`United States Patent
`1191
`
`4,685,055
`Patent Number:
`[II]
`
`Thomas
`
`Aug. 4, 1987
`Date of Patent:
`[45]
`
`(54] METHOD AND SYSTEM FOR
`
`CONTROLLING USE OF PROTECTED
`SOFTWARE
`1902 E. Hope
`(76] Inventor:
`
`Richard B. Thomas,
`St., Mesa, Ariz. 85203
`
`B. Zache
`Primary Examiner-Raulfe
`
`H. Drummond
`
`
`Attorney, Agent, or Firm-William
`(57]
`ABSTRACT
`A protection subroutine with a unique reference code is
`
`
`
`
`
`
`emplaced in a protected software package. The package
`
`
`
`
`also contains a validation program. The protection sub­
`[21]Appl. No.: 750,287
`
`
`
`
`routine and validation program connect with an ESD
`(22] Filed: Jul. 1, 1985
`
`
`and both the ESD and the program communicate with
`
`
`(51] Int. Cl.4 ................................................ G06F 9/00
`
`
`
`
`a secure computer. Upon receipt of inputs of the soft­
`
`(52] U.S. Cl. ................................ 364/200; 340/825.31
`
`
`
`ware serial number and reference code and the ESD
`
`
`364/300, 200 MS File, (58] Field of Search ................
`
`
`
`
`
`identifier, the computer generates a validation code
`
`364/900 MS File; 178/22.08, 22.09
`
`
`which causes the protection subroutine to command
`
`
`
`execution of the protected software by its hose com­
`puter.
`
`(56]
`References Cited
`
`U.S. PATENT DOCUMENTS
`
`4,446,519 5/1984 Thomas ............................... 364/300
`
`
`
`
`
`1 Claim, 1 Drawing Figure
`
`
`
`SOFTWARE VALIDATION CEHl'[R r/4
`
`,, SECURE r COMPUTER
`
`:
`
`SWSN 6 VAI..CP-1 JJ�- � _______ PE'l10DIC �11:i REPORTS _ � _____
`
`
`
`VALIDATION PKG
`
`SIN
`
`-1?
`
`SOFTWAR[ '-"!IT'S -16
`
`1
`
`
`ESD SN I AJ6�I
`I
`32-i MARKETING
`-
`
`�ATION
`,
`
`' PROTECTED SOF"iWllAE AACKAGES
`I
`
`�2, .
`
`APPLE EXHIBIT 1064
`APPLE v. PMC
`IPR2016-01520
`Page 1
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`

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`SOFTWARE VALIDATION CENTER
`
`/4
`
`SOFTWARE SOURCE
`
`SW SN 8 RELATED PROTECTION SUBROUTINE REF. CODES
`
`vAUDATmN PKG.
`S/N
`
`SOFTWARE UNITS
`
`ESD MFR-
`
`PROTE CTE D SOFTWARE PACKA GES
`
`COMPUTER
`
`
`
`mama'sn
`
`
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`L861‘17“finv
`
`SSO‘SS9‘V
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`APPLE EXHIBIT 1064
`APPLE v. PMC
`IPR2016-01520
`Page 2
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`1
`
`METHOD AND SYSTEM FOR CONTROLLING
`USE OF PROTECTED SOFTWARE
`
`15
`
`25
`
`This invention is an improvement upon the methods
`and apparatus for providing security software disclosed
`in commonly owned US Pat. No. 4,446,519 issued May
`1, 1984.
`This invention pertains to methods and systems for
`protecting computer software from unauthorized copy
`mg.
`In yet another respect, the invention relates to meth
`ods and systems for preventing unauthorized copying of
`computer software in a more effective, less expensive
`manner.
`In still another respect the invention pertains to sys
`tems and methods in which software is validated by a
`central validating facility at the time of initial usage by
`the customer.
`In yet another and more particular respect, the inven
`tion includes systems and methods for facilitating the
`distribution of computer software from a software
`source, through multiple dealers to the dealers’ custom
`ers.
`In still another and more particular aspect, the inven
`tion includes mehtods and systems for the secure trans
`mission of computer software directly from the soft
`ware source to the end-user’s authorized hardware,
`with or without intermediate parties (distributors, deal
`ers, marketing agents, etc.) in the chain of distribution
`of the software from the source to the end-user.
`In another important respect, the invention relates to
`methods and systems for controlling the use of com
`puter software which is leased to the end-user.
`In still another important and particular respect, the
`invention concerns methods and systems which enable
`multiple end-users to obtain validation on multiple soft
`ware packages without the necessity of each end-user
`having more than one electronic security device.
`In still another, further and important respect, the
`invention provides methods and systems for controlling
`the use of protected computer software which enables
`one or more validation centers to authorize the use of
`multiple programs from multiple sources by multiple
`end-users for the purposes of policing unauthorized use,
`calculating, billing and collecting usage fees or royalties
`thereon and other similar control, reporting and ac
`counting purposes. Thus, the invention provides meth
`ods and systems for authorizing computer software
`which enables a single software manufacturer to cen
`trally authorize the use of its own software, and thereby
`collect and maintain the con?dentiality of its own mar‘
`keting information and other data for billing and ac
`counting purposes.
`According to yet another aspect of the invention,
`methods and systems are provided which enable soft
`ware sources to accumulate valuable distributor-related
`and/or user-related marketing data. Thus, the informa
`tion given to the software validation center by the users
`at the time they request software validation is collected
`by the control center and distributed to the respective
`software manufacturers. This information is the basis
`for valuable market reports. These reports would give
`such information as: how much of their software was
`65
`sold; who bought it; how much they paid for it; who
`sold it to them; etc. Such market data could not be
`obtained in any other way except through a central
`
`4,685,055
`2
`validation center where such information is necessarily
`obtained in the validation procedure.
`Various methods and systems have recently been
`proposed for providing security for computer software.
`Due to legal uncertainties as to the effectiveness of
`protection currently available to protect against unau
`thorized use, duplication of computer software and the
`practical problems of detection and proof of such unau
`thorized use, the originators of computer software and
`legitimate sellers and possessers of computer software
`as well as industry-sponsored groups, trade associations
`and the like have expended considerable effort in at
`tempts to provide extra-legal means to prevent such
`unauthorized use.
`For example, such efforts have included such simple
`expedients as building codes into the software which
`prevent duplication of the software or which require
`the user to perform prearranged, manipulative steps as
`the condition precedent to execution of the software by
`the user’s hardware. However, such simple expedients
`have not proved particularly effective as sophisticated
`software pirates have demonstrated the ability to break
`down these security methods both for the purpose of
`making unauthorized copies of the software and for
`effecting execution of the software by unauthorized
`means.
`Similarly, efforts by software manufacturers or other
`legitimate sources to commercially exploit valuable
`proprietary software by means other than outright sales
`to the end-users, for example, by leasing software with
`the lease payments to be dependant on the extent of use,
`have been hampered by the practical inability to moni
`tor and/or verify the extent of use by the lessee. Also,
`where such veri?cation is possible in respect of the use
`of a particular authorized copy of the software, it has
`been dif?cult to prevent the lessee from making addi
`tional unauthorized copies, the royalty-generating use
`of which is practically impossible to detect.
`The entire problem of protecting against unautho
`rized use or copying and otherwise controlling the use
`of computer software, once it has been transmitted to or
`otherwise made available to the end-user, is exacerbated
`by the desire and need for end-users to make and main
`tain “back-up" copies of the software for use in the
`event of a malfunction of the user‘s computer system
`which destroys or damages the originally transmitted or
`delivered software.
`According to more sophisticated techniques devel‘
`oped in the art, so-called “electronic security devices"
`have been proposed and developed. These ESDs gener
`ally consist of hardware or hardware/software pack
`ages which are furnished to a legitimate possessor of
`computer software and which provide identification
`/authorization handshakes between the user’s hardware
`and the software desired to be protected. For example,
`methods and apparatus involving such techniques are
`disclosed in ,the commonly owned US. Pat. No.
`4,446,519 issued May 1, 1984 entitled “Methods and
`Apparatus for Providing Security for Computer Soft
`ware".
`While systems and apparatus which involve use of an
`ESD have proven effective in many instances to pro
`vide security for or control the use of computer soft
`ware, these prior art systems and methods do suffer the
`disadvantage that the ESD is product-specific or, at
`least, source~speci?c, Le, a potential user of a large
`number of programs from a single source or a customer
`which has the requirement of multiple programs from
`
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`IPR2016-01520
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`25
`
`3
`multiple sources must procure a plurality of ESDs, each
`for use with a speci?c software package or with multi
`ple packages from the same source. According to prior
`art techniques, the security value of the ESD would be
`practically destroyed if the ESD was con?gured so as
`to authorize the execution of software packages ob
`tained by a legitimate purchaser from multiple sources.
`Another problem which is not addressed or resolved
`by current state-of-the-art software security systems is
`that of providing for direct (e.g., electronic) transmis
`sion of computer software from the source to the user's
`hardware. As will be immediately appreciated by those
`skilled in the art, the requirement of a program-speci?c
`or source-speci?c ESD in the possession of the end-user
`would largely defeat the economies and security-related
`conditions which are otherwise served by such direct
`transmission.
`Finally, it is often highly desirable that the originator
`or other legitimate source of computer software pack
`ages obtain accurate information in the nature of mar
`keting statistics re?ecting the geographical and/or nu
`merical extent of sales of the packages as well as cus
`tomer-related information, e.g., size, type of business,
`extent of use, etc. Heretofore, the compilation and
`transmission of such marketing statistics have been
`complicated by the presence of other persons and ?rms
`in the legitimate chain of distribution of the products
`who may or may not diligently compile and transmit
`this information to the software source in an accurate or
`timely fashion.
`Accordingly, it would be highly desirable to provide
`methods and apparatus for controlling the use of pro
`tected computer software so as to prevent unauthorized
`copying and/or execution of the software by unautho
`rized means. It would also be highly desirable to pro
`vide improved systems and methods for protecting and
`controlling the use of computer software which facili
`tate distribution of the software from its source, through
`multiple dealers to the end-use customer. Further, it
`would be highly advantageous to provide computer
`software protection systems which are compatible with
`the secure transmission of the software directly from
`the source to the end-user's authorized hardware by
`direct means which did not involve the intermediate
`parties in the chain of marketing of the software. Addi
`tionally, it would be highly desirable to provide meth
`ods and systems for controlling the use of protected
`computer software which would enable one or more
`central validation centers to monitor the use of multiple
`programs from multiple sources by multiple end-users
`for the purposes of policing unauthorized use and for
`calculating billing and collecting usage fees or royalties
`thereon or for other similar control, reporting and ac
`counting purposes. Finally, it would be highly advanta
`geous to provide improved methods for controlling the
`use of protected computer software which enable the
`software source to directly obtain valuable marketing
`statistics by direct and automatic transmission from the
`end-user of the software or from others in the chain of 60
`distribution.
`The foregoing advantages are realized according to
`methods and systems which I have invented which
`permit a single authorized end-user of protected com
`puter software to obtain directly (or indirectly through
`intervening dealers) the protected software package
`and necessary authorization or validation ‘thereof for
`authorized hardware without the necessity of obtaining
`
`4,685,055
`4
`and using a plurality of ESDs which are program
`speci?c and/or source-speci?c.
`Brie?y, in accordance with my invention I provide a
`central control system for protecting computer soft
`ware which includes a protected software package, an
`ESD, a secure computer and communication means for
`transmitting a validation code-from the computer to the
`software package.
`The protected software package includes a software
`unit having an ascertainable serial number and a protec
`tion subroutine having a unique reference code. The
`protection subroutine includes means for establishing
`communication with an ESD, means for generating
`ESD interrogation signals and means for causing the
`completion of the execution of the protected software
`by a host computer in communication with the ESD if,
`but only if, the protected subroutine recognizes an iden
`ti?er signal generated by the ESD. The protected soft
`ware package also includes a validation program which
`communicates the validation code to the ESD.
`The ESD includes means for generating identi?er
`signals in response to the interrogation signals gener
`ated by the protection subroutine.
`The secure computer has a working memory which
`contains the software serial number and the correspond
`ing unique reference code of the protected software
`package and also includes means for generating the
`validation code in response to inputs of this serial num
`ber and the ESD identi?er.
`As used herein, the following terms have the mean
`ings indicated below:
`“Protected Software Package” means a software unit
`with a related protection subroutine.
`“Validation Code" means a scrambled or encrypted
`identi?er code containing at least:
`(a) a random number,
`(b) the serial number of the intended ESD,
`(c) the serial number of the software package to be
`validated in the intended ESD.
`This code is generated by the secure computer of the
`SVC at the time the user requests his validation code
`during the validation process.
`"Validation Program” means a separate software
`package shipped on the same or related disk with the
`ability of connecting the validation code received from
`SVC to the ESD via the host computer.
`“Secure Computer” means a hardware/software
`combination used exclusively by a central control cen
`ter for the purpose of providing validation codes.
`“Protection subroutine” means software or programs
`which may be included in protected software or sepa
`rate therefrom which is con?gured and used for the
`following purposes:
`(a) communicates with the ESD,
`(b) generates identi?er signals for transmission to the
`ESD,
`(c) receives identi?er codes from the ESD,
`(d) based on (b) and (c) above, determines whether or
`not the protected software package will be allowed to
`run.
`Various means, including the presently preferred em
`bodiments thereof, for achieving these de?ned func
`tions are described below.
`The method and system of the invention will be best
`understood by those skilled in the art by reference to the
`accompanying drawing, in which:
`FIG. 1 is a flow chart illustrating a system embodying
`the invention in which the protected software is deliv
`
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`20
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`5
`ered from the software source to the customer by means
`of transportable physical media through an intervening
`entity (dealer) in the chain of distribution.
`It will be understood that the drawing and accompa
`nying description thereof is intended to assist those
`skilled in the art in understanding the invention and for
`depicting presently preferred embodiments thereof. As
`such, the drawing and accompanying description are
`illustrative and are not included for purposes of limita
`tion on the scope of the invention which is de?ned only
`by the appended claims.
`Turning now to the drawing, FIG. 1 depicts a typical
`chain of distribution of protected software from a soft
`ware source 11 through a dealer 12 to the end-user 13.
`According to one presently preferred embodiment of
`the invention, a software validation center 14 is pro
`vided which_ furnishes validation services to one or
`more software customers 13. Also, FIG. 1 depicts, as a
`separate entity, an ESD manufacturer 15.
`In the system of FIG. 1, the software source 11 gener
`ates a plurality of software units 16, each of which is
`assigned a characteristic, unique serial number 17. The
`software validation center 14 generates a plurality of
`protection subroutines 18, a speci?c one of which 19 is
`mated by the software source 11 with a particular soft
`ware unit 16 and serial number 17 to form a protected
`software package 21. The SVD also generates a general
`validation program to be shipped with the protected
`software package and to be used to validate the ESD
`30
`for that software package.
`The software source 11 transmits information 22 to
`the validation center 14 consisting of the combinations
`of the serial number of each software package 21 and its
`related protection subrountine reference code. The
`information 22 is stored in a secure computer 23 con
`trolled by the software validation center 14.
`The ESD manufacturer 15 assigns a characteristic
`serial number 24 to each ESD 25 manufactured by it. A
`plurality of the serialized ESDs 26 are furnished to the
`dealer 12 which also receives a plurality of the serial
`ized protected software packages 21 from the software
`source.
`The user 13 purchases a particular protected software
`package 27 from the dealer 12. In the same or unrelated
`transaction the user 13 will procure a specific serialized
`ESD 28 which is con?gured to be connected to the
`user’s host computer 29.
`The user 13 furnishes information 31 to the software
`validation center 14 consisting of the combination of the
`software serial number and the ESD serial number.
`Based on this input 31, the secure computer 23 gener
`ates a validation code 32 which is furnished to the user
`13.
`During the execution of the validation program
`shipped with the protected software package 27 by the
`host computer 29, the validation code 32 is sent to the
`ESD. The ESD descrambles or unencrypts the valida
`tion code and performs two functions:
`(a) Checks the unscrambled validation code and looks
`to see if the serial number of the ESD is contained in
`the validation code. If the ESD validation code is not
`present the validation attempt is aborted by the BSD.
`(b) If the ESD serial number is present, the ESD will
`imbed the serial number of the protected software
`package contained in the unscrambled validation
`code into the internal memory of the ESD.
`
`4,685,055
`6
`During the execution of the protection subroutine by
`the host computer an identi?er code is generated con
`taining all or part of the following:
`(a) protected software serial number,
`(b) random number sequences.
`This identi?er code is transmitted by the host computer
`to the ESD. Based on the incoming identi?er code and
`the results of the previous validation identi?er code
`provided to the ESD at the time of validation of the
`protected software package, the ESD generates an
`identi?er signal which is transmitted via the host com
`puter to the protection subroutine. If the identi?er code
`received from the ESD is as predicted by the protection
`subroutine, and only if this is true, the protection sub
`routine of the software package will cause the host
`computer to execute the protected software package.
`As indicated by the dashed line 33, marketing infor
`mation can be furnished to the software validation cen
`ter 14, either directly by the user 13 (as part of the
`information input 31) or by the dealer 12 in a separate
`information input 34. The marketing information can be
`accumulated by the software validation center 14 and
`transmitted as periodic marketing reports 35 to the soft
`ware source 11.
`As will be appreciated by those skilled in the art, it
`would be possible to combine the functions depicted in
`FIG. 1 of the software validation center and the dealer
`such that a single entity performs both functions.
`The ESD may take a wide variety of forms. Each
`ESD uniquely characterizes a particular customer such
`that, after the ESD is validated by the secure computer,
`the protected software package or packages can then be
`executed by, but only by, a host computer in communi
`cation with that particular ESD and the protected soft
`ware package cannot be executed by an unauthorized
`third party. For example:
`A. A micro chip with built-in instructions for return
`ing an individual serial number or other unique identi
`?er for that chip;
`B. A chip or other hardware component which is
`con?gured to be unique to the authorized hardware in
`any way, such as a ROM, PROM, EPROM, EEPROM,
`with a unique number or other identifying information
`accessible by the communications software;
`C. A ?aw or error map on a hard disc that records the
`flaws or errors on that particular disc;
`D. Any imposed identi?er for the authorized hard
`ware that is software-accessible, such as a replacemerl't
`for an existing chip in a computer that would not only
`perform the previous function, but also provide a
`unique identi?er;
`E. A peripheral device usable for identi?cation such
`as a ?ngerprint reader, optical retina scanning device,
`voice analyzer, footfall analyzer, or the like;
`F. A transportable media such as a ?exible, hard or
`optical diskette manufactured with a unique physical
`identi?er such as lazer holes.
`Other modi?cations and variations of the invention
`will occur to those skilled in the art having regard for
`the foregoing disclosure. Such modi?cations and varia
`tions are intended to be included in the scope of this
`invention which is limited only by the appended claims
`interpreted in the light of the speci?cation and drawing
`and the scope and content of the prior art.
`Having described my invention in such terms as to
`enable those skilled in the art to understand and practice
`it and, having identi?ed the presently preferred embodi
`ments thereof, I claim:
`
`S5
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`APPLE EXHIBIT 1064
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`7
`1. A central control system for protecting computer
`software, comprising:
`(A) a protected software package, including
`(1) a software unit having an ascertainable serial num
`her,
`(2) a protection subroutine having a unique reference
`code, including
`(a) means for establishing communication with an
`ESD,
`(b) means for generating ESD interrogation sig
`nals, and
`(c) means for causing completion of execution of
`said protected software by a host computer in
`communication with said ESD only if said pro
`tection subroutine recognizes an identi?er signal
`generated by said BSD, and
`(3) a validation program which communicates a vali
`dation code to said ESD; '
`
`4,685,055
`8
`(B) an ESD having an ascertainable identi?cation num~
`ber electronically connected to said software pack
`age, including
`means for generating identi?er signals in response to
`said interrogation signals;
`(C) a secure computer having a working memory elec
`tronically connected to said host computer contain
`mg
`(I) said software serial number and the corresponding
`unique reference code, and
`(2) means for generating said validation code in re
`sponse to inputs of said software serial number and
`said ESD identi?er; and
`(D) communication means electronically interconnect
`ing said secure computer, said BSD and said pro
`tected software package for transmiting said valida
`tion code to said protected software package.
`* i
`i t i
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