PatentOfflce
`
`S
`
`I, RONALD MAXWELL MAY, ASSISTANT DIRECTOR PATENT
`.ADMINISTRATTON,herebycerfifythattheannexeduvetmecopiesofthe
`* V Provisional specification anddrawing(s)asfiledon260ctobex 1992inconnection
`with Apglgigaétion No. PL 5524 for a patent by RIC RICHARDSON filed on 26
`-‘I further certify that
`the amiexed documents are not, as yet, open to puhlic
`mspection.
`_
`‘
`.
`
`
`
`Lon Cut by Certification Branch”
`
`WITNESS my hand this Twenty First
`day of Octobet 1993.
`'
`
`RONALD MAXWELL MA
`
`
`Petitioners Ex. 1026 Page 1
`
`Petitioners Ex. 1026 Page 1
`
`

`
`pOOOO9
`Regulation 3.2
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`PATENT OFFICE
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`
`AUSTRALIA
`
`Patents Act, 1990
`
`PROVISIONAL SPECIFICATION FOR THE INVENTION ENTITLED:
`
`IMPROVEMENTS IN SOFTWARE REGISTRATION
`
`This invention is desdribed in the following statement:
`
`Petitioners Ex. 1026 Page 2
`
`Petitioners Ex. 1026 Page 2
`
`

`
`IMPROVEMENTS IN SOFTWARE REGISTRATION
`
`FIELD OF THE INVENTION ‘
`
`This invention relates to improvements in arrangements
`
`in software registration and, more particularly,
`
`to
`
`improvements in arrangements where software is transferable
`
`by media such as magnetic disks and the like.
`
`BACKGROUND ART
`
`Much commercially available software is provided at
`
`time of purchase (or license) on a magnetic media,
`
`typically a floppy disk. Frequently the only registration
`
`feature attached to the software is a simple registration
`
`number stored on the media. This registration number
`
`identifies that particular copy of the software and it is
`
`often required at the time of installation of the software
`
`onto any given computer that the installer must provide the
`
`registration number
`
`independently to the installation
`
`routines.
`
`However, such simple registration arrangements for the
`
`distribution of software on media suffer from at least two
`
`disadvantages (1) each copy of the software made on any
`
`given media at the time of manufacture must
`
`include a
`
`registration number unique to each copy programmed into the
`
`media and,
`
`(2)
`
`this arrangement does not prevent copying
`
`the entire software programme, once installed on any given
`
`computer,
`
`to another computer by means of straightforward
`
`file transfer (as opposed to re—installation). It is an
`
`object of the present
`
`invention to address the
`
`abovementioned disadvantages.
`
`Petitioners Ex. 1026 Page 3
`
`Petitioners Ex. 1026 Page 3
`
`

`
`DISCLOSURE OF THE INVENTION
`
`Accordingly,
`
`in one broad form of the invention,
`
`there
`
`is provided a registration means attachable to software to
`
`be protected, said registration means generating a security
`
`key from information input to said software which uniquely
`
`identifies an intended registered user of said software on
`
`a computer on which said software is to be installed.
`
`Preferably said security key is generated by a
`
`registration number algorithm.
`
`I
`
`Preferably said registration number algorithm combines
`information entered by a prospective registered user unique
`
`to that user with a serial number generated from
`
`information provided by the environment
`
`in which the
`
`software to be protected is to run (eg system clock,
`
`machine type, memory size, system version).
`
`Preferably said registration means is replicated at a
`
`registration authority and used for the purposes of
`
`checking by the registration authority that the information
`
`unique to the user is correctly entered at the time that
`
`the security key is generated by the registration means.
`
`Preferably said registration means checks at the time
`
`of boot of said software as to whether it is a first boot
`
`of the software to be protected or a subsequent boot.
`
`If a
`
`subsequent boot is detected then environment and user
`
`details are compared to determine whether a new user
`
`registration procedure is to commence or demonstration
`
`only.
`
`Preferably said environnment details comprise one or
`
`Petitioners Ex. 1026 page 4
`
`Petitioners Ex. 1026 Page 4
`
`

`
`more of disc volume name, user name or computer,
`
`intialisation date of hard disk, hardware identifier
`
`(eg.
`
`ROM checksum).
`
`In a further broad form of the invention there is
`
`provided a method of control of distribution of software,
`
`said method comprising providing mode-switching means
`
`associated with said software adapted to switch said
`
`software between a fully enabled mode and a partly enabled
`
`mode; said method further comprising providpg security key"
`
`generating means adapted to generate a security key which
`
`is a function of the environment in which said software is
`
`installed and is also a function of information unique to
`
`an intending user of the software; said mode—switching
`
`means switching said software into fully enabled mode only
`
`.if a registration number provided to said mode—switching
`
`means by said intending user at the time of registration of
`
`said software matches identically with said security key
`
`generated by said security key generating means at the time
`
`of registration of said software.
`
`i
`
`Preferably said registration number is communicated to
`
`said intending user at the time of registration of said
`
`software by a third party operating a duplicate copy of
`
`said security key generating means.
`
`BRIEF DESCRIPTION OF THE DRAWINGS
`
`ea-e Embodimentsof the invention will now be described
`
`with reference to the accompanying drawings wherein:—
`
`Fig.
`
`1
`
`is a pictorial diagram of the relationship
`
`and interaction between a user and a
`
`Petitioners Ex. 1026 Page 5
`
`Petitioners Ex. 1026 Page 5
`
`

`
`¢
`
` 0
`
`registration authority of software on media
`
`secured according to a first embodiment of
`
`the invention,
`
`Fig.
`
`2
`
`is a flow chart of of the procedure to be
`followed during registration of software by
`
`a user according to an embodiment of the
`
`invention.
`
`Fig.
`
`3
`
`is a flow chart of the boot process for
`
`software protected by the invention, and
`
`Fig. 4
`
`is a modification of dialogue box C of Fig.
`
`2 according to a second embodiment of the
`
`invention.
`
`DESCRIPTION OF PREFERRED EMBODIMENTS
`
`1.
`
`FIRST EMBODIMENT
`
`With reference to Fig.
`
`1 a programme protected
`
`according to a first embodiment of the invention is
`
`supplied recorded on a magnetic disk 10. Included as part
`
`of the software on that disk 10 is a registration and re-
`
`registration routine which executes whenever the programme
`
`protected by the arrangement of the first embodiment
`
`"boots".
`
`with reference to Figs.
`
`1 and Fig.
`
`2 the operation of
`
`the registration routine will be described on the
`
`assumption that the programme on the disk 10 protected by
`
`the registration routine is being loaded for the first
`
`time.
`
`The prospective new user 11 inserts disk 10 into the
`
`user PC 12 so as to be read by PC 12. As part of the
`
`Petitioners Ex. _102:6‘_P._age 6
`
`Petitioners Ex. 1026 Page 6
`
`

`
`software installation procedure the registration routine is
`
`activated causing a series of dialogue boxes to appear on
`
`the display 13 of the user PC 12. Having checked to ensure
`
`that the software-is being loaded for the first time onto)
`
`the PC 12 a dialogue box A is displayed which provides the
`
`user with a choice of either seeing a demonstration of the
`
`software (which typically has features such as save and/or
`
`print disabled) or alternatively an invitation to register
`
`ownership/license of the software (after which all features
`
`of the software are made available to the user).
`
`If the
`
`register option is selected then a contact dialogue box B
`
`is presented on the display 13 which provides a list
`
`(stored on disk 10 as part of the registration routine)
`
`which provides names and contact numbers for the nearest
`
`office of a publishing company or distributor authorised to
`
`register the software.
`
`The user 11 then contacts (by telephone, either voice
`
`or electronic) the most convenient publisher or distributor
`
`and informs the software that this is the case by selecting
`
`the "continue" feature. Alternatively the user can contact
`
`the registration centre after filling out
`
`the registration
`
`dialogue box detailed below. After selecting the
`
`"continue" feature,
`
`the registration routine begins the
`
`first step in the generation of a security key which willy
`
`be unique to the current copy of the software and to
`
`certain features of the environment in which it runs.
`
`The first step of the generation of the security key
`
`comprises the generation of a serial number generated from
`
`Petitioners Ex. 1026 Page 7
`
`Petitioners Ex. 1026 Page 7
`
`

`
`the current time on the system, registration number
`
`algorithm, and system parameters (eg. memory size, system
`
`version, machine type).
`
`The serial number is encrypted and
`
`rearranged and then presented as a number in the
`
`registration dialogue box on the display 12.
`
`The registration dialogue box C prompts the user for
`
`details unique to that user (including, for example, name,
`
`company, address, state) together with financial details
`
`for payment for the purpose of becoming a registered user
`
`of the software protected by the registration routine (for
`
`example Mastercard or corporate account number details).
`
`This information, unique to the user,
`
`is passed through a
`
`registration number algorithm 14 which generates a
`
`registration number from the information unique to the user
`
`together with the serial number previously generated.
`
`An
`
`identical registration number algorithm 14 resides on the
`
`registration authority PC 15.
`
`As an integral part of the
`
`registration procedure the prospective new user 11
`
`communicates the information unique to the user which was
`
`entered by the user on the user PC 12 to the registration
`
`authority 16.
`
`The registration authority feeds this
`
`information into the registration authority PC 15 wherein
`
`the registration number algorithm 14 should produce an
`
`identical registration number to that produced by the user
`
`PC 12 if the details communicated to the registration
`
`authority by the prospective new user 11 match with the
`
`details that have been entered on the user PC 12.
`
`Optionally the user can communicate the information to the
`
`~
`
`Petitioners Ex. 1026 Page 8
`
`Petitioners Ex. 1026 Page 8
`
`

`
`g
`
`0
`
`registration authority electronically (eg. modem).
`
`As
`
`the final stage in registration the registration
`
`authority 16 provides the registration number generated by
`
`the registration authority PC 15 to the user 11.
`
`The user
`
`11 enters the registration number into the user PC 12 where
`
`the registration routine checks to see whether the entered
`
`registration number matches the calculated registration
`
`number. rIf the two match then a valid registration has
`
`taken place and access is provided by the registration
`
`routine to a full operating version of the software
`
`protected by the registration routine.
`
`If there is no
`
`match and a preference file (which stores the user details)
`
`does not exist then a dialogue box D appears on the display
`
`13 of user PC 12 providing the prospective new user 11 with
`
`the opportunity to check his/her details or switch to the
`
`demonstration version of the software protected by the
`
`registration routine.
`
`It will be evident that it is not transparent to the
`
`prospective new user 11 that the registration number which
`
`unlocks the full version of the software protected by the
`
`registration routine is,
`
`in fact, generated from an
`
`algorithm residing on the magnetic disk 10 and that it
`
`forms part of the software to which access is desired.
`
`In this manner
`
`the registration procedure outlined
`
`above ensures that exactly the same details entered by the
`
`prospective new user on his/her user PC 12 are those
`
`details recorded by the registration authority 16.
`
`It will
`
`
`
`Petitioners Ex. 1026 Page 9
`
`Petitioners Ex. 1026 Page 9
`
`

`
`C.
`
`“O
`
`also be evident that the procedure does not require each
`
`magnetic disk 10 containing separate copies of the software
`
`to be protected to have a unique registration number
`
`recorded on the disk at the time of distribution of the
`
`disk.
`
`Each copy has exactly the same registration number
`
`algorithm located upon it.
`
`A unique registration number or
`
`"security key" is generated only at the time of’
`
`registration from the details supplied by the prospective
`
`new user 11.
`
`With reference to Fig.
`
`3 the registration routine
`
`behaves slightly differently where any given registered
`
`copy of the software boots for a second or further time.
`
`In
`
`this situation,
`
`the registration routine checks at the time
`
`of boot
`
`to see what registration details are present for
`
`that particular copy of the software.
`
`If no details are
`
`present then it is assumed that the PC is booting from a
`
`newly distributed magnetic disk and registration is to
`
`occur for the first time.
`
`The registration procedure in
`
`that case is that followed in respect of Fig. 2.
`
`In the event that registration details are present then
`the registration routine checks a number of parameters
`
`which are expected to be unique to the environment
`
`in which
`
`In this embodiment
`the software to be protected operates..
`ifldvJ&UhU+(M& mi H~Hu( to
`the parameters checked“are\volume name, user name, and hard
`disk intialisation date.
`The registration routine then
`
`checks these parameters against the corres onding details
`9 r\v \V’Q.I’\'(Y\
`\
`that it finds from the operatingns?a$g§.of the computer on
`
`which the software is running. If the right combination of
`
`
`
`Petitioners Ex. 1026 Page 10
`
`Petitioners Ex. 1026 Page 10
`
`

`
`g
`
`0
`
`these details matches then it is assumed that a properly
`
`authorised and registered copy of the software is running
`
`and full access to the software is allowed.
`
`In this manner, it is quite in order for users to
`
`provide other users with copies of the software protected
`
`by the registration routine.
`
`The registration routine
`
`attached to the software to be protected determines from
`
`the environment in which it operates whether an additional
`
`registration fee is required.
`
`If it is determined by the
`
`registration routine that this is the case then the
`
`registration routine has the capability to provide a fresh
`
`registration number as part of an authorised registration
`
`procedure pending which the protected software reverts to
`
`demonstration mode.
`
`2.
`
`AUTO RE—REGISTRATION
`
`A more sophisticated procedure suitable for checking at
`
`first boot and at subsequent boot is shown in flow chart
`
`form in Fig. 3. This allows the software to check in the
`
`case were registration details do not exist if in fact the
`
`software has been registered before.
`
`The extension of the
`
`normal process is that a "duplicate key file" is created at
`
`the time of registration of the software. The duplicate key
`
`file is arranged to be stored on the computer at a location
`
`separate from the programme to be protected.
`
`In the case
`
`of the Macintosh the duplicate key file can be stored in
`
`the preference folder. Both the key resource (stored with
`
`the software) and the duplicate key file are encrypted and
`
`Petitioners Ex. 1026 Page 11
`
`Petitioners Ex. 1026 Page 11
`
`

`
`both contain identical information.
`
`The information
`
`contained comprises;
`1.
`The user registration details including the
`
`serial number,
`
`2.
`
`3.
`
`The environment details of the computer, and
`
`Details of the application protected by the
`
`registration-routine for which registration is to be or has
`
`been obtained.
`
`with reference to Fig. 3 whenever the protected
`
`application boots a check is made by the registration
`
`routine to determine whether registration details exist in
`
`the key resource of the protected application.
`
`If they dog‘
`
`a comparison is made by the registration routine between
`
`what is stored in the key resource and the environment
`
`to
`
`determine whether a change has taken place to the
`
`environment. If a change is detected,‘¥h§>the registration
`
`routine compares what is stored in the key file and the
`
`environment
`
`to determine whether a change has taken place.
`
`If no change is detected then the protected application is
`
`permitted to run normally.
`
`If there are no registration details present in the key
`
`resource or it does not exist or if the above reference
`
`comparison between the key resource contents and the
`
`environment does not show a match then the\£§registration
`
`routine of Fig.
`
`3 looks for the existence of a duplicate
`
`key file within the environment.
`
`If a duplicate key file
`
`exists then the information contained within that duplicate
`
`key file is copied to the application key resource and
`
`Petitioners Ex. 1026 Page 12
`
`Petitioners Ex. 1026 Page 12
`
`

`
`6
`
`
`
`0
`
`_comparisons as previously described as between the key
`
`resource details and the environment and application are
`
`made.
`
`If the comparison is positive then the protected
`
`application is allowed to run normally.
`
`If the comparison
`
`proves negative then the protected application is permitted
`
`to run by the registration routine in demonstration mode
`
`only.
`
`If a duplicate key file is found not
`
`to exist at all
`
`then the protected application is allowed to run in
`
`demonstration mode only.
`
`This arrangement provides improved durability for-the
`
`registration routine in the sense that it is less likely
`
`that the protected application will be caused to run in
`
`demonstration mode for incorrect reasons.
`
`3.
`
`SECOND EMBODIMENT - TRACKING SYSTEM
`
`with reference to Fig.
`
`4 a modified form of the
`
`dialogue box C of Fig.
`
`2 is shown which includes provision
`
`for entry of "your user number" in box 21. At
`
`the time a
`
`prospective new user enters his/her details into the other
`
`boxes comprising the dialogue box C is open to the user to
`
`.enter a user number into box 21.
`
`The user number is
`
`provided by the registration authority 16 as a number
`
`\unique to that particular registered user.
`
`If the box 21
`
`has the user number details inserted into it then the
`
`registration routine, when the next copy of the protected
`
`application is made, will transfer the user number details
`
`from box 21 to the last user number box 22.
`
`A similar
`
`transfer will take place when next a copy is made of the
`
`protected application if and only if the person wishing to
`
`Petitioners Ex. 1026 Page 13
`
`Petitioners Ex. 1026 Page 13
`
`

`
`.3
`
`-12-
`
`register the next copy enters their user number details in
`
`box 21.
`
`If they do not
`
`then the last user number details
`
`in box 22 remain as before.
`
`In this manner a tracking
`
`system is available to the registration authority in the
`
`form of a tree where any given copy is identified by its
`
`ancestry based on current and previous user number as
`
`entered into_boxes 21 and 22.
`
`The above describes only some embodiments of the
`
`_present invention and modifications, obvious to those
`
`skilled in the art, can be made thereto without departing
`
`from the scope and spirit of the present invention.
`
`Petitioners Ex. 1026 Pege 14
`
`Petitioners Ex. 1026 Page 14
`
`

`
`5
`
`0
`
`
`
`-13-
`
`CLAIMS
`
`1.
`
`A registration means attachable to software to be
`
`protected, said registration means generating a security
`
`key from information input to said software which uniquely
`
`identifies an intended registered user of said software on
`
`a computer on which said software is to be installed.
`
`2.
`
`The registration means of claim 1 wherein said security
`
`key is generated by a registration number algorithm.
`
`3.
`
`The registration means of claim 2 wherein said
`
`registration number algorithm combines information entered
`
`by a prospective registered user unique to that user with a
`
`serial number generated from information provided by the
`
`environment in which the software to be protected is to run
`
`(eg system clock, machine type, memory size, system
`
`version).
`
`4.
`
`The registration means of claim 3 wherein said
`
`registration means is replicated at a registration
`
`\
`
`_authority and used for the purposes of checking by the
`
`registration authority that the information unique to the
`
`user is correctly entered at the time that the security key
`
`is generated by the registration means.
`
`5.
`
`The registration means of claim 4 wherein said
`
`registration means checks at the time of boot of said
`
`software as to whether it is a first boot of the software
`
`to be protected or a subsequent boot and if
`
`a subsequent
`
`boot is detected then environment and user details are
`
`compared to determine whether a new user registration
`
`procedure is to commence.
`
`Petitioners Ex. 1026 Page 15'
`
`Petitioners Ex. 1026 Page 15
`
`

`
`5
`
`6
`
`6.
`
`»The registration means of claim 5 wherein said
`
`environment details comprise one or more of disc volume
`
`name, user name or computer, initialisation date of hard
`
`disk, hardware identifier (eg. ROM checksum).
`
`7.
`
`A method of control of distribution of software, said
`
`method comprising providing mode—switching means associated
`
`‘with said software adapted to switch said software between
`
`a fully enabled mode and a partly enabled mode; said method
`
`further comprising providng security key generating means
`
`adapted to generate a security key which is a function of
`
`the environment in which said software is installed and is
`
`also a function of information unique to an intending user
`
`of the software; said mode—switching means switching said
`
`software into fully enabled mode only if a registration
`
`number provided to said mode-switching means by said
`
`intending user at the time of registration of said software
`
`matches identically with said security key generated by
`
`said security key generating means at the time of
`
`registration of said software;
`
`8.
`
`The method of claim 7 wherein said registration number
`
`is communicated to said intending user at the time of
`
`registration of said software by a third party operating a
`
`duplicate copy of said security key generating means.
`
`/pro/926053—a
`
`Petitioners Ex. 1026 Page 16
`
`Petitioners Ex. 1026 Page 16
`
`

`
`Petitioners Ex. 1026 Page 17
`
`

`
`
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