United States Patent [19J
`Ginter et al.
`
`I IIIII IIIIIIII Ill lllll lllll lllll lllll lllll lllll lllll lllll 111111111111111111
`US005892900A
`[11] Patent Number:
`[45] Date of Patent:
`
`5,892,900
`Apr. 6, 1999
`
`[54] SYSTEMS AND METHODS FOR SECURE
`TRANSACTION MANAGEMENT AND
`ELECTRONIC RIGHTS PROTECTION
`
`[75]
`
`Inventors: Karl L. Ginter, Beltsville; Victor H.
`Shear, Bethesda, both of Md.; W. Olin
`Sibert, Lexington, Mass.; Francis J.
`Spahn, El Cerrito; David M. Van Wie,
`Sunnyvale, both of Calif.
`
`[73] Assignee: InterTrust Technologies Corp.,
`Sunnyvale, Calif.
`
`[21] Appl. No.: 706,206
`
`[22] Filed:
`
`Aug. 30, 1996
`
`OTHER PUBLICATIONS
`
`Applications Requirements for Innovative Video Program(cid:173)
`ming; How to Foster (or Cripple) Program Development
`Opportunities for Interactive Video Programs Delivered on
`Optical Media; A Challenge for the Introduction of DVD
`(Digital Video Disc) (19-20 Oct. 1995, Sheraton Universal
`Hotel, Universal City CA).
`Bruner, Rick E., PowerAgent, NetBot help advertisers reach
`Internet shoppers, Aug. 1997 (Document from Internet).
`CD ROM, Introducing ... The Workflow CD-ROM Sam(cid:173)
`pler, Creative Networks, MCIMail: Creative Networks, Inc.,
`Palo Alto, California.
`
`(List continued on next page.)
`
`Int. Cl.6
`...................................................... G06F 11/00
`[51]
`[52] U.S. Cl. ....................................... 395/186; 395/184.01
`[58] Field of Search ............................... 395/186, 187.01,
`395/188.01, 218, 200.59; 380/4, 25, 30,
`825.31, 825.34
`
`Primary Examiner-Robert W. Beausoliel, Jr.
`Assistant Examiner-Pierre F. Elisca
`Attorney, Agent, or Firm-Nixon & Vanderhye P.C.
`
`[57]
`
`ABSTRACT
`
`[56]
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`
`3,573,747
`3,609,697
`
`....................... 73/862.58
`4/1971 Adams et al.
`9/1971 Blevins ................................... 395/407
`
`(List continued on next page.)
`
`FOREIGN PATENT DOCUMENTS
`
`9 004 79
`0 84 441
`0128672
`A0135422
`0180460
`0 370 146
`0399822A2
`0421409A2
`0 456 386 A2
`0 469 864 A2
`0 469 864 A3
`0 565 314 A2
`0 593 305 A2
`0 651 554 Al
`
`12/1984
`7/1983
`12/1984
`3/1985
`5/1986
`11/1988
`11/1990
`4/1991
`11/1991
`2/1992
`2/1992
`10/1993
`4/1994
`5/1995
`
`Belgium.
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`European Pat. Off ..
`
`The present invention provides systems and methods for
`electronic commerce including secure transaction manage(cid:173)
`ment 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 information. 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 elec(cid:173)
`tronically stored or disseminated information. Such a virtual
`distribution environment may be used to protect rights of
`various participants in electronic commerce and other elec(cid:173)
`tronic or electronic-facilitated transactions. Secure distrib(cid:173)
`uted and other operating system environments and
`architectures, employing, for example, secure semiconduc(cid:173)
`tor processing arrangements that may establish secure, pro(cid:173)
`tected environments at each node. These techniques may be
`used to support an end-to-end electronic information distri(cid:173)
`bution capability that may be used, for example, utilizing the
`"electronic highway."
`
`(List continued on next page.)
`
`220 Claims, 163 Drawing Sheets
`
`SAMSUNG EX. 1020 - 1/360
`
`

`

`5,892,900
`Page 2
`
`U.S. PATENT DOCUMENTS
`
`3/1974 Smith ........................................ 380/37
`3/1974 Feistel ....................................... 380/37
`3/1974 Feistel ....................................... 380/37
`3/1974 Feistel ....................................... 380/25
`4/1974 Clarke ..................................... 711/164
`8/1974 Freeny, Jr.
`......................... 340/825.31
`9/1975 Henriques ............................... 235/438
`10/1975 Freeny, Jr.
`.............................. 235/382
`12/1975 Freeny, Jr.
`............................ 375/27 A
`1/1976 Jacoby .................................... 395/186
`3/1976 Brobeck et al. .......................... 705/25
`... ... ... ... .... ... ... .. 380/24
`5 /1976 Anderson et al.
`5 /1976 Ehrsam et al. . ... ... ... ... .... ... ... ... .. 380/29
`7/1976 Boothroyd et al. ....................... 705/43
`9/1977 Forman, Jr. et al. ................... 376/485
`1/1978 Mazur ..................................... 364/130
`9/1978 Freeny, Jr.
`.............................. 342/457
`10/1978 Johnstone .................................... 380/4
`7/1979 Mori et al. .............................. 711/207
`9/1979 Best ............................................ 380/4
`4/1980 Forman et al.
`........................... 380/46
`4/1980 Kuhar et al. ... ... ... ... ... ... .... ... ... .. 341/23
`6/1980 Freeny, Jr.
`.............................. 342/457
`8/1980 Freeny, Jr.
`.............................. 342/458
`9/1980 Hamano et al. .......................... 705/18
`11/1980 Gerard .. ... ... ... .... ... ... ... ... ... .... ... . 380/36
`11/1980 Freeny, Jr.
`.............................. 342/464
`11/1980 Kennedy ................................... 702/61
`2/1981 Kirschner et al. ... ... ... ... .... ... . 707 /10 A
`4/1981 Bright et al. ................................ 380/4
`5 /1981 Desai et al. .... ... ... ... ... .... ... ... ... 222/639
`5/1981 Asija ........................................... 707/1
`7 /1981 Best ... ... ... ... ... .... ... ... ... ... ... .... ... . 380/24
`12/1981 Best ............................................ 380/4
`12/1981 Lumley ....................................... 380/4
`1/1982 Merkle ...................................... 380/23
`3/1982 Best ............................................ 380/4
`4/1982 Guillou . ... ... ... .... ... ... ... ... ... .... ... . 380/18
`5/1982 Baldwin et al. .......................... 705/24
`6/1982 Guillou ..................................... 380/20
`11/1982 Dyer et al. .............................. 702/176
`3/1983 Davida et al. ............................ 380/28
`2/1984 Best ............................................ 380/4
`2/1984 Suzuki et al. ........................... 711/164
`4/1984 Mayer ..................................... 395/186
`5/1984 Thomas ................................... 711/164
`6/1984 Heffron et al.
`......................... 395/186
`7/1984 Uchenick .................................... 380/4
`7/1984 Smith, III ................................... 380/4
`7 /1984 Ross ............................................ 380/4
`8/1984 Best ............................................ 380/4
`9/1984 Donald et al. .............................. 380/4
`11/1984 Block et al.
`... ... ... ... ... .... ... ... ... ... . 348/3
`1/1985 Kadison et al.
`.......................... 360/48
`4/1985 Herman ....................................... 380/4
`7/1985 Lofberg .................................... 348/5.5
`7/1985 Freeny, Jr.
`.................................. 380/4
`11/1985 Egendorf ................................... 377/15
`12/1985 Arnold et al.
`.............................. 380/4
`12/1985 Schmidt et al.
`........................ 707/203
`12/1985 Chou et al. .......................... 360/78.04
`12/1985 Bond et al. . ... ... ... ... ... .... ... ... ... .. 360/60
`3/1986 Comerford et al. .................... 360/774
`4/1986 Guglielmino ............................... 380/4
`5/1986 Atalla .......................................... 380/4
`5/1986 Chiba et al.
`............................ 791/164
`6/1986 Pickholtz .................................... 380/4
`6/1986 Volk .......................................... 705/16
`6/1986 Lofberg ....................................... 380/4
`6/1986 Izumi et al.
`.............................. 380/23
`
`3,796,830
`3,798,359
`3,798,360
`3,798,605
`3,806,882
`3,829,833
`3,906,448
`3,911,397
`3,924,065
`3,931,504
`3,946,220
`3,956,615
`3,958,081
`3,970,992
`4,048,619
`4,071,911
`4,112,421
`4,120,030
`4,163,280
`4,168,396
`4,196,310
`4,200,913
`4,209,787
`4,217,588
`4,220,991
`4,232,193
`4,232,317
`4,236,217
`4,253,157
`4,262,329
`4,265,371
`4,270,182
`4,278,837
`4,305,131
`4,306,289
`4,309,569
`4,319,079
`4,323,921
`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
`4,458,315
`4,462,076
`4,462,078
`4,465,901
`4,471,163
`4,484,217
`4,494,156
`4,513,174
`4,528,588
`4,528,643
`4,553,252
`4,558,176
`4,558,413
`4,562,306
`4,562,495
`4,577,289
`4,584,641
`4,588,991
`4,589,064
`4,593,353
`4,593,376
`4,595,950
`4,597,058
`
`4,622,222
`4,634,807
`4,644,493
`4,646,234
`4,652,990
`4,658,093
`4,670,857
`4,672,572
`4,677,434
`4,680,731
`4,683,553
`4,685,056
`4,688,169
`4,691,350
`4,696,034
`4,701,846
`4,712,238
`4,713,753
`4,727,550
`4,740,890
`4,747,139
`4,757,534
`4,757,553
`4,768,087
`4,791,565
`4,796,181
`4,798,209
`4,799,156
`4,807,288
`4,817,140
`4,823,264
`4,827,508
`4,858,121
`4,864,494
`4,868,877
`4,903,296
`4,924,378
`4,930,073
`4,949,187
`4,977,594
`4,999,806
`5,001,752
`5,005,122
`5,005,200
`5,010,571
`5,023,907
`5,047,928
`5,048,085
`5,050,213
`5,091,966
`5,103,392
`5,103,476
`5,111,390
`5,119,493
`5,128,525
`5,136,643
`5,136,646
`5,136,647
`5,136,716
`5,146,575
`5,148,481
`5,155,680
`5,168,147
`5,185,717
`5,201,046
`5,201,047
`5,208,748
`5,214,702
`5,216,603
`5,221,833
`5,222,134
`5,224,160
`
`11/1986
`1/1987
`2/1987
`2/1987
`3/1987
`4/1987
`6/1987
`6/1987
`6/1987
`7/1987
`7/1987
`8/1987
`8/1987
`9/1987
`9/1987
`10/1987
`12/1987
`12/1987
`2/1988
`4/1988
`5/1988
`7/1988
`7/1988
`8/1988
`12/1988
`1/1989
`1/1989
`1/1989
`2/1989
`3/1989
`4/1989
`5/1989
`8/1989
`9/1989
`9/1989
`2/1990
`5/1990
`5/1990
`8/1990
`12/1990
`3/1991
`3/1991
`4/1991
`4/1991
`4/1991
`6/1991
`9/1991
`9/1991
`9/1991
`2/1992
`4/1992
`4/1992
`5/1992
`6/1992
`7/1992
`8/1992
`8/1992
`8/1992
`8/1992
`9/1992
`9/1992
`10/1992
`12/1992
`2/1993
`4/1993
`4/1993
`5/1993
`5/1993
`6/1993
`6/1993
`6/1993
`6/1993
`
`Johnson .................................... 73/602
`Chorley et al. ........................... 705/24
`Chandra et al. ........................ 702/176
`Tolman et al. .............................. 380/4
`Pailen et al. ................................ 380/4
`Hellman ... ... ... ... ... ... .... ... ... ... ... .. 380/23
`Rackman .................................... 380/4
`Alsberg ... .... ... ... ... ... .... ... ... ... ... .. 380/23
`Fascenda ................................... 380/23
`Izumi et al.
`.............................. 365/52
`Mollier ........................................ 380/4
`Barnsdale et al. .. .... ... ... ... ... ... . 711/164
`Joshi .................................... 340/825.3
`Kleijne et al. .............................. 380/4
`Wiedemer ................................... 380/4
`Ikeda et al. ... ... ... .... ... ... ... ... .... 711/163
`. .... ... ... ... ... .... .. 380/20
`Gilhousen et al.
`Boe be rt et al. .. ... .... ... ... ... ... .... 711/164
`Chang et al.
`. ... .... ... ... ... ... ... .... ... . 372/2
`William ................................... 395/186
`Taaffe ..................................... 536/28.5
`Matyas et al. ... ... .... ... ... ... ... .... .. 380/25
`Allen et al. ... ... ... .... ... ... ... ... .... .. 380/25
`Taub et al. .................................. 380/4
`Dunham et al. ............................ 380/4
`Wiedemer ................................... 380/4
`Klingenbeck et al.
`................. 128/653
`Shavit et al. .............................. 705/26
`Ugon et al. ............................. 349/184
`Chandra et al. ............................ 380/4
`Deming ................................... 374/117
`Shear .......................................... 380/4
`Barber et al. ............................... 705/2
`Kobus ..................................... 364/200
`Fischer . .... ... ... ... ... ... .... ... ... ... ... .. 380/25
`Chandra et al. ........................ 395/186
`Hershey et al.
`. ... .... ... ... ... ... ... ..... 348/3
`Cina, Jr ................................... 395/726
`Cohen ....................................... 380/25
`Shear .......................................... 380/4
`Chernow et al. ....................... 395/712
`Fischer . .... ... ... ... ... ... .... ... ... ... ... .. 380/23
`Griffin et al. ............................... 380/4
`Fisher ... .... ... ... ... ... ... .... ... ... ... ... .. 380/30
`Katznelson .............................. 395/186
`Johnson et al. ......................... 395/186
`Wiedemer ................................... 380/4
`Abraham et al. ........................... 380/4
`Shear ... .... ... ... ... ... ... .... ... ... ... ... ... . 38/25
`Bloomberg et al. .... ... ... ... ... .... 382/203
`Mori ........................................ 702/176
`Waite .......................................... 380/4
`Ketcham ................................. 395/705
`Janis et al. .............................. 395/704
`Stearns et al. .......................... 235/454
`Fischer . .... ... ... ... ... ... .... ... ... ... ... .. 380/23
`Haber et al. .............................. 380/49
`Haber et al. .............................. 380/49
`Harvey et al. ..................... 395/200.58
`Nolan, Jr ................................. 711/164
`Abraham et al. ......................... 380/46
`Wiedemer ................................... 380/4
`Bloomberg .............................. 235/456
`Mori .......................................... 365/52
`Goldberg et al. ....................... 707/100
`Maki et al.
`................................. 707/4
`Flores et al. ................................ 704/1
`Fischer . .... ... ... ... ... ... .... ... ... ... ... .. 380/30
`Flores et al. ................................ 704/1
`Hecht ...................................... 235/494
`Waite et al.
`................................ 380/4
`Paulini et al.
`.............................. 380/4
`
`SAMSUNG EX. 1020 - 2/360
`
`

`

`5,892,900
`Page 3
`
`5,224,163
`5,227,797
`5,235,642
`5,245,165
`5,247,575
`5,260,999
`5,263,158
`5,265,164
`5,276,735
`5,280,479
`5,285,494
`5,301,231
`5,311,591
`5,319,705
`5,337,360
`5,341,429
`5,343,527
`5,347,579
`5,351,293
`5,355,474
`5,373,561
`5,390,247
`5,390,330
`5,392,220
`5,392,390
`5,394,469
`5,410,598
`5,412,717
`5,421,006
`5,422,953
`5,428,606
`5,438,508
`5,442,645
`5,444,779
`5,449,895
`5,449,896
`5,450,493
`5,453,601
`5,453,605
`5,455,407
`5,455,861
`5,455,953
`5,457,746
`5,463,565
`5,473,687
`5,473,692
`5,479,509
`5,485,622
`5,491,800
`5,497,479
`5,497,491
`5,499,298
`5,504,757
`5,504,818
`5,504,837
`5,508,913
`5,509,070
`5,513,261
`5,530,235
`5,530,752
`5,533,123
`5,534,975
`5,537,526
`5,539,735
`5,539,828
`5,550,971
`5,553,282
`5,557,518
`5,563,946
`5,568,552
`5,572,673
`5,592,549
`
`6/1993 Gasser et al. ............................. 380/30
`7/1993 Murphy ..................................... 342/22
`8/1993 Wobber et al.
`........................... 380/25
`9/1993 Zhang ..................................... 235/454
`9 /1993 Sprague et al. ... ... ... ... .... ... ... ... ... . 380/9
`11/1993 Wyman ....................................... 380/4
`11/1993 Janis ... ... ... ... ... .... ... ... ... ... ... .... ... ... 707 /1
`11/1993 Matyas ...................................... 380/30
`1/1994 Boebert et al. ... ... ... ... .... ... ... ... .. 380/21
`1/1994 Mary ....................................... 370/462
`2/1994 Sprecher et al. ........................ 455/423
`4/1994 Abraham et al. ........................... 380/4
`5/1994 Fischer ........................................ 380/4
`6/1994 Halter et al. ................................ 380/4
`8/1994 Fischer ........................................ 380/4
`8/1994 Stringer et al. ... ... ... ... ... .... ... ... .. 380/23
`8/1994 Moore ....................................... 705/37
`9 /1994 Blandford ... ... .... ... ... ... ... ... .... ... . 388/25
`9/1994 Michener et al.
`........................ 706/10
`10/1994 Thuraisngham et al. ................... 707/9
`12/1994 Haber et al. .............................. 380/49
`2/1995 Fischer ...................................... 380/49
`2/1995 Talati . ... ... ... ... .... ... ... ... ... ... .... .. 395 /703
`2/1995 van den Hamer et al.
`............ 364/488
`2/1995 Crozier .................................... 345/335
`2/1995 Nagel et al.
`................................ 380/4
`4/1995 Shear .......................................... 380/4
`5 /1995 Fischer .. ... ... ... .... ... ... ... ... ... .... ... . 380/23
`5/1995 Jablon ................................ 395/183.12
`6/1995 Fischer ...................................... 380/25
`6/1995 Moskowitz .................................. 380/4
`8/1995 Wyman ....................................... 705/8
`8/1995 Ugon ...................................... 371/25.1
`8/1995 Daniele . ... ... ... .... ... ... ... ... ... .... ... ... 380/3
`9/1995 Hecht et al.
`............................ 235/494
`9/1995 Hecht et al.
`............................ 235/494
`9/1995 Maher ......................................... 380/4
`9 /1995 Rosen . ... ... ... ... .... ... ... ... ... ... .... ... . 380/24
`9/1995 Hecht et al.
`............................ 235/494
`10/1995 Rosen . ... ... ... ... .... ... ... ... ... ... .... .. 235 /380
`10/1995 Faucher et al. ............................. 380/9
`10/1995 Russell .. ... ... ... .... ... ... ... ... ... .... .. 395 /739
`10/1995 Dolphin .
`10/1995 Cookson et al. .. ... ... ... .... ... ... ... 711/113
`12/1995 Lipscomb et al. .......................... 388/4
`12/1995 Davis . ... ... ... ... .... ... ... ... ... ... .... ... . 380/25
`12/1995 Ugon ......................................... 380/23
`1/1996 Yamaki ................................... 395/186
`2/1996 Goldsmith et al. ................ 395/200.51
`3/1996 Hornbuckle ............................... 463/29
`3/1996 Mitchell et al. ........................ 395/683
`3/1996 Narasimhalu et al.
`................... 380/25
`4/1996 Cook et al. ............................. 370/468
`4/1996 Okano ......................................... 380/4
`4/1996 Griffeth et al. ............................. 380/4
`4/1996 Yamamoto et al.
`........................ 380/4
`4/1996 Schull ....................................... 380/49
`4/1996 Maher ....................................... 380/23
`6/1996 Stefik et al.
`............................ 235/492
`6/1996 Rubin .......................................... 380/4
`7/1996 Force et al. ............................... 405/37
`7/1996 Stefik et al.
`................................ 399/1
`7/1996 Anderson et al.
`...................... 707/515
`7/1996 Moskowitz .................................. 380/4
`7 /1996 Davis . ... ... ... ... .... ... ... ... ... ... .... ... . 380/23
`8/1996 Brunner et al. ... ... ... ... .... ... ... ... ... . 707 /3
`. ... ... ... ... ... .... ... ... .. 707 /10
`9 /1996 Parrish et al.
`9 /1996 Rosen . ... ... ... ... .... ... ... ... ... ... .... ... . 380/24
`10/1996 Cooper et al. .............................. 380/4
`10/1996 Davis .......................................... 380/4
`11/1996 Shurts ..................................... 395/186
`1/1997 Nagel et al.
`................................ 380/4
`
`5,606,609
`5,613,004
`5,621,797
`5,629,980
`5,633,932
`5,634,012
`5,636,292
`5,638,443
`5,638,504
`5,640,546
`5,655,077
`5,687,236
`5,689,587
`5,692,180
`5,710,834
`5,740,549
`5,745,604
`5,748,763
`5,748,783
`5,748,960
`5,754,849
`5,757,914
`5,758,152
`5,765,152
`5,768,426
`
`.............................. 380/4
`2/1997 Houser et al.
`3/1997 Cooperman et al. ..................... 380/28
`4/1997 Rosen ... .... ... ... ... ... ... .... ... ... ... ... .. 380/24
`5/1997 Stefik et al.
`................................ 380/4
`5/1997 Davis et al.
`.............................. 380/25
`5/1997 Stefik et al.
`.............................. 705/39
`6/1997 Rhoads .................................... 382/232
`6/1997 Stefik .......................................... 380/4
`6/1997 Scott et al. .............................. 707/530
`6/1997 Gopinath et al. ....................... 395/551
`8/1997 Jones et al. ........................ 395/187.01
`11/1997 Moskowitz et al. ...................... 380/28
`11/1997 Bender et al.
`.......................... 382/232
`11/1997 Lee . ... ... .... ... ... ... ... ... .... ... ... ... ... .. 707 /10
`1/1998 Rhoads .................................... 382/232
`4/1998 Reilly et al. .. ... .... ... ... ... ... ... .... .. 705 /14
`4/1998 Rhoads .................................... 382/232
`5/1998 Rhoads .................................... 382/115
`5/1998 Rhoads .................................... 382/232
`5/1998 Fischer .................................... 395/683
`5/1998 Dyer et al. .............................. 707/101
`5/1998 McManis .................................. 380/23
`5/1998 LeTourneau ............................ 707/102
`1/1998 Erickson .. ... ... ... ... ... .... ... ... ... ... ... . 707 /9
`6/1998 Rhoads .................................... 382/232
`
`FOREIGN PATENT DOCUMENTS
`
`0 668 695 A2
`0 695 985 Al
`0 725 376
`0 696 798 Al
`0715243Al
`0715244Al
`0715245Al
`0715246Al
`0715247Al
`0 778 513 A2
`0749081Al
`0 795 873 A2
`3803982Al
`57-726
`62-241061
`1-068835
`64-68835
`2-242352
`2-247763
`2-294855
`4-369068
`5-181734
`5-257783
`5-268415
`6-175794
`6-215010
`6225059
`7-056794
`7-084852
`7-141138
`7-200317
`7-200492
`7-244639
`8-137795
`8-152990
`8-185298
`A2136175
`2264796
`2264796A
`2294348
`2295947
`WO
`A8502310
`WO 85/03584
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`Japan .
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`WO 96/05698
`WO 96/06503
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`W096/13013
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