wo 00/72113
`
`PCT/US00/10213
`
`example, the library is the vendor S12 and the people who can access the CD-ROM, either in
`
`the library or elsewhere, are the consumers 510.
`
`In another example, a newspaper publisher operates a web site. Assume that a
`
`corporation purchases a 20 user license allowing up to 20 people from the corporation to
`
`simultaneously access content on the web site. To police its license, the publisher tracks the
`
`users of its web site and block users who are not licensed or who have exceeded the scope of
`
`the applicable license. Accordingly, the newspaper publisher is the vendor 512 and the
`
`corporation and its employees are the consumers 510.
`
`Although neither the illustrated transactions nor the above examples directly utilize a
`
`broker, there may be circumstances where it is desirable to use a broker 111 to perform one
`
`or more of the transactions described below. Those of ordinary skill in the art will
`
`understand that certain transactions attributed to the consumer or the vendor can be
`
`performed instead by a broker 111. For example, the library and/or newspaper may issue
`
`vendor and license scrip directly or rely on a third-party broker for this task.
`
`Turning to FIG. 5, the consumer 510 initially requests 520 content from the vendor
`
`512 without valid license scrip.
`
`In response, the vendor S12 checks to determine whether
`
`there is an available license (i.e., whether an additional consumer is allowed to view the
`
`content under the license). Preferably, the vendor S12 maintains a data structure associated
`
`with the licensed content that can be quickly scanned to determine whether a license is
`
`available. In one embodiment, this data structure is a simple N-entry array, with each entry
`
`holding fields for the expiration time and Customer ID of the consumer 510 having the
`
`license. As licenses are granted, the vendor 512 fills in the array until no more entries are
`
`available.
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5001
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5001
`
`

`
`wo 00/72118
`
`PCI‘/US00/10213
`
`If no licenses are available, then the vendor 512 instructs 522 the consumer 510 to try
`
`again later. In one embodiment, the vendor 512 scans the data structure to determine when
`
`the first license may become available and provides the consumer 510 with that time as a
`
`suggestion of when to try to access the content again. If a license is available, then the
`
`vendor 512 instructs the consumer 510 to go and obtain license scrip.
`
`In response, the consumer 510 attempts 524 to obtain license scrip from the vendor
`
`512. The vendor 512 determines whether the consumer 510 is entitled to a license (i.e.,
`
`entitled to View the content). FIG. 6 is a flow chart 600 illustrating steps for determining
`
`whether to grant license scrip to the consumer 510. When the vendor 512 receives the
`
`request from the consumer 510, the vender retrieves 610 information about the consumer.
`
`The vendor 514 may retrieve this information by asking the consumer 510 to provide it, from
`
`the scrip used to request the license scrip, from a “cookie" on the consumer’s computer
`
`system, or from a table of information shared by the vendor 512 and the consumer 510 or a
`
`broker 1 l 1. Additionally, the wallet 221 on the consumer’s computer system 130 may be
`
`configured to automatically provide information about the consumer 510 when requested by a
`
`vendor 512. Depending on the needs of the vendor 512 and the license agreement for the
`
`content, the information that may be gathered in this manner includes whether the consumer
`
`510 is a member of an organization, the state of residence of the consumer, the consumer’s
`
`age, or any other infonnation that is relevant to determining whether to provide access to the
`
`consumer 510.
`
`The vendor 512 uses this information to determine 612 whether the consumer belongs
`
`to a class that has access to the content held by the vendor 512. If the consumer does not
`
`belong to a class having access, for example, if the consumer is not a state resident, then the
`
`ID
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5002
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5002
`
`

`
`W0 00/72113
`
`PCT/US00/10213
`
`vendor denies 614 access to the consumer 510. Preferably, the vendor 512 directs the
`
`consumer 510 to a web page explaining why access was denied.
`
`If the consumer 510 belongs to a class having access, the vendor 512 scans the data
`
`structure identifying the current licensees of the content and determines 616 whether an
`
`additional license is available. Since there may be a delay between the time the consumer
`
`510 is told to buy license scrip and when the wallet 221 tries to buy the scrip, it is possible
`
`that the available license may have been acquired by another consumer during that time. If
`
`no licenses are available, then the consumer 510 is told to try again later and optionally given
`
`a time when a license may be available.
`
`If a license is available, then the vendor 512 grants 618 the license to the consumer
`
`510. The vendor 512 provides 526 the consumer with license scrip that allows the consumer
`
`510 to access the content. The license scrip preferably has a relatively short validity period,
`
`say a few minutes to an hour, and allows the consumer 510 full access to the licensed
`
`material for the duration of the scrip. The choice of expiration time for the scrip is a business
`
`or legal decision. Since the intention of the license scrip is to hold onto one license slot while
`
`the consumer 510 is actively using the content, the duration of the license should cover the
`
`time that the consumer 510 is expected to be active. In another embodiment, the duration of
`
`the scrip is determined, at least in part, by the type of content accessed by the consumer 510.
`
`In addition, the vendor 512 preferably records data about the granted license, including the
`
`Customer ID of the consumer 510 and the expiration time of the license in the appropriate
`
`data structure.
`
`Each time the consumer 510 wishes to access 528 content held by the vendor 512, the
`
`consumer provides the license scrip to the vendor. If the scrip is expired or otherwise invalid.
`
`then the consumer’s request for access is treated as a request without scrip as illustrated by
`
`11
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5003
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5003
`
`

`
`wo oo/72113
`
`PCT/US00/10213
`
`transaction 520. If the scrip is valid, then the vendor 512 allows the consumer 510 to access
`
`the content. In addition, the vendor 512 provides 530 the consumer 510 with replacement
`
`license scrip having an updated expiration time. Typically, the updated expiration time is
`
`later than the old expiration time, although it can be the same or earlier. In one embodiment,
`
`the vendor 512 grants the consumer 510 less additional time each time the vendor issues new
`
`license scrip to ensure that the consumer’s license eventually expires and other consumers
`
`may eventually access the content. The vendor 512 also updates its data structure to reflect
`
`the new expiration date of the consumer’s license.
`
`Periodically, the vendor 514 preferably scans the data structure to determine whether
`
`any licenses have expired. If so, the entry is purged from the data structure, thereby freeing
`
`up a license for another consumer 510. Accordingly, the present invention uses license scrip
`
`to enforce an N-user license agreement.
`
`It should be understood that FIG. 5 illustrates only one possible set of transactions.
`
`FIG. 3. in combination with FIG. 5, provides insight into other possible transactions. For
`
`example, a corporation could purchase an N-user license agreement from a broker 111 to
`
`access content on a vendor’s system 120. The broker 111 can verify that the corporation is
`
`entitled to a license and then issue the license scrip from a special scrip series corresponding
`
`to the number of users covered by the license. The vendor 121 knows from the scrip series to
`
`restrict access from consumers using that license scrip.
`
`Having described a preferred embodiment of the invention, it will now become
`
`apparent to those skilled in the art that other embodiments incorporating its concepts may be
`
`provided. It is felt therefore, that this invention should not be limited to the disclosed
`
`invention, but should be limited only by the spirit and scope of the appended claims.
`
`12
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5004
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5004
`
`

`
`wo 00/72113
`
`CLAIMS
`
`We claim:
`
`PCT/USO0I10213
`
`1.
`
`A method of restricting simultaneous access to content, comprising the steps
`
`of:
`
`receiving a request to access the content from a consumer;
`
`detennining whether the consumer is entitled to access the content; and
`
`responsive to a positive determination, providing the consumer with license scrip
`
`allowing access to the content.
`
`2.
`
`The method of claim 1, wherein the request to access the content is
`
`accompanied by license scrip having an expiration time and wherein the providing step
`
`provides the consumer with additional license scrip having an updated expiration time.
`
`3.
`
`The method of claim 1, wherein the license scrip has an expiration time and
`
`further comprising the steps of:
`
`I
`
`receiving a second request to access the content from the consumer, the second
`
`request including the license scrip; and
`
`responsive to the second request, providing the consumer with replacement
`
`license scrip having an updated expiration time.
`
`4.
`
`The method of claim 1, wherein the step of determining whether the consumer
`
`is entitled to access the content comprises the steps of:
`
`detennining whether the consumer belongs to a class having access to the content;
`
`and
`
`determining whether a license to access the content is available.
`
`3.
`
`The method of claim 4, wherein the step of detennining whether the consumer
`
`belongs to a class having access to the content comprises the step of:
`
`determining infonnation about the consumer from scrip utilized to request access
`
`to the content.
`
`13
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5005
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5005
`
`

`
`wo go/72113
`
`PCT/US00/10213
`
`6.
`
`The method of claim 4, wherein the step of determining whether a license to
`
`access the content is available comprises the steps of:
`
`determining a number of consumers that have licenses to access the content; and
`
`determining a number of allowed licenses;
`
`wherein a license to access the content is available if the number of consumers
`
`that have licenses to access the content is less than the number of allowed
`
`licenses.
`
`7.
`
`The method of claim 4, further comprising the step of:
`
`responsive to a determination that no licenses to access the content are available,
`
`providing the consumer with an estimate of when a license will be
`
`available.
`
`8.
`
`A computer program product having computer-readable instructions embodied
`
`thereon for restricting access to content stored on a computer system, the computer-readable
`
`instructions comprising instructions for:
`
`receiving a request to access the content stored on the computer system, the
`
`request accompanied by scrip;
`
`determining whether the scrip authorizes access to the content;
`
`responsive to a determination that the scrip does not authorize access to the
`
`content, determining whether scrip authorizing access to the content is
`
`available; and
`
`responsive to a detennination that scrip authorizing access to the content is
`
`available, providing the scrip.
`
`9.
`
`The computer program product of claim 8, further comprising instructions for:
`
`responsive to a detennination that the scrip authorizes access to the content,
`
`providing replacement scrip having an updated expiration time.
`
`14
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5006
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5006
`
`

`
`wo 00/72113
`
`PCT/US00/10213
`
`10.
`
`The computer program product of claim 8, wherein the instructions for
`
`determining whether the scrip authorizes access to the content further comprise computer
`
`instructions for:
`
`determining a type of the scrip accompanying the request; and
`
`responsive to a determination that accompanying scrip is license scrip,
`
`determining whether the license scrip has expired, wherein unexpired
`
`license scrip authorizes access to the content.
`
`11.
`
`The computer program product of claim 8, wherein the instructions for
`
`determining whether scrip authorizing access to the content is available comprise instructions
`
`for:
`
`determining a maximum number of requesters that can be authorized to access the
`
`content;
`
`determining whether a current number of requesters authorized to access the
`
`content is less than the maximum number of requesters; and
`
`responsive to a determination that the current number of requesters authorized to
`
`access the content is less than the maximum number of requesters,
`
`determining that scrip authorizing access to the content is available.
`
`12.
`
`The computer program product of claim 8, further comprising instructions for:
`
`responsive to a determination that scrip authorizing access to the content is not
`
`available, calculating an estimate of when the scrip authorizing access will
`
`be available.
`
`15
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5007
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5007
`
`

`
`wo oon21 13
`
`PCTIUSOO/10213
`
`23.
`
`A computer system for limiting a number of users that can access content
`
`stored on a server associated with the computer system, the computer system comprising:
`
`a module for receiving a request from a user to access the content stored on the
`
`server;
`
`a module for determining the number of users currently having rights to access the
`
`content; and
`
`a module for providing the user with license scrip if the number of users currently
`
`having rights to access the content is less than a number of users allowed
`
`to access the content, the license scrip granting the user the right to access
`
`the content.
`
`1-1.
`
`The system of claim 13, wherein the module for detemiining the number of
`
`users currently having access rights to content comprises:
`
`a module for scanning a data structure stored in a memory of the computer
`
`system, the data structure having one or more entries indicating the
`
`number of users having access rights to the content.
`
`15.
`
`The computer system of claim 14, wherein the data structure indicates when
`
`users’ rights to access the content expire, further comprising:
`
`:1 module for purging the entries of users whose right to access the content has
`
`expired.
`
`16.
`
`The system of claim 13, wherein only a privileged class can access the
`
`content. further comprising:
`
`a module for determining whether the user is a member of the privileged class.
`
`17.
`
`The system of claim 13, wherein the license scrip grants the user the right to
`
`access the content until an expiration time.
`
`13.
`
`The system of claim 17, further comprising:
`
`a module for receiving a second request from the user to access the content stored
`
`on the server accompanied by the license scrip; and
`
`l6
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5008
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5008
`
`

`
`W0 00,721“
`
`PCT/USO0I102l3
`
`a module for providing the user with replacement license scrip having a later
`
`expiration time.
`
`l7
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5009
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5009
`
`

`
`W0 00/72118
`
`PCT/US00/10213
`
`1/6
`
`
`
`111
`
`
`
`BrokerSystem
`
`
`
`VendorSystem
`
`1-
`N1-
`
`120
`
`FIG.1
`
`SUBSTITUTE SHEET (RULE 26)
`Petitioner Apple Inc. — Exhibit 1006, p. 5010
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5010
`
`

`
`W0 00/72118
`
`PCTIUSOO/10213
`
`2/6
`
`250
`
`140
`
`N S
`
`-2
`u.
`
`SUBSTITUTE SHEET (RULE 26)
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5011
`
`220
`
`210
`
`\’‘n
`
`E9
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5011
`
`

`
`W0 00/72118
`
`PCVUS00/10213
`
`own
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`SUBS'l'l'I'U'l'E SHEET (RULE 26)
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5012
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5012
`
`
`

`
`W0 00f72ll8
`
`PCT/US00ll02l3
`
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`SUBSTITUTE SHEET (RUM: 26)
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5013
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5013
`
`

`
`W0 00/72118
`
`PCT/US00/10213
`
`5/6
`
`Consumer; 510
`
`Vendor S-512
`
`Request Content
`
`Get Scrip
`
`Give Scrip
`
`Access Content
`
`Give Replacement Scrip
`
`FIG. 5
`
`SUB§111:IiTE SHEET (RULE 25)
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5014
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5014
`
`

`
`wo oon21 13
`
`PCT/USO0I10213
`
`6/6
`
`
`Get information
`From Consumer
`
`610
`
`614
`
`Deny Access
`
`
`
`
`In Class
`
`
`
`
`
`
`Having
`Access?
`
`Advise Consumer
`620
`to Come Back
`
`Later
`
`Available
`License
`?
`
`618
`
`Grant Access
`
`
`
`SUBSTITUTE SHEET (RULE 26)
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5015
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5015
`
`

`
`
`
`INTERNATIONAL SEARCH REPORT
`
`mam:
`
`1:! Appuenuonuo
`
`PCT/US 00/10213
`
`
`
`A. cussancarnou or user nun-ran
`
`IPC 7
`G06F1 00
`
`Aocordhgtolrltalnafional PatamGassificsflon(|PC)ortoboIhna1iu1aldasificafimu'Id|PC
`
`B. FIELDS SEARCHED
`
`Miramun aounnemazion searched (aaasmcasonsyacantonoueduydaaincauon symbols)
`IPC 7
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`
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`
`GtaIiono1do1:mIarIt.\vi1hirIc|aIioI1. wheIaappmpriate.oHhere|evampasages
`
`C. DOCUMENTS CONSIDERED TO BE RELEVANT
`
`N0 98 58306 A (OYLER SCOTT ;GUTHRIE JOHN
`(US); TECHHAVE INC (US); KRISHNAN GANAPA)
`23 December 1998 (1998-12-23)
`
`
`
`
`
`
`
`
`abstract
`
`
`
`
`
`line 4 -page 8, line 10
`page 6,
`line 8 -page 16, 1ine 17
`page 10,
`page 28, Iine 7 -page 30, 11ne 23
`page 39,
`line 2 - Iine 11
`figures 1-4
`
`
`
`
`
`./_.
`
`
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`
`2 August 2000
`
`
`
`
`
`
`
`
`
`
`
`
`NameendrnaIlingnddmsaouha|SA
`Eumpean Patent Offiee. PB. 5818 Patenflaan 2
`NL -2130 HV Riiswir
`
`Tel. (+81-70) 340-2040. TL 31 651 epo nl.
`
`Fax: (431-70) 340-3016
`
`
`FonnPC1'IlSA210(0Ouurdmut)(.I.ly1092)
`
`09/08/2000
`Amhorludoflieer
`
`Jacobs, P
`
`‘
`
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`
`
`Petitioner ‘A3313: 55- Exhibit 1006, p. 5016
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5016
`
`

`
`INTERNANONALSEARCHREPOHT
`
`
`
`C.(®mtIlIliI'I) DOGJIENTS m BE!-IELEVANT
`
`PCT/US 00/10213
`
`
`
`
`
`
`
`H0 97 03423 A (DIGITAL EOUIPMENT CORP)
`30 January 1997 (1997-01-30)
`
`page 4, Iine 15 -page 11, 1ine 33
`figures 1-5
`
`US 5 905 860 A (BRINGHURST ADAM L
`18 May 1999 (1999-05—18)A
`
`ET AL)
`
`abstract
`
`co1umn 2,
`
`line 40 -co1umn 16,
`
`line 3
`
`GB 2 316 503 A (ICL PERSONAL SYSTEMS OY)
`25 February 1998 (1998-02-25)
`
` mm ndlnflhlhnfln
`
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`
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`
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`
`
`
`
`
`abstract
`
`page 6 -page 21
`figures 1-4
`c1aim 1
`
`
`
`FurnPCT/|SN210(oaI§rInfiu1dunuI!i:oo1)(.blyI0&)
`
`.
`.
`page 2 of 2
`Petitioner Apple Inc. — Exhib1t 1006, p. 5017
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5017
`
`

`
`IN'l'ERNATIONAL SEARCH REPORT
`
`hnnhnunpnunummynumhun
`
`munv unuuunnuu
`
`PCT/US 00/10213
`Publication
`date
`
` H0 9858306
`
`A
`
`A
`
`A A
`
`NO 9703423
`
`US 5905860
`
`GB 2316503
`
`23-12-1998
`
`30-01-1997
`
`18-05-1999
`
`US
`AU
`
`US
`BR
`EP
`IL
`JP
`JP
`
`US
`
`6073124 A 0
`8150598 A
`
`5802497 A
`9606450 A
`0796480 A
`117195 A
`2984731 8
`9510814 T
`
`06-06-2000
`04-01-1999
`
`01-09-1998
`30-09-1997
`24-09-1997
`20-06-1999
`29-11-1999
`28-10-1997
`
`5758069 A
`
`26-05-1998
`
`25-02-1998
`
`NONE
`
`'
`
`|'vmPCTIlsAR10(nxunhnlyunun(.ny1Dn)
`
`Pet_iti0ner Apple Inc. — Exhibit 1006, p. 5018
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5018
`
`

`
`CORRECTED
`VERSION‘
`
`worm) INTELLECTUAL PROPERTY ORGANIZAHON
`lntcmational Bureau
`
`
`
`INTERNATIONAL APPLICATION PUBLISHED UNDER THE PATENT COOPERATION TREATY (PCI')
`
`(51) International Patent crassimmion 6 :
`
`G06F
`
`(11) International Publication Number:
`
`WO 96/27155
`
`(43) International Publication Date:
`
`6 September 1995 (0609.96)
`
`(21) International Application Number:
`
`_PCI‘/US96/02303
`
`(22) International filing Date:
`
`13 February 1996 (1302.96)
`
`(30) Priority Data:
`08/388,107
`
`13 February 1995 ( 13.02.95)
`
`US
`
`
`
`'t....___.-----.-:.‘-_-n
`
`(71) Applicant: ELECTRONIC PUBLISHING RESOURCES, INC.
`[US/US]; 5203 Battery Lane. Bethesda, MD 20814 (US).
`
`(72) Inventors: GINTER, Karl, L.; 10404 43rd Avenue, Beltsville,
`MD 20705 (US). SHEAR, Victor. H.; 5203 Battery Lane,
`Bethesda. MD 20814 (US).
`SPAHN, Francis, 1.; 2410
`Edwards Avenue, El Cerrito, CA 94530 (US). VAN WIE,
`David, M.; 1250 Lakeside Drive, Sunnyvale, CA 94086
`(US).
`
`(74) Agent: FARIS, Robert, W.; Nixon & Vanderhye P.C., 1100
`North Glebe Road, Arlington, VA 22201-4714 (US).
`
`(81) Designated States: AL. AM. AT. AU, AZ. BB. BG. BR. BY.
`CA, CH, CN, (2, DE, DK, EE, ES, FI, GB, GE, HU, IS.
`JP, KE, KG, KP, KR, KZ, LK, LR, LS, LT, LU, LV, MD,
`MG, MK, MN, MW, MX, NO, NZ, PL PT, RO, RU, SD,
`SE, SG, SL SK, TI, TM, TR, TI‘, UA, UG, UZ. VN, ARIPO
`patent (KE, LS, MW, SD, SZ, UG), Eurasian patent (AZ,
`
`DE, DK, ES, FR. GB. GR, IE, IT, LU, MC, NL, PT, SE),
`OAPI patent (BF, BJ, CF, CG, CI, CM, GA, GN, MI... MR,
`NE, SN, TD, TG).
`
`Published
`Without international search report and to be republished
`upon receipt of that report.
`
`(54) Title: SYSTEMS AND METHODS FOR SECURE TRANSACTION MANAGEMENT AND ELECTRONIC RIGHTS PROTEC-
`TION
`
`(57) Abstract
`
`The present invention provides systems and methods for electronic commerce including secure transaction management and electronic
`rights protection. Electronic appliances such as computers employed in accordance with the present invention help to ensure that information
`is accessed and used only in authorized ways, and maintain the integrity, availability, and/or confidentiality of the infomiation. Secure
`subsystems used with such electronic appliances provide a distributed virtual distribution environment (VDE) that may enforce a secure
`chain of handling and control, for example,
`to control and/or meter or otherwise monitor use of electronically stored or disseminated
`information. Such a virtual distribution environment may be used to protect rights of various participants in electronic commerce and other
`electronic or electronic-facilitated transactions. Secure distributed and other operating system environments and architectures, employing, for
`example, secure semiconductor processing anangements that may establish sectue. protected environments at each node. These techniques
`may be used to support an end-to-end electronic information distribution capability that may be used. for example, utilizing the "electronic
`highway"-
`
`g__.__in'.
`
`‘(Referred toi.nPCI' Gazette No. 52/1996, Section II)
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5019
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5019
`
`

`
`FOR THE PURPOSES OF INFORMATION ONLY
`
`Codes used to identify States party to the PCI‘ on the front pages of pamphlets publishing international
`applications under the PCI‘.
`‘
`
`Armmia
`Austria
`Australia
`Barbados
`Belgium
`Burkina Fnso
`Bulgaria
`Benin
`Brazil
`Belarus
`Canada
`Central African Republic
`Congo
`
`AM
`A1‘
`
`CA
`CF
`CG
`Cl-I
`CI
`CM
`CN
`C5
`CZ
`DE
`DK
`EE
`ES
`Fl
`FR
`GA
`
`United Kingdom
`
`Georgia
`
`Dcmoaatic People’: Republic
`of Korea
`'
`Republic of Korea
`Kazakhstan
`Lxedncnste‘in
`Sri Lankn
`Libcxia
`.
`I .1
`Luxembourg
`Latvia
`
`
`
`§§5§5§5'E‘-"-EEEEE§’é3§'-?’“3§9‘£38
`
`agessuafianaaasaezaaaasafiié
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5020
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5020
`
`

`
`WO 96127155
`
`PCT/US96l02303
`
`SYSTEMS AND METHODS FOR SEOURE TRANSACTION
`
`MANAGEMENT AND ELECTRONIC RIGHTS PROTECTION
`
`E_ield{ st of the Inzegtionigt
`
`This invention generally relates to computer and/or
`
`electronic security.
`
`More particularly, this invention relates to systems and
`
`techniques for secure trans action management. This invention
`
`also relates to computer-based and other electronic appliance-
`
`based technologies that help to ensure that information is
`
`10
`
`accessed and/or otherwise used only in authorized ways, and
`
`maintains the integrity, availability, and/or confidentiality of
`
`such information and processes related to such use.
`
`The invention also relates to systems and methods for
`
`15
`
`_ protecting rights of various participants in electronic commerce
`
`and other electronic or electronically-facilitated transactions.
`
`The invention also relates to secure chains of handling and
`
`control for both information content and information employed to
`
`20
`
`I
`
`regulate the use of such content and consequences of such use.‘ It
`
`also relates to systems and techniques that manage, including
`
`meter and/or limit and/or otherwise monitor use of electronically
`
`stored and/or disseminated information. The invention
`
`-1-
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5021
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5021
`
`

`
`WOV96l27l55
`
`PCIIUS96/02303
`
`particularly relates to transactions, conduct and arrangements
`
`that make use of, including consequences of use of, such systems
`
`and/or techniques.
`
`5
`
`The invention also relates to distributed and other
`
`_
`
`-'
`
`operating systems, environments and architectures. It also
`
`generally relates to secure architectures, including, for example,
`
`tamper-resistant hardwa1'e—based processors, that can be used to
`establish security at each node of a distributed system.
`
`10 «
`
`I
`
`Background and Summary ofthe Invention(s)
`
`Telecommunications, financial transactions, government
`
`processes, business operations, entertainment, and personal
`
`business productivity all now depend on electronic appliances.
`
`15
`
`Millions of these electronic appliances have been electronically
`
`connected together. These interconnected electronic appliances
`
`comprise what is increasingly called the “information highway.”
`
`Many businesses, academicians, and government leaders are
`
`concerned about how to protect the rights of citizens and
`
`20
`
`organizations who usepthis information (also “electronic” or
`
`“digital”) highway.
`
`Electronic Content
`
`Today, virtually anything that can be represented by
`
`25
`
`words, numbers, graphics, or system of commands and
`
`-' 2 -
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5022
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5022
`
`

`
`W0 96f2-7155
`
`PCI'IUS96l02303
`
`instructions can be formatted into electronic digital information.
`
`Television, cable, satellite transmissions, and on-line services
`
`transmitted over telephone lines, compete to distribute digital
`
`information and entertainment to homes and businesses. The
`
`owners and marketers of this content include software
`
`developers, motion picture and recording companies, publishers
`
`of books, magazines, and newspapers, and information database
`
`providers. The popula1'ization of on-line services has also enabled
`
`the individual personal computer user to participate as a content
`
`10
`
`provider. It is estimated that the worldwide market for electronic
`
`information in 1992 was approximately $40 billion and is
`
`expected to grow to $200 billion by 1997, according to Microsofi
`
`Corporation. The present invention can materially enhance the
`
`revenue of content providers, lower the distribution costs and the
`
`15
`
`costs for content, better support advertising and usage
`
`information gathering, and better satisfy the needs of electronic
`
`information users. These improvements can lead to a significant
`
`increase in the amount and variety of electronic information and
`
`the methods by which such information is distributed.
`
`20
`
`25
`
`The inability of conventional products to be shaped to the
`
`needs of electronic information providers and users is sharply in
`
`contrast to the present invention. Despite the attention devoted
`
`by a cross-section of America’s largest telecommunications,
`
`computer, entertainment and information provider companies to
`
`.-3-
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5023
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5023
`
`

`
`W0 96f27155
`
`PCI'fUS96I02303
`
`some of the problems addressed by the present invention, only
`
`the present invention provides commercially secure, eifective
`
`solutions for configurable, general purpose electronic commerce
`
`transaction/distribution control systems.
`
`.
`
`Controlling Electronic Content
`
`The present invention provides a new kind of “virtual
`
`distribution environment” (called “VDE” in this document) that
`
`secures, administers, and audits electronic information use. VDE
`
`also features fundamentally important capabilities for managing
`
`content that travels “across” the “information highway.” These
`
`capabilities comprise a rights protection solution that serves all
`
`electronic community members. These members include content
`
`' creators and distributors, financial service providers, end-users,
`
`and others. VDE is the first general purpose, configurable,
`
`trans action control/rights protection solution for users of
`
`computers, other electronic appliances, networks, and the
`
`information highway.
`
`A fundamental problem for electronic content providers is
`extending their
`to control the use ofproprietary
`
`information. Content providers often need to limit use -to
`
`authorized activities and amounts. Participants in a business
`model involving, for example, provision ofmovies and advertising
`
`on optical discs may include actors, directors, script and other
`
`10
`
`15‘
`
`20
`
`25
`
`-4-
`
`Petitioner Apple Inc. — Exhibit 1006, p. 5024
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5024
`
`

`
`W0 96I27l55
`
`PCI‘lUS96/02303
`
`writers, musicians, studios, publishers, distributors, retailers,
`
`advertisers, credit card services, and content end-users. These
`
`participants need the ability to embody their range of agreements
`
`and requirements, including use limitations, into an “extended”
`
`agreement comprising an overall electronic business model. This
`
`extended agreement is represented by electronic content control
`
`information that can automatically enforce agreed upon rights
`
`and obligations. Under VDE, such an extended agreement may
`
`comprise an electronic contract involving all business model
`
`_
`
`10
`
`participants. Such an agreement may alternatively, or in
`
`addition, be made up of electronic agreements between subsets of
`
`p
`
`the business model participants. Through the use of VDE,
`
`electronic commerce can function in the same way as traditional
`
`commerce—that is commercial relationships regarding products
`
`15
`
`and ‘services can be shaped through the negotiation of one or
`
`more agreements between a variety of parties.
`
`Commercial content providers are concerned with ensuring
`
`proper compensation for the use of their electronic information.
`
`20
`
`Electronic digital information, for example a CD recording, can
`
`today be copied relatively easily and inexpensively. Similarly,
`
`unauthorized copying and use of software programs deprives
`
`rightful owners of billions of dollars in annual revenue according
`
`to the International Intellectual Property Alliance. Content
`
`25
`
`providers and distnibutors have devised a number of limited
`
`.-5-
`
`. Petitioner Apple Inc. — Exhibit 1006, p. 5025
`
`Petitioner Apple Inc. - Exhibit 1006, p. 5025
`
`

`
`W0 96I27l55
`
`PCT/US96I02303
`
`fimction rights protection mechanisms to protect their rights.
`
`Authorization passwords and protocols, license servers,
`
`“lock/unlock” distribution methods, and non-electronic
`
`contractual limitations imposed on users of shrink-wrapped
`
`5 '
`
`software are a few of the more prevalent content protection
`
`schemes. In a commercial context, these efibrts are inefiicient
`
`and limited solutions.
`
`Providers of “electronic currency” have also created
`
`10
`
`protections for their type of content- These systems are not
`
`suficiently adaptable, eflicient, nor flexible enough to support:
`
`the generalized use of electronic currency. Furthermore, they do
`
`not provide sophisticated auditing a