(12) United States Patent
`(12) United States Patent
`Misra et at.
`Misra et al.
`
`
`1111111111111111111111111111111°11111t1111111111111111111111111111111
`11111111111111111111111111111110111111111111111111111111111111111111111
`
`(10) Patent No.: US 6,189,146 B1
`US 6,189,146 B1
`(10) Patent No.:
`(45) Date of Patent: Feb. 13, 2001
`(45) Date of Patent:
`Feb. 13, 24)01
`
`(54)
`(54)
`
`(75)
`(75)
`
`SYSTEM AND METHOD FOR SOFTWARE
`SYSTEM AND METHOD FOR SOFTWARE
`LICENSING
`LICENSING
`
`Inventors: Pradyumna K. Misra; Bradley J.
`Inventors: Pradyumna K. Misra; Bradley J.
`Graziadio, both of Redmond; Terence
`Graziadio, both of Redmond; Terence
`R. Spies, Kirkland, all of WA (US)
`R. Spies, Kirkland, all of WA (US)
`
`(73)
`(73)
`
`Assignee: Microsoft Corporation, Redmond, WA
`Assignee: Microsoft Corporation, Redmond, WA
`(US)
`(US)
`
`*
`* )
`
`Notice: Under 35 U.S.C. 154(b), the term of this
`Under 35 U.S.C. 154(b), the term of this
`Notice:
`patent shall be extended for 0 days.
`patent shall be extended for 0 days.
`
`(21)
`(21)
`(22)
`(22)
`(51)
`(51)
`(52)
`(52)
`(58)
`(58)
`
`Appl. No.: 09/040,813
`Appl. No.: 09/040,813
`Filed: Mar. 18, 1998
`Mar. 18, 1998
`Filed:
`Int. CI.' GO6F 17/40
`G06F 17/40
`Int. C1.7
`U.S. Cl. 717/11; 380/4; 380/25
`U.S. Cl.
` 717/11; 380/4; 380/25
`Field of Search 395/712; 701/1;
`Field of Search
` 395/712; 701/1;
`380/3, 4, 30, 44, 25; 717/11
`380/3, 4, 30, 44, 25; 717/11
`
`(56)
`(56)
`
`References Cited
`References Cited
`U.S. PATENT DOCUMENTS
`U.S. PATENT DOCUMENTS
`4,924,378 * 5/1990 Hershey et al 713/201
` 713/201
`4,924,378 * 5/1990 Hershey et al.
`5,138,712 * 8/1992 Corbin 713/200
`5,138,712 * 8/1992 Corbin
` 713/200
`5,204,897 * 4/1993 Wyman 380/4
`5,204,897 * 4/1993 Wyman
` 380/4
`5,343,524 * 8/1994 Mu et al. 380/4
` 380/4
`5,343,524 * 8/1994 Mu et al.
`5,553,143 * 9/1996 Ross et al. 380/25
`5,553,143 * 9/1996 Ross et al.
` 380/25
`5,671,412 * 9/1997 Christiano 707/104
`5,671,412 * 9/1997 Christiano
` 707/104
`5,724,425 * 3/1998 Chang et al 380/25
`5,724,425 * 3/1998 Chang et al.
` 380/25
`5,745,879 * 4/1998 Wyman 705/1
`5,745,879 * 4/1998 Wyman
` 705/1
`5,790,677 * 8/1998 Fox et al 380/24
`5,790,677 * 8/1998 Fox et al
` 380/24
`* cited by examiner
`* cited by examiner
`
`Primary Examiner—Reba I. Elmore
`Primary Examiner—Ileba I. Elmore
`(74) Attorney, Agent, or Firm—Lee & Hayes, PLLC
`(74) Attorney, Agent, or Firm—Lee & Hayes, PLLC
`(57) ABSTRACT
`(57)
`ABSTRACT
`A software licensing system includes a license generator
`A software licensing system includes a license generator
`located at a licensing clearinghouse and at least one license
`located at a licensing clearinghouse and at least one license
`server and multiple clients located at a company or entity.
`server and multiple clients located at a company or entity.
`When a company wants a software license, it sends a
`When a company wants a software license, it sends a
`purchase request (and appropriate fee) to the licensing
`purchase request (and appropriate fee) to the licensing
`clearinghouse. The license generator at the clearinghouse
`clearinghouse. The license generator at the clearinghouse
`creates a license pack containing a set of one or more
`creates a license pack containing a set of one or more
`individual software licenses. To prevent the license pack
`individual software licenses. To prevent the license pack
`from being copied and installed on multiple license servers,
`from being copied and installed on multiple license servers,
`the license generator assigns a unique license pack ID to the
`the license generator assigns a unique license pack ID to the
`license pack and associates the license pack ID with the
`license pack and associates the license pack ID with the
`particular license server in a master license database kept at
`particular license server in a master license database kept at
`the licensing clearinghouse. The license generator digitally
`the licensing clearinghouse. The license generator digitally
`signs the license pack and encrypts it with the license
`signs the license pack and encrypts it with the license
`server's public key. The license server is responsible for
`server's public key. The license server is responsible for
`distributing the software licenses from the license pack to
`distributing the software licenses from the license pack to
`individual clients. When a client needs a license, the license
`individual clients. When a client needs a license, the license
`server determines the client's operating system platform and
`server determines the client's operating system platform and
`grants the appropriate license. To prevent an issued license
`grants the appropriate license. To prevent an issued license
`from being copied from one client machine to another, the
`from being copied from one client machine to another, the
`software license is assigned to a specific client by including
`software license is assigned to a specific client by including
`a client ID within the license. The software license also has
`a client ID within the license. The software license also has
`a license ID that is associated with the client ID in a database
`a license ID that is associated with the client ID in a database
`record kept at the license server. The license server digitally
`record kept at the license server. The license server digitally
`signs the software license and encrypts it using the client's
`signs the software license and encrypts it using the client's
`public key. The license is stored locally at the client.
`public key. The license is stored locally at the client.
`
`20 Claims, 8 Drawing Sheets
`20 Claims, 8 Drawing Sheets
`
`20\
`-,
`20
`
`28
`28 --
`
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`Client Image,
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`Client Sig
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`
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`26 -
`
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`
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`(LS Cerffficate,
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`Platform,
`# Licenses)
`# Licenses)
`
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`Server Cert.
`
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`32 ---,
`
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`
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`130
`
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`
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`134-' 132
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`
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`
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`
`
`— 108
`
`Client
`Client
`
`30
`30
`
`Page 1
`
`IPR2021-01406
`ANCORA EX 2014
`
`

`

`U.S. Patent Feb. 13, 2001
`U.S. Patent
`Feb. 13, 2001
`
`Sheet 1 of 8 US 6,189,146 B1
`US 6,189,146 B1
`Sheet 1 of 8
`
`20 —\
`20 --\
`
`Clearinghouse
`Clearinghouse
`
`-,
`
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`
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`
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`
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`
`74, 1
`
`Page 2
`
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`ANCORA EX 2014
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`

`

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`8 Jo Z PatIS
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`System Bus
`System Bus
`46
`46
`
`Page 3
`
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`ANCORA EX 2014
`
`

`

`311a1Rd
`
`8 Jo £
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`HI 9171'681'9 SA.
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`/— 130
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`Page 4
`
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`

`lualcd 'Si!
`
`8 JO 17 lamiS
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`ig 9t71`681`9 Sil
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`in Secure License
`in Secure License
`7- 170
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`License Generator 26
`License Generator 26
`
`Page 5
`
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`

`8 Jo S lootiS
`
`RI 9171'681'9 SI1
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`• 7-178 s.
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`174 --,
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`Intermediate Server 32
`Intermediate Server 32
`
`Page 6
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`lualud 'Sill
`
`8 Jo 9 WIN
`
`is 911'681'9 SI1
`
`Rejection
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`190
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`License Server 28
`License Server 28
`
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`
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`lualnd
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`74' 7
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`Hash (Challenge,
`Hash (Challenge,
`r
`
`Client Image)
`Client Image)
`
` 7
`
`Rejection
`Rejection
`
`Challenge
`Challenge
`
`224
`224
`
`Established
`Established
`
`Trust
`Trust
`
`Yes
`Yes
`
`•
`
`Return Rejection
`Return Rejection
`
`r
`
`238
`238
`
`H'
`H'
`
`— 236
`236
`
`Client Image)
`Client Image)
`r Hash (Challenge,
`Hash (Challenge,
`/
`
`Image from Cache
`Image from Cache
`Retrieve Client
`Retrieve Client
`
`234
`7— 234
`
`No
`
`Send Challenge to
`Send Challenge to
`228
`228
`
`Yes
`Yes
`
`7-
`
`Client
`Client
`
`I
` 220
`220
`
`Software ID
`Software ID
`Submit Client
`Submit Client
`
`
`
`Client 30
`Client 30
`
`I
`
`S/W ID
`S/W ID
`
`Server 32
`Server 32
`Intermediate
`Intermediate
`
`in Cache?
`in Cache?
`lient Image
`lient Image
`
`222
`222
`License Server 28
`License Server 28
`
`Page 8
`
`IPR2021-01406
`ANCORA EX 2014
`
`

`

`Juaind *Sil
`
`8 Jo g palls
`
`ill 9171'681'9 Sf1
`
`/— 252
`252
`
`License in Cache
`License in Cache
`( Replace Old
`
`Replace Old
`
`\-- 240
`240
`
`License
`License
`
` •
`Send Old S/W
`Send Old SAN
`
`)
`/— 176
`176
`
`Query License
`Query License
`
`Cache
`Cache
`
`I,
`*
`
`Submit Connect
`Submit Connect
`
`Request
`Request
`
`172
`172
`
`Client 30
`Client 30
`
`..
`7
`\..
`
` 1
`
`License
`License
`Upgraded
`Upgraded
`
`License
`License
`
`Old
`Old
`
`List
`List
`
`Product ID
`Product ID
`System ID,
`System ID,
`
`74, g
`74,
`
`Connection
`Connection
`Complete
`Complete
`License and
`License and
`Forward Upgraded
`Forward Upgraded
`7
`7— 250
`7— 250
`
`No /— 244
`
`to Old License
`to Old License
`(-Request Upgrade
`(-Request Upgrade
`
`Old Version?
`Expired or
`
`242
`
`Accepted License
`Accepted License
`:" --\
`Intermediate Server 32
`Intermediate Server 32
`
`Send List of
`Send List of
`
`Product IDs
`Product IDs
`Servers and
`Servers and
`
`License
`License
`Upgraded
`Upgraded
`
`r Send Upgraded -)
`r Send Upgraded
` 248
`7— 248
`Yes7—
`Yes
`
`
`
`License
`License
`
`System ID
`System ID
`License,
`License,
`
`Old
`Old
`
`246
`
`Available?
`Upgrade
`
`174
`
`174
`
`License Server 28
`License Server 28
`
`Page 9
`
`IPR2021-01406
`ANCORA EX 2014
`
`

`

`US 6,189,146 B1
`US 6,189,146 B1
`
`10
`10
`
`1
`1
`SYSTEM AND METHOD FOR SOFTWARE
`SYSTEM AND METHOD FOR SOFTWARE
`LICENSING
`LICENSING
`TECHNICAL FIELD
`TECHNICAL FIELD
`This invention relates to systems and methods for licens-
`This invention relates to systems and methods for licens-
`ing software. This invention further relates to systems and
`ing software. This invention further relates to systems and
`methods for enforcing software licenses.
`methods for enforcing software licenses.
`
`2
`2
`purchase several thousand copies of the software and begin
`purchase several thousand copies of the software and begin
`installing the copies. However, computers and personnel
`installing the copies. However, computers and personnel
`change over time and it is difficult to centrally monitor how
`change over time and it is difficult to centrally monitor how
`many copies have been installed, whether the copies have
`many copies have been installed, whether the copies have
`expired, whether they need upgrading, and SO forth.
`5 expired, whether they need upgrading, and SO forth.
`5
`Accordingly, there is a need to develop a new approach to
`Accordingly, there is a need to develop a new approach to
`licensing software in a manner that assures that the terms are
`licensing software in a manner that assures that the terms are
`being meet and assists the licensee with monitoring whether
`being meet and assists the licensee with monitoring whether
`it is in compliance with the software license.
`it is in compliance with the software license.
`BACKGROUND
`BACKGROUND
`SUMMARY
`SUMMARY
`Software licensing has historically been based on a "trust"
`Software licensing has historically been based on a "trust"
`This invention concerns a system and method for licens-
`This invention concerns a system and method for licens-
`model in which the user (i.e., licensee) is presumed to be
`model in which the user (i.e., licensee) is presumed to be
`ing software. The system and method provides confidence to
`ing software. The system and method provides confidence to
`honest and trustworthy and to abide by the legal require-
`honest and trustworthy and to abide by the legal require-
`the vendor that the software license is being complied with,
`the vendor that the software license is being complied with,
`ments of the license. Under the trust model, a software
`ments of the license. Under the trust model, a software
`while also assisting the purchaser in monitoring its own
`while also assisting the purchaser in monitoring its own
`license typically accompanies a software product to explain 15
`license typically accompanies a software product to explain
`1 5
`compliance with the license.
`compliance with the license.
`the terms of use. For instance, the software license might
`the terms of use. For instance, the software license might
`According to one aspect of this invention, computer
`According to one aspect of this invention, computer
`dictate that the program code is to be installed on only one
`dictate that the program code is to be installed on only one
`software licenses are electronically issued as digital certifi-
`software licenses are electronically issued as digital certifi-
`computer, and may be used to make one backup copy.
`computer, and may be used to make one backup copy.
`cates that can be distributed in one-to-one correlation with
`cates that can be distributed in one-to-one correlation with
`Common types of licenses include "shrink wrap" licenses,
`Common types of licenses include "shrink wrap" licenses,
`individual client computers and traced to an issuing author-
`20 individual client computers and traced to an issuing author-
`"online" licenses, and "site" licenses. A "shrink wrap"
`20
`"online" licenses, and "site" licenses. A "shrink wrap"
`ity.
`ity.
`license is a license that accompanies each software product
`license is a license that accompanies each software product
`According to another aspect, the system includes a license
`According to another aspect, the system includes a license
`that is sold individually in a shrink-wrapped package
`that is sold individually in a shrink-wrapped package
`generator located at a licensing clearinghouse and at least
`generator located at a licensing clearinghouse and at least
`through retail stores. The user is typically assumed to accept
`through retail stores. The user is typically assumed to accept
`one license server and multiple clients located at or affiliated
`one license server and multiple clients located at or affiliated
`the terms of the shrink wrap license upon breaking the seal
`the terms of the shrink wrap license upon breaking the seal
`with a company or other entity. Because the clients might
`25 with a company or other entity. Because the clients might
`of the package, or the container that holds the disk itself.
`25
`of the package, or the container that holds the disk itself.
`not have network connectivity to the license server, one or
`not have network connectivity to the license server, one or
`An "online" license is one that accompanies software
`An "online" license is one that accompanies software
`more intermediate servers may act as an intermediary for the
`more intermediate servers may act as an intermediary for the
`products that are downloaded online, such as from the
`products that are downloaded online, such as from the
`clients. These intermediate servers are otherwise common
`clients. These intermediate servers are otherwise common
`Internet. The license is typically presented to the user prior
`Internet. The license is typically presented to the user prior
`servers that provide resources to clients, but with the added
`servers that provide resources to clients, but with the added
`to downloading the code. The user is presented with a choice
`to downloading the code. The user is presented with a choice
`ability to facilitate connectivity to the license server for
`30 ability to facilitate connectivity to the license server for
`30
`to accept or reject the license. If the user accepts the license
`to accept or reject the license. If the user accepts the license
`purposes of distributing software licenses to the clients.
`purposes of distributing software licenses to the clients.
`(e.g., by clicking an "Accept" button on the screen), the user
`(e.g., by clicking an "Accept" button on the screen), the user
`When a company wants a software license, it sends a
`When a company wants a software license, it sends a
`is presumed to have accepted the terms of the license and the
`is presumed to have accepted the terms of the license and the
`purchase request (and an appropriate fee) to the licensing
`purchase request (and an appropriate fee) to the licensing
`code is downloaded to the user's computer.
`code is downloaded to the user's computer.
`clearinghouse. The license generator at the licensing clear-
`clearinghouse. The license generator at the licensing clear-
`A "site" license is a single license that allows installation
`A "site" license is a single license that allows installation
`inghouse creates a license pack containing a set of one or
`35 inghouse creates a license pack containing a set of one or
`35
`of multiple copies of software on many different computers
`of multiple copies of software on many different computers
`more individual software licenses. To prevent the license
`more individual software licenses. To prevent the license
`at a particular site or many sites. It is commonly used to sell
`at a particular site or many sites. It is commonly used to sell
`pack from being copied and installed on multiple license
`pack from being copied and installed on multiple license
`software to corporations, firms, or other entities having
`software to corporations, firms, or other entities having
`servers, the license generator assigns a unique license pack
`servers, the license generator assigns a unique license pack
`many computers. The purchaser pays for a certain number of
`many computers. The purchaser pays for a certain number of
`ID to the license pack and associates the license pack ID
`ID to the license pack and associates the license pack ID
`copies (e.g., hundreds or thousands), and the site license
`copies (e.g., hundreds or thousands), and the site license
`with the license server in a master license database kept at
`40 with the license server in a master license database kept at
`40
`enables the purchaser to install that many copies on its
`enables the purchaser to install that many copies on its
`the licensing clearinghouse. The license generator also digi-
`the licensing clearinghouse. The license generator also digi-
`computers. The site license is beneficial because the soft-
`computers. The site license is beneficial because the soft-
`tally signs the license pack and encrypts it with the license
`tally signs the license pack and encrypts it with the license
`ware vendor need not supply a large number of program
`ware vendor need not supply a large number of program
`server's public key. The license generator sends the license
`server's public key. The license generator sends the license
`disks, but merely supplies one or a few copies of the
`disks, but merely supplies one or a few copies of the
`pack to the license server using standard communications,
`pack to the license server using standard communications,
`software and lets the purchaser install the copies without
`software and lets the purchaser install the copies without
`such as over a data communication network (e.g., Internet)
`45 such as over a data communication network (e.g., Internet)
`45
`violating the agreement.
`violating the agreement.
`or via a portable data medium (e.g., floppy diskette,
`or via a portable data medium (e.g., floppy diskette,
`Each of the above license arrangements assumes that the
`CD-ROM, etc.).
`Each of the above license arrangements assumes that the
`CD-ROM, etc.).
`purchaser is honest. The software purchaser must abide by
`purchaser is honest. The software purchaser must abide by
`The license server verifies the license generator's digital
`The license server verifies the license generator's digital
`the license terms in order to legally use the software. If the
`signature on the license pack and if valid, installs the license
`the license terms in order to legally use the software. If the
`signature on the license pack and if valid, installs the license
`purchaser fails to abide by the provisions, the purchaser can
`pack for subsequent distribution of licenses. The license
`purchaser fails to abide by the provisions, the purchaser can
`50 pack for subsequent distribution of licenses. The license
`50
`be charged with civil and criminal violations.
`server maintains an inventory of software licenses that have
`be charged with civil and criminal violations.
`server maintains an inventory of software licenses that have
`However, enforcement of such licenses is impractical, if
`been purchased from the licensing clearinghouse. The
`However, enforcement of such licenses is impractical, if
`been purchased from the licensing clearinghouse. The
`not impossible. Unscrupulous users might make multiple
`license server is responsible for distributing the software
`not impossible. Unscrupulous users might make multiple
`license server is responsible for distributing the software
`copies of the software code and install it on more computers
`licenses contained in the license pack to individual clients.
`copies of the software code and install it on more computers
`licenses contained in the license pack to individual clients.
`than the license allows. Yet, software vendors cannot begin
`It monitors the software licenses that have been granted to
`than the license allows. Yet, software vendors cannot begin
`55 It monitors the software licenses that have been granted to
`55
`to monitor these abuses because they occur in the privacy of
`clients and continues to distribute licenses as long as non-
`to monitor these abuses because they occur in the privacy of
`clients and continues to distribute licenses as long as non-
`the home or company. Thus, it is believed that the software
`assigned licenses remain available. Once the supply of
`the home or company. Thus, it is believed that the software
`assigned licenses remain available. Once the supply of
`industry loses a large percentage of revenues each year
`non-assigned licenses is exhausted, however, the license
`industry loses a large percentage of revenues each year
`non-assigned licenses is exhausted, however, the license
`simply due to illegitimate use of software by the licensees.
`server can no longer grant licenses to the clients and the
`simply due to illegitimate use of software by the licensees.
`server can no longer grant licenses to the clients and the
`This loss does not even account for the problems of overseas
`customer must purchase a new pack from the license clear-
`This loss does not even account for the problems of overseas
`60 customer must purchase a new pack from the license clear-
`60
`pirating.
`inghouse.
`pirating.
`inghouse.
`When a client connects to a server, the client presents a
`Another problem with conventional software licensing
`Another problem with conventional software licensing
`When a client connects to a server, the client presents a
`valid license (if it has one). If the client does not have an
`practices concerns internal monitoring and bookkeeping on
`practices concerns internal monitoring and bookkeeping on
`valid license (if it has one). If the client does not have an
`appropriate license, the server assists the client in obtaining
`the part of large-site licensees. In most cases, the licensees
`the part of large-site licensees. In most cases, the licensees
`appropriate license, the server assists the client in obtaining
`a license from the license server. This provides an automated
`want to comply with the terms of the software licenses, but 65
`want to comply with the terms of the software licenses, but
`65 a license from the license server. This provides an automated
`are unable to adequately track the software as it is used
`mechanism for clients to obtain and license server to dis-
`are unable to adequately track the software as it is used
`mechanism for clients to obtain and license server to dis-
`throughout the site. For example, a large corporation might
`tribute licenses to clients.
`throughout the site. For example, a large corporation might
`tribute licenses to clients.
`
`Page 10
`
`IPR2021-01406
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`
`

`

`3
`When a license is requested, the license server initially
`When a license is requested, the license server initially
`checks if the requesting client has already been issued a
`checks if the requesting client has already been issued a
`license. When this situation is detected, the license server
`license. When this situation is detected, the license server
`issues the existing license to the client. This is actually
`issues the existing license to the client