping or adding specific queues or types of queues for performance and administration purposes Each queue is tied to a particular interrogation engine where multiple queues and multiple processes can exist
Proprietary application-specific engines can act on each queue for performing content filtering, rules-based policy enforcement, and misuse prevention, etc A loosely coupled system allows for proprietary application-specific applications to be added enhancing functionality
This design provides the adaptive method for message interrogation Application-specific engines act on the message via the index to the message in the unprocessed message store for completing content interrogation
Administration of the queues provides for retrieving message details via an appropriate interface such as a Web, e-mail and/or telephone based interface system as discussed above in order to facilitate access and management by the application administrator Administration of the queues allows the administrator to select message queue order (other than the system default) to customize the behavior of the system to best meet the needs of the administrator's particular network and system configuration
FIGs 8A - 8B are flow charts depicting use of the multiple queue approach to assess risk associated with a received communication At step 802 a determination is made if the start-up of the process is being initiated, if so, steps 805 and 807 are performed to read appropriate configuration files from the SDS to determine the type, number and ordering of interrogation engines and the appropriate queues and instances are created If not, the process waits at step 810 for receipt of a communication
Upon receipt at step 812, the communication is stored in a portion of the SDS referred to as the unprocessed message store The communication is assigned at step 815 an index used to uniquely identify it in the unprocessed message store, and this index is placed in the first queue based upon the ordering constraints
The processing that occurs at step 810 awaiting receipt of communication continues independently of the further steps in this process, and will consequently spawn a new traversal of the remainder of the flow chart with each received communication In some embodiments, multiple instances of step 810 may be simultaneously awaiting receipt of communications
In some embodiments, the receipt of a communication may trigger a load evaluation to determine if additional interrogation engines and associated queues should be initiated In other embodiments, a separate process may perform this load analysis on a periodic basis and/or at the direction of an application administrator
The index moves through the queue 820 until it is ready to be interrogated by the interrogation engine associated with the queue as determined in step 825 This incremental movement is depicted as looping between steps 820 and 825 until ready for interrogation If the communication is not ready for evaluation at step 825, the communication continues moves to move through the queue at step 820 If the communication is ready, the index is provided to the appropriate interrogation engine at step 830 in FIG 8B
The interrogation engine processes the communication based upon its index in step 830 Upon completion of interrogation in step 835, the interrogation creates a new risk profile associated with the received communication based upon the interrogation
If additional interrogations are to occur (step 840), the index for the communication is place in a queue for an instance of the next interrogation type in step 845 Processing continues with step 820 as the index moves through this next queue
If no more interrogations are required (step 840), a further check is made to determine if the communication passed interrogation by all appropriate engines at step 850 If the communication passed all interrogations, then it is forwarded to us destination in step S55 and processing with respect to this communication ends at step 870
If the communication failed one or more interrogation as determined at step 850, failure processing occurs at step 860 Upon completion of appropriate failure processing, processing with Tespect to this communication ends at step 870
Failure processing may involve a variety of notification and/or corrective measures Such notifications and/or corrective measures may include those as discussed above and in further detail below with respect to anomaly detection Anomaly Detection Process
The Anomaly Detection process according to an exemplary embodiment of the present invention uses three components as depicted in FIG 6 1 Collection Engine
This is where the actual collection of data occurs The collection engine receives a communication directed to or originating from an application server One or more tests jre applied to the leccived communication These one or more tests may correspond to the various risk assessments discussed above
The collection engine in one preferred embodiment as depicted in FIG 6 uses the multiple queue approach discussed above, however, this particular collection engine aichiteclure is intended as exemplary rather than restrictive with respect to collection engines usable within the context of this anomaly detection process
As depicted in FIG 6, the collection engine includes one or more interrogation engines of one or more interrogation engine types in an interrogation layer 610 Associated with each interrogation engine type in a queuing layer 620 is at least one indices queue containing the indices ot received communication awaiting interrogation
by an interrogation engine of the associated type Collectively, the queuing layer 620 and the interrogation layer 610 form the collection engine A received communication is received, stored in the SDS and assigned an index The index is queued in the queuing layer for processing through the collection engine. 2 Analysis Engine
The data collected by the previous component is analyzed for unusual activity by the anomaly detection engine 640 The analysis is based on data accumulated from analysis of previously received communications over a period of time A set of predefined heuristics may be used to detect anomalies using dynamically derived or predetermined thresholds A variety of anomaly types may be defined generally for all types of Internet application communications while others may be defined for only particular application types such as e-mail or Web The data associated with previously received communications and appropriate configuration data 630 are stored in the SDS
The set of anomaly types that the analysis engine will detect may be selected from a larger set of known anomaly types The set of interest may be set at compile time or configurable at run time, or dunng execution in certain embodiments In embodiments using the set approach all anomaly types and configuration information are set within the analysis engine. In some such embodiments, different sets of anomalies may be of interest depending upon the type of communication received In configurable at run time embodiments, anomaly types are read from a configuration file or interactively configured at run time of the analysis engine As with the set approach, certain anomaly types may be of interest with respect to only selected types of communication Finally, in some embodiments (including some set or configurable ones), an interface such as described above may be provided allowing reconfiguration of the anomaly types of interest and parameters associated therewith while the analysis engine is executing
The thresholds for various types of anomalies may be dynamically determined based upon the data associated with previously received communications Alternatively, an interface may be provided to an application administrator to allow configuration of particular thresholds with respect to individual anomaly types In
some embodiments, thresholds by default may be dynamically derived unless specifically configured by an application administrator
Anomalies are typically detected based upon a specific time period Such a time period could be a particular fixed period (e g, prior month, prior day, prior year, since security device's last reboot, etc ) and apply to all anomaly types Alternatively, the time period for all anomaly types, or each anomaly type individually, may be configurable by an application administrator through an appropriate interface such as those discussed above Some embodiments may support a fixed period default for all anomaly types, or each anomaly type individually, which may be overridden by application administrator configuration
In one preferred embodiment, as depicted in FIG 6, information from the risk profiles 642,644,646 generated by the collection engine is compared with the acquired thresholds for anomaly types of interest Based upon these comparisons, a determination is made as to whether the received communication is anomalous, and if so, in what way (anomaly type) the communication is anomalous
In one preferred embodiment, the stored risk profile associated with the received communication is aggregated with data associated with previously received communications of the same type This newly aggregate data set is then used in analysis of subsequently received communications of that type
If an anomaly is detected, an anomaly indicator signal is output The outputted signal may include data identifying the anomaly type detected and the communication in which the anomaly was detected such as alert data 650 Various types of anomalies are discussed below with respect to e-mail application security. These types of anomalies may be detected using the specific detection approach discussed below or any of the aforementioned alternative anomaly detection approaches 3 Action Engine
Based on the analysis, this component takes a decision of what sort of action needs to be triggered Generally the action involves alerting the administrator of the ongoing unusual activity An alert engine 660 performs this task by providing any appropriate notifications and/or initiating any appropnate corrective actions
The outputted signal may trigger a further response in some embodiments, alternatively, the outputted signal may be the response In one preferred embodiment, the outputted signal may be a notification to one or more designated recipient via one or more respective, specified delivery platform For instance, the notification could be in the form of an e-mail message, a page, a facsimile, an SNMP alert, an SMS message, a WAP alert, OPSEC warning a voice phone call or other suitable message Alternatively, such a notification could be triggered by the outputted signal
Instead of or in addition to a notification, one or more corrective measures could be triggered by the outputted signal Such corrective measures could include refusing acceptance of further communications from the source of the received communication, quarantining the communication, stripping the communication so that it can be safely handled by the application server, and/or throttling excessive numbers of incoming connections per second to levels manageable by internal application servers
In one preferred embodiment, an interface may be provided that allows an application administrator to selectively configure a desired response and associate this configured response with a particular anomaly type such that when an anomaly of that type is detected the configured response occurs
FIG 4 depicts a flow chart in a typical anomaly detection process according to one preferred embodiment of the present invention The process starts in step 410 by initializing various constraints of the process including the types of anomalies, thresholds for these types and time periods for which prior data is to be considered This information may be configured interactively at initiation In addition to, or instead of, the interactive configuration, previously stored configuration information may be loaded from the SDS
The process continues at step 420 where anomaly definitional information is read (e g, Incoming messages that have the same attachment within a 15 minute interval) A determination is then made as to whether a new thread is needed, this determination is based upon the read the anomaly details (step not shown) In step 430, if a new thread is required, the thread is spun for processing in step 450 In step 440,
the process sleeps for a specified period of time before returning to step 420 to read information regarding an anomaly
Once processing of the new thread commences in step 450, information needed to evaluate the anomaly is retrieved from appropriate locations in the SDS, manipulated if needed, and analyzed in step 460 A determination in step 470 occurs to detect an anomaly In one preferred embodiment, this step uses predetermined threshold values to make the determination, such predetermined threshold values could be provided interactively or via a configuration file If an anomaly is not detected, the process stops
If an anomaly is detected, an anomaly indicator signal is output at step 480 which may result in a notification The possible results of anomaly detection are discussed in more detail above with respect to the Action Engine.
The types of anomalies may vary depending upon the type and nature of the particular application server The following discussion provides exemplary definitions of anomalies where e-mail is the application context in question Anomalies similar, or identical, to these can be defined with respect to other application server types
There are many potential anomaly types of interest in an e-mail system The analysis is based on the collected data and dynamic rules for normality based on the historic audited data In some embodiments, an application administrator can be provided with an interface for configuring predefined rules with respect to different anomaly types FIG 5 provides a sample screen for such an interface. The interface functionality may be provided via a Web server running on the security enhancement device or other suitable interface platform as discussed above
In one preferred embodiment, the threshold value for the analysis for each anomaly is derived from an anomaly action table The action for each anomaly is also taken from this table The analysis identifies that some thing unusual has occurred and hands over to the action module Enumerated below with respect to e-mail are anomalies of various types
1 Messages from same IP Address - The point of collection for this anomaly is
SMTPI/SMTPIS service SMTPI/SMTPIS has information about the IP address
from which the messages originate The IP address is stored in the SDS The criterion for this anomaly is that the number of message for the given period from the same IP address should be greater than the threshold Based on the level of threshold, suitable alert is generated.
2 Messages from same Address (MAIL FROM) - The point of collection for this anomaly is SMTPI/SMTPIS service SMTPI/SMTPIS has information about the address (MAIL FROM) from which the messages originate The determined address is stored in the SDS The criterion for this anomaly is that the number of message for the given period with the same MAIL FROM address should be greater than the threshold Based on the level of threshold, suitable alert is generated
3 Messages having same Size - The point of collection for this anomaly is SMTPI/SMTPIS service SMTP/SMTPIS has information about the size of the messages The size of the message is stored in the SDS This size denotes the size of the message body and does not include the size of the headers. The criterion for this anomaly is that the number of message for the given period with a same size should be greater than the threshold Based on the level of threshold, suitable alert is generated
4 Messages having same Subject - The point of collection for this anomaly is SMTPI/SMTPIS service SMTPI/SMTPIS has information about the subject line of the message The subject line information for the message is stored in the SDS The criterion for this anomaly is that the number of message for the given period with the same subject line should be greater than the threshold Based on the level of threshold, suitable alert is generated
5 Messages having same Attachment - The point of collection for this anomaly is
the MIME Ripper Queue The MIME Ripper Queue parses the actual message
into the constituent MIME parts and stores the information in the SDS A part
of this information is the attachment file name The criterion for this anomaly is
that the number of message for the given period with same attachment name
should be greater than the threshold Based on the level of threshold, suitable alert is generated
6 Messages having same Attachment Extension - The point of collection for this
anomaly is the MIME Ripper Queue The MIME Ripper Queue parses the
actual message into the constituent MIME parts and stores the information in
the SDS A part of this information is the attachment file extension The
criterion for this anomaly is that the number of message for the given period
with same extension should be greater than the threshold Based on the level of
threshold, suitable alert is generated
7 Messages having Viruses - This anomaly will be detected only if any of the
anti-virus queues are enabled The point of collection for this anomaly is the
anti-virus Queue The anti-virus Queue scans for any viruses on each individual
MIME parts of the message The scan details are stored in the SDS A part of
this information is the virus name The criterion for this anomaly is that the
number of message for the given period detected with viruses should be greater
than the threshold Based on the level of threshold, suitable alert is generated
8 Messages having same Virus - This anomaly will be detected only if any of the
anti-virus queues are enabled The point of collection for this anomaly is the
anti-virus Queue The anti-virus Queue scans for any viruses on each individual
MIME parts of the message The scan details are entered into the SDS A part
of this information is the virus name The criterion for this anomaly is that the
number of message for the given period detected with same virus should be
greater than the threshold Based on the level of threshold, suitable alert is
generated
The table below depicts the fields in an anomaly table in one preferred embodiment using a relational database model for storing this information in the SDS
(Table Removed)
The table below depicts the fields in an anomaly action table in one preferred embodiment using a relational database model for storing this information in the SDS
(Table Removed)
Throughout this application, various publications may have been referenced The disclosures of these publications in their entireties are hereby incorporated by reference into this application in order to more fully describe the state of the art to which this invention pertains
The embodiments described above are given as illustrative examples only It will be readily appreciated by those skilled in the art that many deviations may be made
from the specific embodiments disclosed in this specification without departing from the invention Accordingly, the scope of the invention is to be determined by the claims below rather than being limited to the specifically described embodiments above







We claim:
1. An application layer security system, the system comprising:
a) at least one application server system communication interface communicatively coupling the security system to one or more application server systems;
b) a system data store capable of storing an electronic communication and accumulated data associated with received electronic communications; and c) a system processor in communication with the system data store and the at least one application server system communication interface, wherein the system processor comprises one or more processing elements and wherein the system processor: i) receives an electronic communication directed to or from a selected application server system; ii) applies one or more tests to the received electronic communication, wherein each of the one or more tests evaluates the received electronic communication for a particular security risk; iii) stores in the system data store a risk profile associated with the received electronic communication based upon the applied one or more tests;
characterized in the system processor: iv) determines whether an anomaly exists with respect to the received electronic communication based upon the stored risk profile and accumulated data associated with received electronic communications from the system data store(640); and v) outputs an anomaly indicator signal if an anomaly is determined to exist(650).
2. The system as claimed in claim 1, wherein the received electronic communication comprises
an e-mail communication, an HTTP communication, an FTP communication, a
WAIS communication, a telnet communication or a Gopher communication.
3. The system as claimed in claim 2, wherein the received electronic communication is an e-mail communication.
4. The system as claimed in claim 1, wherein each of the one or more tests applied by the system processor comprises intrusion detection, virus detection, spam detection or policy violation detection.
5. The system as claimed in claim 1, wherein the system processor applies a plurality of tests.
6. The system as claimed in claim 5, wherein the system processor applies each of the plurality for tests in a parallel fashion.
7. The system as claimed in claim 5, wherein the system processor applies each of the plurality of tests in a sequential fashion.

8. The system as claimed in claim 7, wherein the system data store comprises: i) a message data
store capable of storing an electronic communication, and ii) a queue data store capable of
storing a plurality of index queues ; and wherein the system processor applies the plurality of
tests in a sequential fashion by: 1) storing the received electronic communication in the message
data store;
2) assigning a selected index to the stored electronic communication;
3) executing a plurality of testing engines, wherein each of the testing engines has a test type and has an index queue in the queue data store associated with it, wherein at any given time at least two of the executing testing engines have differing test types, and wherein each of the testing engines: (a) monitors its associated index queue for a placed index; (b) retrieves the electronic communication associated with the placed index from the message data store; and (c) tests the retrieved electronic communication against a set of one or more criteria; and
4) placing the selected index into the index queue associated with a first testing engine, wherein the first testing engine has a first test type; and
5) placing the selected index into the index queue associated with a second testing engine, after the first testing engine performs its test upon the stored electronic communication associated with the selected index,
wherein the second testing engine has a second test type that differs from the first test type.
9. The system as claimed in claim 8, wherein the test type of each executing test engine is
intrusion detection, virus detection, spam detection or policy violation detection.
10. The system as claimed in claim 1, wherein the system processor applies each of the one or more tests based upon configuration information stored in the system data store.
11. The system as claimed in claim 1, wherein the system processor determines whether an anomaly exists further based upon configuration information stored in the system data store.
12. The system as claimed in claim 11, wherein the configuration information comprises anomaly types, anomaly threshold information, anomaly time period information or anomaly response information.
13. The system as claimed in claim 1, wherein the system processor further derives one or more anomaly thresholds from the accumulated data associated with received electronic communications in the system data store.
14. The system of claim 1, wherein the system processor determines whether an anomaly exists by:

1) determining a set of anomaly types of interest;
2) for each of the anomaly types of interest in the determined set, (a) acquiring one or more anomaly thresholds associated with the respective anomaly type based at least in part upon accumulated data associated with received electronic communications from the system data store; (b) comparing information in the stored risk profile against at least one of the acquired one or more anomaly thresholds; and (c) determining whether an anomaly of the respective anomaly type exists with respect to the received electronic communication based upon the comparison.

15. The system as claimed in claim 14, wherein the system processor determines the set of anomaly types of interest by reading configuration information from the system data store.
16. The system as claimed in claim 14, wherein the system processor determines the set of anomaly types of interest based upon the received electronic communication.
17. The system as claimed in claim 14, wherein the system processor acquires the one or more anomaly thresholds by deriving at least one anomaly threshold from the accumulated data associated with received electronic communications.
18. The system as claimed in claim 17, wherein the derivation of the at least one anomaly threshold is further based upon a predetermined time period.
19. The system as claimed in claim 14, wherein the system processor acquires at least one anomaly threshold of the one or more anomaly thresholds by reading configuration information from the system data store.
20. The system as claimed in claim 1, wherein the anomaly indicator signal comprises a notification conveyed to an administrator.
21. The system as claimed in claim 20, wherein the notification comprises an e-mail message, a page, a facsimile, an telephone call, an SMS message, a WAP alert or an SNMP alert.
22. The system as claimed in claim 20, wherein the anomaly indicator signal further comprises an anomaly type and wherein the notification conveyed to the administrator comprises the anomaly type.
23. The system as claimed in claim 1, wherein the anomaly indicator signal comprises an anomaly type.
24. The system as claimed in claim 1, wherein the system is disposed between a firewall system and one or more application server systems.

25. The system as claimed in claim 24, further comprising a firewall communication interface communicatively coupling the system to the firewall system, wherein the system processor receives the electronic communication directed to the selected application server system via the firewall communication interface.
26. The system as claimed in claim 1, wherein the system processor further forwards the received electronic communication to a destination indicated by the received electronic communication.
27. The system as claimed in claim 1, wherein the system processor further aggregates the stored risk profile with the accumulated data associated with received electronic communications and stores aggregated accumulated data in the system data store.
28. The system as claimed in claim 1, wherein the system processor further stores the received electronic communication in the system data store.
29. The system as claimed in claim 1, wherein the system processor further determines tests to apply to the received communication.
30. The system as claimed in claim 29, wherein the system processor determines test to be applied based upon configuration information stored in the system data store.
31. The system as claimed in claim 29, wherein the system processor determines test to be applied based upon characteristics of the received electronic communication.
32. The system as claimed in claim 1, wherein the system processor further provides an interface via which an administrator enters configuration information, receives configuration information from the interface and stores the received configuration information in the system data store.
33. The system as claimed in claim 32, wherein the system processor applies the one or more tests based upon the stored configuration information.
34. The system as claimed in claim 32, wherein the system processor determines whether an anomaly exists based upon the stored configuration information.
35. The system as claimed in claim 34, wherein the stored configuration information comprises anomaly types, anomaly threshold information, anomaly time period information or anomaly response information.

36. The system as claimed in claim 32, wherein the system processor provides the interface to the administrator via a Web server, an e-mail server, an automated voice recognition system or an SMS message server.
37. The system as claimed in claim 32, wherein the system processor further populates the interface with default values prior to providing it to the administrator.
38. The system as claimed in claim 1, wherein the system processor further takes a corrective measure responsive to the anomaly indicator signal.
39. The system as claimed in claim 38, wherein the corrective measure comprises conveying a notification to an administrator, refusing acceptance of further communications from the source of the received communication, quarantine of the received communication, stripping the received communication of identified content, or throttling excessive numbers of incoming connections per second to levels manageable by internal application servers.
40. The system as claimed in claim 39, wherein the notification comprises an e-mail message, a page, a facsimile, an telephone call, an SMS message, a WAP alert or SNMP alert.
41. The system as claimed in claim 1, wherein the one or more application server systems comprise e-mail server systems, Web server systems, FTP server systems, telnet server systems, GOPHER server systems or WAIS server systems.
42. The system as claimed in claim 41, wherein the one or more application server systems are e-mail server systems.
43. A method for enhancing application layer communication security, the method comprising the steps of: a) receiving(310) an electronic communication from a security system through a firewall system (140) directed to a selected application server system, wherein the received electronic communication is an application layer communication; b) applying(320-360) one or more tests to the received electronic communication residing in a hardware device (210), wherein each of the one or more tests evaluates the received electronic communication for a particular security risk;
characterized in:
c) determining (640)whether an anomaly exists with respect to the received electronic communication based upon the applied one or more tests; and d) outputting an anomaly indicator signal if an anomaly is determined to exist(650).

44. The method as claimed in claim 43, wherein the received electronic communication comprises an e-mail communication, an HTTP communication, an FTP communication, a WAIS communication, a telnet communication or a Gopher communication.
45. The method as claimed in claim 44, wherein the received electronic communication is an e-mail communication.
46. The method as claimed in claim 43, wherein the step of applying one or more tests comprises applying one or more of an intrusion detection test, a virus detection test, a spam detection test or a policy violation test.
47. The method as claimed in claim 43, wherein the step of applying one or more tests comprises sequentially applying a plurality of tests.
48. The method as claimed in claim 47, wherein the step of applying one or more tests comprises for each of the plurality of tests performing the steps of: i) selecting a test to perform, ii) performing the selected test on the received electronic communication, and iii) outputting a risk profile based upon the performed test.
49. The method as claimed in claim 48, and further comprising the step of receiving configuration information and wherein the step of selecting a test comprises selecting a test based upon the received configuration information.
50. The method as claimed in claim 48, wherein the step of selecting a test comprises selecting a test based upon a type associated with the received electronic communication.
51. The method as claimed in claim 43, and further comprising the step of receiving configuration information and wherein the step of determining whether an anomaly exists is further based upon the received configuration information.
52. The method as claimed in claim 51, wherein the received configuration information comprises anomaly types or anomaly response information.
53. The method as claimed in claim 52, and further comprising the step of receiving accumulated data associated with received communication and wherein the step of determining whether an anomaly exists comprises deriving anomaly threshold information from the received accumulated data.
54. The method as claimed in claim 52, wherein the received configuration information further

comprises anomaly threshold information or anomaly time period information.
55. The method as claimed in claim 43, and further comprising the step of receiving accumulated
data associated with received communication and wherein the step of determining
whether an anomaly exists is further based upon the received accumulated data associated with received communications.
56. The method as claimed in claim 43, and further comprising the step of taking a corrective measure responsive to the anomaly indicator signal.
57. An application layer security system, the system comprising: a) receiving means for receiving an application layer electronic communication; b) storing means for storing an electronic communication and accumulated data associated with received electronic communications;
c) assessment means for applying one or more tests to the received electronic communication, wherein each of the one or more tests evaluates the received electronic communication for a particular security risk, and for storing a risk profile in the storing means, wherein the risk profile was generated from applying the one or more tests to the received electronic communication; d) anomaly determining means for determining whether an anomaly exists with respect to the received communication based upon the risk profile and accumulated data associated with the received electronic communications in the storing means; and e) output means for outputting an anomaly indicator signal if an anomaly was determined to exist by the anomaly determining means.
58. A system for detecting an anomalous communication transmitted over a communications
network, the system comprising: a) an interface coupling the system with the communications
network; b) a system data store capable of storing data associated with communications
transmitted over the communications network and information associated with one or more
responses to be initiated if an anomaly is detected; c) a system processor in communication with
the interface and the data store, wherein the system processor comprises one or more processing
elements and wherein the system processor executes: i) a collection engine(610 and 620) that:
1) receives a communication via the interface; and
2) generates data associated with the received communication by applying one or more tests to the received communication; ii) an analysis engine(640) that detects whether an anomaly exists with respect to the received communication based upon the data generated by the collection

engine and data associated with previously received communications from the system data store; whrein the anomaly is detected by
1) determining a set of anomaly types of interest;
2) for each of the anomaly types of interest in the determined set, (a) acquiring one or more anomaly thresholds associated with the respective anomaly type based at least in part upon accumulated data associated with received communications from the system data store; (b) comparing information in the stored risk profile against at least one of the acquired one or more anomaly thresholds; and (c) determining whether an anomaly of the respective anomaly type exists with respect to the received communication based upon the comparison.
and
iii) an action engine (660)that initiates a predetermined response from the system data store if an anomaly was detected by the analysis engine.
59. The system as claimed in claim 58, wherein the received communication comprises an e-mail communication, an HTTP communication, an FTP communication, a WAIS communication, a telnet communication or a Gopher communication.
60. The system as claimed in claim 59, wherein the received communication is an e-mail communication.
61. The system as claimed in claim 58, wherein each of the one or more tests applied by the collection engine comprises intrusion detection, virus detection, spam detection or policy violation detection.
62. The system as claimed in claim 58, wherein the collection engine applies a plurality of tests.
63. The system as claimed in claim 62, wherein the collection engine applies each of the plurality of tests in a parallel fashion.
64. The system as claimed in claim 62, wherein the collection engine applies each of the plurality of tests in a sequential fashion.
65. The system as claimed in claim 58, wherein the system data store stores configuration information and wherein the collection engine applies each of the one or more tests based upon configuration information stored in the system data store.

66. The system as claimed in claim 58, wherein the analysis engine detects whether an anomaly exists further based upon configuration information stored in the system data store.
67. The system as claimed in claim 66, wherein the configuration information comprises anomaly types, anomaly threshold information, anomaly time period information or anomaly response information.
68. The system as claimed in claim 58, wherein the analysis engine further derives one or more anomaly thresholds from the accumulated data associated with received communications in the system data store and wherein the analysis engine detects whether an anomaly exists further based upon the derived one or more anomaly thresholds.
69. The system as claimed in claim 58, wherein the system data store stores configuration information and wherein the analysis engine determines the set of anomaly types of interest by reading configuration information from the system data store.
70. The system as claimed in claim 58, wherein the analysis engine determines the set of anomaly types of interest based upon the received communication.
71. The system as claimed in claim 58, wherein the analysis engine acquires at least one of the one or more anomaly thresholds by deriving the at least one anomaly threshold from the accumulated data associated with previously received communications.
72. The system as claimed in claim 71, wherein the derivation of the at least one anomaly threshold is further based upon a predetermined time period.
73. The system as claimed in claim 58, wherein the system data store stores configuration information and wherein the analysis engine acquires at least one of the one or more anomaly threshold by reading configuration information from the system data store.
74. The system as claimed in claim 58, wherein the action engine's initiated predetermined response is based upon an anomaly type associated with an anomaly detected by the analysis engine.
75. The system as claimed in claim 58, wherein the action engine's initiated predetermined response comprises conveying a notification to an administrator, refusing

acceptance of further communications from the source of the received communication, quarantine of the received communication, stripping the received communication of identified content, or throttling excessive numbers of incoming connections per second to manageable levels.
76. The system as claimed in claim 75, wherein the action engine's initiated predetermined
response comprises conveying a notification to an administrator and wherein the notification
comprises an e-mail message, a page, a facsimile, an telephone call, an
SMS message, a WAP alert or SNMP alert.
77. The system as claimed in claim 58, wherein the system processor further aggregates the data generated by the collection engine with the accumulated data associated with previously received communications and stores aggregated accumulated data in the system data store.
78. The system as claimed in claim 58, wherein the system processor further provides an interface via which an administrator enters configuration information, receives configuration information from the interface and stores the received configuration information in the system data store.
79. The system as claimed in claim 78, wherein the collection engine applies the one or more tests based upon the stored configuration information.
80. The system as claimed in claim 78, wherein the analysis engine detects whether an anomaly exists based upon the stored configuration information.
81. The system as claimed in claim 80, wherein the stored configuration information comprises anomaly types, anomaly threshold information, anomaly time period information or anomaly response information.
82. The system as claimed in claim 78, wherein the system processor provides the interface to the administrator via a Web server, an e-mail server, a automated voice recognition system or an SMS message server.
83. The system as claimed in claim 78, wherein the system processor further populates the interface with default values prior to providing it to the administrator.
84. A method for detecting an anomalous communication transmitted over a communication network, the method comprising the steps of:
a) receiving(410) a communication transmitted over a communication network; b) applying one

or more tests to the received communication to generate data associated with the received communication(420); c) acquiring data associated with one or more previously received communications(430-460); d) detecting whether an anomaly exists with respect to the received communication based upon the generated data and acquired data(470); and e) initiating a predetermined response if an anomaly was detected(480).
85. The method as claimed in claim 84, wherein the received communication comprises an e-mail communication, an HTTP communication, an FTP communication, a WAIS communication, a telnet communication or a Gopher communication.
86. The method as claimed in claim 85, wherein the received communication is an e-mail communication.
87. The method as claimed in claim 84, wherein each of the one or more tests applied by the collection engine comprises intrusion detection, virus detection, spam detection or policy violation detection.
88. The method as claimed in claim 84, wherein the step of applying one or more tests comprises applying a plurality of tests.
89. The method as claimed in claim 84, and further comprising the step of deriving one or more anomaly thresholds from the acquired data and wherein the step of detecting whether an anomaly exists further bases detecting whether an anomaly exists upon the derived one or more anomaly thresholds.
90. The method as claimed in claim 84, wherein the step of detecting whether an anomaly exists comprises: a) determining a set of anomaly types of interest; b) for each of the anomaly types of interest in the determined set, i) acquiring one or more anomaly thresholds associated with the respective anomaly type based at least in part upon the acquired data associated with one or more previously received communications;
ii) comparing information in the stored risk profile claimed mile against at least one of the acquired one or more anomaly thresholds; and iii) determining whether an anomaly of the respective anomaly type exists with respect to the received communication based upon the comparison.
91. The method as claimed in claim 90, wherein the step of determining a set of anomaly types of interest comprises reading a configuration file.
92. The method as claimed in claim 90, wherein the step of determining a set of anomaly types

of interest determines the set based upon the received communication.
93. The method as claimed in claim 91, wherein the step of acquiring one or more anomaly thresholds comprises the step of deriving at least one anomaly threshold from the acquired data associated with one or more previously received communications.
94. The method as claimed in claim 84, wherein the initiated predetermined response is based upon an anomaly type associated with a detected anomaly.
95. The method as claimed in claim 84, wherein the initiated predetermined response comprises conveying a notification to an administrator, refusing acceptance of further communications from the source of the received communication, quarantine of the received communication, stripping the received communication of identified content, or throttling excessive numbers of incoming connections per second to manageable levels.
96. The method as claimed in claim 95, wherein the initiated predetermined response comprises conveying a notification to an administrator and wherein the notification comprises an e-mail message, a page, a facsimile, an telephone call, an SMS message, a WAP alert or SNMP alert.
97. A system for detecting an anomalous communication transmitted over a communications network, the system comprising: a) storing means for storing data associated with communications transmitted over the communications network and information associated with one or more responses to be initiated if an anomaly is detected; b) collection means (610 and 620)for receiving a communication transmitted over a communications network and for generating data associated with the received communication by applying one or more tests to the received communication; c) analysis means (640) for detecting whether an anomaly exists with respect to the received communication based upon the data generated by the collection means and data associated with previously received communications from the storing means; and d) action means (660)for initiating a predetermined response from the storing means if an anomaly was detected by the analysis means.
98. An application layer security system, the system comprising: a) at least one application server system communication interface communicatively coupling the security system to a communication network allowing communication with one or more other application-layer security systems and a threat management system; b) a system data store capable of storing an electronic communication and accumulated data associated with received electronic communications; and c) a system processor in communication with the system data store and the at least one application server system communication interface, wherein the system processor

comprises one or more processing elements and wherein the system processor:
i) receives an electronic communication directed to or from a selected application server system; ii) applies one or more tests to the received electronic communication, wherein each of the one or more tests evaluates the received electronic communication for a particular security risk; iii) stores in the system data store a risk profile associated with the received electronic communication based upon the applied one or more tests; and iv) outputs information based upon the stored risk profile claimed to a second application layer security system, a threat management center, a threat pushback system or a combination thereof.
99. The system as claimed in claim 98, wherein the received electronic communication
comprises an e-mail communication, an HTTP communication, an FTP communication, a WAIS
communication, a telnet communication or a Gopher communication.
100. The system as claimed in claim 99, wherein the received electronic communication is an e-mail communication.
101. The system as claimed in claim 99, wherein each of the one or more tests applied by the system processor comprises intrusion detection, virus detection, spam detection or policy violation detection.
102. The system as claimed in claim 99, wherein the system processor applies a plurality of tests.
103. The system as claimed in claim 99, wherein the system processor applies each of the plurality of tests in a parallel fashion.
104. The system as claimed in claim 99, wherein the system processor applies each of the plurality of tests in a sequential fashion.
105. The system as claimed in claim 99, wherein the system processor applies each of the one or more tests based upon configuration information stored in the system data store.
106. The system as claimed in claim 99, wherein the system processor outputs the information in the form of an e-mail message, a page, a facsimile, an telephone call, an SMS message, a WAP alert or an SMNP alert.
107. The system as claimed in claim 99, wherein the system processor outputs the information to a threat management center and to a second application layer security system, a threat pushback

system or a combination thereof.
108. The system as claimed in claim 99, wherein the one or more tests applied by the system processor comprise anomaly detection.
109. The system as claimed in claim 99, wherein an application layer security system can broadcast a message to at least one other application layer security system.
110. The system as claimed in claim 99, and further comprising a central threat management system, wherein the centralized threat management system coordinates threat information among multiple nodes.
111. The system as claimed in claim 99, wherein each application layer security system is a trusted application layer security system.
112. The system as claimed in claim 99, wherein the system processor outputs information comprising threat statistics.
113 The system as claimed in claim 112, wherein the threat statistics include information about the frequency of certain threat types.
114. The system as claimed in claim 99, wherein the system processor outputs information comprising information corresponding to a specific identified threat, one or more whitelists, traffic pattern data, or combinations thereof.

Documents:

2639-DELNP-2004-Abstract-(09-04-2012).pdf

2639-delnp-2004-Abstract-(20-12-2013).pdf

2639-delnp-2004-abstract.pdf

2639-delnp-2004-assignment.pdf

2639-DELNP-2004-Claims-(09-04-2012).pdf

2639-delnp-2004-Claims-(20-12-2013).pdf

2639-delnp-2004-claims.pdf

2639-DELNP-2004-Correspondence Others-(07-10-2011).pdf

2639-DELNP-2004-Correspondence Others-(09-04-2012).pdf

2639-DELNP-2004-Correspondence Others-(10-10-2011).pdf

2639-delnp-2004-Correspondence Others-(19-04-2012).pdf

2639-delnp-2004-Correspondence Others-(20-12-2013).pdf

2639-delnp-2004-correspondence-others.pdf

2639-delnp-2004-description (complete).pdf

2639-DELNP-2004-Drawings-(09-04-2012).pdf

2639-delnp-2004-Drawings-(20-12-2013).pdf

2639-delnp-2004-drawings.pdf

2639-DELNP-2004-Form-1-(09-04-2012).pdf

2639-delnp-2004-form-1.pdf

2639-delnp-2004-form-18.pdf

2639-DELNP-2004-Form-2-(09-04-2012).pdf

2639-delnp-2004-Form-2-(20-12-2013).pdf

2639-delnp-2004-form-2.pdf

2639-DELNP-2004-Form-3-(07-10-2011).pdf

2639-delnp-2004-form-3.pdf

2639-delnp-2004-form-5.pdf

2639-delnp-2004-gpa.pdf

2639-delnp-2004-pct-210.pdf

2639-delnp-2004-pct-304.pdf

2639-delnp-2004-pct-308.pdf

2639-delnp-2004-pct-332.pdf

2639-delnp-2004-pct-402.pdf

2639-delnp-2004-pct-409.pdf

2639-delnp-2004-pct-416.pdf

2639-DELNP-2004-Petition-137-(09-04-2012).pdf

2639-DELNP-2004-Petition-137-(10-10-2011).pdf

2639-delnp-2004-Petition-137-(20-12-2013).pdf

abstract.jpg


Patent Number 259998
Indian Patent Application Number 2639/DELNP/2004
PG Journal Number 14/2014
Publication Date 04-Apr-2014
Grant Date 31-Mar-2014
Date of Filing 08-Sep-2004
Name of Patentee SECURE COMPUTING CORPORATION
Applicant Address 1105 SANCTUARY PARKWAY,SUITE 450, ALPHARETTA, GA 30004 (US)
Inventors:
# Inventor's Name Inventor's Address
1 JUDGE PAUL 1860, SHENANDOAH VALLEY LANE, SMYRNA, GA 30080, USA
2 RAJAN, GURU 165 STANFORD RIDGE, DULUTH, GA 30097, USA
PCT International Classification Number G06F 11/30
PCT International Application Number PCT/US2003/07042
PCT International Filing date 2003-03-06
PCT Conventions:
# PCT Application Number Date of Convention Priority Country
1 10/094,266 2002-03-08 U.S.A.
2 10/361,067 2003-02-07 U.S.A.
3 10/093,553 2002-03-08 U.S.A.
4 10/361,091 2003-02-07 U.S.A.
5 10/094,211 2002-03-08 U.S.A.