EXHIBIT 1020
`
`
`
`TO PETITIONER GOOGLE INC.’S
`PETITION FOR COVERED BUSINESS
`METHOD REVIEW OF
`U.S. PATENT NO. 8,794,516
`
`
`
`
`
`
`
`

`
`(12) Ulllted States Patent
`Racz et a].
`
`(10) Patent N0.:
`(45) Date of Patent:
`
`US 8,061,598 B2
`*Nov. 22, 2011
`
`US008061598B2
`
`(54) DATA STORAGE AND ACCESS SYSTEMS
`
`9/1992 Gordon et a1.
`5,148,432 A
`7/1993 Moronaga et a1.
`5,226,145 A
`5,367,150 A 11/1994 Kitta et a1.
`5,406,619 A
`4/1995 Akhteruzzaman et a1.
`5,457,746 A 10/1995 Dolphin
`5,532,466 A
`7/1996 Konno et a1.
`5,588,146 A 12/1996 Leroux
`5,677,953 A 10/1997 Dolphin
`5,703,951 A 12/1997 Dolphin
`2
`sTglggwa et a1‘
`537543654 A
`5/l998 Hiroya et a1‘
`5,794,202 A
`8/1998 Kim
`(COnIinued)
`
`EP
`
`FOREIGN PATENT DOCUMENTS
`0 195 098
`10/1990
`
`(Commued)
`
`(75) Inventors‘ gamck RacdZ’HSalmtt ?ler 3E)’ NL
`ermen'ar
`‘1 s ’
`Ster am (
`)
`
`~
`
`.
`
`.
`
`-
`
`(73) Assignee: Smart?ash Technologies Limited,
`Tortola (VG)
`
`( * ) Notice:
`
`Subject to any disclaimer, the term of this
`patent is extended or adjusted under 35
`U.S.C. 154(b) by 0 days.
`This patent is subject to a terminal dis-
`claimer.
`
`(21) Appl. N0.: 13/012,541
`
`(22) Filed:
`
`Jan. 24, 2011
`
`(65)
`
`Prior Publication Data
`
`US 2011/0114723 A1
`
`May 19, 2011
`
`_
`Prlmary Exammer i Thlen Le _
`(74) Attorney, Agent, or F zrm * Kllpatrlck Townsend &
`Stockton LLP
`
`Related US. Application Data
`
`(57)
`
`ABSTRACT
`
`(63) Continuation of application No- 12/014558, _?1ed_ on
`Jan _15’ 2008: HOW Pat: NO~ 72942317: Whlch 1S a
`Commuanon of apphcanon NO' 116362758’ _?1ed_ on
`Jan't_19’ t_2006’fnOW1_Pa:f NCItI
`lvghlglhdls a
`gen 11111712120 app Isa 1311 do‘
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`e on
`ep'
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`(51) Int Cl
`G06K 5/00
`235/380 235/382
`(52) U 5 Cl
`(58) Field of Classi?cation Search ................ .. 235/380,
`235/382’ 492, 4 51
`See application ?le for Complete Search history'
`
`(200601)
`
`’
`
`(56)
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`4,341,951 A
`7/1982 Benton
`4,697,073 A
`9/1987 Hara
`
`Data storage and access systems enable downloading and
`paying for data such as audio and video data, text, software,
`games and other types of data. A portable data carrier has an
`interface for sending and receiving data, data memory for
`storing received content data, and payment validation
`memory for providing payment validation data to an external
`device. The carrier may also store a record of access made to
`the stored content, and content use rules for controlling access
`to the stored content. Embodiments store further access con
`“01 data and sPPplememar-‘y data Such as ho‘ hnks ‘0 Web “85
`and/or advertlslng data. A complementary data access ~term1
`nal, data supply computer system, and data access devlce are
`also described. The combination of payment data and stored
`content data and use rule data helps reduce the risk of unau
`thoriZed access to data such as compressed music and video
`data, especially over the Internet.
`
`41 Claims, 17 Drawing Sheets
`
`10
`\
`
`A
`“- Mm ‘"1
`1,» 15
`"~11.
`
`Google Exhibit 1020 Page 00001
`
`

`
`US 8,061,598 B2
`Page 2
`
`US. PATENT DOCUMENTS
`
`6,993,507 B2
`
`1/2006 Meyer et a1.
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`5,809,241 A 5,845,201 A 12/1998 Funkeetal. 9/1998 111111616161.
`
`
`5,845,281 A 12/1998 Benson et a1.
`/1998 Kreft
`213311333:
`13/1999 Bumsetal
`1
`1
`~
`213331333:
`33333 gillr‘frefgill'
`5,918,213 A
`6/1999 Bernardet a1.
`519231884 A
`M999 Pe etetal
`519331498 A
`M999 sc?lecket'al
`1
`1
`.
`'
`5,936,220 A
`8/1999 H0sh1n0 et a1.
`313131333 2
`33333 1133:1323? 31'
`6,078,917 A
`6/2000 Paulsen e131.
`6,119,945 A
`9/2000 Muller et a1.
`6,142,369 A 11/2000 Jonstromer
`6,202,056 B1
`3/2001 Nuttall
`6,385,731 B2
`5/2002 Ananda
`6,415,156 B1 *
`7/2002 Stadelmann ................ .. 455/466
`6,424,975 B1
`7/2002 Walter 6161.
`6,442,570 B1
`@2002 Wu
`6,473,829 B1
`10/2002 Dahman 6161.
`6,510,236 B1
`1/2003 Crane 6161.
`6,553,413 B1
`4/2003 Leighton 6161.
`6,554,192 B2
`4/2003 Tingl
`6,574,643 B2
`6/2003 Walter 6161.
`6,658,568 B1
`12/2003 Ginter e161.
`6,721,749 B1
`4/2004 Najm e161.
`6,747,930 B1
`6/2004 Weldon et a1.
`
`Z5833 5,2006 Yu
`
`$333333 5% 7’044’362 B2
`
`800% McGee etal
`7’083’08l B2
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`2/2008 Hulstetal.
`7,334,720 B2
`3/2010 Wise
`7,677,446 B2
`8/2003 Aasheim 6161.
`2003/0163594 A1
`90003 Gray
`2003/0168515 ‘A1
`8/2006 Aa_she1metal.
`2006/0179211 A1
`2006/0249570 A1 11/2006 Selfeltetal.
`2007/0162300 A1* 7/2007 Roeveretal. ................... .. 705/1
`Zoos/0041938 A1
`200% Wise
`2008/0314974 A1* 12/2008 Hulst e161. .................. .. 235/380
`FOREIGN PATENT DOCUMENTS
`
`5/1996
`0713198 A2
`EP
`2/1998
`0 823 694 A1
`EP
`4/1998
`0 542 298
`EP
`5/1998
`0 843 449 A2
`EP
`5/1999
`0914 001 A1
`EP
`10269291 A 10/1998
`JP
`11-53184 A
`2/1999
`JP
`11-212785 A
`8/1999
`JP
`11413010 A
`8/1999
`JP
`11472762 A 10/1999
`JP
`WO 98/19237 A1
`5/1998
`W0
`WO 98/33343
`7/1998
`W0
`WO 98/37526
`8/1998
`W0
`* cited by examiner
`
`Page 00002
`
`

`
`US. Patent
`
`Nov. 22, 2011
`
`Sheet 1 0f 17
`
`US 8,061,598 B2
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`US. Patent
`
`Nov. 22, 2011
`
`Sheet 2 0f 17
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`US 8,061,598 B2
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`US. Patent
`
`Nov. 22, 2011
`
`Sheet 3 0f 17
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`US 8,061,598 B2
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`US. Patent
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`NOV. 22, 2011
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`U.S. Patent
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`US. Patent
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`US. Patent
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`US. Patent
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`US. Patent
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`Nov. 22, 2011
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`US 8,061,598 B2
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`US. Patent
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`Page 00017
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`

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`U-S- Patent
`
`Nov. 22, 2011
`
`Sheet 16 of 17
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`US 8,061,598 B2
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`Page 00018
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`

`
`US. Patent
`
`NOV. 22, 2011
`
`Sheet 17 0f 17
`
`US 8,061,598 B2
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`Page 00019
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`

`
`US 8,061,598 B2
`
`1
`DATA STORAGE AND ACCESS SYSTEMS
`
`CROSS-REFERENCES TO RELATED
`APPLICATIONS
`
`This application is a continuation of US. patent applica
`tion Ser. No. 12/014,558, ?led on Jan. 15, 2008, Which is a
`continuation of US. patent application Ser. No. 11/336,758,
`?led on Jan. 19, 2006, noW issued US. Pat. No. 7,334,720;
`Which is a continuation of US. patent application Ser. No.
`10/111,716, ?led on Sep. 17, 2002, Which application is a
`national stage application under 35 U.S.C. 371, claiming the
`priority of international PCT Application No. GB001041 10,
`?led on Oct. 25, 2000; Which claims priority to UK Applica
`tion No. 99252272, ?led on Oct. 25, 1999, each ofWhich is
`incorporated by reference in its entirety for all purposes.
`
`BACKGROUND OF THE INVENTION
`
`This invention is generally concerned With data storage and
`access systems. More particularly, it relates to a portable data
`carrier for storing and paying for data and to computer sys
`tems for providing access to data to be stored. The invention
`also includes corresponding methods and computer pro
`grams. The invention is particularly useful for managing
`stored audio and video data, but may also be applied to stor
`age and access of text and software, including games, as Well
`as other types of data.
`One problem associated With the increasingly Wide use of
`the internet is the groWing prevalence of so-called data
`pirates. Such pirates obtain data either by unauthorized or
`legitimate means and then make this data available essentially
`World-Wide over the internet Without authorization. Data can
`be a very valuable commodity, but once it has been published
`on the internet it is dif?cult to police access to and use of it by
`internet users Who may not even realiZe that it is pirated. This
`is a particular problem With audio recordings, and, once the
`bandWidth becomes available, is also likely to be evident With
`video.
`Over the past three or four years compressed audio sources
`have become increasingly Widely available on Web pages.
`One Widely used audio data compression format is MP3
`(MPEGiAudio Layer 3 of the MPEG1 compression algo
`rithm), Which is an internationally de?ned standard including
`a de?nition of compressed audio information such as speech
`or music. It relies on psycho-acoustic properties of human
`hearing to achieve very large data compression factors. It is
`thus feasible to doWnload usefully long passages of music in
`a practically convenient short time. Pirate data suppliers have
`not been sloW to realiZe the potential of this, and many unau
`thoriZed Websites have sprung up offering popular music,
`including recent releases by World-famous bands. This has
`caused the recording industry considerable concern and there
`is an urgent need to ?nd a Way to address the problem of data
`prracy.
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`SUMMARY OF THE INVENTION
`
`According to the present invention there is therefore pro
`vided a method of providing portable data comprising pro
`viding a portable data storage device comprising doWnloaded
`data storage means and payment validation means; providing
`a terminal for internet access; coupling the portable data
`storage device to the terminal; reading payment information
`from the payment validation means using the terminal; vali
`dating the payment information; and doWnloading data into
`the portable storage device from a data supplier.
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`60
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`Another aspect of the invention provides a corresponding
`mobile data retrieval device for retrieving and outputting data
`such as stored music and/or noise from the data storage
`device.
`The payment validation means is, for example, means to
`validate payment With an external authority such as a bank or
`building society. The combination of the payment validation
`means With the data storage means alloWs the access to the
`doWnloaded data Which is to be stored by the data storage
`means, to be made conditional upon checked and validated
`payment being made for the data. Binding the data access and
`payment together alloWs the legitimate oWners of the data to
`make the data available themselves over the internet Without
`fear of loss of revenue, thus undermining the position of data
`pirates.
`A further advantage of the system is that it alloWs users
`under the age of 18 to make internet purchases. Currently
`internet users pay for goods and/or services by credit card.
`Since credit cards cannot legitimately be used by persons
`under the age of 18 (at least in the UK), a signi?cant fraction
`of adventurous internet users are excluded from e-commerce,
`one of the most signi?cant predicted uses of the internet. In
`one embodiment of the invention, hoWever, the payment vali
`dation means comprises e-cash; that is, the payment valida
`tion means stores transaction value information on a cash
`value of transactions validatable by the data storage means. In
`simple terms, the data storage means can be a card Which is
`charged up to a desired cash value (if necessary limited to a
`maximum value) at a suitable terminal. This might be an
`internet access terminal but could, more simply, be a device to
`accept the data storage card and to receive and count money
`deposited by the user to charge the card, Writing update cash
`value information onto the card. More sophisticated Ways of
`updating the cash value on the card are also possible, such as
`direct bank transfer. Since, With this type of embodiment, the
`data storage means is, essentially, precharged With cash rather
`than acting as a credit card, it can be used by young people
`Without the risk of their incurring large debts.
`In one embodiment the data storage means is poWered by
`the retrieval device When it is connected to the device and
`retains a memory of the doWnloaded data When it is unpoW
`ered. This can be achieved by the use of Flash RAM or, more
`generally, any form of programmable read-only memory.
`Alternatively the data storage means may incorporate a
`rechargeable cell or capacitor and store information in battery
`backed-up static RAM.
`The doWnloaded data may be entered into the data storage
`device by means of an interface such as a magnetically or
`capacitatively coupled connection or an optical connection,
`but preferably the interface comprises contacts for direct elec
`trical connection to the storage means. The payment valida
`tion means may likeWise have one of a variety of interfaces
`but again preferably comprises a set of electrical contacts.
`The payment validation means could, hoWever, comprise a
`magnetic or holographic data-strip such as is knoWn for use
`With credit cards and phone cards. The interface to receive the
`doWnloaded data may be separate from the interface to the
`payment validation means, to facilitate separate and simulta
`neous access to both these systems. In other embodiments a
`single interface may serve for both data storage and payment.
`Advantageously the payment validation means includes
`memory storing information to identify the person Who is
`paying for the doWnloaded data.
`For additional security the doWnloaded data may be
`encrypted. In this case data decryption may be necessary at
`some stage, either in the data storage means or in the retrieval
`device or in an information delivering apparatus such as a data
`
`Page 00020
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`US 8,061,598 B2
`
`3
`access terminal. Alternatively the data decryption function
`can be shared amongst one or more of these devices. The
`skilled person will be aware of a range of suitable encryption/
`decryption techniques, including Pretty Good Privacy (Reg-
`istered Trade Mark) and PKI (Public Key Infrastructure).
`Normally, when the downloaded data is encrypted, a decryp-
`tion key must be supplied. This can be generated automati-
`cally by the data access terminal or data access service pro-
`vider or it can be entered by the user into the data access
`terminal or into the mobile data retrieval device.
`
`The data storage means and/or the retrieval device can be
`provided with access control means to prevent unauthorized
`access to the downloaded data. Additionally or alternatively,
`use control means can be provided to stop or provide only
`limited access of the user to the downloaded data in accor-
`
`dance with the amount paid. These access and use control
`functions may in some embodiments be combined, permitted
`use controlling access or permitted access controlling use.
`Thus, for example, a complete set of data information relating
`to a particular topic, a particular music track, or a particular
`software package might be downloaded, although access to
`part ofthe data set might thereafter be controlled by payments
`made by a user at a later stage. In this way, a user could pay to
`enable an extra level on a game or to enable further tracks of
`an album.
`In embodiments where the access or use control means is
`
`responsive to the payment validation means, access or use
`control information may be stored with the downloaded data
`or in a separate storage area, for example in the payment
`validation means. The user’s access to the downloaded data
`
`could advantageously be responsive to the payment valida-
`tion means, for example, by means of a control line coupling
`the payment validation means with a memory access or
`decryption control element.
`In one embodiment the data storage means comprises an
`electronic memory card or smart card and the mobile data
`retrieval device is provided with a slot to receive the card.
`Preferably the card is a push-fit within the retrieval device,
`and retention of the card may be effected by pressure from
`electrical interface connections and/or resilience of the hous-
`
`ing, or by using a resilient retaining means. In a preferred
`embodiment the retrieval device includes an audio output and
`a display, to play a downloaded track and to show information
`about the track and/or an accompanying video.
`To download data onto the data storage means the user can
`employ a data access terminal coupled to the intemet. The
`terminal can directly validate payment; for example in the
`case of a smart card charged with electronic cash it can deduct
`a cash value from the card. Alternatively it can communicate
`with a bank or other financial services provider to control
`payment. In a preferred embodiment, however, the terminal
`connects to a data access service provider which provides a
`portal to other sites and which validates payment and then
`forwards data from a data supplier to the user’s local access
`terminal. The data access service provider may alternatively
`forward payment validation information and/or information
`from the payment validation authority to the data supplier for
`control by the supplier of the data supplied. Thus, access to
`the payment validation system and/or data for downloading
`may be entirely controlled by the data supplier.
`Data held on the data storage means may advantageously
`include data relating to the user’s or payer’s usage of the
`system. This information may include, for example, informa-
`tion on a user’ s spending pattern, information on data suppli-
`ers used and information on the downloaded data. This infor-
`
`mation may be accessed by the data supplier and/or data
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`access service provider and can be used for targeted market-
`ing or loyalty-based incentive schemes such as air miles or the
`like.
`
`The data access terminal may be a conventional computer
`or, alternatively, it may be a mobile phone. Wireless Applica-
`tion Protocol (WAP) and i-mode allow mobile phones to
`efiiciently access the intemet and this allows a mobile phone
`to be used to download data to the data storage means, advan-
`tageously, directly. The data storage means can, if desired,
`incorporate the functionality of a mobile phone SIM (Sub-
`scriber Identity Module) card, which cards already include a
`user identification means, to allow user billing through the
`phone network operator.
`In a preferred embodiment the downloaded data is MP3 or
`other encoded audio data, but the system finds more general
`application for other data types. For example, download data
`can include software, and particularly games, share price
`information, current news information, transport timetable
`information, weather information and catalog shopping
`information. The downloaded information may also include
`compressed video data. The storage capacity of the data stor-
`age means is adaptable to suit the type of data intended to be
`downloaded; for example, 32 megabytes is sufficient for CD
`quality music, but for video it is preferable that the data
`storage means has a capacity of 128 megabytes or greater.
`In another aspect, the invention provides a portable data
`carrier comprising an interface for reading and writing data
`from and to the carrier; non-volatile data memory, coupled to
`the interface, for storing data on the carrier; non-volatile
`payment data memory, coupled to the interface, for providing
`payment data to an external device.
`These features allow the data carrier to store both payment
`data and content data, thus providing the advantages outlined
`above. Depending upon the payment system used, the pay-
`ment data memory may also store code for validating or
`confirming a payment to an external payment system. The
`payment data will normally be linked to a card or card holder
`identification data for payment by the card holder. The non-
`volatile memory ensures that stored content and payment data
`is retained in the data carrier when the data carrier is not
`
`receiving power from an external source. Thus “non-volatile”
`encompasses, for example, low-power memory whose con-
`tents are retained by a battery back-up system. In one embodi-
`ment the payment data memory comprises EEPROM and the
`content data memory comprises Flash memory, but other
`types of content data memory, such as optical, for example,
`holographic, data memory can also be used. The data carrier
`may also be integrated into other apparatus, such as a mobile
`communications device.
`
`Preferably, the portable data carrier further comprises a
`program store for storing code implementable by a processor;
`and a processor, coupled to the content data memory, the
`payment data memory, the interface and to the program store
`for implementing code in the program store, wherein the code
`comprises code to output payment data from the payment
`data memory to the interface and code to provide external
`access to the data memory.
`Normally, the (content) data memory allows both write and
`read access for both storing and retrieving data, but in some
`embodiments the content data memory may be read-only
`memory (ROM). In such embodiments, content may be pre-
`loaded onto the carrier and payment may then be made for
`permission to access the pre-loaded data.
`Preferably, the data carrier also stores a record of access
`made to the content data and updates this in response to
`external access, preferably read access, made to the data
`memory. The carrier may also store content use rules pertain-
`
`Page 00021
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`US 8,061,598 B2
`
`5
`ing to allowed use of stored data items. These use rules may
`be linked to payments made from the card to provide payment
`options such as access to buy content data outright; rental
`access to content data for a time period or for a specified
`number of access events; and/or rental/purchase, for example
`where rental use is provided together with an option to pur-
`chase content data at the reduced price after rental access has
`expired.
`Thus where the data carrier stores, for example, music, the
`purchase outright option may be equivalent to the purchase of
`a compact disc (CD), preferably with some form of content
`copy protection such as digital watermarking.
`In this
`example, the rental or subscription payment option may be a
`pay-per-play option, and with this option payment may either
`be before or after access to the stored data so that the carrier
`
`may operate in either a debit or credit payment mode.
`The portability ofthe data carrier potentially allows it to be
`used to access content or, in the example, play music without
`the need to be linked to a communications system or to be
`on-line to the internet. By providing a use record memory on
`the data carrier, use of the stored data can be tracked while
`off-line and then any necessary payment can be made when
`the data carrier is next coupled to a communication system.
`This allows the data carrier to operate in a credit mode. In a
`debit mode, the additional storage of use rules facilitates the
`regulation of access to content data stored on the carrier
`without the need for further exchange of payment/use data
`with an external system to validate the use.
`By combining digital rights management with content data
`storage using a single carrier, the stored content data becomes
`mobile and can be accessed anywhere while retaining control
`over the stored data for the data content provider or data
`copyright owner. Preferably,
`the data carrier also stores
`access control data, such as a user ID and a password, as the
`stored data may be valuable. The access control data may be
`combined with access control to the payment data, which is
`typically by means ofa PIN (Personal Identification Number)
`to simplify access to valued content stored on the carrier.
`In one embodiment the stored content data is encrypted and
`a unique password or PIN and/or biometric data is required
`for decryption. The data carrier may be arranged so that the
`content is erased after a predetermined number of incorrect
`access attempts. Additionally or alternatively, a permanently
`stored flag may be set and/or a hardware modification (such as
`a fusable link) may be made to prevent the data carrier from
`functioning for further data storage/retrieval. Preferably,
`however, access to any stored value/payment data is never-
`theless retained.
`
`Supplementary data may also be stored on the carrier in
`association with stored content data. This supplementary data
`may comprise customer reward management data and/or
`advertising data. The supplementary data may comprise a
`pointer to an external data source from which data is down-
`loaded either to the data carrier or to a data access device or
`
`content player, so that advertising or other data can be dis-
`played when reviewing or accessing the stored content.
`Additional data security and/or a mechanism for rewarding
`operators at different levels in the data supply chain may be
`provided using a content synthesis function. The content syn-
`thesis function combines partial content information from
`two or more sources to provide content data items for storage
`and/or output. Thus, for example, a first per