6,157,721
`[11]
`[19]
`United States Patent
`Shear et at. Dec. 5, 20-00 [45] Date of Patent:
`
`
`
`
`
`Patent Number:
`
`USUliélS-il’i’ZlA
`
`[54] SYSTEMS AND METHODS USING
`CRYPTOGRAPHY TO PROTECT SECURE
`COMPUTING ENVIRONMENTS
`
`[75]
`
`Inventors: Victor H. Shear, Bethesda, Md.; W.
`Olin Sibert, Lexington, Mass; David
`M. Van Wic Sunnyvale Calif.
`
`[73] Assignee:
`
`lnter’fi'ust Technologies Corp., Sarita
`Clara , Calif.
`
`ljll Appl No _ 087'639 754
`
`[22]
`
`Filed:
`
`Aug. 12, 1996
`
`[51]
`
`[52]
`
`[58]
`
`[56]
`
`Int. CL? ............................... H04K 1700; 11041. 9700;
`(3061: 11730
`
`3807255; 3807251; 3807287;
`[7.8. Ci.
`7137155; 7137176; 7137180; 7137182; 7137194
`Field of Search .................................... 38074, 23, 25,
`380749, 30, 255, 287, 251; 7137150—152,
`155,156,164470,175—1251189491,
`193, 200, 201, 194
`
`References Cited
`U.S. PATENT DOCUMENTS
`
`3,5?3,T4?
`3,509,597
`3,796,860
`3,798,359
`3,798,300
`3,798,ot}5
`3,306,882
`3,829,833
`3,906,448
`3,911.39}r
`329242063
`3’931.’504
`331622?
`3,936,613
`
`3358331
`3,970,992
`4,048,619
`4071911
`451,542]
`4,]20,Ufifl
`4,163,230
`
`4719771 Adams et at. .
`9719'; 1 mains _
`371974 Smith _
`,
`3719774 I-‘eistel
`.
`371974 Feislel
`371974 Feislel .
`4719774 Clarke .
`8/19'7'4 l-'reeny_. Jr..
`97’1975 He'"N-IUt‘S 7
`1W 197% FEW)“: JL-
`12/1973 “WHY.- Jr. -
`_
`”1976 ‘lamby_'
`3’19“ Bmheck ‘1 dl'
`3719'7'6 Anderson el al.
`_
`.
`3719776 L-hrsant Cl a]. '
`7719771 Boolhrnyd el al..
`91(197?
`liorntan. .ll'. Cl a].
`171978 Mazur .
`971978 Free“ JL _
`1071978 .Iohnstone .
`”771979 Mort et at.
`
`‘
`
`.
`
`.
`
`.
`
`4,]68,3‘.}o
`4,]96,3lfl
`
`97’1979 Best .
`471980 Forman et al. .
`
`(List continued on next page.)
`
`[FOREIGN PA'l‘le’l‘ DOCUMENTS
`
`1271934 Belgium .
`9 [J04 ”7'9
`771983
`European Pat. Off. .
`(J 84 441
`”[286” [271984
`European Pm‘ Ofl‘ '
`{List continued on next page.)
`
`OTHER PUBLIC/{1101515
`Applications Requirements for Innovative Programming;
`Ilow to Foster (or Cripple) Program Development Oppor-
`tunities for Interactive Video Programs Delivered on Optical
`Media; A Challenge for the Introduction of DVD (Digital
`Video Disc) (Oct. 19—20, 1995, Sheraton Universal Hotel,
`Universal City CA).
`
`(List continued on next page.)
`
`Primary ExaminerfiStephen C. liuczinski
`Attorney, Agent, or Firm—Finnegan, Henderson, Farabow,
`Garrett & Dunner, L.L.P.
`
`[57]
`
`ABSTRACT
`
`Secure computation environments are protected from bogus
`or rogue load modules, executables and other data elements
`‘
`_
`_
`. _
`.
`through use of digital signatures, seals and certihcates issued
`by a verifying authority. A veril‘ying authority—which may
`be a trusted independent third party—tests the load modules
`or other executables to verify that their corresponding speci—
`fications are accurate and complete, and then digitally signs
`the load module or other executable based on tamper resis-
`lance work factor classification. Secure computation envi-
`ronments with difl'erent tamper resistance work factors use
`difl'erent verification digital signature authentication tech—
`niques (e.g., different signature algorithms andfor signature
`verification keys)—allowing one tamper resistance work
`factor environment to protect itself against load modules
`.
`.
`x
`.
`a
`.
`.
`from another, ditferent tamper resistance work tactor envi—
`on 1enl Several d‘ssi
`ilar di
`ital si nature a] orith s 1a
`i3
`"_ d " ed ‘
`L1 "‘1 b‘t'igr
`‘ {5]
`. h g_
`"1‘ ". ‘ 3’
`C U596
`10 T ULC Vll‘l'ICl'd l 1.3!
`rorn d gorlt
`ITI (.OlTIpTUITIth,
`and subsets of multiple digital signatures may be used to
`reduce the scope of any specific compromise.
`
`41 Claims, 15 Drawing Sheets
`
`Lew."
`Digital Signature
`
`'Leueltl
`.
`“WIN 3'9““!!!
`
`Lemlll
`Digital Signature
`
` 1240':
`
`E57
`
` iPeIIIIJ
`
`CS-1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 1
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 1
`
`

`

`6,157,721
`Page 2
`
`US. PATENT DOCUMENTS
`
`Kuhar el al. .
`
`.
`
`Freeny, Jr. .
`1|‘reeny, Jr. .
`Ilamano et al.
`Gerard .
`Freerly, Jr. .
`Kennedy .
`Kirsehner el al. .
`
`4,757,534
`4,763,087
`4,791,565
`4,796,131
`4,799,156
`4,307,283
`4,317,140
`4,823,264
`4,327,503
`4,353,121
`4,864,494
`4,868,377
`4,903,296
`4,924,373
`4,930,073
`4,949,187
`4,977,594
`4,999,306
`5,001,752
`5,005,122
`5,005,200
`5,010,571
`5,023,907
`5,047,923
`5,048,085
`5,050,213
`5,091,966
`5,103,392
`5,103,476
`5,111,390
`5,119,493
`5,126,936
`5,123,525
`5,136,643
`5,136,646
`5,136,647
`5,136,716
`5,146,575
`5,148,431
`5,155,680
`5,163,147
`5,135,717
`5,201,046
`5,201,047
`5,208,748
`5,214,702
`5,216,603
`5,221,833
`5,222,134
`5,224,160
`5,224,163
`5,235,642
`5,241,671
`5,245,165
`5,247,575
`5,260,999
`5,263,153
`5,265,164
`5,276,735
`5,230,479
`5,285,494
`5,301,231
`5,3 1 1,59 1
`5,319,705
`5,335,169
`5,337,360
`5,341,429
`5,343,527
`5,347,579
`5,35 1,293
`5,355,474
`5,373,440
`
`"1.11988
`811988
`1211988
`111989
`1.11989
`211989
`311989
`4.11989
`511989
`811989
`9.11989
`911989
`211990
`5119911
`511990
`811990
`12119911
`311991
`311991
`411991
`411991
`411991
`611991
`911991
`9.11991
`9.11991
`211992
`411992
`4.11992
`511992
`611992
`611992
`711992
`811992
`8.11992
`8.11992
`811992
`911992
`9.11992
`1011992
`1211992
`2.11993
`411993
`411993
`511993
`511993
`611993
`611993
`611993
`611993
`611993
`31l993
`811993
`911993
`911993
`11.11993
`1111993
`1111993
`1.11994
`1.11994
`211994
`411994
`5.11994
`611994
`811994
`8.11994
`3.11994
`811994
`911994
`9.11994
`1011994
`1211994
`
`380123 X
`
`.
`
`.
`
`Malyas et al. .
`1an el al. .
`Dunham el al.
`Wiederrler .
`Shavit el al. .
`
`.
`
`.
`
`.
`
`Ugon et al. .
`Chandra el al.
`Deming .
`Shear .
`Barber el al.
`Kobus .
`Fischer .
`.
`Chandra el al.
`Hershey el al. .
`Cina, Jr.
`Cohen .
`Shear .
`Chernow et al. .
`Fischer .
`Grifin el al. .
`Fischer .
`Kalzrielson .
`Johnson et al. .
`Wiedemer .
`Abraham et al. .
`Shear .
`Bloomberg et al.
`Mari .
`Waile el al. .
`Keleham .
`.
`Janis el al.
`Champion el al.
`Sleams et al. .
`Fischer .
`Haber et al. .
`Haber et al. .
`Harvey et al. .
`Nolan, Jr.
`.
`Abraham et al. .
`Wiedemer .
`Bloomberg .
`Mari .
`Goldberg et al. .
`Maki el al. .
`Flores et al. .
`Fischer .
`l-‘lores et al. .
`I'Ieehl .
`Waile el al. .
`Paulini el al. .
`Gasser el al.
`.
`Wohber e1 21].
`Reed el al.
`.
`leang .
`Sprague et al. .
`Wyman .
`Janis .
`.
`Malyas et a1.
`Boeherl et al. .
`Mary .
`Spreeher el al. .
`Abraham et al. .
`Fischer .
`IIaller et al. .
`
`.
`
`Chong .
`Fischer .
`Slringer et al. .
`Moore .
`Blandford .
`Michener er al. .
`Thuraisngham el al. .
`Cohen el al. .
`
`CS-1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 2
`
`4,200,913
`4,209,787
`4,217,538
`4,220,991
`4,232,193
`4,232,317
`4,236,217
`4,253,157
`4,262,329
`4,265,371
`4,270,132
`4,278,337
`4,305,131
`4,306,239
`4,309,569
`4,319,079
`4,32 3,921
`4,328,544
`4,337,483
`4,361,877
`4,375,579
`4,433,207
`4,434,464
`4,442,486
`4,446,519
`4,454,594
`4,453,315
`4,462,076
`4,462,078
`4,465,901
`4,471,163
`4,434,217
`4,494,156
`4,513,174
`4,528,538
`4,528,643
`4,553,252
`4,558,176
`4,558,413
`4,562,306
`4,562,495
`4,577,239
`4,584,641
`4,583,991
`4,539,064
`4,593,133
`4,593,353
`4,593,376
`4,595,950
`4,597,053
`4,634,807
`4,644,493
`4,646,234
`4,652,990
`4,658,093
`4,670,357
`4,672,572
`4,677,434
`4,630,731
`4,633,553
`4,685,056
`4,638,169
`4,691,350
`4,696,034
`4,701,846
`4,712,238
`4,713,753
`4,740,890
`4,747,139
`4,757,533
`
`411980
`67‘] 980
`81‘1 980
`911980
`1 17‘l 980
`1 17‘] 981]I
`1 111980
`21198]
`411981
`57‘] 981
`31198]
`"111981
`127‘] 981
`121198]
`111982
`37‘] 982
`411982
`511982
`67‘] 982
`1 17‘ 1982
`311983
`211984
`27‘ 1984
`411984
`511984
`67‘ 1984
`711984
`711984
`711984
`87‘] 984
`911984
`1 111984
`17‘] 985
`47‘] 985
`"17‘1983
`T111985
`1 17‘] 985
`1211983
`1211985
`I 27‘] 985
`127‘] 985
`31‘1986
`47‘] 986
`511986
`51‘1986
`61‘1 986
`611986
`611986
`61‘1 986
`611986
`17‘] 987
`21‘1 98?
`211987
`37‘] 987
`41‘1 98?
`61‘1 987
`611987
`67‘1 98'7l
`"111987
`"11198?
`87‘1 98'7l
`81‘1 987
`91‘] 98?
`97‘1 98'7l
`1911987
`121198?
`1211 98'7l
`47‘ 1988
`511988
`711988
`
`.
`
`.
`
`.
`
`Bright el al. .
`Desai el al. .
`Asija .
`Best .
`Best .
`Lumley .
`Merkle .
`Best .
`Guillou .
`Baldwin et al.
`Guillou .
`.
`Dyer et a1.
`Davida et al. .
`Best .
`Suzuki et al. .
`Mayer .
`Thomas .
`HelIron el al. .
`Uchenick .
`Smith, III .
`Ross .
`Best .
`Donald et al.
`Block el al.
`.
`Kadison e1 al. .
`Herman .
`LoflJerg .
`Freeny, Jr. .
`Egendorf .
`Arnold et al. .
`Schmidt el al. .
`Chou et al. .
`Bond et al. .
`Comerford et al.
`Guglielmino .
`Alalla .
`Chiba el al.
`Fukatsu .
`Pickhclllz .
`Volk .
`Lolberg .
`Izumi el al. .
`Charley el al.
`Chandra et al.
`'l‘olman el al. .
`Pailen el al. .
`Hellman .
`Raekman .
`Alsherg .
`Fascenda .
`Izumi el al. .
`Mollier .
`Barnsdale el al. .
`Joshi .
`Kleijne et al.
`Wiedemer .
`Ikeda el al. .
`(jilhousen et al. .
`Boebert el al.
`.
`William .
`Taaffe .
`Allen et al. .
`
`.
`
`.
`
`.
`
`.
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 2
`
`

`

`6,157,721
`
`Page 3
`
`.
`
`.
`
`.
`.
`
`.
`
`.
`
`.
`
`1271994 Haber el al.
`5,373,561
`2719.95 Fischer .
`5,390,247
`271995 181811.
`5,390,330
`271995 van den Hamer el al.
`5,392,220
`271995 Crozier .
`5,392,390
`271995 Nagcl el al.
`5,394,469
`471995 Shear.
`5,410,598
`5,1995 Fischer.
`5,412,717
`51,1995 Allen .
`5,418,713
`571995 Jablon .
`5,421,006
`671995 Fischer.
`$422,953
`6,1995 Moskuwilz _
`5,423,606
`871995 Wyman .
`5,438,508
`871995 Ugon .
`5,442,645
`87199:} Daniele .
`57444777?
`971995 I‘leeht el al.
`5,449,895
`971995 I'Iecht el al.
`5,449,896
`971995 Maher .
`5,450,493
`971995 Rosen .
`5,453,601
`971995 I'Iecht el al.
`5,453,605
`5,455,407 1071995 Rosen .
`5,455,861
`1071995 Faucher el al. .
`5,455,953 1071995 Russell .
`5,457,746 1071995 Dolphin .
`5,458,494
`1071995 Krohn el al. .
`5,463,565
`1071995 Cookson el al. .
`5,473,687 1271995 Lipscomb at al. .
`5,473,692 1271995 Davis .
`5,479,509
`1271995 Ugon .
`5,485,622
`171996 Yamaki .
`5,491,800
`271996 Goldsmith et al. .
`5,497,479
`371996 Hornhuckle .
`.
`5,497,491
`371996 Mitchell ct a1.
`5,499,298
`371996 Narasimhalu et a1.
`5,504,757
`471996 Cook et al. .
`5,504,818
`471996 Okano .
`5,504,837
`471996 Urifleth et a]. .
`5,508,913
`471996 Yamantoto et a1.
`5,509,070
`471996 Schull .
`5,513,261
`471996 Maher .
`5,530,235
`6719.96 Stcfik el al. .
`5,530,752
`671996 Rubin .
`5,533,123
`771996 Force el al. .
`5,534,975
`7719.96 Stcfik el al. .
`5,535,322
`771996 Hechl .
`5,537,526
`771996 Anderson el al.
`5,539,735
`771996 Moskowitz .
`5,539,828
`771996 Davis .
`5,550,971
`871996 Brunner el al. .
`5,553,282
`971996 Parrish el al. .
`5,557,518
`971996 Rosen .
`5,563,946 1071996 Cooper el al.
`5,568,552
`1071996 Davis .
`5,572,673
`1171996 Shurls .
`.
`5,592,549
`171997 Nagcl el al.
`5,606,609
`271997 Houser et al. .
`5,613,004
`371997 Cooperman el al.
`5,621,797
`471997 Roscn .
`5,629,980
`571997 Stefik el al. .
`5,633,932
`571997 Davis el al. .
`5,634,012
`571997 Stefik et al. .
`5,636,292
`671997 Rhoads .
`5,638,443
`671997 Stefik .
`5,638,504
`671997 Scott et al. .
`5,640,546
`671997 Gopinath et al. .
`5,655,077
`871997 Jones et al. .
`5,687,236
`1171997 Moskowilx el al. .
`5,689,587
`1171997 Bender Ct al. .
`5,692,047
`“71997 McManiS .
`5,692,180
`1171997 Lee .
`5,710,834
`171998 Rhoads .
`5,715,403
`271998 Stefik .
`
`.
`
`371998 Tagawa .
`5,732,398
`471998 Reilly et al. .
`5,740,549
`471998 Rhoads -
`5,745,604
`571998 Rhoads -
`57489793
`571998 3710795 -
`3.743333
`571998 11391“ .
`5,743,960
`571998 D7” “7‘" '
`“3754349
`571998 McI‘Hanls
`5,757,914
`571998 Le-Iourncau .
`5,758,152
`671998 End‘s“ ‘
`53765452
`671998 Rhoads.
`5,768,426
`671998 Golden et al. .
`5,774,872
`”3733: 2‘0““? ‘3: a" '
`2,39%:
`1
`7
`‘ ”m" e a ‘
`‘
`-=
`2=
`*
`FOREIGN PATENT DOCUMENTS
`
`380723
`
`.
`European Pat. 011°.
`371985
`0135422
`.
`European Pal. 011‘.
`571986
`0180460
`.
`European Pal. OlT.
`11,0988
`0 370 146
`.
`European Pat. 011°.
`(I399822A2 1171990
`.
`European Pal. 011°.
`0421409142
`471991
`.
`European Pal. OlT.
`0 456 386 A2
`11,0991
`.
`European Pat. 011°.
`0 469 864 A2
`271992
`.
`European Pal. 011°.
`0 565 314 A2
`1071993
`.
`European Pal. OlT.
`0 593 305 A2
`4,0994
`.
`European Pal. Ofl".
`0 651 554 A1
`571995
`.
`European Pal. 011°.
`0 668 695 A2
`871995
`.
`European Pal. OlT.
`0 695 985 A]
`2,0996
`.
`European Pal. 011".
`0 696 798 A1
`271996
`.
`European Pal. 011°.
`0715243141
`671996
`European Fat. 011. .
`0715244711
`671996
`European Pal. 011".
`.
`07152457011
`671996
`European Pal. 011‘.
`.
`0715246751]
`671996
`European Fat. 011. .
`0715247711
`671996
`European Pal. 011".
`.
`0 725 376
`871996
`European Pal. 011‘.
`.
`0749081751]
`1271996
`European Fat. 011. .
`0 778 513 A2
`671997
`European Pat. 011°.
`.
`0 795 873 A2
`971997
`380398214]
`[71990 Germany .
`57—726
`571982
`Japan .
`62—24106]
`1071987
`Japan .
`14168835
`371989
`Japan .
`64—68335
`371989
`Japan .
`2—242352
`971990
`Japan .
`2247763 1071990
`Japan .
`2—294855
`1271990
`Japan .
`4—369068
`1271992
`Japan .
`5481734
`771993
`Japan .
`5—257783
`1071993
`Japan .
`5-2168415
`1071993
`Japan .
`64757.94
`671994
`Japan .
`6—215010
`871994
`Japan .
`6225059
`871994
`Japan .
`70567.94
`371995
`Japan .
`7—084852
`371995
`Japan .
`74141138
`671995
`Japan .
`7-200317
`871995
`Japan .
`7—200492
`871995
`Japan .
`7244639
`971995
`Japan .
`8—137795
`571996
`Japan .
`8452990
`671996
`Japan .
`8485298
`771996
`Japan .
`2136175
`971984
`[Jailed Kingdom .
`2264796A 971993 United Kingdom .
`2294348
`471996 United Kingdom .
`2295947
`671996 Uniled Kingdom .
`wo
`A8502310
`WO 85703584
`WO 90702382
`WO 92706438
`WO 92722870
`
`571985 WIPO .
`871985 WII’O .
`371990 WIPO .
`471992 WIPO .
`1271992 WII’O .
`
`CS-1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 3
`
`.
`
`.
`
`.
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 3
`
`

`

`6,157,721
`Page 4
`
`W0 93,-‘01550
`W0 94l0l32l
`W0 94.103859
`W0 94,-‘06103
`W0 941' l6395
`W0 94ll8620
`W0 94,-‘22266
`W0 941271406
`“.1095;Ir l4289
`W0 961100963
`W0 96,-‘03835
`W0 96105698
`W0 961106503
`W0 96,-‘13013
`W0 961121192
`W0 97903423
`WO9TIOT656
`W09W32251
`W0 97"l482113
`
`1,-‘1993 WIPO .
`1f1994 WIPO .
`2,-‘1994 WIPO .
`3,-‘1994 WIPO .
`"H 1994 WIPO .
`8/1994 WIPO .
`9,-‘1994 WIPO .
`l1r'1994 WIPO .
`5i1995 WIPO .
`1,-‘1996 WIPO .
`2,-‘1996 WIPO .
`2!1996 WIPO .
`2i1996 WIPO .
`5,-‘1996 WIPO .
`7/1996 WIPO .
`11’1991f WIPO .
`3,-‘1997 WIPO .
`9,-‘1997‘I WIPO .
`121’1991f WIPO .
`
`OTHER PUBLICATIONS
`
`Argent Information Q&A Sheet, http:tthw.cligital—water—
`markcomi', Copyright 1995, The DICE Company, 7 pages.
`Arneke, David, et al., News Release, AT&'I', Jan. 9, I995,
`AI'&'I‘ encryption system protects information services,
`1
`page.
`AchzTTeclmoiogy, vol. 9, No. 4, New Products, Systems and
`Services, pp. 16—19.
`Baggett, Claude, Cable’s Emerging Role in the Information
`Superhighway, Cable labs, I3 slides.
`Barassi, Theodore Sedgwick, Esq, The Cybernotary: Public
`Key Registration and Certification and Authentication of
`International Legal Transactions, 4 pages.
`Barnes, Hugh, memo to Henry LaMuth, subject: George
`(Iilder articles, May 31, 1994.
`Bart, Dan, Comments in the Matter of Public Hearing and
`Request for Commean on the International Aspects of the
`National Information Infrastructure, Aug. l2, 1994.
`Baum, Michael, Worldwide Electronic Commerce: Law,
`Policy and Controls Conference, program details, Nov. 11,
`1993.
`
`Bisbey, 11 et al., Encapsulation: An Approach to Operating
`System Security, Oct. 1973, pp. 666—675.
`Blom et al., Encryption Methods in Data Networks, Ericsson
`Technics, No. 2, 1978, Stockholm, Sweden.
`Bruner, Rick Ii, PowerAgent, NetBot help advertisers reach
`Internet shoppers, Aug. 1997 {Document from Internet).
`Cable 'I'elevision and America’s 'I'elecommunications Infra-
`structure, National Cable Television Association, Apr. I993.
`Caruso, Technology, Digital Commerce 2 plans for water—
`marks, which can bind proof of authorship to electronic
`works, New York Times (Aug. 1995).
`CI) ROM, Introducing .
`.
`. The Workflow (TD—ROM Sam-
`pler, Creative Networks, MCIMail: Creative Networks, Inc.,
`Pala Alto, California.
`Choudhury, et al., Copyright Protection for Electronic Pub—
`lishing over Computer Networks, AI"&'I‘ Bell.
`Laboratores, Murray Hill, New Jersey 07924 (Jun. 1994).
`Clark, Tim, Ad service gives cash back, ww.ne\vs.com,
`Aug. 4, 1997, 2 pages (Document from Internet}.
`Codercard, Spec Sheet—Basic Coder Subsystem, No date
`given.
`Communications of the ACM, Intelligent Agents, Jul. 1994,
`vol. 37, No. 7.
`Communications of the ACM, Jun. 1996, vol. 39, No. 6.
`
`Processor User’s
`
`Computer Systems Policy Project (CSSP), Perspectives on
`the National InfonTIation Infrastructure: Ensuring Interop-
`erability (Feb. 1994), February 1994.
`Cunningham, Donna, et al., News Release, AT&T, Jan. 31,
`1995, AT&T, VLSI Technology join to improve info high—
`way security, 3 pages.
`Data Sheet, About the Digital Notary Servioe, Surety Tech-
`l‘tologies, Inc., 1994—95, 6 pages.
`Dempsey, et al., D—Lt'b Magazine, JulJAug. 1996 The
`Warwick Metadata Workshop: A Framework for the Deploy—
`ment of Resource Description, Jul. 15, 1966.
`Denning et al., Data Security, 11 Computing Surveys No. 3,
`Sep. 1979.
`Ditfie, Whitfield and Martin E. Hellman, IEEE Transactions
`on Information Theory, vol. 22, No. 6, Nov. 1976, New
`Directions in Cryptography, pp. 644—651.
`DilI‘ie, Whitfield and Martin E. IIeIIman, Proceedings of the
`IEEE, vol. 67', No. 3, Mar. 1979, Privacy and Authentication:
`An Introduction to Cryptography, pp. 2397427.
`Digest of Papers, VLSI: New Architectural Horizons, Feb.
`1980, Preventing Software Piracy With Crypto—Micropro-
`cessors, Robert M. Best, pp. 466—469.
`DiscSt‘ore (Electronic Publishing Resources 1991).
`Document from Internet, cgi@ncsa.uiuc.edu, CGI Common
`Gateway Interface, 1 page, 1996.
`I)SP56{)U(I;’DSP56UUI Digital Signal
`Manual, Motorola, 1990, pp. 2—2.
`Dusse, Stephen R. and Burton 8. Kaliski A Cryptographic
`Library for the Motorola 56000 in Damgard, I.M., Advances
`in Cryptology—Proceedings Eurocrypt 90, Springer—Ver-
`lag, 1991, pp. 23m244.
`Dyson, Esther, Intellectual Value, Wired Magazine, Jul.
`1995, pp. 136—141 and 182—184.
`Efl'ector Online vol. 6 No. 6, A Publication of the Electronic
`Frontier Foundation, 8 pages, Dec. 6, I993.
`EIA and TIA White Paper on National Information Infra-
`structure,published by the Electronic Industries Association
`and the Telecommunications Industry Association, Wash—
`ington, I).C., no date.
`Electronic Currency Requirements, XIW’I‘ (Cross Industry
`Working Group}, no date.
`Electronic Publishing Resources Inc. Protecting Electroni—
`cally Published Properties Increasing Publishing Profits
`{Electronic Publishing Resources 1991).
`F irefly Network, Inc., www.ffly.com, What is Firefly? Fire-
`fly revision: 41.4 Copyright 1995, 1996.
`First CII Honeywell Bull International Symposium on Com—
`puter Security and Confidentiality, Jan. 26—28, 1981, Con—
`ference Text, pp. 1—21.
`Information Infrastructure Ser-
`Framework for National
`vices, Draft, U.S. Department of Commerce, Jul. 1994.
`Framework for National Information Infrastructure Ser—
`vices, NIST, Jul. 1994, 12 slides.
`Garcia, 1). Linda, testimony before a hearing on science,
`space and technology, May 26, 1994.
`Gleick, James, “Dead as a Dollar” The New York Times
`Magazine, Jun. 16, 1996, Section 6, pp. 26—30, 35, 42, 50,
`54.
`
`Green paper, Intellectual Property and the National Infor-
`mation Infrastructure, a Preliminary Draft of the Report of
`the Working Group on Intellectual Propeny Rights, Jul.
`1994.
`
`Greguras, Fred, Softic Symposium ’95, Copyright Clear—
`ances and Moral Rights, Nov. 30, 1995 (as updated Dec. 11,
`1995), 3 pages.
`
`CS-1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 4
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 4
`
`

`

`6,157,721
`
`Page 5
`
`Guillou, L.: Smart Cards and Conditional Access, pp.
`480—490 Advances in Cryptography, Proceedings of Euro-
`Crypt 84 (Beth et a], Ed, Springer—Verlag 1985).
`Harman, Harry H., Modem Factor Aaaivsfs, Third Edition
`Revised, University of Chicago Press Chicago and London,
`Third revision published 1976.
`Ilerzberg, Arnir et al., Public Protection of Software,ACM
`Elimirtsactiorts on Computer Systems, vol. 5, No. 4, Nov.
`1987, pp. 371—393.
`Hofmann, Jud, Interfacing the N11 to User Homes, Elec—
`tronic Industries Association, Consumer Electronic Bus
`Committee, 14 slides, no date.
`“011, Stannie, Start—up promises user confidentiality in Web
`marketing service,
`Info World Electric, Aug. 13, 1997
`(Document from Internet).
`IBM Technical Disclosure Bulletin, Multimedia Mixed
`()bjecl Envelopes Supporting a Graduated liee Scheme via
`Encryption, vol. 37, No. 03, Mar. 1994, Armonk, NY.
`IBM Technical Disclosure Bulletin, Transformer Rules for
`Software Distribution Mechanism4upport Products, vol.
`37, No. 04B, Arp. 1994, Armonk, NY.
`IISP Break Out Session Report for Group No. 3, Standards
`Development and Tracking Systems, no date.
`Information Infrastructure Standards Panel: N11 ‘The Infor—
`
`mation Superhighway’, Nations Bank—HGDeal—ASC X9,
`15 pages.
`Invoice? What is an Invoice? Business Week, Jun. 10, 1996.
`.Iiang, et al,A concept—Based Approach to Retrieval from an
`Electronic Industrialn Directory, Irtt'ern'ationalr .Imtmal' of
`Etectroaic Commerce, vol. 1, No. 1, Fall 1996, pp. 51—72.
`Jones, Debra, Top Tech Stories, PowerAgent Introducts First
`Internet ‘InfOITlediary’ to Empower and Protect Consumers,
`Aug. 13, 1997 3 pages (Document from Internet).
`Kelly, Kevin, Whole Earth Review, E—Money,pp. 40—59,
`Summer 1993.
`
`Kent, Protecting Externally Supplied Software In Small
`Computers {Ml'l‘tLCSfl'R—ZSS Sep. 1980).
`Kohntopp, M., Sag’s
`dlll'cl'l die Blume, Apr.
`mafitCrfi-schulung.netuse.de.
`Kristol et al., Anonymous Internet Mercantile Protocol,
`AT&T Bell Laboratories, Murray Hill, New Jersey, Draft:
`Mar. 17, I994.
`Lagoze, Carl, D—Lib Magazine, Jul/Aug. 1996, The War-
`wick Framework, A Container Architecture for Diverse Sets
`of Metadata.
`
`1996,
`
`Lanza, Mike, electronic mail, George Gilder’s Fifth
`Article—Digital Darkhorse—Newspapers, Feb. 21, 1994.
`Levy, Steven, Wired, Iii—Money, That’s What
`I Want,
`](II
`pages, Dec. 1994.
`Low et al., Anonymous Credit Cards and its Collusion
`Analysis, AT&T Bell Laboratories, Murray Hill, New Jer—
`sey, Oct. 10, 1994.
`Low et al., Anonymous Credit Cards, AT&T Bell Labora-
`tories, Proceedings of the 2nd ACM Conference on Com-
`puter and Communications Security, Fairfax, Virginia, Nov.
`2—4, 1994.
`Low et al., Doeument Marking and Identification using both
`Line and Word Shifting, AT&T Bell Laboratories, Murray
`Hill, New Jersey, Jul. 29, 1994.
`Maclachlan, Malcolm, PowerAgent Debuts Spam—Free
`Marketing, TecitIvVire, Aug. 13, 1997, 3 pages (Document
`from Internet).
`Maxemchuk, Electronic Document Distribution, A'l'&'l' Bell
`Laboratories, Murray Hill, New Jersey l07974.
`
`Micro Card—Micro Card Technologies, Inc., Dallas, Texas,
`No date given.
`Milbrandt, E., Slenanography Info and Archive, 1996.
`Mori, Ryoichi and Masaji Kawahara, The Transactions of
`the EIEICE, V, Superdistribution: The Concept and the
`Architecture, E73 (Jul. 1990), No. 7, Tokyo, Japan.
`Mossberg, Walter S., Personal Technology, Threats to Pri-
`vacy ()n—IJne Become More Worrisome, Wall Street Jour-
`an], Oct. 24, 1996.
`Negroponte, Electronic Word of Mouth, Wired Oct. 1996, p.
`218.
`
`Some
`Telecommunications,
`Nicholas,
`Negroponte,
`Thoughts on likely and expected Communications sce-
`narios: A Rebuttal, pp. 41—42, Jan. 1993.
`Neumann, et al., A Provably Secure Operating System: The
`System, Its Applications, and Proofs, Computer Science
`Laboratory Report CSI.—l 16, Second Edition, SRI Interna-
`tional (May 1980).
`News Release, Premenos Announces Templar 2.0—Next
`Generation
`Software
`for
`Secure
`Internet
`EDI,
`webmasterC®-templar.net, 1 page, Jan. 17, 1996.
`News Release, The Document Company Xerox, Xerox
`Announces Software Kit for Creating Working Documents
`with Dataglyphs, Nov. 6, 1995, Minneapolis, MN, 13 pages.
`NeWS Release, The White House, ()llice of the President,
`Background on the Administration‘s Telecommunications
`Policy Refom'l Initiative, Jan. 11, 1994.
`N11, Architecture Requirements, XIWT, no date.
`Open System Environment Architectural Framework for
`National Information Infrastructure Services and Standards,
`in Support of National Class Distributed Systems, Distrib-
`uted System Engineering Program Sponsor Group, Draft
`1.0, Aug. 5, 1994.
`Pelton, Dr. Joseph N., Telecommunications, Why Nicholas
`Negroponte is Wrong About the Future of Telecommunica-
`tion, pp. 35—41), Jan. ]993.
`Portland Software’s ZipLock, Internet information, Copy—
`right Portland Software 1996—1997, 12 pages.
`PowerAgent Inc., Proper Use of Consumer Information on
`the Internet White Paper, Jun. 1997, Document from Inter-
`net, 9 pages {Documenl from Internet).
`PowerAgent Press Releases, What the Experts are Reporting
`on PowerAgent, Aug. 13, 1997, 6 pages (Document from
`Internet).
`PowerAgent Press Releases, What the Experts are Reporting
`on PowerAgent, Aug. 4, 1997, 5 pages (Document from
`Internet).
`PowerAgent Press Releases, What the Experts are Reporting
`on PowerAgent, Aug. 13, 1997, 3 pages (Document from
`Internet).
`Premenos Corp. White Paper: The Future of Electronic
`Commerce, A Supplement to Midrange Systems, Internet
`webmaster@;prcmenos.com, 4 pages.
`Press Release, National Semiconductor and EPR Partner For
`Information Metering:f Data Security Cards (Mar. 4, ]994).
`Rankine, G., Thomas—A Complete Single—Chip RSA
`Device, Advances in Cryptography, Proceedings of Crypto
`86, pp. 480—487 (A.M. Odlyzko Ed., Springer—Verlag
`1987).
`committee
`Standards
`K.,
`Arthur
`Reilly,
`T1—Telecommunications, Input to the ‘International Tele—
`communications Hearings,’ Panel 1: Component Technolo—
`gies of the NIIIGII, no date.
`Resnick, et al., Recommender Systems, C(mmtnrtt'crttiom of
`titeACM, vol. 40, No. 3, Mar. 1997, pp. 56—89.
`
`CS-1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 5
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 5
`
`

`

`6,157,721
`
`Page 6
`
`ROI (Personal Library Software, 1987 or 1988).
`ROI—Solving Critical Electronic Publishing Problems (Per-
`sonal Library Software, 1987 or 1988).
`Rose, Lance, Cyberspace and the Legal Matrix: Laws or
`Confusion?, I991.
`Rosenthal, Steve, New Media, Interactive Network: Viewers
`Get Involved, pp. 30—31, Dec. 1992.
`Rosenthal, Steve, New Media, Interactive TV: The Gold
`Rush Is On, pp. 27—29, Dec. 1992.
`Rosenthal, Steve, New Media, Mega Channels, pp. 36—46,
`Sep. 1993.
`Rothstein, Edward, The New York Titties, Technology, Con-
`nections, Making th elnternet come to you, through ‘pLLsh’
`technology. pp D5, Jan. 20, 1997.
`Internet
`Rutkowski, Ken, PowerAgent
`Introduces First
`'Inl’omediary’ to Empower and Protect Consumers, Tech
`Talk News Story, Aug. 4, 1997 (Document from Internet).
`Sager, Ira (Edited by), Bits & Bytes, Business Week, Sep. 23,
`1996, p. 142E.
`Schlossstein, Steven, International Economy, America: The
`G7’s Comeback Kid, JunJJu]. I993.
`Schurmann, Jurgen, Pattern Ct'asstfication, A Unified Wow
`of Statistica.’ and Neurat/tpproact‘tes, John Wiley & Sons,
`lnc., 1996.
`Scnaumueller—Bichi et al., A Method of Software Protection
`Based on the Use Of Smart Cards and Cryptographic Tech-
`niques, No date given.
`Serving the Community: A Public—Interest Vision of the
`National Information Infrastructure, Computer Profession—
`als for Social Responsibility, Executive Summary, no date.
`Shear, Solutions for CD—ROM Pricing and Data Security
`Problems, pp. 530—533, CD ROM Yearbook 1988—1989)
`(Microsoft Press 1988 or 1989).
`Smith et al., Signed Vector Timestamps: A Secure Protocol
`for Partial Order Time, CMU——93—1 I 6, School of Computer
`Science Carnegie Mellon University, Pittsburgh, Pennsyl-
`vania, Oct. 1991; version of February 1993.
`Special Report, The Internet:Fulfulling the Promise The
`Internet: Bring Order From Chaos; Lynch, Clifford, Search
`the Internet; Resnick, Paul, Filtering Information on the
`Internet; IIearst, Marti A., Interfaces for Searching the Web;
`Steftk, Mark, Trusted Systems; Scientific American, Mar.
`1997, pp. 49—56, 62—64, 68—72, 78—81.
`Stefik, Intemet Dreams: Archetypes, Myths, and Metaphors,
`letting Loose the Light: Igniting Commerce in Electronic
`Publication, pp. 219—253, (1996) Massachusetts Institute of
`Technology.
`Stefik, Mark, Introduction to Knowledge Systems, Chapter 7,
`Classification, pp 543—607, 1995 by Morgan Kaufmann
`Publishers, Inc.
`Stefik, Mark, Letting Loose the Light, Igniting Commerce in
`Electronic Publication, (1994, 19.95) Pala Alto, California.
`Stephenson, Tom, Advanced Imaging, The Info Infrastruc—
`ture Initiative: Data Superhighways and You, pp. 73—74,
`May 1993.
`Sterling, Bruce, Literary freeware: Not for Commercial Use,
`remarks at Computers, Freedom and Privacy Conference IV,
`Chicago, Mar. 26, 1994.
`Struif, Bruno The Use of Chipcards for Electronic Signa-
`tures and Encryption in: Proceedings for the 1989 Confer-
`ence on VSLI and Computer Peripherals, IEEE Computer
`Society Press, 1989, pp. 4i155—4t158.
`Suida, Karl, Mapping New Applications Onto New Tech—
`nologies, Security Services in 'l'elecomrnunications Net-
`works, Mar. 8—10, 1988, Zurich.
`
`Templar Overview,: Premenos, Internet infoGi'ttemplarnet, 4
`pages.
`
`Templar Software and Services: Secure, Reliable, Stan-
`dards—Based EDI ()ver the Internet, Prementos, Internet
`infoCrig-templamet, lpage.
`The 1.1 Future of the Electronic Marketplace: Return to a
`Hunting and Gathering Society, 2 pages no date.
`
`The Benefits of ROI For Database Protection and Usage
`Based Billing (Personal Library Software, 1987 or 1988).
`
`The New Alexandria No. 1, Alexandria Institute, pp. 1—12,
`Jul.—Aug. 1986.
`
`Tygar et al., Cryptography: It’s Not Just For Electronic Mail
`Anymore, CMU—CS—93—107, School of Computer Science
`Camegie Mellon University, Pittsburgh, Pennsylvania, Mar.
`1, 1993.
`
`Tygar et a]., Dyad: A System Using Physically Secure
`Coprocessors, School of Computer Science, Carnegie Mel-
`lon University, Pittsburgh, PA 15213 (undated).
`
`Tygar et al., Dyad: A System for Using Physically Secure
`Coprocessors, School of Computer Science, Carnegie Mel—
`lon University, Pittsburgh, PA 15213 (May. 1991).
`
`Valovic T., Telecommunications, The Role of Computer
`Networking in the Emerging Virtual Marketplace, pp.
`40—44.
`
`Voight, Joan, Beyond the Banner, Wired, Dec. 1996, pp. 196,
`200, 204.
`
`Vonder IIaar, Steven, PowerAgent Launches Commercial
`Service, Inter@ctive Week, Aug. 4, 1997 (Document from
`Internet).
`
`Weber, Dr. Robert, Digital Rights Management Technolo—
`gies, A Report to the International Federation of Reproduc—
`tion Rights Organisations, ()ct. ]995,pp 1—49.
`
`Weber, Dr. Robert, Digital Rights Management Technolo—
`gies, Oct. 1995, 21 pages.
`
`Weber, Metering Technologies for Digital Intellectual Prop-
`erty, A Report to the International Federation of Reproduc-
`tion Rights Organisations, pp 1—29; Oct. 1994, Boston, MA,
`USA.
`
`Weber, Adele, Life on the InfoHighway, 4 pages, no date.
`
`Weingart, Physical Security for the :ABYSS System, IBM
`Thomas J. Watson Research Center, Yorktown Heights, New
`York 10598 (1987).
`
`Weitzner, Daniel J., A Statement on EFF’s Open Platform
`Campaign as of Nov., 1993, 3 pages.
`
`WEPIN Store, Stenography (Hidden Writing) (Common
`Law 1995).
`White, ABYSS: A Trusted Architecture for Software Pro—
`tection, IBM Thomas J. Watson Research Center, Yorktown
`Ileights, New York 10598 (1987).
`
`Wired 1.02, Is Advertising Really dead7, Part 2, 1994.
`
`World Wide Web FAQ, Iiow can I put an access counter on
`my home page},
`1 page, 1996.
`
`XIWT Cross Industry Working Team, 5 pages, Jul. 1994.
`
`Yee, Using Secure Coprocessors, CMU—CS—94—149,
`School of Computer Science, Carnegie Mellon University,
`Pittsburgh, PA15213.
`
`CS-1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 6
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 6
`
`

`

`US. Patent
`
`Dec. 5, 2000
`
`Sheet 1 01'15
`
`6,157,721
`
`
`
`Problems
`
`FIG.1Defectiveor"Bogus"LoadModulesCanCause
`
`CS—1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 7
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 7
`
`

`

`US. Patent
`
`Dec. 5, 2000
`
`Sheet 2 01'15
`
`6,157,721
`
`VERIFYINGAUTHOR!TY
`
` FIG.2Verifying
`LoadModules
`
`CS—1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 8
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 8
`
`

`

`US. Patent
`
`mD
`
`U0025;
`
`.m3aehS
`
`51
`
`(0
`
`r...)51,
`
`127n,
`
`wow
`
`
`
`
`
`35:553ma:2:35..53=8ma...9.85
`
`hszZOmSzm625mmm00m1DWEOWEOEQ
`
`wmahdigwOZ =.2235.33aman:
`
`
`.3522“@5382;8528;22mm9.Mv_u._
`
`
`
`
`
`
`
`m2¢m§mmnbuzgw
`
`mm:OF>620m_._._
`
`mommmuacm
`
`oI.
`
`-
`
`mmD._._ZO>>_
`
`CS—1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 9
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 9
`
`

`

`US. Patent
`
`Dec. 5, 2000
`
`Sheet 4 0f 15
`
`6,157,721
`
`54
`
` Executable No. X5198
`
`created 6326f96 by
`
`David Van Wie of
`
`lntertrust Technologies
`Corp.does the following:
`
`1 12
`
`
`
`
`
`FIG. 4
`
`Certilying Load Module by
`Checking it Against its Documentation
`
`CS—1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 10
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 10
`
`

`

`US. Patent
`
`Dec. 5, 2000
`
`Sheet 5 01'15
`
`6,157,721
`
`LOAD MODULE
`
`116
`
`
`MESSAGE DiGEST
`
`PRIVATE
`KEY
`
`FIG. 5
`
`Creating a Certifying
`Digital Signature
`
`CS—1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 11
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 11
`
`

`

`US. Patent
`
`Dec. 5, 2000
`
`Sheet 6 0f 15
`
`6,157,721
`
`_‘
`
`%
`
`
`
`
`
`/Exo_._m5a
`
`monew-thEZOESZMGEHmWNDOEQQWHUMHOEQ
`
`£523555m228:5536.0."—
`
`CS—1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 12
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 12
`
`
`

`

`US. Patent
`
`Dec. 5, 2000
`
`Sheet 7 01'15
`
`6,157,721
`
`LOAD
`
`MODULE
`SignedWithDifferentTechniques FIG.7SameLoadModuleCanBe
`
`116(1)
`
`
`
`
`
`CS—1004
`
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 13
`
`CS-1004
`Cisco Systems, Inc. v. Finjan, Inc.
`Page 13
`
`

`

`US. Patent
`
`Dec. 5, 2000
`
`Sheet 8 01'15
`
`6,157,721
`
`FIG. 8 Same Load Module Can Be
`Distributed with Multiple Signatures
`
`
`
`FIG. 8A Different Processing Environments Can Have
`Different Su