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EXHIBIT D 

PLR 4-3(b) -Microsoft's Listing of Intrinsic and Extrinsic Evidence 


Each claim phrase incorpoiates the Intrinsic and Extrinsic support of the individual terms within it 


Claim Term 

MS Construction 

access, accessed, 
access to, 
accessing 

193.15, 193,19, 
912.8,912.35, 
861.58, 683.2, 
721.34 

Intrinsic: 

**lhesc rights govern msc of the VDE object 300 by that user or user group. For instance, the user 
may have an "access** right, and an "extraction" right, but not a "copy" right." (* 193 159:32)' 

- C193 82:27-45); C193 109:53-57); C193 1 18:17-31); (193 139:60-140:6); ('193 148:55-58); ('193 
183:12-29); C193 188:59-67); ('193 192:2-24) 

Extrinsic:^ 

Access (n): 2. Tlie use of an access method. 3. The manner in which files or data sets are referred to by 
the computer, 5. In computer security, a specific type of interaction between a subject and an object 
that results in the flow of information from one to the other. (IBM)^ 

Access (n.): 1 . In access control, a specific type of interaction between a subject and an object that 
results m the flow of information from on to the other 3. In computing, the manner in which files or 
data sets are referred to by a computer (Longley)^ 

Access(ing) (v.): 1 . To obtain the use of a computer resource. 4. To obtain data from or to put data in 
storage. (IBM) 

addressing 
861.58 

Intrinsic: 

"Load modules 1 100 in the preferred embodiment are modular and "code pure" so that individual load 
modules may be reenterable and reusable. In order for components 690 to be dynamically updatahle, 
they may be individually addressable within a global public name space." (M93 86:49-53) 

Extrinsic: 

Addressing (v): 1. A character or group of charactere that identifies a register, a particular part of 
storage, or some other data source or destination. 4. A name, label, or number identifying a location in 
storage, a device in a system or networic, or any other data source. 5. In data communication, the 
unique code assigned to each device or workstation connected to a network.(IBM) 

Addressing (n.): 1 . In computing, a character or group of characters that identifies a register, a 
particular part of storage, or some other data source or destination 2. In computing, to refer to a device 
or an item of data by its address. (Longley) 

Addressing (v): 1 , In computing, the assignment of addresses to the instructions of a program 

2. In conmiunications, the means whereby the originator or control station selects the unit to which it is 

going to send a message (Longley) 

allowing, allows 

912.35, 193.1. 
193.11, 193.15, 
193.19 

Inninsic: 

- SN 08/780,545 ('912): 10/29/98 amendment to claim 21 1 (issued claim 35) "necessary in order to 
gain" to "allowing" 

- VDE can: (a) audit and analyze the use of content, (b) ensure that content is used only in authorized 
ways, and (c) allow information regarding content usage to be used only in ways approved by content 
users." (U93 4:51-56) 


* Citations to the * 193 Patent are representative of citations to the text and drawings of the "Big Book" application also 
published in the '891, '900, and '912 Patents. Emphasis is added unless otherwise noted, 

^ Extrinsic evidence is cited herein without waiver of any kind, including relevance or probative value. 
^ "IBM" herein refers to IBM Dictionary of Computing, lO**' ed., 1983. 

* "Longley" herein refers to Longley, D., et al. Information Security: Dictionary of Concepts, Standards, and Terms, 1992 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 1 of 100 



Claim Term 

MS Construction 


- VDE is a secure system for regulating electronic conduct and commerce. Regulation is ensured by 
control information put in place by one or more parties. (' 193 6:33-34) 

- VDE ensures that certain prerequisites necessaiy for a given transaction to occur are met (* 1 93 
20:27-28) 

- C193 309:10-16); C193 15:41-46); ('193 17:22-28); ('193 303:67-304:1) 
Extrinsic: 

Least privilege: Each user and each program should operate using the fewest privileges possible. In 
tiiis way, the damage from an inadvertent or malicious attack is minimized. (Pfleeger)* 

airangement 
721.34 

See also phrases of use in 72134. 
Intrinsic: 

An important part of VDE provided by Ae present invention is the core secure transaction control 
arrangement, herein called an SPU (or SPUs), that typically must be present in each user's computer, 
other electronic appliance, or network- ('193 48:66) 

aspect 

900.155. 912.8. 
861.58.6832 

See also phrases of use m 900.155, 912.8, 861.58, 683.2. 
Extrinsic: 

Aspect The qualification of a descriptor. (IBM) 

associated witii 

912.8, 193.1, 

193.11,193.15, 

683.2 

Intrinsic: 

- "VDEF load modules, associated data, and methods foim a body of infonnation that for the purposes 
of the present invention are called "control information." VDEF control information may be specifically 
associated with one or more pieces of electronic content and/or it may be employed as a general 
component of the operating system c^abilides of a VDE installation." (* 193 18:36-42) 

- "As mentioned above, virtual distribution enviroiunent 100 "associates" content with corresponding 
"rules and controls," and prevents the content from being used or accessed unless a set of corresponding 
"rules and controls" is available." (* 193 57: 1 8-22) 

- "This "lookup** mechanism permits electronic appliance 600 to associate, in a secure way. VDE 
objects 300 with PERCs 808. methods 1000 and load modules 1 100." ('193 153:35-38) 

- (*193 55:39^5); ('193 142:50-52); ('193 57:30-33); ('861 1:50-53) 
Extrinsic: 

Association: In the Open Systems Interconnection reference model, a cooperative relationship between 
two peer entities, supported by the exchange of protocol control information using the services of the 
next lower layer. (IBM) 

authentication 
193.15 

Intrinsic: 

- A certification key pair may be used as part of a "certification" process for PPEs 650 and VDE 
electronic appliances 600. This certification process in the preferred embodiment may be med to permit 
a VDE electronic appliance to present one or more "certificates" authenticating that it (or its key) can be 
trusted. As described above, this "certification" process may be used by one PPE 650 to "certify" that it 
is an authentic VDE PPE, it has a certain level of security and capability set (e.g., it is hardware based 
rather than merely software based), etc. (* 193 212:66-213:15) 

- "One of the functions SPU 500 may perform is to validate/authenticate VDE objects 300 and other 
items. Validation/authentication often involves comparing long data strings to determine whether they 
compare in a predetermined way." (M93 67:56-60) 


' "Pfleegef' herein refers to Pfleeger, Security in Computing ( 1 989). 

EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 2 of 100 



Claim Term 

MS Construction 


. ('683 17:2(>-27); ('683 52:56-60); C193 1 12:46-61) 
Extrinsic: 

Authentication: 1. In computer security, verification of the identity of a user or the user's eligibility to 
access an object 2. In computer security, verification that a message has not been altered or comipted. 
3. In computer security, a process used to verify the user of an information system or protected 
resources. 4. A process that checks the integrity of an entity. (IBM) 

Authentication: 1. In data security, the act of detemiining that a message has not been changed since 
leaving its point of origin. 4. In computer security, the act of identifying or verifying the eligibility of 
a station, originator, or individual to access speci&c categories of infonnation (Longley) 

authorization 
informatiaa, 
authorized, not 
authorized 

193.15, 193.19 

Intrinsic: 

- See "allow." 

Several independent comparisons may be used to ensure there has been no unautiiorized substitution. 
For example, the public and private copies of the element ID may be compared to ensure that they are 
tiie same, thereby preventing gross substitution of elements. In addition, a validation/conxlation tag 
stored under the encrypted layer of the loadable element may be compared to make siire it matches one 
or more tags provided by a requesting process. This prevents imauthorized use of information. (* 193 
87:47-55) 

^^using said authorization information to gain access to or make at least one use of said first digital file" 
C193 Claim 19) 

Extrinsic: 

Authorization: 1 In computer security, the right granted to a user to communicate with or make use of a 
computer system. 2. An access right 3. The process of granting a user either complete or restricted 
access to an object, resource, or function. (IBM) 

Authorization: (1) In access control, the granting to a user, a program, or a process the right of access. 
(2) In operations, the right given to a user to communicate with or make use of a computer system or 
stored data. 3. The privilege granted to an individual by a designated official to access information 
based upon the individual's clearance and need-to-know. (Longley) 

Authorization: "A system control feature that requires specific approval before the processing can take 
place " (Webster's New Worid Dictionaiy of Computer Terms, 4* ed., 1992) 

budget control; 
budget 

193.1 

Intrinsic: 

- ""Budgets" 308 shown in FIG. 5B are a special type of "method" 1000 that may specify, among 
other things, limitations on usage of information content 304, and how usage will be paid for. Budgets 
308 can specify, for example, how much of the total infonnation content 304 can be used and/or 
copied. The methods 310 may prevent use of more than the amount specified by a specific budget" 
C193 59:19-25) (See also Fig. 5B) 

- "For example, consider the case of a security budget One form of a typical budget might limit the 
user to 10Mb of decrypted data per month." (M93 265:9-1 1) 

- "An example of the process steps used for the move of a budget record might look something like 
this: 1) Check the move budget (e.g., to determine the number of moves allowed) ('193 265:24-27) 

- "BUDGET method 408 may store budget information in a budget UDE" (* 193 182:25-26) 

- "In the preferred embodiment, a "method" 1000 is a collection of basic instructions, and information 
related to basic instructions, that provides context, data, requirements and/or relationships for use in 
performing, and/or preparing a perform, basic instructions in relation to the operation of one or more 
electronic appliances 600." (M93 85:43-48; repeated essentially at * 193 136:20-25) 

- BUDGET method 408 may result in a "budget remaining" field in a budget UDE being decremented 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 3 of 100 


Claim Term 

MS Construction 


by an amount specified by BILLING method 406. (* 193 1 82:22-30) 

- C193 58:27-34); ('193 187:48-50); (U93 235:39-42); C193 143:63 - 144:14); C193 265:44-51) 
Extrinsic: 

Budget: A budget is the control mechanism for a meterable feature. A budget provides an upper limit 
for the volume of a meterable feature that a user (client) may use. Budgets consist of two values: a 
ceiling limit on use and an increment value tiiat is added to the associated meter when a meterable event 
occurs. Budgets may be stand-alone or cascaded. A stand-alone budget only increments the meters for 
itself while a cascaded budget can increment many meters from a single meterable event A budget 
consists of an identification sextet, a descriptive area that describes the budget (cascade budget tuple 
and ofeer miscellaneous flags), and a series of budget tuples. Each budget tuple consists of a budget 
and the increment value. It should be noted that a budget may be specified in meterable events or in 
dollars, based on flie type of meter the budget will be compared against (VDE ROI Device vl .Oa, 9 
Feb 1994. rn)0008582) 

Control: The dctennination of the time and order in which the parts of a data processing system and the 
devices that contain tfiosc parts perform tiic input, processing, storage, and output functions. (IBM) 

Budget Object A governed element that defines the consumer*s ability to provide payment using a 
specific payment type. ((ITG. 1997-1998. ML00012B)* 

Budget Object An JnterTrust system object that defines the consumer's ability to provide payment 
using a specific payment type, ((emphasis added) IT System Developers Kit, 1997, TD00298C) 

Budget: A control mechanism Hist limits operations on content based on billed amounts that can 
mamtain a budget traD. A budget may be financially based (e.g., a number of dollars available for 
purchasing content use) or abstract (e.g. a total number of permitted usages). VTG. 3/7/95. 
IT00709617) 

Budget *A fixed quantity ofmoney. time, etc. against which the cost of operation is charged. Budget 
activities usually also involve reporting. ((ITG. 8/21/95. IT0032371) 

Control: Defmes rules and consequences for operations on a Property Chunk. A Control may be 
implemented by a process of arbitrary complexity (within the limits posed by &e capability of the 
Node. (GTG. 5/12/95. IT00028293) 

Control: A business mle Aat governs the use of content ((ITG. 1997-1998. ML00012B) 

Control: A set of rules and consequences that apply to a governed element The tenn control can apply 
to either a control program or a control set ((ITG, 1997-2000. ML00012D) 
Control: *Control Element, A data structure that givems {sic) the operation of a control mechanism 
(e.g., meter element, budget element, report element, trail element). ^Control mechanism: One of the 
mechanisms that controls and performs operations on a VDE object (e.g. meter, bill, budget). A control 
mechanism is distinct from a control element in that it specifies the execution of some process, * 
Control object: A data strucmre that is used to implement some VDE control: a PERC, a control 
element, a control parameter, or the data representing a control mechanism. *Control Parameter: A 
data structure that is input to a control mechanism and that serves as part of the mechanism's 
specifications. For example, a billing mechanism might have a pricing parameter; a creator using that 
mechanism could alter the parameter but not change the mechanism itself ((ITG, 3/7/1995, 
IT00709618, see foomote 2) 

can be 
193.1 

Intrinsic: 

VDE can: (a) audit and analyze the use of content, (b) ensure that content is used only in authorized 
ways, and (c) allow mformation regarding content usage to be used only in ways approved by content 


^ "(ITG" herein is a generic reference to several InterTrust glossaries that are further identified by Bates number or IT 
document number. 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 4 of 100 



Claim Term 

MS Construction 


users." C193 4:51-56) 

- VDE is a secure system for regulating electronic conduct and commerce. Regulation is ensured by 
control information put in place by one or more parties, (* 193 6:33-35) 

- It also employs a software object architecture for VDE content containers that cairies protected 
content and may also cany both freely available infonnation (c.g, summary, table of contents) and 
secured content control information which ensures the performance of control informatioiL (*193 
15:41-46) 

- Because of the breadth of issues resolved by the present invention, it can provide the emerging 
"electronic highway" with a single transaction/distribution control system that caiv, for a very broad 
range of conmiercial and data security models, ensure against unauthorized use of confidential and/or 
proprietary information and commercial electronic transactions. (*193 17:22-28) 

- VDE ensures that certain prerequisites necessary for a given transaction to occur are met (' 1 93 
20:27-28) 

- "support "launchable" content, that is content that can be provided by a content provider to an end- 
user, who can then copy or pass along the content to other end-user parties without requiring the direct 
participation of a content provider to register and/or otherwise initialize the content for use." ('193 
24:57-62) 

- "For example, budget process 408 may limit the number of times content may be accessed or 
copied, or it may limit the number of pages or other amount of content that can be used based on, for 
example, the number of dollars available in a credit account" ('193 58:28-32) 

- "Budgets 308 can specify, for example, how much of the total information content 304 can be used 
and/or copied. The methods 310 may prevent use of more than the amount specified by a specific 
budget" C193 59:22-25) 

- "As an alternative example, a creator may allow moving of usage rights by a distributor to half a 
dozen sutxiistnoutors, cacn oi wnom can oisinDuie iu,uuu copicb, oui wim uu rcuiduiuutiuii n^ii^ 
being allowed to be allocated to subdistributors' (redistributorsO customers. .„ Content providers and 
other contributors of control information have the ability through the use of permissions records and/or 
component assemblies to control rights other users are authorized to delegate in the permissions records 
they send to those xxsers, so long as such right to control one, some, or all such rights of other users is 
either permitted or restricted (depending on the control mformation distribution model)." ('193 269:34- 
49) 

"In such systems, because document content can be fi-eely copied and manipulated, it is not possible to 
determine where document content has gone, or where it came from." ('193 281 :33-36) 

capacity 
683^ 

. Intrinsic: 

"Some items may be too large to store within container 302." ('193 58:54-55) 

(*193 243:23-244:48) 

Extrinsic: 

Capacity: See channel capacity, storage capacity.(IBM) 

Cnannel Capacity: ine measure or tne aoility oi a given cnaiuiei suujcci lo specuic consiraiiiis lo 
transmit messages from a specified message source expressed as either the maximum possible mean 
transinformation content per character or the maximimi possible average transinformation rate, which 
can be achieved with an arbitrary small probability of errors by use of an appropriate code. (IBM) 

Storage capacity: The amount of data that can be contained in a storage device measured in binary 
characters, bytes, words, or other units. For registers, the term "register length" is used with the same 
meaning. Synonymous with storage size. (IBM) 

clearinghouse 

Intrinsic: 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 5 of 100 



Claim Term 

MS Construction 

193.19 

- "Distribution involves three types of entity. Creators usually are the source of distribution. They 
typically set the control structure "context" and can control the rights which are passed into a 
distribution network. Distributors are users who form a link between object (content) end users and 
object (content) creators. They can provide a two-way conduit for rights and audit data. Clearinghouses 
may provide independent financial services, such as credit and/or billing services, and can serve as 
distributors and/or creators. Through a permissions and budgeting process, these parties collectively can 
establish fine control over tiie type and extent of rights usage and/or auditing activities." (' 1 93 267:34- 
45) 

- "Payment credit or currency may then be automatically commimicated m protected (at least in part 
encrypted) form dirough telecommunication of a VDE container to an appropriate par^ such as a 
clearinghouse, provider of original property content or appliance, or an agent for such provider (other 
than a clearinghouse)." ('193 36:64-37:3) 

^if appropriate credit (e.g. an electronic clearinghouse account fixmi a clearinghouse such as VISA or 
AT &T) is available" C 193 25-.22-24) 

Extrinsic: 

Clearinghouse: ♦A fecility that receives reports of content use and in turn reports payments and usage 
to content creators and distributors. (ITG, 8/21/95, IT00032372, TD00068B) 

compares, 
comparison 

900.155 

Intrinsic: 

"ROS 602 also provides a tagging and sequencing scheme that may be used within the loadable 
component assemblies 690 to detect tampering by substitution. Each element comprising a component 
assembly 690 may be loaded into an SPU 500, decrypted using encrypt/decrypt engine 522, and tiien 
tested/compared to ensure that the proper element has been loaded. Several independent comparisons 
may be used to ensure there has been no imauthorized substitution. For example, tiie public and private 
copies of the element ID may be compared to ensure that they are the same, thereby preventing gross 
substitution of elements." ('193 87:41-51) 

Extrinsic: 

Compare: 1 , To examine two items to discover their relative magnitudes, their relative positions m an 
order or in a sequence, or whether they are identical in given characteristics. 2. To examine two or 
more items for identity, similarity, equality, relative magnitude, or order in a sequence.(IBM) 

Comparison: The process of examining two or more items for identity, similarity, equality, relative 
magnitude, or for order in sequence. (IBM) 

component 
assembly 

912.8,,?12.35 

Intrinsic: 

- "Many such load modules are inherently configurable, aggregatable, portable, and extensible and 
singularly, or in combination (along with associated data), run as control methods under the VDE 
transaction operating environment." {'193 25:48-52) 

- ('193 77:12-27); ('193 83:1 1-22); ('193 181:20-21); ('193 272:29-36) 

"Components 690 are preferably designed to be easily separable and individually loadable, ROS 
602 assembles these elements together into an executable component assembly 690 prior to loading 
and executing the component assembly (e.g., in a secure operating environment such as SPE 503 
and/or HPE 655)." C193 83:43-48) 

- (*193 83:23); ('193 85:21-29 see '193 170:2-4); ('193 86:51-52); ('193 87:41-62); ('193 109:24- 
45); ('193 115:65-116:4); ('193 1 16:30-34); ('193 185:42-46) 

Extrinsic: 

Component: I. Hardware or software that is part of a fimctlonal unit. 2, A functional part of an 
operating system. 3. Asetofmodulesthatperformsamajorfimctionwithm a system. (IBM) 

Component: In data communications, a device or set of devices, consisting of hardware, along with its 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 6 of 100 


Claim Term 


MS Construction 


fmnware, and or software that performs a specific function on a computer communications network. A 
Component is a part of a larger system, and may itself consist of other components. (Longley) 

'Thus, PERC 808 in effect contains a "list of assembly instructions" or a "pW specifying what 
elements ROS 602 is to assemble togc&er into a component assembly and how the elements are to be 
connected together. PERC 808 may itself contain data or other element? that are to become part of the 
component assembly 690.'' C193 85:30-39) ^^^^ 


contain, 

contained, 

containing 

683.2, 912.8, 
912.35 


Intrinsic: 

- "Container 300y may contain and/or reference rules and control information 300y(l) tot specify 
the manner in which searching and routing infonnation use and any changes may be paid for " ('193 

241:36-39) . . r • 

"Each logical object structure 800 may also include a "private bod/* 806 contammg or referencmg 
a set of methods 1000 (i.e., programs or procedures) that control use and distribution of the object 
300." C193 128:25-28) 

- "Therefore, stationary object structure 850 does not contain a permissions record (PERC) 808; 
rather, this permissions record is supplied and/or delivered separately (e.g., at a different time, over a 
different path, and/or by a different party) to the appliance/installation 600. C 193 1 30:1 8-22) 

- "The content portion of a logical object may be organized as infonnation contained in, not 
contained in, or partially contained in one or more objects." (* 193 127:8-19) 

"Therefore, stationary object structure 850 does not contain a permissions record (PERC) 808; 
rather, this permissions record is supplied and/or delivered separately (e.g., at a different time, over a 
different path, and/or by a different party)" {* 193 130: 1 8) 

- (*193 58:49-58); C193 86:47^8); C193 87:3-6); C193 130:63-64); ('193 136:32-34); ('193 
241:36-39); ('683 54:29-37) 

See also prior art referred to the relevant hiterTrust patent file histories, e.g. U.S. Patent 5,715,403 
Extrinsic: 

**Container A contains protected content, which is divided into one or more atomic elements, and, 
optionally, PERCs governing ihc content and may be manipulated only as specified by a PERC. " (ITG, 
4/6/95, IT00028206. see footoote 2 and 4) 

"Container A packaging mechanism, consisting of: *One or more Element-derived components. *An 
organization mechanism which provides a unique name* within a flat namespace for each of the 
components in a Container." (TTG, 5/12/95, rr00028293) 

"Container. A protected digital information storage and transport mechanism for packaging content 
and control infonnation." (ITG, 8/21/95, IT00032372, TD00068B) 

Container: A collection of content and control-related information. (IT VDE Container Overview, 
2/10/95, IT00051228, ETM-9999 Version 0.21) 

Contain: In data security, a multilevel information structure. A container has a classification and may 
contain objects and/or other containers. (Longiey, Information Security :Dictionaiy of Concepts. 
Standards, and Terms ( 1 992) 

US? 5,369,702 

Que's Computer Programmer's Dictionary ("Que") ("A dynamic data structure, the elements of which 
are arbitrary data items whose type is not known when the program is written." 
Dictionary of Computer Science Engineering and Technology (2001) ("Abstract dau type storing a 
collection of objects (elements)") 

IT00037-44, IT002734.39, IT004188-96, IT0031572.85, IN00075960, IT00703 05 5-7 1, IT0052 146-64, 
IN00441 189-224, IN0075983-87 

See also Microsoft PLR 4-2 Exhs. E & F as revised, and hiterTrust's Rule 30(b)(6) testimony. 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 7 of 100 



Claim Term 

MS Construction 

control (n.) 

193.1, 193.11, 
193.15, 193.19, 
891.1 

Intrinsic: 

"Claims ... are allowable over the prior art of record. The instant claims provide for first and 
second entity or control or procedure or executable code that arc separately, remotely and different 
&om each to combine or process or execute an operation or procedure based on at least first and 
second control or procedure or executable code in an electronic gqjpliance or secure operating 
environment or third party different and remote fi-om the first and second entity or control or procedure 
or executable code,- 08/964,333 C891), Office Action, 09/22/98, p. 3 (MSI028945) 

*The virtual distribution environment lOO prevents use of protected information except as 
pennittcd by the "rules and controls" (control information)/ CI 93 56:26) 

"As mentioned above, virtual distribution environment 1 00 "associates* content with 
corresponding "rules and controls,** and prevents the content from being used or accessed unless a set 
of corresponding "rules and controls" is available." C193 57:18-22) 

. "at least one rule and/or control associated with the software agent that governs fte agenfs 
operation." 0193 241:2-3) 

- "In this example control infonnation may include one or more component assemblies tiiat describe 
the articles within such a container (e.g. one or more event methods referencing map tables and/or 
algorithms that describe &e extent of each article)." ('193 309:5-9) 

- ""Even if a consumer has a copy of a video program, she cannot watch or copy tiie program unless 
she has "rules and controls" that authorize use of the program. She can use the program only as 
permitted by the "rules and controls." (' 1 93 53 :60-63) 

- "A control set 9 1 4 contains a list of required methods that must be used to exercise a specific right 
(i.c., process events associated with a right)." (* 1 93 1 5 1 : 1 4- 1 6) 

- "If necessary, trusted go-between 4700 may obtain and register any methods, rules and/or controls it 
needs to use or manipulate the object 300 and/or its contents (FIG. 122 block 4778)." ('683. sheet 188) 

See also prior art referred to the relevant InterTrust patent file histories. 

MSI026598-602, 26626-7, 26630-42; MSI 028808-11. 28846-52, 28728-62. 28857-58, 28944-97. 
28953-56 

Extrinsic: 

Control: The determination of the time and order in which the parts of a data processing system and the 
devices that contain those parts perform the input, processing, storage, and output fiinctions. (IBM) 

"5. Control Notes ... A Control must execute as a transaction ... A Control may require pre-conditions 

- that is that one or more o^er Controls have been executed before the Control is executed. Q 7. 
Control Execution Flow The following pseudocode describes the approximate execution sequence for a 
View Control Q 8. Operation of a Control (Execution of "Rules and Consequences") . . ." (VDE 
Controls Notes, IT0005 1953-55) 

Control: A business rule that governs the use of content. (ITG, 1997-1998, ML00012B) 

Control: A set of rules and consequences that apply to a governed element The tenn control can apply 
to either a control program or a control set (ITG, 1997-2000, ML00012D) 

Control: * Control Element. A data structure that givems (sic) the operation of a control mechanism 
(e.g., meter element, budget element, report element, trail element). ^Control mechanism: One of the 
mechanisms that controls and performs operations on a VDE object (e.g. meter, bill, budget). A control 
mechanism is distinct from a control element in that it specifies the execution of some process. ♦ 
Control object: A data structure that is used to implement some VDE control: a PERC, a control 
element, a control parameter, or the data representing a control mechanism. ^Control Parameter: A 
data structure that is input to a control mechanism and that serves as part of the mechanism's 
specifications. For example, a billing mechanism might have a pricing parameter, a creator using that 
mechanism could alter the parameter but not change the mechanism itself. (ITG, 3/7/1995, 
1T007096 1 8, see footnote 2) 

Conn-ol: Defmes rules and consequences for operations on a Property Chunk. A Control may be 


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Claim Term 

MS Construction 


implemented by a process of arbitrary complexity (within tiie Imiits posed by the c^bility of the 
Node.aTG, 5/12/95. IT00028293) 

Control: A set of rales and consequences for operations on content, such as pricing, payment models, 
usage reporting etc. (TTG, 8/21/95, rr00032373, TD00O68B) 

Control: An object of flie InterTnist Commerce Architecture that specifies business rules. Controls arc 
applied at any time and at any point in Ae Chain of Handling and Control InterTnist controls are 
dynamic, independent, and persistent (ITG, 1 1/17/96, IT00035865, TD00189J) 

"Rules and Controls" means any electronic information that directs, enables, specifies, describes, and/or 
provides contributing means for performing or not-performing, pennitted and/or reqmrcd operations 
related to Content, including, for example, restricting or otherwise governing &e performance of 
operations, such as, for example, Management of such Content (License Agreement, 
InterTrust/Univcrsal Music Group. 4/1 3/99, Exhibit 1 1 to InterTnist 30(bX6)) 

"A set of control elements corresponding to all of the property elements of a property. There may be 
zero or more controls for a given property." (IT 28204) 

"Defines rules and consequences for operations on a Properly Chunk ... A single control applies to 
exactly one Property Chunk" (IT 28293) 

"CONTROUS): Controls refer to the rules and consequences associated with DigiBox containers. 
Controls may be applied dynamically. . (IT 35961) 

"CONTROL: The rules associated with a governed entity such as a DigiBox container, property, or 
another control . . . applied dynamically. InterTrust controls are dynamic, independent, and persistent" 
(IT 35920) 

". . . controls implement business rules** (IT 35892) 

Webster's New World Dictionary of Computer Terms, 4th Ed. (1992) ("The function of performing . 
required operations when certain specific conditions occur or when interpreting and acting upon 
instructions.'O; IT00125, IT31410-14. 0703083-89, IT51721-26, IT00735936 (key), IT51956 et seq., 
IN0075983-87. IN0075989-93; The Dictionary of Computing & Digital Media (1999) (control card) 

See also Microsoft PLR 4-2 Exhs. ESlTbs revised, and InterTrust's Rule 30(b)(6) testimony. 

controlling, 
control (v.) 

861.58, 193.1 

Intrinsic: 

. "ROS 602 includes software intended for execution by SPU microprocessor 520 for, in part, 
controlling usage of VDE related objects 300 by electronic appUance 600. As will be explained, these 
SPU programs include "load modules" for performing basic control functions." (*193 66:5-8) 

"VDE prevents many forms of imauthorized use of electronic information, by controlling and 
auditing (and other administration of use) electronically stored and/or disseminated information." 
CI 93 11:60-63) 

- (M93 15:4M6); C193 20:27-28); ('193 56:26-28); ('193 57:18-22) C193 4:51-56); ('193 6:33-35); 
C193 15:41-46); ('193 17:22-28); ('193 20:27-28) 

Extrinsic: 

Control: The determination of the time and order in which the parts of a data processing system and the 
devices that contain those parts perform the input, processing, storage, and output functions. (IBM) 

Control: In data security, a multilevel information structure. A container has a classification and may 
contain objects and/or other containers. (Longley) 

Control: A business rule that governs the use of content. (ITG, 1997-1998, ML00012B) 

Control: A set of rules and consequences that apply to a governed element. The term control can apply 


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Claim Term 

MS Construction 


to either a control program or a control set (ITG, 1997-2000, ML00012D) 

Control: ^Control Element. A data structure that givems (sic) the operation of a control mechanism 
(e.g., meter element, budget element, report element, trail element). *Control mechanism: One of the 
mechanisms tiiat controls and performs operations on a VDE object (e.g. meter, bill, budget). A control 
mechanism is distinct from a control element in titiat it specifies the execution of some process. * 
Control object: A data structure that is used to implement some VDE control: a PERC, a control 
element, a control paiameter, or the data representing a control mechanisoL * Control Parameter: A 
data structure that is input to a control mechanism and that serves as part of the mechanism's 
specifications. For example, a billing mechanism might have a pricing parameter, a creator using that 
mechanism could aher the parameter but not change the mechanism itself. (TTG, 3/7/1995, 
IT0070961 8, see footnote 2) 

Control: Defines rules and consequences for operations on a Property Chunk, A Control may be 
implemented by a process of arbitrary complexity (within the liniits posed by the capability of the 
Node. (TTG. 5/12/95, IT00028293) 

Control: A set of rules and consequences for operations on content, such as pricing, payment models, 
usage reporting etc. (ITG, 8/21/95, IT00032373, TD00068B) 

copied file 
193.11 

Intrinsic: 
Extrinsic: 

Copy: A product of a document copying process.GBM) 

copy, copied, 
copying 

193.1,193.11, 
193.15, 193.19 

Intrinsic: 

"These rights govern use of the VDE object 300 by that user or user group. For instance, the user 
may have an "access" right, and an "extraction" right, but not a "copy" right" {* 193 159:23-26) 

"At Ae same time, electronic testing will allow users to receive a copy (encrypted or 
unenciypted)oftheirtestresults when they leave the test sessions." (192 319:12-15) 

. C193 129:3-8); (493 claim 60); ('193 53:60-62); (M93 131:65-132:1) 

Exttinsic: 

Copy: A product of a document copying process. (IBM) 

copy control 
193.1 

Intrinsic: 

- "If the user's budget permits the extraction ("yes" exit to decision block 2088), then the EXTRACT 
method 2080 creates a copy of the extracted object with specified rules and control information (block 
2094). In the preferred embodiment, this step involves calling a method that actually controls the 
copy." C193 194:36-42) 

Extrinsic: 

Copy Control: In the 3800 Printing Subsystem, the functions that determine the number of copies to be 
printed for each data set, and which copies will be printed with a forms overlay or have copy 
modification. (IBM) 

Control: A business rule that governs the use of content. (ITG, 1997-1998, MLOOO 1 2B) 

Control: A set of rales and consequences that apply to a governed element. The term control can apply 
to either a control program or a control set QTG, 1997-2000, ML00012D) 

Control: ^Control Element: A data structure that givems (sic) the operation of a control mechanism 
(e.g., meter element, budget element, report element, trail element). * Control mechanism: One of the 
mechanisms that controls and performs operations on a VDE object (e.g. meter, bill, budget). A control 
mechanism is distinct from a control element in that it specifies the execution of some process, * 
Control object: A data structure that is used to implement some VDE control: a PERC, a control 
element, a control parameter, or the data representing a control mechanism. * Control Parameter: A 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 10 of 100 



Claim Term 

MS ConstructioD 


data structure that is input to a control mechanism and that serves as part of the mechanism's 
specifications. For example, a billing mechanism might have a pricing parameter; a creator using that 
mechanism could alter the parameter but not change the mechanism itsell (ITG, 3/7/95, 1X00709618, 
see foomote 2) 

Control: Defines rules and consequences for operations on a Property Chunk. A Control may be 
implemented by a process of arbitrary complexity (within the limits posed by the capability of the 
Node.(ITG, 5/12/95, 1X00028293) 

Control: A set of rules and consequences for operations on content, such as pricing, payment models, 
usage reporting etc. (ITG, 8/21/95, 1X00032373, TD00068B) 

data item 
891.1 

Extrinsic: 

Data Item: 1 . The smallest unit of named data that has meaning in the schema or subschema. 2. A unit 
of data, either a constant or a variable, to be processed. 3. In the AIX operating system, a unit of data to 
be processed that includes constants, variable, or array elements, and character substrings. 6. 
Synonymous with host variable. (IBM) 

Data Item: In databases, the smallest imit of data that has independent meaning. (Longley) 

Item List; A list of data included with various objects. Item lists take two forms. When they are first . 
created, they are in the form of lists that contain one or more data items. When you are fmished 
creating the list, you convert the list to a blob, which is a set of raw bits that store the data in a compact 
way. To retrieve items from the item list, you use the Interoperability Library item list functions, which 
convert the blob back to its interpreted list form and allow you to inspect the data items. QXG, 1997- 
1998,ML00012B) 

Data Item: An Element-derived bag of bits. (e.g., budget , meter, etc.) (IXG, 5/12/95, 1X00028293) 

derive, derives 
900.155 

Intrinsic: 

"Such control information can continue to manage usage of container content if the container is 
"embedded" into another VDE managed object, such as an object which contains plural embedded VDE 
containers, each of which contains content derived (extracted) from a different source.** ('193 28:60-65) 

Extrinsic: 

descriptive data 
stnicture 

861.58 

Intrinsic: 

"The descriptive data structure can be used as a ^'template" to help create, and describe to other nodes, 
rights management data structures including being used to help understand and manipulate such rights 
management data structures." ('861 5:43-46) 

"Claims [1,10,25,26] are rejected under 35 U.S.C. 102(b) as being clearly anticipated by the common 
and decades-old practice of using database schema to describe the structure of a database which 
requires password/identifications for access. ... Claims [1-17,25-26] are rejected under 35 U.S.C. 
102(a) as being anticipated by Anderson et a) (Anderson), USP 5,537,526, Method and Apparatus for 
Processing a Display Document Utilizing a System Level Document. Xhe claims are rejected on the 
basis of the correspondence between the teachings of Anderson and the elements of the claims as 
follows: As to claim 1 (and 10), the XabsnactModel 502 is a machine readable, abstract descriptive 
data structure which interoperates with Xmodels 506 (TM), and XmodelSurrogates 504 (TMS). ... 
Xhese models are clearly data structures, and while they can be of many types, the data they manage 
can include restrictions that correspond to rights management." (08/805,804 ('86 1), Office Action, 
06/25/98, p. 2-3) 

- "The above-referenced Ginter et al. patent specification describes, by way of non-exhaustive 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 1 1 of 100 



Claim Term 

MS Construction 


example, *1cmplates" that can act as a set (or collection of sets) of control instructions and/or data for 
object control software. See, for example, the "Object Creation and Initial Control Structures," 
'Templates and Classes," and "object definition file," "information" method and "content" methods 
discussions in &e Ginter et al. specification. The described templates are, in at least some examples, 
capable of creating (and/or modifying) objects m a process that interacts with user instructions and 
provided content to create an object Ginter ct aL discloses that templates may be represented, for 
example, as text files defining specific structures and/or component assemblies, and that such 
templates — ^with their structures and/or component assemblies— may serve as object authoring and/or 
object control applications. Ginter et al. says that templates can help to focus the flexible and 
configurable c^abilities inherent within tiie context of specific industries and/or businesses and/or 
applications by providing a fi:amework of operation and/or structure to allow existing industries and/or 
applications and/or businesses to manipulate familiar concepts related to content types, distribution 
approaches, pricing mechanisms, user interactions with content and/or related administrative activities, 
budgets, and the like. Tliis is useful in die p\irsuit of optimized business models and value chains 
providing die right balance between efficiency, transparency, productivity, etc. 

The present invention extends this technology by providing, among other features, a machine 
readable descriptive data structure for use in association with a rights management related (or other) 
data structure such as a secure container ^ ('861 4:65) 

- "For example, the FIG. 2A example descriptive data structure headline definition 202a does not 
specify a particular headline (e.g., "Yankees Win the Pennant!"), but instead defines the location (for 
example, the logical or otiier offset address) within the container data structure 100a (as well as certain 
other characteristics) in which such headline information may reside." ('861 10:54-59); 

- "These descriptive data structure ("DDS") templates may be used to create containers." ('861 6:26- 
32); 

- "the descriptive dat? structure may be used in a creation process 302. The creation process 302 may 
read the descriptive data structure and, in response, create an output file 400 with a predefined format 
such as, for example, a container 100 corresponding to a format described by the descriptive data 
structure 200." ('86 1 1 1 :60-64) 

- "The output of the layout tool 300 may be a descriptive data structure 200 in the form of, for 
example, a text file. A secure packaging process 302a may accept container specific data as an input, 
and it may also accept the descriptive data sttucture 200 as a read only input. The packager 302a could 
be based on a graphical user interface and/or it could be automated. The packager 302a packages the 
container specific data 314 into a secure container 100." ('861 12:9-16) 

- 'TIG. 24 shows an example of a user data element (UDE") 1200 provided by the preferred 
embodiment As shown in FIG. 24, UDE 1200 in the preferred embodiment includes a public header 
802, a private header 804, and a data area 1206. The layout for each of these user data elements 1200 
is generally defined by an SGML data definition contained within DTD 1 108 associated with one or 
more load modules 1 100 that operate on die UDE 1200." ('193 143:21-28) 

- '*The publisher 3308 may create or otherwise provide content and/or VDE control structure 
templates that are delivered to the local repository 3302 for use by other participants who have access 
to the "internal" network. The templates may be used to describe the structure of containers, and may 
further describe whom in the publisher 3308 's organization may take which actions with respect to the 
content created within die organization related to publication for delivery to (and/or referencing by) 
tne reposuory j juz. ror example, mc puuiisncr jjuo may uc-wiuc ^oiiu wuuu\^i ui :>aiu iciupic^ 
that a periodical publication will have a certain format with respect to the structure of its content and 
the types of information that may be included (e.g. text, graphics, multimedia presentations, 
advertisemenu, etc.), the relative location and/or order of presentation of its content, the length of 
certain segments, etc. Furthennore, the publisher 3308 may, for example, determine (through 
distribution of appropriate permissions) that the publication editor is the only party that may grant 
permissions to write into the container, and that the organization librarian is the only party that may 
index and/or abstract the content." (* 1 93 294:65-295: 1 8) 

- "templates may be represented as text files defining specific structures and/or component 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 12 of 100 



Claim Term 

MS Construction 


assemblies. Templates, with their structure and/or component assemblies may serve as VDE object 
authoring or object control applications. C 193 260:36-47) 

- "...The result of object definition 1240 may be an object configuration file 1240 specifying certain 
parameters relating to the object to be created. Such parameters may include, for example, map 
tables, key management specifications, and event method parameters. The object construction stage 
1230 may take the object configuration file 1240 and the information or content to be inchidcd within 
the new object as input, construct an object based on these inputs, and store object repository 728." 
C193 103:38-46) 

- "In accordance with one example, the machine readable descriptive data structure provides a 
description that reflects and/or defines corresponding structure(s) within the rights management data 
structure. For example, the descriptive data structure may provide a recursive, hierarchical list that 
reflects and/or defines a corresponding recursive, hierarchical structure within the rights management 
data structure. In other examples, the description{s) provided by the descriptive data structure may 
correspond to complex, multidimensional data structures having 2,3, or n dimensions. The descriptive 
data structure may directly and/or indirectly specify where, in an associated rights management data 
structure, corresponding defined data types may be found. The descriptive data structure may further 
provide metadau that describes one or more attributes of the corresponding rights management data 
and/or the processes used to create and/or use it In one example , Ae entire descriptive data structure 
migni DC viewco os comprising suco niciauaia. ^ oo j j.j/ i j 

- C193 245:44-51); C683 32:41-53); C861 5:25-41); C861 10:49-59); ('861 12:9-11); C861 13:21- 
27); C861 20:25-47); C193 259:37-51); C193 298:41-62); ('193 103:3-32); ('193 285:9-35); ('193 
193:49-59); ('193 287:37-41) 

Extrinsic: 

designating 
72 M 

Intrinsic: 
Extrinsic: 

device class 
721.1 

Intrinsic: 

"Furthermore, Applicants respectfully submit that some of the terms cited by the Examiner as 
"indefinite" are either well-known by persons skilled in the art or inherently clear. For example, in 
Claims 1-4. 22-25, the terra "class" is used as part of the phrase "device class." Applicants respectfiiUy 
submit that "device class" is inherently clear, meaning a group of devices which share at least one 
attribute." (08/689,754 ('721). Amendment, 04/14/99. p. 14) 

Extrinsic: 

Device: 1 . A mechanical, electrical, or electronic contrivance with a specific piirpose.(IBM) 
. Device class: The generic name for a group of device types.(IBM) 

Device type: 1 . The name for a kind of device sharing the same model number, -for example, 231 1, 
2400,2400-1. Contrast with device class. (2) The generic name for a group of devices; for example, 
5219 for IBM 5219 Printers. Contrast with device class, (IBM) 

digital file 

193.1, 193.11, 
193.15. 193.19 

Intrinsic: 
Extrinsic: 

File: "A complete, named collection of information, such as a program, a set of data used by a program, 
or a user-created document. A file is the basic unit of storage that enables a computer to distinguish one 
set of information from another. A file is the "glue" that binds a conglomeration of instructions, 
numbers, words, or images into a coherent xmit that a user can retrieve, change, delete, save, or send to 
an output device.'* (Microsoft Computer Dictionary, 3"* ed, 1997) 

digital signature, 
digitally signing 

Intrinsic: 

"There exist many well known processes for creating digital signatures. One example is the Digital 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 13 of 100 



Claim Term 

MS Construction 

721.1 

Signature Algorithm (DSA). DSA uses a public-key signature scheme that performs a pair of 
transfonnations to generate and verify a digital vahie called a "signature." (*721 10:60-64) 

- C721 4:64-67); C721 11:7-22); ('721 14:49-60); C721 14:64-15-.2) 

'^Certificates play an important role in the trustedness of digital signatures, and also are important 
in the public-key audientication communications protocol (to be discussed below). In the preferred 
embodiment, these certificates may include information about Ae trustedness/level of security of a 
particular VDE electronic appliance 600 (e.g.» whether or not it has a hardware-based SPE 503 or is 
instead a less trusted software emulation type HPE 655) that can be used to avoid transmitting certain 
highly secure information to less trusted/secure VDE installations." (* 193 203:58-67) 

Extrinsic: 

Digital Signature: In computer security, encrypted data, appended to or part of a message, tiiat enables a 
recipient to prove the identity of the sender. (IBM) 

Digital Signature: 1. In authentication, data appended to, or a cryptographic transformation of, a data 
unit that allows a recipient of the data unit to prove &e source and integrity of the data unit and protect 
against forgery. 2. In au^entication, a data block appended to a message, or a complete encrypted 
message, such that the recipient can authenticate the message contents and/or prove that it could only 
have originated with the purported sender. (Longley) 

"Let B be the recipient of a message M signed by A, then A' s [digital] signature must satisfy three 
requirements: 

1 . B must be able to validate A*s signature on M. 

2. It must be impossible for anyone, mcluding B, to forge A's signature. 

3. In case A should disavow signing a message M, it must be possible for a judge or third party to 
resolve a dispute arising between A and B, 

A digital signature therefore establishes sender authenticity Q it also establishes data authenticity." 
(Denning, p. 14)' 

"A cipher in unconditionally secure it no matter how much ciphertext is intercepted, there is not 
enough information in the ciphertext to determine the plaintext uniquely." (Denning, p.5) (Davies, p. 
41,380) 

"A cipher is computationally secure, or strong, if it caimot be broken by systematic analysis with 
available resources." (Derming, p.5) (Davies, p.41, 370) 

entity's control 
891.1 

Intrinsic: 

- "A public-key certificate is someone's public key "signed" by a trustworthy entity such as an authentic 
PPE 650 or a VDE administrator. " (* 193 203:42-45) 

- "Distribution involves three types of entity. Creators usually are the source of distribution. The 
typically set the control structure "context" and can control the rights which arc passed into a 
distribution network. Distributors are users who form a link between object (content) end users and 

UUJCUL V^^UULCJJI^ ^icatuia. lucy waU piUVlUC o LWU~Way CUnUull lUi Il^lto (UlU altull UaLa. 

Clearinghouses may provide independent financial services, such as credit and/or billing services, and 
can serve as distributors and/or creators. Through a permissions and budgeting process, these parties 
collectively can establish fme control over type and extent of rights usage and/or auditing activities." 
(*193 267:34-45) 

Extrinsic: 

Control: A business rule that governs the use of content. (ITG. 1997-1998, ML00012B) 

Control: A set of rules and consequences that apply to a governed element. The term control can apply 


' "Denning" herein refers to Denning, D., Cryptography and Data Security, 1983, MSI085569. 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 14 of 100 



Claim Term 

MS Construction 


to either a control program or a control set (ITG, 1997-2000, ML00012D) 

Control: * Control Element A data structure that givems (sic) the operation of a control mechanism 
(e.g., meter element, budget element, report element, trail element). ^Control mechanism: One of the 
mechanisms that controls and performs operations on a VDE object (e.g. meter, bill, budget). A control 
mechanism is distina from a control element in that it specifies the execution of some process. * 
Control object: A data structure that is used to implement some VDE control: a PERC, a control 
element, a control parameter, or the data representing a control mechanism. * Control Parameter: A 
data structure that is input to a control mechanism and that serves as pan of the mechanism's 
specifications. For example, a billing mechanism might have a pricing parameter; a creator using that 
mechanism could alter the parameter but not change the mechanism itself. (ITG, 3/7/95, rn}070961 8, 
see footnote 2) 

Control: Defines rules and consequences for operations on a Property Chunk. A Control may be 
implemented by a process of arbitrary complexity (within the limits posed by flie ca^wbility of the 
Node. GTG, 5/12/95, IT00028293) 

LA>nirOi. J\ sci ui ruico onu cuusctiucuuCd lor upctrauuiu un uuiiicui, au^u u pi luuig, pajruiciii iniHicis, 

usage reporting etc. OTG, 8/21/95, IT00032373, TD00068B) 

cnviromnent 

912J5. 900.155. 
891.1, 683.2, 
721.34 

Intrinsic: '721 file history Rejection 10/15/98, Amendment 4/19/99 at 13-15 
Extrinsic; 

"Environment See InterTrust node: A computer that is enabled for processing of DigiBox containers 
by installation of a PPE, which may be either hardware or software based. A node may include 
application software and/or operating system integration. The node is also termed the environment^ 
(ITG. 8/21/95, IT00032375, TD00068B) 

executable 

programming, 

executable 

912.8, 91235, 
72134 

Intrinsic: 

- "Furthermore, applicants' independent claims 16, 36, 37 and 64 require secure delivery and use of 
plural executable items. See claim 16 ("securely delivering a first procedure ... securely delivering ... 
a second procedure separable or separate fix>m said first procediu^..."); claim 36 ("securely delivering 
plural executable procedures ..."), claim 37 ("securely delivering a first piece of executable code ... 
securely delivering a second piece of executable code ...") and claim 64 ("securely receiving a first 
load module . . . securely receiving a second load module ..."). These features are not taught or 
suggested by either Rosen or Johnson. Johnson's databases comprise data, not executable code." 

(08/388,107. Amendment, 06/20/97, p. 24-25) (MSI028848-49) 

"In addition. Applicants would like to draw the Examiner's attention to other sections of the 
specification in support of words or phrases cited by the Examiner as "indefinite." ... The noun 
"executable," as used in Claims ... 34-36 is defined in &e specification on page 7." (pg. 13-14) 
(page 7 of the original specification is 721 2:62-3:13 of the issued patent) 
(08/689,754 (*721), Amendment, 04/14/99. p. 14) 

Extrinsic: 

Execute: 1. To perform the actions specified by a program or a portion of a program.(IBM) 

Executable: 1 , Program that has been link-edited and therefore can be run in a processor; The set of 
machine language instructions that constitute the output from the compilation of a source 
program.(lBM) 

Executable Programming: 1. A program that has been link-edited and therefore can be run in a 
processor. 2. The set of machine language instructions that constitute the output from the compilation 
of a source program.(IBM) 

execution space, 
execution space 

Intrinsic: 

**One important security layer involves ensuring that certain component assemblies 690 are fonmed, 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 15 of 100 



Claim Term 

MS Construction 

ideatifier 
912.8 

loaded and executed only in secure execution space such as provided within an SPU 500." ('193 
8735-38) 

"The following is an example of a possible field layout for load module public header 802: „. 
Execution Space Code: Value that describes what execution space (e.g., SPE or HPE) this load module 
(sic)-" C193 140:15-35) 

"The Ginter et al. patent disclosure describes, among other things, techniques for providing a 
secure, tamper resistant execution spaces within a "protected processing environment" for computer 
programs and data. The protected processing environment described in Ginter et al. may be hardware- 
based, software-based, or a hybrid. It can execute computer code the Ginter et al. disclosure refers to 
as "load modules."" ('721 3:16-23) 

"Furthermore, Applicants respectiujly submit that some of the terms cited by the Examiner as 
"indefinite" are either well-known by persons skilled in the art or inherently clear. ... Furthermore, 
Applicants respectfully submit that tiie term "execution spaces,** as used in Claim 32, is well-known in 
the art. It refers to a resource which can be used for execution of a program or process." 

08/689,754 ('721), Amendment, 04/14/99. p. 14 

- C\93 86:39-47); (M93 88:38-43); ('193 104:39-44); ('193 140:37-50) 

"The SPE (HPE) load module execution manager ("LMEM") 568 loads executables into the 
memory managed by memory manager 578 and executes them. LMEM 568 provides mechanisms for 
tracking load modules that are currently loaded inside the protected execution environment. LMEM 568 
also provides access to basic load modules and code fragments stored within, and thus always available 
to, SPE 503. LMEM 568 may be called, for example, by load modules 1 100 that want to execute other 
load modules." ('193 111:20-28) 

""nie internal ROM 532 and RAM 534 within SPU 500 provide a secure operating environment 
and execution space." ('193 69:33-35) 

SPU 500 general purpose RAM 534 provides, among other things, secure execution space for 
secure processes. 0193 70:43-44) 

Extrinsic: 

Execution: The process of carrying out an instruction or instructions of a computer program by a 
computer.(IBM) 

Tanenbaum 

governed item 
683.2 

Intrinsic: 

- See "Allow" 

- "If an image representation of a signature is stored on portable media or in a directory service, the 
image may be stored in an electronic container 302. Such a container 302 permits the owner of the 
signature to specify control information that governs how the signature image may be used." ('683 
27:29-) 

- VDE control infoiroation which governs the use, and consequences of use, of VDE controlled 
content." ('193 288:5-12) 

- C193 128:41-45) 
Extrinsic: 

Govern: To initiate the execution of controls. (ITG, 10/2/96, IT00035894, TD00189F) 

Governance: The act of applying controls. Governance is the fundamental activity of the InterTrust 
Commerce Architecture. (ITG, 1 1/17/96, IT00035867, TD00189J) 

Governed Element: An InterTrust Commerce Architecture object to which govemance is applied. 
DigiBox containers, content, control sets, and control records are the primary examples of governed 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 16 of 100 



Claim Term 

MS Construction 


elements. (ITG, 11/17/96. 1X00035867, TD00189J) 
Defined consistent (IT 35962) 

Halting 
900.155 

Intrinsic: 

- "Dynamic Check of Association Between Appliance and PPE Instance: The executing operational 
materials 3472 may next compare an embedded electronic appliance signature SIG* against the 
electronic appliance signature SIG stored in the electronic appliance itself (FIG. 69K, decision block 
3564). As discussed above, this technique may be used to help prevent operational materials 3472 
from operating on any electronic appliance 600 other than die one it was initially installed on. PPE 650 
may disable operation if this machine signature check fails ("no'' exit to decision block 3564, FIG. 
69K; disable block 3566)." (*900 243:30-41) 

Wnen an mconsistency is aetecteo \ yes exit to aecision diock j37U, no. 071^^, rrn o^u can laKC 
appropriate action such as locking itself up from further use until reconstructed under the trusted 
server's control (HG. 69L, disable block 3591)." (^900 24750-54) 

Extrinsic: 

Halt Indicators: In RPG, an indicator that stops the program when an unacceptable condition occurs. 
Valid halt indicators are HI-H9 (IBM) 

Halt Instruction: 1 . A machine instruction that stops execution of a program. 2. Synonym for pause 
instruction. .(IBM) 

host processing 
environment 

900.155 

Intrinsic: 

. (M93 63:13-17); ('193 79:60-67); (M93 81:4-8); C900 230:57-61); ('900 231:23-31); C900 
236:505-53) 

- "HPE(s) 655 and SPE(s) 503 are self-contained computing and processing environments that may 
include their own operating system kernel 688 including code and data processing resources." (* 193 
79:36-39) 

- "HPEs 655 may be provided in two types: secure and not secure." (* 193 80:8-9) 

- C193 79:31); ('193 80:22-36); ('193 80:40-65, Fig. 10); ('193 88:31-43); ('193 104:39-44) 

Extrinsic: 

Host processor : 1 . A processor that controls all or part of a user application network. 2. In a network, 
the processing unit in which resides the access method for the network. 4. A processing unit that 
executes the access method for attached communication controllers.(IBM) 

"Host Processing Environment (HPE): A software-only realization of the PPE, protected from 
tampering by appropriate software techniques. No longer preferred because of the potential confusion 
between the "IT* in the acronym and "H" as in "Hardware" (which this isn't). [REPLACEMENT 
UNCERTAIN]" (ITG, 3/7/95, IT00709621)* 

"Secure Processing Environment (SPE): A hardware-supported realization of the PPE, protected from 
tampering by physical security techniques. No longer preferred because of the potential confusion 
between the "S" in the acronym and "S" as in "Software" (which this isn't). [REPLACEMENT 
UNCERTAIN]" (ITG, 5/12/95, IT00028302) 

Environment: See InterTrust node: A computer that is enabled for processing of DigiBox containers 
by installation of a PPE, which may be either hardware or software based. A node may include 
application software and/or operating system integration. 

The node is also termed the environment. (ITG, 8/21/95, IT00032375, TD00068B) 

identifier, 
identify, 

Intrinsic: 


® Obsolete Terminology Section: "This section identifies terms that have been used in earlier documents to describe 
various VDE concepts, but that are, for various reasons, no longer preferred." 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 17 of 100 



Claim Term 

MS Construction 

ideatifying 

193.11. 193.15. 
912.8, 91235, 
861.58 

^Portable ^pliance 2600 RAM 534 may contain, for example, information which can be used to 
uniquely identify each instance of the portable appliance. This information may be employed (e.g. as 
at least a portion of key or password information) in authentication, verification, decryption, and/or 
encryption processes." ('193 230:22-27) 

- C 193 25:31-38); C193 37:27-31); (*193 111:47-67) CI 93 111:59^7); {'193 124:8-18); C 193 
131:40-45); ('193 139:41-55); ('193 214:39-41) C861 12:63-13:4); ('193 67.21-26); (*193 209:63-67); 
(•193 214:39-41) 

Hxtnnsic: 

Identifier 1. One or more characters used to identify or name a data element and possibly to indicate 
certain properties of that data element 2. In programming languages, a token that names a data object 
such as a variable, an array, a record, a subprogram or a function. (IBM) 

Identifier 1 . In computing, a character or group of characters used to identify, indicate or name a body 
of data. 2. In computing, a name or string of characters employed to identify a variable, procedure, 
data structure or some other element of a program. (Longley) 

including 

193.1 (at 320:63, 
and 321:3); 
193.19 (at 
324:15); 

912.8 (at 327:36, 
39. and 41); 
912.35(330:35 
and 39); 

861.58 (at 26:53 
and 63); and 

683.2 (at 63:60). 

Intrinsic: 

- Prosecution History of '900 Patent: 

Changed "including" to "comprising" "to avoid any possible ambiguity relating to whether the control 
information must be 'inside' the secure object" 
Amendment to allowed claim 60, 10/29/98. 

"Load modules 11 00 in the preferred embodiment comprise executable code, and may also include 
or reference one or more data structures called "data descriptor" ("DTD") information." ('193 136:53- 
56) 

"include or reference" ('861 1 5 :2 1 ) 
"including or addressing" (claim 58); 
"includes a reference to" (claim 69); 

"Secure database 61 0 in the preferred embodiment does not include VDE objects 300, but rather 
references VDE objects stored, for example, on file system 687 and/or in a separate object repository 
728." ('193 126:26-65) 

- ('193 131:18-20) 
Extrinsic: 

"3. To consider with or place into a group, class, or total: thanked the host for including us." (Amen 
Heritage Dictionary, 4* ed.) 

information 
previously stored 

900.155 

Intrinsic: 
Extrinsic: 

Information: 1. In information processing, knowledge concerning such things as facts, concepts, 
objects, events, ideas, and processes, that within a certain context has a particular meaning. (IBM) 

Information: 1, Any communication or reception of knowledge such as facts, data, or opinions, 
including numerical, graphic, or narrative forms, whether oral or maintained in any medium, including 
computerized data bases, paper, microform, or magnetic tape. 3. Knowledge 
that was unknown to the receiver prior to its receipt Information can only be derived from data that is 
accurate, timely, relevant and unexpected.(Longley) 

Store: 1. To place data into a storage device. 2. To retain data in a storage device. 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 1 8 of 100 


Claim Term 


MS Construction 


Intrinsic: 

. "Upon initialization, the operational materials 3472 validate the embedded signature value against 
the actual electronic ^pUance 600 signature SIG. and may refuse to start if the comparison fails." 
('900 239:21-25)' 

. "an otherwise unused section of the non- volatile CMOS RAM 656a may be used to store a 
signamre 3497d. Signature 3497d is verified against the PPE 650's internal state whenever the PPE is 
initialized." ('900 239:51-55) 

- "Dynamic Check of Association Between Appliance and PPE Instance: The executing operational 
materials 3472 may next compare an embedded electronic wliance signature SIG* agamst the 
electronic appliance signature SIG stored in the electronic appliance itself (FIG. 69K, decision block 
3564) As discussed above, this technique may be used to help prevent operational materials 3472 
from operating on any electronic appliance 600 other than the one it was initially installed on. PPE 650 
may disable opOTtion if this machine signature check fails ("no" exit to decision block 3564. FIG. 
69K; disable block 3566)." (*900 243:30-41) 

. (M 93 80:45-48) 

Extrinsic: 

Integrity: The protection of systems, programs, and data from inadvertent or malicious destruction or 
alteration.(IBM) 

Integrity: 1 In data security, that computer security characteristic tiiat ensures that computer resources 
ope^ correctly and that the data in the databases are correct 2a. In data security, the capability of an 
automated system to perform its intended function in a unimpaired manner, free from deliberate or 
inadvertent unauthorized manipulation of the system. 2b. In data security, inherent quahty of 
protection that ensures and maintains the security of entities of a computer system under aU 
conditions.(Longley) 

Programming: 1 . A sequence of instructions suiuble for processing by a computer. 2. In programming 
languages, a logical assembly of one or more interrelated modules. 4. A sequence of mstmctions that a 

computer can interpret and execute.(IBM) 

Programming: The process by which a computer is made to perform a specialized task. It involves the 
creation of a formalized sequence of instructions which can be recognized and unplemented by the 
machine. (Longley) 

Integrity: The ability to verify that data is unmodified from its intended value. (ITG. 5/12/95. 
rT00028294) 

Integrity In relation to digital content, a state in which that content is unmodified and operations on 
the content are performed only as specified by the rightsholders. DigiBox containers ensure mtegnty. 
(ITG. 10/2/96, IT00035895. TD00189F) 

Integrity: definition varies slightly, best seems to be - A state in which content is unmodified and 
operations on properties are performed only as specified by the rights holders (IT 35922). 

Integrity: The assurance that content in a DigiBox container or content being processed by an IT 
content node has not been tampered with. (IT 35868) 


Intrinsic: 


"Key Types , ^. 

The detailed descriptions of key types below further explain secret-key embodmients; this summary is 
not intended as a complete description. The preferred embodiment PPE 650 can use different types of 
keys and/or different "shared secrets" for different purposes. Some key types apply to a Pubhc- 
Key/Secret Key implementation, other keys apply to a Secret Key only implementation, and still other 
key types apply to both. The following table lists examples of various key and "shared secret" 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 19 of 100 


# • 


Claim Term 

MS Construction 


infonnation used in the preferred embodiment, and where tiiis information is used and stored: 

Used in PK or Example Storage 
Key/Secret Infonnation Type Non-PK Location (s) 
Master Key(s) (may include Both PPE 

some of the specific keys Manufacturing facility 
mentioned below) VDE administrator 
Manufacturing Key Both (PK PPE (PK case) 

optional) Manufacturing facility 

Certification Icey pair PK PPE 

Certification repository 

Public/private key pair PK PPE 

Certification repository 
(Public Key only) 

Initial secret key Non-PK PPE 

PPE manufacturing ID Non-PK PPE 

Site ID, shared code, shared Both PPE 

keys and shared secrets 

Dovmload authorization key Both PPE 

VDE administrator 

External communication Both PPE 
keys and other info Secure Database 
Administrative object keys Both Permission record 
Stationary object keys Both Permission record 
Traveling object shared keys Both Permission record 
Secure database keys Both PPE 
Private body keys Both Secure database 

Some objects 

Content keys Both Secure database 

Some objects 

Authorization shared secrets Both Permission record 

Secure Database Back up Both PPE 

j^gyg Secure database" 

C193 211:32-212:11) 

- C193 211:18-212:18); C193 193:8-23); C193 207:50-60); C193 208:38-40) 
Extrinsic: 

Keys: The permissions record also contains the fundamental decryption keys for an object It may 
contain the keys for the object content or keys to decrypt portions of the object that contain o&er keys 
that then can be used to decrypt the content of the object. Usage of the keys is controlled by the 
Control Sets in the same permissions record. There are many more aspects to me Keys in me 
permissions record that are beyond the scope of this document (VDE ROI DEVICE vl .Oa 9 Feb 1994. 
IT00008601) 

Key: 7. In computer security, a sequence of symbols used with a cryptographic algorithm for 
encrypting or decrypting data. (IBM) 

Key: 1 . In cryptography, a sequence of symbols that controls the operations of encipherment and 
decipherment. 2, In cryptography, a symbol or sequence of symbols (or electrical or mechanical 
correlates of symbols) that control the operations of encryption and decryption). (Longley) 

load module 
912.8, 721.1 

Intrinsic: 

Prosecution History of Application 08/388,107 {*912 Patent is continuation) 

*Turthermore, applicants' independent claims 16, 36, 37 and 64 require secure delivery and use of 
plural executable items. See claim 16 ("securely delivering a first procedure ... securely delivering ... 
a second procedure separable or separate from said first procedure..."); claim 36 ("securely delivering 
plural executable procedures ..."), claim 37 ("securely delivering a first piece of executable code ... 
securely delivering a second piece of executable code ...") and claim 64 ("securely receiving a first 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 20 of 100 



Claim Term 

MS Construction 


load module ... securely receiving a second load module ..,"). These features are not taught or 
suggested by either Rosen or Johnson. Johnson's databases comprise data, not executable code." 

08/388.107, Amendment, 06/20/97, p. 24-25 (MSI028 848-49) 

"Load module 1 100 contains code and static data (diat is functionally the equivalent of code), and 
is used to perform the basic operations of VDE 100. Load modules 1 100 will generally be shared by 
all the control structures for all objects in the system, though proprietary load modules are also 
permitted. Load modules 1 100 may be passed between VDE participants in administrative object 
structures 870, and are usually stored in secure database 610. They are always encrypted and 
authenticated in both of these cases. When a method core 1000' references a load module 1 100, a load 
module is loaded into the SPE 503, decrypted, and tiien either passed to the electronic appliance 
microprocessor for executing in an HPE 655 (if that is where it executes), or kept in the SPE (if that is 
where it executes)." C193 139:19-32) 

- C193 20:27-30); (*193 71:19-40); (*193 77:12-29) (*193 86:49-60); C193 87:41-62); ('193 109:24- 
45);C193 111:20-28); C 193 111:29-39); (M 93 111:40-47); ('193 111:59-67); C193 126:30); (193 
139:28-31); (^193 139:60-140:6); C193 140:1-6); (M93 140:44-50); ('193 141:42-55); (^ 93 209:52- 
210:35); C193 17:15-17); C 193 20:27-30); ('193 86:39-48); ('193 139:41-51); ('193 151:20-22); ('721 
3:21-35) 

Extrinsic: 

Load module: 1. All or part of a computer program or subprogram in a form suitable for loading into 
main storage for execution by a computer, usually Ae output of a linkage editor.(IBM) 

Load Module: A procedure, dynamically loaded or resident within the PPE, that performs or controls 
operations within the PPE. Some load modules are associated with individual objects or types of 
objects; others perform general utility operations. (FFG, 3/7/95, IT00709618 see foomote 2) 

**Load Module: shall mean an executable program that, when combined with control data and/or 
parameters, forms procedures or programs for performing specific types of control functions in 
compliance with EPR Specifications. Load Modules and their executable programs and associated 
control data and/or parameters are designed to, at least in part, be employed as one or more control 
elements which are used within a protected information transaction/distribution management 
arrangement" (License Agreement between National Semiconductor and EPR, 3/1 8/94. Exhibit 12 to 
InterTrust30{bX6)) 

"Load Module: The lowest level of a VDE control structure: an executable program that operates, 
under control of a method or another load module, to manipulate VDE-protected elements (which may 
be in containers otherwise)." (IT VDE Container Overview, 2/10/95, IT00051228, ETM-9999 Version 
0.21) 

"A load module is an executable program that manipulates VDE elements and content to perform a 
specific control function. A load module invoked as an external method is responsible for ensuring that 
all its related load modules, methods, elements, etc. are available and that all required option choices 
have been made." (IT VDE Container Overview, 2/10/95, IT00051234, ETM-9999 Version 0.21) 

Machine check 
oro PTamiTi in 2 

900.155 

Intrinsic: 

- "machine check" does not appear in specification 

- "Correspondence Between Installed Software and Appliance "Signature". Another technique that 
may be used during the installation routine 3470 is to customize the operational materials 3472 by 
embedding a "machine signature" into the operational materials to establish a correspondence between 
the installed software on a particular electronic appliance 600 (FIG. 69C, block 3470(7)). ('900 239:4- 
14) 

- For electronic appliances 600 where it is feasible to do so, the installation procedure 3470 may 
determine unique information about the electronic appliance 600 (e.g., a "signature" SIG in the sense of 
a unique value — not necessarily a "digital signature" in the cryptographic sense)." ('900 239:15-19) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 21 of 100 



Claim Term 

MS Construction 


- "FIG. 69G shows an example of some of these q>pliance-specific signatures " (*900 239:41-42) 

- **Dynamic Check of Association Between Appliance and PPE Instance: The executing operational 
mater^ 3472 may next compare an embedded electronic q)pliance signature SIG* against the 
electronic appliance signature SIG stored in the electronic appliance itself (FIG. 69K, decision block 
3564). As discussed above, this technique may be used to help prevent operational materials 3472 from 
operating on any electronic appliance 600 other than the one it was initially installed on. PPE 650 may 
disable operation if this machine signature check fails ("no" exit to decision block 3564, FIG. 69K; 
disable block 3566).** (*193 243:30-) 

- "Signature 3497d may also be updated whenever a significant change is made to the secure database 
610. If the CMOS RAM signature 3497d does not match the database value, PPE 650 may take this 
mismatch as an indication that a previous instance of the seciu*e database 610 and/or PPE 650 software 
has been restored, and appropriate action can be taken. ( -900 239:55-240:6) 

- C900 240: 1 5-26); (900 Claim 1 83) 
Extrinsic: 

Machine check: An error condition that is caused by an equipment malfunction. (IBM) 

Metadata 
information 

861.58 

Intrinsic: 

- "This metadata can define certain charaaeristics associated with the object name. For example, such 
metadata may impose integrity or other constraints during the creation and/or usage process (e.g., 
"when you create an object, you must provide this information**, or "when you display the object, you 
must display this information**). The metadata 264 may also further describe or otherwise qualify the 
associated objea name.*" ('861 15:21-31) 

- (861 Abstract); (*861 6:2-7); {*861 8:57-64); (*861 13:30-34); ('861 14:7-1 1); ('861 16:37-52) 
cxmnsic. 

Metadata: In databases, data that describe data objects. (IBM) 

Information: 1. In information processing, knowledge concerning such things as facts, concepts, 
objects, events, ideas, and processes, that within a certain context has a particular meaning.(IBM) 

Metadata: 1. In computing, data referring to other data (such as data structures, indices, and pointers) 
that are used to instantiate an abstraction (such as 'processj'task,' 'segment,* *file,' or 'pipe*) 2. In 
computing, a special database, also referred to as a data dictionary, containing descriptions of the 
elements. (Longlcy) 

openmg secure 
containers 

683.2 

Intrinsic: 

- "Because container 152 can only be opened within a secure protected processing environment 154 
that is part of the virtual distribution environment described in the above-referenced Ginter et al. patent 
disclosure" ('712 168:22-25) 

- Special mathematical techniques known as "cryptography** can be used to make electronic container 
302 secure so that only intended recipient 4056 can open the container and access the electronic 
document (or other item) 4054 it contains. ('683 15:67-16:4) 

- The appliance 600 may then open the secure electronic container ("attache case") 302 and deliver 
the item it contains to recipient 4056 (FIG. 91B, block 4092D). ('683 ) 

- Appliance 600 may then generate a *'send" or "open" event to PPE 650 requesting the PPE to open 
container 302 and allow the user to access its contents. 

- ('193 185:7-30); ('193 185:42-46); ('683 19:27-32); ('193 183:28-29); ('193 183:55-57); ('193 
185:11-16) 

Extrinsic: 

Open: 1. The function that connects a file to a program for processing. 4. To prepare a file for 


EXHIBIT D. TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 22 of 100 



CUim Term 

MS Construction 


processing. (IBM) 

Secure: Pertaining to tiie control of who can use an object and to the extent to which the objea can be 
used by controlling the authority given to &e user. (IBM) 

Container In data security, a multilevel information structure. A contamer has a classification and may 
contain objects and/or other containers. (Longley) 

Container contains protected content which is divided into one or more atomic elements, and 
optionally, PERCs governing the content and may be manipulated only as specified by a PERC. (ITG, 
3/7/1995. IT00709616) 

Container A protected (encrypted) storage object that incorporates descriptive information, protected 
content, and (optionally) control objects applicable to that content GTG, 3/7/1995, IT007096 17, see 
footnote 3) 

Container A protected digital information storage and transport mechanism for packaging content and 
control information. (ITG, 8/21/95, IT00032372, TD00068B] 

operating 
environment 

891.1 

Intrinsic: 
Extrinsic: 

Operating Environment: The physical environment; for example, temperature, humidity, and 
layout(IBM) 

Operating system: In computing, a collection of software programs intended to directly control the 
hardware of a computer and on which all the other programs running on the computer generally 
depend(Longley) 

Enviroiunenr. See InterTrust node: A computer that is enabled for processing of DigiBox containers 
by installation of a PPE, which may be either hardware or software based. A node may include 
application software and/or operating system integration. The node is also termed the environment, 
(ITG. 8/21/95. IT00032375. TO00068B) 

Operation: A manipulation of some protected resource (e.g., content in a container or control records 
in a PERQ (IT VDE Container Overview, 2/10/95, IT00051228, ETM-9999 Version 0.21) 

organization, 
organization 
information, 
organize 

861.58 

Intrinsic: 

- "a descriptive data structure could serve as 'instructions' that drive an automated packaging 
application for digital content and/or an automated reader of digital content such as display priorities 
and organization (e.g., order and/or layout), "('861 7:54-57); 

- For example, the descriptive data structure may provide a recursive, hierarchical list that reflects 
and/or defines a corresponding recursive, hierarchical structure within the rights management data 
structure ('861 5:57-63 )"..,. descriptive data structure may directly and/or indirectly specify where, in 
an associated rights management data structure, corresponding defined data types may be foimd." (*861 
5:67-6:2 ); 

- Issued claim 1 : a first memory storing a descriptive data structure, said descriptive data structure 
including: information regarding a first organization of elements within a secure container, said 
information including: information on the organization of said elements within said secure container; 
and information on the location of at least some of said elements within said secure container" 

- Issued claim 34: "a representation of the format of data contained in a fu-st rights management data 
structure said representation including: element information contained within said first rights 
management data structure; and organization information regarding the organization of said elements 
within said furst rights management data structure; and information relating to metadata, said metadata 
including" 

- Issued claim 45 (dependent from 34-44): "said information regarding elements contained withm 
said first rights management data structure includes information relating to the location of at least one 
such element," 

- Issued claim 73: "said descriptive data structure organization information includes information 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 23 of 100 



Claim Term 

MS Construction 


specifying that said first secure container contents will include at least a title and a text section referred 

to by said title.** . . , j - r 

- Issued claim 74: "said descriptive data structure organization infonnation includes information 
specifying that said first secure container contents will include at least one advertisement" 

- Issued claim 75: "said descriptive data structure further includes infonnation relating to the location 
at which said title, said text section and said advertisement should be stored in said first secure 

container." ..... 

- Issued claim 76: "at least a portion of said descriptive data structure organizanon mfonnanon 
includes infonnation specifying fields relating to at least one atomic transaction" 

(*193 103:23-46) 
Extrinsic: 

portion 

193,1, 193.11, 
193.15, 193.19. 
912.8,912.35. 
861.58 

Intrinsic: 
Extrinsic: 

Portion: "1. A section or quantity within a larger thing; a part of a whole. 2. A part separated fi-om a 
whole." (American Heritage Dictionary 4* Ed.) 

prevents 
721.34 

Intrinsic: 

. «VDE can: (a) audit and analyze the use of content, (b) ensure that content is used only in 
autiiorized ways, and (c) allow infonnation regarding content usage to be used only in ways approved 
by content users." C 1^3 4:5 1-56) 

"VDE ensures that certain pro-equisites necessary for a given transaction to occur are met" ('193 
20:27-28) 

- "For example, shrink-wrapping does not prevoit the constant illegal pirating of software once 
removed firom either its physical or electronic package," (* 193 5:60-62) 

"VDE, for example, provides the ability to prevent, or impede, interference with and/or observation of, 
important rights related transactions and processes. VDE, in its prefen-ed embodiment" ('193 4:1-4) 

"After receiving enabling distribution control infonnation fit>m creator A, distributor A may 
manipulate an application program to specify some or all of the particulars of usage control information 
for users and/or user/distributors enabled by distributor A (as allowed, or not prevented, by senior 
control information)." ('193 303:63) 

- C193 6:33^35); C 193 15:41-46); ('193 17:22-28); (* 193 309:10-16); (* 193 303:63-304:1) 
Extrinsic: 

processmg 
environment 
912:35, 900:155, 
721:34, 683.2 

Intrinsic: 

"Another approach to supporting COTS software would use the VDE software running on the 
user's elecu-onic appliance to create one or more "virtual machine*' environments in which COTS 
nnprfltine svstcm and aoDlication nroerams may run, but from which no information may be 
permanently stored or otherwise transmitted except under control of VDE." (' 193 279:26-40) 

- "VDE may be combined with, or integrated into, many separate computers and/or other electronic 
appliances. These apphances typically include a secure subsystem that can enable control of content use 
such as displaying, encrypting, decrypting, printing, copying, saving, extracting, embedding, 
distributing, auditing usage, etc. The secure subsystem in the preferred embodiment comprises one or 
more "protected processing environments", ..." (*193 9:22) 

- ('193 9:22-29); (*683 24:26-33); ('193 60:51-64) 


E)CH1BIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 24 of 100 


Claim Term 


MS Construction 


protected 
processing 
environment 
721:54,683:2 


Extrinsic: 

Processing: 1. Tlie performance of logical operations and calculations on datum including temporary 
retention of data in processor storage while the data is being operated on.(roM) 
Process* (1) in computing, the active system entity through which programs run. The entity in a 
computer system to which authorizations are granted; Hius Hit unit of accountability m a computer 
systrai. 2. In computing, a program in execution. ... (4) In computing, a program is a static piece 
of code and a process is the execution of that code. (Longley) 

Environment: 1 . The aggregate of external circumstances, conditions, and objects that affect the 
development, operation, and maintenance of a system. 2. In computer security, those factors, both 
internal and external, of an ADP system that help to define the risks associated with its operation 
0-ongley) 

Secure Processing Environment (SPE): A hardware-supported realization of the PPE, proterted from 
tampering by physical security techniques. No longer preferred because of the i^tenUa^ co^sion 
between tiie "S" m the acronym and "S" as in "Software" (which this isn^t). [REPLACEMENT 
UNCERTAIN] OTG, 5/12/95, rr00028302) 

Environment See InterTrust node: A computer that is enabled for processing of DigiBox containers 
by installation of a PPE, which may be either hardware or software based. A node may mclude 
application software and/or operating system integration. The node is also termed the environment. 
(ITG, 8/21/95. ITO0032375. TD00068B) 


See also "secure 
Intrinsic: 

Prosecution History of Application 08/778,256 (continuation of '891 Patent, issued at USP 5,949,876) 
"Independent claims 65 and 76 each recite a "protected processing environment" ... Griffeth 
et al. [U.S. Pat No. 5.505,837], Yamamoto [U.S. Pat No. 5^08,913] and Wyman [U.S. Pat No. 
5^60.999] do not disclose these aspects of these claims. 

The system disclosed in Griffeth et al is designed to allow negotiation to proceed m an 
environment in which a negotiating party does not disclose information about its negotiation goals to 
the other negotiating party. ... Griffeth et al. does not disclose any privacy protecuon mechanism and 
neither teaches nor suggests any secure processing environment or that any operations (e.g., mtegration 
or execution) occur securely. Indeed, Griffeth contains no suggestion that any protection mechanism is 
needed to maintain negotiation goals in privacy, since Griffeth does not suggest that the other party 
may try to improperly discover information which is intended to remam pnvate. 

Yamamoto states the following: "Here, the data is enciphered by the daU encipher apparatuses 
26 so as to maintain confidentiality." Col. 3, lines 46-47. Since Yamamoto makes no other reference 
to the encipherment, or to the apparatuses 26, it is impossible to determine how the data encipherment 
is used, or the roles it plays in the disclosed apparams. From an exammation of Fig. 3, however, it 
appears that the data'encipher apparatuses 26 are placed on connections between a particular site ^d 
oihtT, physically separated sites. For example, customer office 23b is connected to sub-center 22 by a 
line which apparently represents a communication path. That line connects directly to a data encipher 
app^tus 26 in customer office 23b, and to another data encipher apparams 26 m sub-center 22. 

Thus, it appears that the data encipher apparatuses 26 are used, m some undisclosed manner, to 
encipher at least some data which travels among physically separated locations. It is possible to 
imagine, for example, that data is enciphered prior to being sent out on an msecure public transmission 
line and is then deciphered once received in a new location. 

Yamamoto does not disclose, however, that the processing environments are themselves 
secure or that either execution or integration occur in a secure manner or in a secure environment 
Indeed, Yamamoto contains no suggestion that security within a processing environment would even be 
desirable By suggesting that data is deciphered once it enters an office (e.g., office 23b), in fact, 
Yamamoto teaches away from a secure environment, since it would appear that the data is used "m the 
clear" within the office, with no suggested protection beyond a simple password for the co mputer. 


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MS Construction 


Wyman is equally deficient regarding Aesc elements. Although Wyman specifies that a license may 
contain a digital signature, therefore rendering tfie license unforgeable (Col. 14, lines 24-54), Wyman 
neither teaches nor suggests that die processing environment is itself secure or that any operations occur 
in a secure manner. The Wyman digital signatures no more suggest a secure processing environment 
than the requirement that paper contracts be signed in ink suggests that the contracts will be created, 
read or negotiated in a secure location." 

08/778,256 (*876), Amendment. 0 1/20/98, p. 58-60 

- "The role of go-between 4700 may, in some circumstances, be played by one of the participant's 
SPU's 500 (PPEs), since SPU (PPE) behavior is not under the user's control, but rather can be under the 
control of rules and controls provided by one or more other parties other than the user (although in 
many instances the user can contribute his or her own controls to operate in combination with controls 
connibuted by other parties).** ('683 24:26) 

- "SPU 500 provides a tamper-resistant protected processing environment ("PPE") in which processes 
and transactions can take place securely and in a trusted fashion." C683 16:60-62) 

- "The computer 3372 may then execute the operational materials 3472 from its hard disk 3376 to 
provide software-based protected processing environment 650 and associated software-based tamper 
resistant barrier 672) ('900 231:27-31)); 

- C193 20:58-63); (* 193 21:11-17); ('721 7:19-23); ('721 16:64-17:5); 

- "HPE{s) 655 and SPE(s) 503 are self-contained computing and processing environments that may 
inchide their own operating system kernel 688 including code and data processing resources." ('193 
79:36-39) 

- (see Figs. 10 and 13). ('193 79:24). (105:23, 105:43, 109:46); ('193 13:7-23); ('193 223:30-44) 

- "In one example, a person with a laptop 5 1 02 or other computer lacking a PPE 650 wishes 
nonetheless to take advantage of a subset of secure item delivery services." ('683 62:17-20) 

"Claims 7-11, ... 99-1 1 1 ... are rejected under 35 U.S.C. 103(a) as being unpatentable over Fischer 
(5,412,717) in view of Narasimhalu et al (5,499,298). Fischer discloses a method and apparatus 
including a system monitor which limits the ability of a program about to be executed to the use of 
predefined resources, .... The set of authorities and restrictions are referred to as "program 

authorization information" or "PAI" A comparison of independent claim 7 to Fischer to derive the 

similarities and differences between the claimed invention and the prior art follows. ... memory 

containing a first rule corresponds to a first PAI under a first PCB Here, Fischer provides a secure 

container in the form of a program, i.e. a governed item, having an associated PAI, i.e. at least one rule 
associated with the secure container. A protected processing environment ("PPE") protecting at least 
some information contained in the PPE, see Fischer Terminal A. and including hardware and/or 
software used for applying said first rule and the secure container in combination to at least in part 
govern at least one aspect of access to or use of the governed item, see Fischer at Figure 5 and colimm 
10, lines 8-39 where the first rule in memory is first PCB providing a fust PAI and the secure container 
is a program associated with a second PCB providing a first PAI and the secure container is a program 
associated with a second PCB having a second PAI associated with the governed item, i.e. the program. 
... The difference between claim 7 and Fischer is that the PPE disclosed in Fischer is not explicitly 
disclosed as protected from tampering by a user of the first apparatus, i.e. terminal A. The Narasimhalu 
patent (hereinafter *298) teaches a method and apparatus for controlling the dissimenation of digital 
information, [and] that the end user accesses the digital information with a tamper-proof controlled 
information access device." 

09/221,479 ('683), Office Action, 1 1/12/99, p. 3-5 aT00065799-801) 

"With respect to the remaining issues. Applicants respectfully disagree. For example, the Examiner 
objects to the use of "environment" as indefinite and unclear. This word, however, is not used in 
isolation, but rather in the context of several longer phrases, all of which are defmed in the 
specification. The phrase "protected processing environment," for example, is used in Claims 1 1 and 
15-18 and described on at least, for example, pages 7-8 and 25 of the specification. The term "virtual 


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Claim Term 

MS Construction 


distribution environment" iised in Claim 1 1 is described, for example, on page 7 of the specification. 
The terms are also described in the commonly copending ^plication Serial Niunbcr 08/388,107 of 
Gintcr et al., filed 13 February 1995, entitled "System and MeAods for Secure Transaction 
Management and Electronic Rights Protection." A copy of tiie incorporated Ginter application can be 
provided to the Examiner upon request" 

(pages 7, 7-8 and 25 of the original specification are *721 2:62-3:13, 2:62-3:34 and 8:6-28 of the issued 
patent) 

"The role of go-between 4700 may, in some circumstances, be played by one of the participant's SPLTs 
500 (PPEs). since SPU (PPE) behavior is not under the user's control, but rather can be under the 
control of rules and controls provided by one or more other parties other than the user (although in 
many instances the user can contribute his or her own controls to operate in combination with controls 
contributed by other parties)." (*683 24:26) 

08/689,754 (721). Amendment, 04/14/99, p. 13 

Extrinsic: 

Processing: 1. The performance of logical operations and calculations on datum including temporary 
retention of data in processor storage while the data is being operated on.(IBM) 

Environment 1. The aggregate of external circumstances, conditions, and objects that affect the 
development, operation, and maintenance of a system. 2. In computer security, fcose factors, both 
interna! and external, of an ADP system that he^ to define the risks associated with its operation 
(Longley) 

- IT used "tm" symbol with "Protected Processing Environment" (Panel Abstract The InterTrust 
Commerce Architecture, presented at 20* NISSC, 1 997) 

Environment See InterTrust node: A computer that is enabled for processing of DigiBox containers 
by installation of a PPE, which may be either hardware or software based- A node may include 
application software and/or operating system integration. The node is also termed the environment, 
(ITG, 8/2 1/95, IT00032375. TE)00068B) 

Protected Processing Environment (PPE) technology: The InterTrust technology that provides the 
protected software enviroimient within the InterRights Point Protected Processing Envirorunent 
technology is responsible for the encryption/decryption of data, protected processing of DigiBox 
containers, and other secure operations, such as protected database access. (ITG, 1997-1998, 
ML00012B) 

Protected Processing Environment (PPE): The PPE is the secure part of a VDE node: cither a 
hardware or software-protected environment in which VDE mechanisms run without external 
interference. There are various PPE realizations (e.g., physically protected hardware) appropriate to 
different operational requirements (ITG, 3/7/1995, IT00709619. see foomote 2) 

Secure Processing Unit The physically secure hardware component of the SPE: a processor with local 
memory and non-volatile storage. The SPE consists of the SPU itself and the SPE software running on 
the SPU. OTG, 3/7/1995, IT00709620, see footnote 2) 

"Protected Processing Environment (PPE): An InterTrust node has a unique node ID and contains a 
Protected Processing Environment (PPE) which performs operations on containers and control 
structures under rules specified by PERCs and which may be realized in a tamper resistant hardware 
component or in tamper-resistant software and a protected database, which stores control objects and 
InterTrust applications, operating outside the PPE, which manipulate content and control objects 
tiirough requests to the PPE" (ITG, 4/06/95, IT00028206) 

"All the terms in italics have specific definitions (in the glossary) with respect to InterTrust." 
950406: Global replace of "VDE" with "InterTrust" to match new terminology, (ITG, 4/06/95, 
IT00028206) 

Protected Environment: A portion of the node software that uses, and protects, the protected node data 


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Claim Term 

MS Construction 


such as cryptographic keys. The protected environment is responsible for performing all the protected 
functions for manipulating containers and content; that is» aU the operations governed by controls. 
aTG, 5/12/95, IT00028294) 

Protected Processing Environment: (alternate definition): The protected environment in which the 
cryptographic and control functions of InterTrust run. ThePPE may be protected environmentally 
(e.g., as a physically protected server machine) or may employ software-based tamper resistance 
techniques. (TTG. 8/21/95, rr00032377, TD00O68B) 

Secure Processing Environment (SPE): A hardware-supported realization of the PPE, protected from 
tampering by physical security techniques. No longer prefared because of the potential confusion 
between the "S" in the acronym and "S" as in ''Software" (which this isn't). [REPLACEMENT 
UNCERTAIN] (TTG, 5/12/95, IT00028302) 

Protected Processing Environment (PPE): The InterTrust protected software environment within the 
InterTnist Commerce Node. The PPE is responsible for the encryption/decryption of data, protected 
processing of DigiBox containers, and other secure operations, such as database access. (ITG, 1 1/17/96, 
IT00035871.TO00189J) 

protecting 
6S32 

Intrinsic: 

- VDE can: (a) audit and analyze the use of content, (b) ^ure that content is used only in authorized 
ways, and (c) allow information regarding content usage to be used only in ways approved by content 
users." ('193 4:51-56) 

- "An attacker would gain little benefit from intercepting this inforaiation since it is transmitted in 
protected form; she would have to compromise electronic appliance 600(1) or 600(N) (or the SPU 
500(1), 500(N)) in order to access this information in unprotected form." (493 228-J25) 

- Even if the object is stored locally to the VDE node, it may be stored as a secure or protected object 
so that it is not directly accessible to a calling process. (* 1 93 1 92: 1 4- 1 7) 

- C193 228:25-30); ('193 6:33-35); ('193 15:41-46); (M93 17:22-28) 
Extrinsic: 

Hoffeian, Modem Methods for Computer Security & Privacy at 134 

Dictionary of Computing, 3rd Ed. (1990) ("Protected Location: A memory location that can only be 
accessed by an aufliorized user or process."; "Protected domain: A set of access privileges to protected 
resources.") 

Webster's New Worid Dictionary of Computer Terms. 4th Ed. (1992) ("To prevent unauthorized 
access to programs or a computer system; to shield against harm.**) 

The New IEEE Standard Dictionary of Electrical and Electronics Terms, 5th Ed (1993) ("Protection: 
(1) (computing systems). See: Storage protection (2) (software). An arrangement for restricting 
access to or use of a all, or part, of a computer system." ; "Storage protection: An arrangement for 
preventing access to storage for either reading or writing, or bo±.") 

IN00862862 

Security: The combination of integrity and secrecy, applied to data. (ITG, 5/12/95, IT00028295) 
Secrecy: The inability to obtain any information from data. (ITG, 5/12/95. IT00028294) 

record (n.) 
912.8,912.35 

Intrinsic: 

"The selected method event record 1012, in turn, specifies the appropriate information (e.g., load 
module(s) 1 100, data element UDE(s) and MDE(s) 1200, 1202, and/or PERC(s) 808) used to construct 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 28 of 100 



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MS Construction 


a component assembly 690 for execution in response to the event that has occurred. C193 138:12- 
47) 

Extrinsic: 

Record: 1 . In prograiruiung languages, an aggregate that consists of data objects, possibly with different 

oftriKiit^c that iiciiallv hiiv^ iHpntifi^rc nttflrhf^H if\ tVt^m In cAm^ nmo rfliTin^inff IsmtyilSPfi^ recftrrtQ firp 

cmXlDULCd, UlaL UdUOU Y UO VC lUCiiUXf CI d aUOLillCU VkJ lUwlil. Ill SUUIC Ui fll 1 1 1 lllil^ imtguagWd| X b Ud cU w 

call structures. 2. A set of data treated as a unit 3. A set of one or more related data items grouped for 
processing. (IBM) 

Record: 1 , In computing, a collection of related data treated as a unit, e.g. details of name, address, age, 
occupation and department of an employee in a persoimel file. 2.. In computing, to store signals on a 
recording medium for later use. (Longley) 

New EEEE Standard Dictionary of Electrical and Electronics Terms (5* ed. 1993) 

required 
912.8, 861.58 

Intrinsic: 
See "allow." 
Extrinsic: 

resource 
processed 

891.1 

Intrinsic: 

- (M93 72:39-44); C193 75:15-30); (493 283:23-28) 

"Smart objects may have the means to request use of one or more services and/or resources. Services 
include locating oAer services and/or resources such as information resom^es, language or format 
translation, processing, credit (or additional credit) authorization, etc. Resources include reference 
databases, networks, high powered or specialized computing resources (the smart object may carry 
information to another computer to be efficiently processed and dien return the information to the 
sending VDE installation), remote object repositories, etc. Smart objects can make efficient use of 
remote resources (e.g. centralized databases, super computers, etc.) while providing a secure means for 
charging users based on information and/or resources actually used." ('193 38:60-39:8) 

Extrinsic: 

Resource: 1 . Any of the data processing system elements needed to perform required operations, 
including storage, input/ou^ut units, one or more processing units, data, files, and programs. 2. Any 
facility of a computing system or operating system rcquned by a job or task, and including main 
storage, input/output devices, processing unit, data sets, and control or processing programs.(IBM) 

Processed; 1. The performance of logical operations and calculations on datum including temporary 
retention of data in processor storage while the data is being operated on. (IBM) 

Process: (1) in computing, the active system entity through which programs run. The entity in a 
computer system to which authorizations are granted; thus the unit of accountability in a computer 
system. 2. In computing, a program in execution. (4) In 
computing, a program is a static piece of code and a process is the execution of that code. (Longley) 

rule 

861.58, 6832 

Intrinsic: 

"A system as in claim 17, said memory further storing at least one rule associated with said fu-st 
secure container, said fu3t secure container rule at least in part governing at least one aspect of access 
to or use of said governed item. 

A system as in claim 19, said at least first secure container rule further including a second rule at least 


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Claim Term 


MS Construction 


in part restricting the number of accesses and/or uses a user may make of said governed item." 
09/221.479C683), Preliminary Amendment, 12/28/99, p. 5 aT00065690) 

"Claims 7-1 1. ... are rejected under 35 U.S,C. 103(a) as being unpatentable over Fischer (5,412,717) in 
view of Narasimhalu et al (5,499,298). Fischer discloses a method and apparatus including a system 
monitor which Innits the ability of a program about to be executed to the use of pr^efmed resources, 
.... The set of authorities and restrictions are referred to as "program authorization information** or 
"PAI". ... A comparison of independent claim 7 to Fischer to derive the similarities and differences 
between the claimed invention and the prior art follows. ... memory containing a first rule corresponds 

to a first PAI under a first PCB Here, Fischer provides a secure container in the form of a 

program, Le. a governed item, having an associated PAI, i.e. at least one rule assockted with &e secure 
container." 

09/221,479 (*683), Office Action, 1 1/12/99, p. 3-4 GT00065799-800) 

- In general, VDE enables parties that (a) have rights in electronic information, and/or (b) act as direct 
or indirect agents for parties who have rights in electronic infomiation, to ensure that the moving, 
accessing, modifying, or otherwise using of information can be securely controlled by rules regarding 
how, when, where, and by whom such activities can be performed.. C193 6:24-30) 

. "at least one rule and/or control associated with the software agent that governs the agent's 
operation." 0193 241:2-3) 

"FIG. 4 illustrates examples of some different types of rules and/or control information" {'683 
11:37-38) 

. "If necessary, trusted go-between 4700 may obtain and register any methods, rules and/or controls 
it needs to use or manipulate &e object 300 and/or its contents (FIG. 122 block 4778)." C683 47:40- 
45) 

"In this further user interaction provided by object submittal manager 774, the user may specify 
permissions, rules and/or control information to be ^plied to or associated with the new object 300." 
(*193 106:60) 

"at least one rule and/or control associated with the software agent mat governs the agent s 
operation." (*193 241:2) 

- "The usage-related "rules and controls" may. for example, specify what a user can and can't do 
with the content and how much it costs to use the content" C193 55:46-49) 

"Container 300x is specified as a content object that is empty of content It contains a control set 
that contains the following rules: 

1. A write_without_billing event that specifies a meter and a general budget that limits the 
value of vmting to $15.00, 

2. Audits of usage are required and will be stored in object 300w under control information 
specified in that object 

3. An empty use control set that may be filled in by the owner of the infoimation using 
predefmed methods (method options)." C 1 93 243:35-37) 

- "an object creator or other provider can specify within a descriptive data structure 200, certain rules, 
integrity constraints and/or other characteristics that can or should be ^plied to the object after it has 
been imported into a target rights management environment" (*861 17:49-53) 

- (^683 54:29-37); ('193 56:28-35); (* 1 93 53:60-63); C683 47:40-45) 
Extrinsic: 

Rule: In computing, a statement in an expert system that enables the likelihood of an assertion, or the 
value of an object, to be established. A rule combines lower level assertions or objects to produce a 
value for a hi^er level assertion or object. (Longley) 

See Business Rule: A specification of the conditions governing how content and controls in DigiBox 
containers may be manipulated. A business rule may specify pricing, terms of use terms, operational 


EXHIBIT D TO JOINT CLAIM COKSTRUCTION STATEMENT- Page 30 of 100 



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MS Construction 


restrictions, payment methods, and other aspects of information use. A rule may also specify 
consequences related to usage reporting and paym^t, for example, specifying that each purchase of 
content must be reported to its creator. (ITG, 11/17/96, IT00035863, TD00189J) 

^^les and Controls** means any electronic infomiation that directs, enables, specifies, describes, and/or 
provides contributing means for performing or not-performing, permitted and/or required operations 
related to Content, including, for example, restricting or otherwise goveming the performance of 
operations, such as, for example. Management of such Content. (License Agreement: IT and Universal 
Music Group, 4/13/99, Exhibit 1 1 to InterTrust 30(bX6)) 

Que at 348; Webster's New World EHctionaiy of Computer Terms (4th ed.) at 365 

secure 

193.1, 193.11, 
193.15, 91235, 
861.58, 891.1, 
683.2, 721.34 

Intrinsic: 

Because this term is indefinite and used inconsistently, each use of "secure" and forms thereof in the 
asserted patents is relevant and herein included by reference. The following examples are illustrative. 

"HPEs 655 may be provided in two types: secure and not secure." (* 193 80:8-9) 

**Because secondary storage 652 is not secure, SPE 503 must encrypt and crypiographically seal 
(e.g., using a one-way hash function initialized with a secret value known only inside the SPU 500) 
each swap block before it writes it to secondary storage." ('193 107:39-42) 

"Insecure external memory may reduce the wait time for swapped pages to be loaded into SPU 
500, but will still incur substantial encryption/decryption penalty for each page." {*193 125:56-59) 

- "The following is a non-exhaustive list of some of the advantageous features provided by ROS 602 
in the preferred embodiment: 

Secure 

secure commimications 

secure control functions 

secure virtual memory management 

information control structures protected from exposure 

data elements are validated, correlated and access controlled 

components are encrypted and validated independently 

components are tightly correlated to prev«it unauthorized use of elements 

control structures and secured executables are validated prior to use to protect against tampering 

integrates security considerations at the I/O level 

provides on-the-fly decryption of infonnation at release time 

enables a secure commercial transaction network 

flexible key management features" (*193 72:52, 73:19) 

- "ROS 602 generates component assemblies 690 in a secure matter. As shown graphically, in FIGS. 
Ill and 1 IJ, the different elements comprising a component assembly 690 may be "interlocking" m the 
sense that they can only go together in ways that are intended by the VDE participants who created the 
elements and/or specified the component assemblies. ROS 602 includes security protections that cafi 
prevent an unauthorized person from modifying elements, and also prevent an unauthorized person 
from substimting elements." (82:60) 

- - "Because of VDE security, including use of effective encryption, authentication , digital signamre, 

nnH cpnirp Hatflha^e ctnictiirpR fhp rp^Arrfc rnntain witViin s VOP rarri arranopmpnt mav Kp Ttm^nif^r^ ac 

valid transaction records for government and/or corporate recordkeeping requirements." (19:49) 

- "In order to maintain security, SPE 503 must encrypt and cryptographically seal each block being 
swapped out to a storage device external to a supporting SPU 500, and must similarly decrypt, verify 
the cryptographic seal for, and validate each block as it swapped into SPU 500." (123:60) 

- "As mentioned above, memory external to SPU 500 may not be secure. Therefore, when security is 
required, SPU 500 must encrypt seciu-e infonnation before writing it to external memory before using 
it." (69:29) 

- "C^ly those processes that execute completely within SPEs 503 (and in some cases, HPEs 655) may 
be considered to be truly secure. Memory and other resources external to SPE 503 and HPEs 655 used 


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MS Construction 


to store and/or process code and/or data to be used in secure processes should only receive and handle 
that infonnation in encrypted form unless SPE 503/HPE 655 can protect secure process code and/or 
data form non-secure processes." (79: 1 1 ) 

- ^From time to time, two parties (e.g., PPEs A and B), will need to establish a communication channel 
that is know by both parties to be secure form eavesdropping, secure from tampering, and to be in use 
solely by the two parties whose identifies are correctly known to each other." (215:35) 

- "Since all secure communications are at least in part enoypted and the processmg inside the secure 
subsystem is concealed form outside observation and interference, the present invention ensures that 
content control information can be enforced." CI 93 46:4-8) 

•193 199:38-47,221:1-21 

See also prior art referenced in the relevant file histories, e.g. Stefik; Tygar et al., *Dyad: A System for 
Using Physically Secure Coprocessors," School of Computer Science, Camegie MeUon University, 
Pittsburgh, PA 15213 (May 1991). 

Extrinsic: 

"No data system can be made secure without physical protection of some part of the equipment" 
(Davies, p. 3)' 

"Security is a negative attribute. We judge a system to be secure if we have not been able to design a 
method of misusing it which gives some advantage to the attacker." (Davies, p.4) 

"Various criteria exist for secure systems - U.S. Dept. of Defense Trusted Computer Security 
Evaluation Criteria (TCSEC), the Orange Book, Red Book. European and Canadian guidelines, U.S. 
National Institute of Standards and Technology, and United Kingdom guidelines." (Neumann)'*^ 

"Security: 1 . Protection against unwanted behavior. In present usage, computer security includes 
properties such as confidentiality, integrity, availability, prevention of denial of service and prevention 
of generalized misuse, 2. The property that a particular security policy is enforced, with some degree 
of assurance. 3. Security is sometimes used in the restricted sense of confidentiality, particularly in the 
case of multilevel security. Multilevel Security - A confidentiality policy based on the relative ordering 
of multilevel security labels (really multilevel confidentiality, ex. - no adverse flow of information with 
respect to sensitivity of mformation)" (Neumann, Glossary) 

"There are two principal objectives: secrecy (or privacy), to prevent unauthorized disclosure of data; 
and authenticity or integrity) [sic], to prevent the unautiiorized modification of data. ... Note, however, 
that whereas it can be used to detect message modification, it cannot prevent it Encryption alone does 
not protect against replay, because an opponent could simply replay previous ciphertext" (Denning, 
p.5) 

"A cipher in unconditionally secure if, no matter how much ciphertext is intercepted, there is not 
enough information in the ciphertext to determine the plaintext uniquely." (Derming, p.5) (Davies, p. 

41, JoV) 

"A cipher is computationally secure, or strong, if it cannot be broken by systematic analysis with 
available resources." (Denning, p.5) (Davies, p.4 1, 370) 

Security: The combination of integrity and secrecy, applied to data. (ITG, 5/12/95, IT00028295) 

Secrecy: The inability to obtain any information from data. (ITG, 5/12/95, IT00028294) 

. . security includes concealment, integrity of messages, authentication of one communicating party 
by the other. . ." (Neumarm, p. 8) 


^ "Davies" herein refers to Davies, D., et al, Security for Computer Networks, 1984. 
'° **Neumann" herein refers to Neumann, P.G., Computer Related Risks, 1995 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 32 of 100 



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MS Construction 


"Computer security rests on confidentiality, integrity, and availability. The inteipretations of these three 
aspects vary» as do tiie conte)Ct5 in which they arise. 

Con5dentiality is the concealment of information or resources. Q Confidentiality also applies to the 

existence of data, which is sometimes more revealing than the data itself. 

[] All mechanisms that enforce confidentiality require supporting services from the system. The 

assumption is that the security services can rely on the kernel, and other agents, to supply correct data. 

Thus, assumptions and trust underlie the confidentiality mechanisms. 

Integrity refers to the trostworthyness of data or resources, and it is iisually phrased in terms of 

preventing improper or unauthorized change. Integrity mcludes data integrity (the content of the 

informationz) and origin integrity (the source of the data, often called authentication). 

Integrity mechanisms fal\ into two classes: prevention mechanisms and detection mechanisms. 

Protection mechanisms seek to maintain the integrity of the data by blocking any unauthorized attempts 

to change the data or any attempts to change the data in imautborized ways. 

Detection mechanisms do not tiy to prevent violations of integrity; they simple report that the data's 

integrity in no longer trustworthy." O^ishop, p. 4-6)" 

"Defmition 4-1. A security policy is a statement that partitions the states of the system into a set of 

authorized, or secure, states and a set of unauthorized, or nonsecure, states. 

Definition 4-2. A secure system is a system that starts in an authorized state and caimot enter an 

unauthorized state." (Bishop, p. 95) 

*'24.5.1 Secure Systems 

Systems designed with security in mind have auditing mechanisms integrated with the system design 
and implementation." (Bishop, p.706) 

"Computer security is assuring the secrecy, integrity, and availability of components of computing 
systems. The three principal pieces of a computing system subject attacks are hardware, software, and 
data. These three pieces, and the conununicadons between them, constimte the basis of computer 
security vulnerabilities. Hiis chapter has identified four kinds of attacks on computing systems: 
interruptions, interceptions, modifications, and fabrications. 

Three principles affect the direction of work in computer security. By tiie principle of easiest 
penetration, a computing system penetrator will use whatever means of attack is the easiest; therefore. 
All aspects of computing system security need to be considered at once. By principle of timeliness, a 
system needs to be protected against penetration only long enough so that penetration is of no value to 
the penetrator. The principle of effectiveness states that controls must be usable and used in order to 
serve purpose. 

Controls can be ^plied at the levels of data, programs, the system, physical devices, commimications 
links, the environment, and personnel. Sometimes several controls are needed to cover a single 
vulnerability, and sometimes one control addresses several problems at once." (Pfleeger, p.4) 

See also InterTrust's Rule 30(b)(6) testimony and Microsoft PLR 4-2 Exhs. E & F as revised. 
(Examples follow). Webster's New 20* century Dictionary (1947) at 1540-41); Pfleeger at 4-5; 
Spencer, Personal Computer Dictionary at 156; The Computer Glossary at 460; 
McGraw-Hill Dictionary of Scientific and Technical Terms at 1788; 

Bishop, Computer Security (2002) pp. 3-24, 47; 

Hoffman, Modem Methods for Computer Security and Privacy at 2, 134-35; 
Mullender, ed., Distributed Systems (Addison Wesley 2d ed.) at 367, 420; 
Landewehr, "Formal Models for Computer Security" (ACM 1981); 
Merkle, "Protocols for Public Key Cryptosystems" (IEEE 1980); 
Cooper, Computer & Communication Security, at 383; 
Baker, The Computer Security Handbook at 273 ; 
Computer Security Handbook at 3 89; 

Matheson et al., Robusmess and Security of Digital Watermarks; 


""Bishop" herein refers to ""Bishop, M. , Computeir Security, Art & 
Science, 2003) . 

EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 33 of 100 


Claim Term 


MS Constniction 


National Infonnation Systems Security (INFOSEC) Glossaiy at 49-50; 

Internet Security Glossary (RFC2828): 

Tanenbaum, Modem Operating Systems (1992) at 181-82 

IN64706-45, IN176319-72, 11735936 (integrity), IT735938-9 

IN00862862. 111678-96. IT39208-26, IT702969-83. IT399877-80 

■Secure Pertaining to the control of who can use an object and to the extent to which the object can be 
used by'controUing the authority given to the user."; "Computer Security. 1. Concepts, techniques, 
technioil measures, and administrative measures used to protect the hardware, software and data of an 
information processing system from deUberate or inadvertent unauthorized acquismoii, dunnage 
destruction, disclosure, manipulation, modification or use or loss. 2. Protection resultmg from the 
application of computer security." (BM) 

■Security: Freedom from risk or danger. Safety and assurance of safety"; "secure state - a condition in 
which none of the subjects in a system can access objects in an unauthorized mannw. . . (Russell. 
Computer Security Basics, 1992. pp. 8-11,1 13. 227, 420) 

-Various criteria exist for secure systems - U.S. Dept. of Defense Tnisted Computer Security 
Evaluation Criteria (TCSEC), the Orange Book. Red Book. European and Canadian guideUnes, U.S. 
National Institute of Standards and Technology, and United Kingdom guideUnes. 
Tht New IEEE Standard Dictionary of Electrical and Electronics Tenns, 5th Ed. (1993) at 118 1 ("TTie 
protection of computer hardware and software from accidental or malicious access, use. modification, 
destruction, or disclosure.") 

Dictionary of Computing. 3rd Ed. (1990) at 406 C'Prevention of or pnrtection against (a) access to 
infonnation by unauthorized recipients or (b) intentional but unauthonzed destruction or alteration of 
that information.") 

Information Security Dictionary of Concepts, Standards, and Tenns (1992) ("THe quality or state of^ 
Sng cost-effectivefy protected from undue losses (e.g. loss of goodwill, monetary loss, loss of ability 
to continue operations, etc.)") 


secure contsuner 

912.35,861.58. 
683.2 


See "secure" and "container" 
Intrinsic: 

- Prosecution History of '861 Patent: 

"Anderson [U.S. Patent No. 5^37.526] does not expUcitiy address a secure contamer 
perse, but does place documents into containers [Fig. 8 202] and place restriction via 
liiis attached to documents ... which can inchide restrictions ... Such security tools are 
rightfully attached to a structure enc^sulating the document, e.g. its contamer." 
08/805,804 (•861X Office Action, 06/25/98, p. 5. MSI 27417-25 

- Prosecution History of '683 Patent: , . . . . ui r:c^i,„ 

"Claims 7-11. ... are rejected mider 35 U.S.C. 103(a) as bemg unpatentable over Fischer 
(5 412,717) in view of Narasimhalu et al (5.499.298). ... The set of autiiorities 
restrictions are refeired to as "program authorization infonnanon" or "PAI". ... A 
comparison of independent claim 7 to Fischer to derive the similanties and differences 
between the claimed invention and the prior art follows. ... Here, Fischer provides a 
secure container in the fonn of a program, i.e. a governed item, havmg an associated 
PAl ie. at least one rule associated with tiie secure contamer." 
09/221,479(*683). Office Action, nnW9. p. 3-4 GT00065799-800 in IT65863-65) 

- Prosecution History of Application 08/689.606. filed 12 August 1996: (issued as USP 5.943.422 
incorporating '107) Amendment dated2 July 1998: 

"1 (Amended) A rights management method comprismg: (a) receivmg an mfonnation 

signal; (b) steganographically decoding the received infonnation signal to recover digital 
rights management control infonnation r^^v.^ed within at least one secure digiQl 
container, and (c) perfomiing at least one rights management operation based at least m 


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MS Construction 


part on the recovered digital rights management control information. Q 
Remarks Q For example, amended Claims 1, 15 and 22 each recite a digital secure 
container in combination. Neither Rhoads [USP 5,636^92], nor any of the other applied 
references, teaches or suggests tiie recited combmation of features mcluding any digital 
secure container.** 
. Rhoads, USP 5,636,292: 

"FuDy Exact Steganography 

Prior art steganogrs^hic methods currently known to the inventor generally involve fully 
deterministic or "exact" prescriptions for passing a message. Another way to say this is 
that it is a basic assumption that for a given message to be passed correctly in its entirety, 
the receiver of the information needs to receive the exact digital data file sent by the 
sender, tolerating no bit errors or "loss" of data. By definition, "lossy" compression and 
decompression on empirical signals defeat such steganographic methods. (Prior art, such 
as the previously notai Komatsu woik, are the exceptions here.) 
The principles of tiiis invention can also be utilized as an exact form of steganography 
proper. It is suggested that such exact forms of steganogr^hy. whether those of prior art 
or those of this invention, be combined with the relatively recent art of the "digital 
signature" and/or the DSS (digital signature standard) in such a way that a receiver of a 
given empirical data file can first verify that not one single bit of information has been 
altered in the received file, and thus verify that the contained exact steganographic 
message has not been altered. " (55:5-26) 

"One exemplary application is placement of identification recognition units directly 
within modestly priced home audio and video instrumentation (such as a TV). Such 
recognition units would typically monitor * audio and/or video looking for these copyright 
identification codes, and thence triggering simple decisions based on tiie findings, such 
as disabling or enabling recording capabilities, or incrementing program specific billing 
meters which are transmitted back to a central audio/video service provider and placed 
onto monthly invoices." (29*.23) 

- "Use of secure electronic containers to transport items provides an unprecedented degree of security, 
trustedness and flexibility." ('683 8:50-52) 

. "Even if the object is stored locally to the VDE node, it may be stored as a secure or protected 
object so that it is not directly accessible to a calling process. ACCESS method 2000 establishes the 
connections, routings, and security requisites needed to access the object" (*193 192:41-) 

- "Electronic delivery person 4060 receives item 4054 in digital form and places it into a secure 
electronic container 302-thus forming a digital "object" 300. A digital object 300 may in this case be, 
for example, as shown in FIGS. 5 A and 5B. and may include one or more containers 302 containing 
item 4054. FIG. 88 illusnrates secure electronic container 302 as an attach^ case handcuffed to the 
secure delivery person's wrist. Once again, container is shown as a physical thing for purposes of 
illustration only-in the example it is preferably electronic rather than physical, and comprises digital 
information having a well-defined structure (see FIG. 5A). Special mathematical techniques known as 
"cryptography" can be used to make electronic container 302 secure so that only intended recipient 
4056 can open the container and access the electronic document (or other item) 4054 it contains." 
(*683 15:56-16:6) 

"Because container 152 can only be opened within a secure protected processing environment 154 
that is part of the virtual distribution environment described in the above-referenced Ginter et al. patent 
disclosure" (*712 168:22-25) 

"A VDE content container is an object that contains both content (for example, commerciaUy 
distributed electronic information products such as computer software programs, movies, electronic 
publications or reference materials, etc.) and certain control information related to the use of the 
object's content." C193 19:15-21) 

- C193 82:24-45); (*193 192:36-52); ('683 18:49-56);(*861 4:51-64) 
Extrinsic: 

Container: VDE objects are represented in a special form called a container. The container is 


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MS Construction 


implemented witiiin the VDE as an object-oriented container class. The container class provides a 
standard method by which applications software may encapsulate and read information stored within 
the object AdditionaUy, the container may include procedural information associated with the data 
being stored. Contmners may be nested, and share attributes with nested elements. Nested containers 
are stored within a larger container. VDE recognizes the presence of additional objects within the 
content, and allows the nested containers to share, extend or ovexride the attributes of an outer 
container. (VDE ROI DEVICE vl.Oa 9 Feb 1994, IT00008572) 

Secure: Pertaining to the control of who can use an object and to the extent to which the object can be 
used by controlling the authority given to the user. (IBM) 

Container In data security, a multilevel information structure. A container has a classification and may 
contain objects and/or other containers. (Longley) 

Container: A protected (encrypted) storage object that incorporates descriptive information, protected 
content, and (optionally) control objects applicable to that content (ITG, 3/7/1995, rn)07096 17, see 
footnote 2) 

Container A contams protected content, which is divided into one or more atomic elements, and, 
optionally. PERCs governing Ac content and may be manipulated only as specified by a PERC, ^G, 
4/6/95, IT00028206, see footnote 5) 

Container A packaging mechanism, consisting of: *One or more Element-derived components. *An 
organization mechanism which provides a unique name within a flat namespace for each of the 
components in a Container GTG, 5/12/95, IT00028293) 

Container A protected digital information storage and transpK)rt mechanism for packaging content and 
control information. (ITG, 8/21/95, IT00032372, TDO0068B) 

"Secure Container(s)" means electronic container(s) or electronic data arrangements that: (I) use one or 
more cryptographic or other obfuscation techniques to provide protection for at least a portion of the 
Content hereof; and (ii) supports the use of Rules and Controls to enable the Management of Content 
(License Agreement IT and Universal Music Group, 4/13/99, Exhibit 1 1 to IT 30(bX6)) 

A protected digital information storage and transport mechanism for packaging content and control 
information. (IT 69 11 87) 

Secure container A DigiBox container provides security through encryption and Ae PPE of a 
conmierce node. A secure container does not require a secure communications traiisport mode. (IT 
35965) 

A DigiBox container provides for the persistent protection of its properties. (IT 35920) 
DigiBox containers ensure integrity. (IT 35895) 

secure contamer 
governed item 

683.2 

Intrinsic: 
Extrinsic: 

Secure: Pertaining to the control of who can use an object and to the extent to which the object can be 
used by controlling the authority given to the user. (IBM) 

Container: In data security, a multilevel information structure. A container has a classification and may 
contain objects and/or other containers. (Longley) 

Item: 1 . An element of a set of data. 2. One unit of a commodity such as one ox, one bag, or one can. 
(IBM) 

Item: In computing, a group of related characters treated as a tmit For example, a record may comprise 
a number of items, that in turn may consist of other items. (Longley) 

Container: A protected (encrypted) storage object that incorporates descriptive information, protected 
content, and (optionally) control objects applicable to that content (ITG, 3/7/95, IT00709617, see 
footnote 2) 

Container A packaging mechanism, consisting of: *One or more Element-derived components. *An 


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MS Construction 


organization mechanism which provides a unique name within a flat namespace for each of the 
components m a Container (ITG, 5/12/95, IT00028293) 

Container A protected digital information storage and transport mechanism for packagmg content and 
control information. (ITG. 8/21/95. IT00032372, TO00068B) 

Secure Processing Unit The physically secure hardware component of the SPE: a processor with local 
memory and non-volatile storage. The SPE consists of the SPU itself and the SPE software running on 
the SPU. (ITG, 3/7/95. IT00709620. see footnote 2) 

DigiBox Container InterTnist's secure cryptographic data structure for packaging and contaiiung 
contents and controls. A DigiBox container provides for the persistent protection of its content and 
controls through the Protected Processing Environment of XECutor. A DigiBox container eliminates 
the need for a secure communications channel, such as SSL or SHTTP. (ITG. 10/2/96. IT0OO35893, 
TD00189F) 

DigiBox Container A format for protected storage and transport of digital content and business rules. 
The DigiBox container uses cryptogr^hy to ensure that the information it holds is protected and can 
only be mani5)ulated by InterTrust Commerce Nodes. (ITG. 1 1/17/96. rr00035866, TD00189J) 

secure database 

193.1.193.11. 
193.15 

Intrinsic: 

- See *193, Figures 7, 10. 

- "FIG. 36 shows an example of how a new record or element may be inserted into a secure database 
610. The load process 1070 shown in FIG. 35 checks each data element or item as it is loaded to ensure 
that it has not been tampered with, replaced or substituted. In the process 1 070 shown in FIG. 35. the 
first step &at is performed is to check to see if the current user of electronic appliance 600 is 
authorized to insert die item into secure database 610 (block 1072)... The non-secure element within its 
security wnq>per may then be stored within secure daubases 610." 

- "Hie keys to decrypt secure database 610 records are, in the preferred embodiment, maintained 
solely within the protected memory of an SPU 500." 

- "By using this process, SPE 503 can protect the data structure (including the indexes) of secure 
databases 610 against substitutions of old items and against substitution of indexes for current items." 

- "The security of secure databases 6 1 0 files may be further improved by segmenting the records into 
"compartments." Different encryption/decryption keys may be used to protect different 
"compartment" This strategy can be used to limit the amoimt of information within secure database 
310 that is encrypted with a single key/ Another technique for mcreasing secure database 610 may be 
to encrypt different portions of the same records with different keys so that more than one key may 
needed to decrypt these records." 

- "Each electronic appliance 600 may have an instance of secure database 610 that securely maintains 
the VDE items. FIG. 16 shows one example of a secure database 610. 

- "VDE Secure Database 610: VDE 100 stores separately deliverable VDE elements in a secure (e.g., 
encrypted) database 610 distributed to each VDE electronic appliance 610. The database 610 in the 
preferred embodiment may store and/or manage three basic classes of VDE items: VDE objects, VDE 
process elements, and VDE data structures." 

- "Secure Database Keys: PPE 650 preferably generates these secure database keys and never exposes 
the outside of the PPE. They are site-specific in the preferred embodiment, and may be "aged" as 
described above. As described above, each time an updated record is written to secure database 610, a 
new key may be used and kept in a key list within the PPE." (212:36) 

- "Secure database encryption keys in the preferred embodiment are frequently changing and are also 
site specific," (219:30) 

. ('193 79:24); (* 1 93 7 1 :28-40); (* 1 93 1 1 1 :59-67) 


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MS Construction 


Extrinsic: 

Secure store: The Secure store is the system area that provides an encrypted storage method for storing 
ROI interna] files and other highly secure information. In some applications, entire media volumes can 
be distributed encrypted as part of the secure store to enhance overall security for the content by 
obscuring the file system and media descriptors associated with the volume. A dedicated volume or 
partition will only be required if an application cannot be supported without it (e.g. a required 
government security level for the specific application). In most cases, the user will not be required to 
dedicate an entire volume or partition of the hard disk, and the secure store will be supported using an 
encrypted file, or files, on the hard disk. ROI will also support a dedicated partition as an option to the 
administrator of a network server, as one of several ways to assure the integrity of the system. (VDE 
ROI DEVICE vl.Oa 9 Feb 1994, 1700008586) 

Database: 1. A collection of data with a given structure for accepting, storing, and providing, on 
demand, data for multiple users. 2. A collection of interrelated data 
organized according to a database schema to serve one or more ^plications. 3. A collection of data 
fundamental to a system. 4. A collection of data fundamental to an enterprise.(IBM) 

Database: 1. An extensive and comprehensive set of records collected and organized in a meaningful 
manner to serve a particular piirpose. 2. In computing, a collection of stored operational data used by 
the applications system of an enterprise. (Longley) 

"The basic security requirements of data base systems are not unlike the security requirements of other 
computing systems we have studied. The basic problem-access control, exclusion of spurious data, 
authentication of users, reliability-have appeared in many context so in this book. Following is a list 
of requirements for security of data base systems. 

Physical data base integrity, so that the data of a data base is immune to physical 
problems, such as power failures, and so that it is possible to reconstruct that data base if 
it is destroyed through a catastrophe. 

Logical data base integrity, so that the structure of the data base is preserved. With 
logical integrity of a data base, a modification to the value of one field does not affect 
ottkCT field, for example. 

Element integrity, so that the data contained in each element is accurate. 

Auditability, to be able to track who has accessed (or modified) the elements in the data 

base. 

Access control, so that a user is allowed to access only authorized data and so that 
different user can be restricted to different modes of access (for example, read or write). 
User authentication, to be sure that every user is positively identified, botii for audit trail 
and for permission to access data. 

Availability, meaning that users can access the data base in general and all the data for 
which they are authorized." (Pfleeger) 

Security: The combination of integrity and secrecy, applied to data. (ITG, 5/12/95, IT00028295) 
Secrecy: The inability to obtain any information from data. (ITG, 5/12/95, IT00028294) 

secure execution 
space 

721.34 

Intrinsic: 

- Prosecution History of '721 Patent : 

"execution spaces" "refers to a resource which can be used for execution of a program or process." 
Amendment 

- "Protected execution spaces such as protected processing environments can be programmed or 
otherwise conditioned to accept only those load modules or other cxecutables bearing a digital 
signature/certificate of an accredited (or particular) verifying authority. Tamper resistant barriers may 
be used to protect this programming or other conditioning. The assurance levels described below are a 
measure or assessment of the effectiveness with which this programming or other conditioning is 


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MS Construction 


protected." 

- C721 3:16-23) 

- "A protected processing environment or other secure execution space protects itself by executing 
only ^ose load modules or other executables that have been digitally signed for its corresponding 
assurance level." 

- "Different protected processing environments (secure execution spaces) might examine different 
subsets of the multiple digital signatures-so that compromising one protected processing environment 
(secure execution space) will not compromise all of them.** 

- "The internal ROM 532 and RAM 534 within SPU 500 provide a secure operating environment and 
execution space." {'193 69:33-35) 

- SPU 500 general purpose RAM 534 provides, among other things, secure execution space for secure 
processes. (192 70:43-44) 

"Virtual memory manager 580 provides a fully •Virtual" memory system to increase the amoimt of 
"virtual" RAM available in the SPE secure execution space beyond the amount of physical RAM 534a 
provided by SPU 500.** C193 109:24-45) 

Extrinsic: 

Secure: Pertaining to the control of who can use an object and to the extent to which the object can be 
used by controlling the authority given to the user. (IBM) 

Execution: The process of carrying out an instruction or instructions of a computer program by a 
computer. (IBM) 

Space: 1 . A site intended for storage of data, 2. A basic unit of area, usually the size of a singe 
character. 8. To cause a printer to move the paper a specified nimaber of lines either before or after it 
prints a line. (IBM) 

secure memory, 
memory 

193.1, 193.11. 
193.15 

Intrinsic: 

- "Because secondary storage 652 is not secure, SPE 503 must encrypt and ciyptographicaliy seal 
(e.g., using a one-way hash function initialized with a secret value known only inside the SPU 500) 
each swap block before it writes it to secondary storage." ('193 107:39-46) 

- "Due to tiic practical limits on the amount of ROM 532 and RAM 534 that may be included within 
SPU 500, SPU 500 may store information in memory external to it, and move this information into and 
out of its secure internal memory space on an as needed basis." ('193 18:14-19); 

- '*Such external memory may be used to store SPU programs, data and/or other information. For 
example, a VDE control program may be, at least in part, loaded into the memory and communicated 
to and decrypted within SPU 500 prior to execution. Such control programs may be re-encrypted and 
communicated back to external memory where they may be stored for later execution by SPU 500. 
"ICemer programs and/or some or all of the non-kernel "load modules" may be stored by SPU 500 in 
memory external to it Since a secure database 610 may be relatively large, SPU 500 can store some or 
all of secure database 610 in external memory and call portions into the SPU 500 as needed. As 
mentioned above, memory external to SPU 500 may not be secure. Therefore, when security is 
required, SPU 500 must encrypt secure information before writing it to external memory, and decrypt 
secure information read from external memory before using it. Inasmuch as the encryption layer relies 
on secure processes and information (e.g., encryption algorithms and keys) present within SPU 500, 
the encryption layer effectively "extends" the SPU security barrier 502 to protect information the SPU 
500 stores in memory external to it." ('193 71:19-40) 

- "Key and Tag Manager 558 also provides services relating to tag generation and management In the 
preferred embodiment, transaction and access tags are preferably stored by SPE 503 (HPE 655) in 
protected memory (e.g., within the NVRAM 534b of SPU 500). Iliese tags may be generated by key 
and tag manager 558, They are used to, for example, check access rights to, validate and correlate data 
elements. For example, they may be used to ensure components of the secured data structures are not 


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MS Construction 


tampered with outside oftheSPU 500."C193 120:59-121:1) 

- "The degree of overall security of the VDE system is primarily dependent on the degree of tamper 
resistance and concealment of VDE control process execution and related data storage activities. 
Employing special purpose semiconductor packaging techniques can significantly contribute to the 
degree of security. Conceabnent and tamper-resistance in semiconductor memory (e.g., RAM, ROM, 
NVRAM) can be achieved, in part, by employing such memory within an SPU package, by encrypting 
data before it is sent to external memory (such as an external RAM package) and decrypting encrypted 
data within the CPU/RAM package before it is executed. This process is used for important VDE 
related data when such data is stored on unprotected media, for example, standard host storage, such as 
random access memory, mass storage, etc " (* 193 2 1 :26-40) 

"Secondary storage 662 may comprise the same one or more non-secure secondary storage 
devices (such as a magnetic disk and a CD-ROM drive as one example) that electronic appliance 600 
uses for general secondary storage functions. In some implementations, part or all of secondary storage 
652 may comprise a secondary storage devicc(s) that is physically enclosed within a secure enclosure. 
However, since it may not be practical or cost-effective to physically secure secondary storage 652 in 
many implementations, secondary storage 652 may be used to store information in a secure manner by 
encrypting information before storing it m secondary storage 652. If information is encrypted before it 
is stored, physical access to secondary storage 652 or its contents does not readily reveal or 
compromise the information." ('193 62:43-58) 

- n93 59-60-60-3); ('193 69:47-48); C193 164:55-60); ('193 59:48-59); ('193 63:60-64:5); C193 
69:6-1 1); C193 69:27-32); C193 69:39^3); ('193 7132-35); C193 71:42-47); C193 78:16-17); C193 
120:37-41) 

Extrinsic: 

Secure: Pertaining to the control of who can use an object and to the extent to which the object can be 
used by controlling the authority given to the user. (IBM) 

Memory: All of the addressable storage space in a processing unit and other internal storages that is 
used to execute instructions.(IBM) 

secure operating 
enviromnent, 
said operating 
environment 

891.1 

Intrinsic: 

- VDE provides a secure operating environment employing VDE foundation elements along with 
secure independently deliverable VDE components that enable electronic commerce models and 
relationships to develop.** C193 13:37-41) 

. "The internal ROM 532 and RAM 534 within SPU 500 provide a secure operating environment and 
execution space." (67:29) 

- C193 34:26-49); C193 72:52-73:37); ('193 77:30-44) 
Extrinsic: 

Execution environment: Some load modules contain code that executes in a ROI device. Some load 
modules will contain' code that executes in the user's platforai microprocessor. This allows methods to 
be constructed that execute in whichever environment is appropriate. For example an informatioii 
method could be built to execute only in ROI secure space for government classes of security, or in the 
user's platform microprocessor for virtually all commercial applications. The public header of the load 
module will contain a field that indicates where it needs to execute. This functionality also allows for 
different ROI devices as well as different user platforms and allows methods to be constructed for 
either. It should be noted that load modules that execute outside of an ROI device are deemed insecure 
by the VDE Architecture and secure processes should not be implemented using load modules that 
execute outside of an ROI device. (VDE ROI DEVICE vl.Oa, 9 Feb 1994, IT00008592) 

"Saltzer [SAL74] and Saltzer and Schroeder [SAL75] listed the following principles of the design of 
secure protection systems. 

Least privilege: Each user and each program should operate using the fewest privileges 


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MS Construction 


possible. In this way, the damage from an inadvertent or malicious attack is minimized. 
Economy of mechanism: The design of the protection system should be small, simple 
and straightforward. Such a protection can be exhaustively tested, periiaps verified, and 
trusted. 

Open design: The protection mechanism must not depend on the ignorance of potential 
attackers; the mechanism should be public, depending on secrecy of relatively few key 
items, such as a password table. An open design is also available for extensive public 
scrutiny. 

Complete mediation: Every access must be checked. 

Permission-based: The defauk condition should be denial of access. A conservative 
designer identifies those items that should be accessible, rather than those that should not 
Separation of privilege: Ideally, access to objects should depend on more than one 
condition, such as user authentication plus a cryptographic key. In this way, someone 
who defeats one protection system will not have complete access. 
Least common mechanism: Shared objects provide potential channels for information 
flow. Systems employing physical or logical separation reduce the risk from sharing. 
Easy to use: If a mechanism is easy to use, it is unlikely to be avoided." 
(Pfleeger section 7.2) 

Environment See InterTrust node: A computer that is enabled for processing of DigiBox containers 
by installation of a PPE, which may be either hardware or software based. A node may include 
application software and/or operating system integration. The node is also termed the environment 
GTG, 8/21/95, IT00032375, TEX)0068B) 

securely applying 
891.1 

Intrinsic: 
Extrinsic: 

Secure: Pertaining to the control of who can use an object and to the extent to which the object can be 
used by controlling the authority given to the user. (IBM) 

Applying: L In joumaling, to place after-images of records into a physical file member. The after- 
images are recorded as entries in a journal. 2. An SMP process that moves distributed code and MVS- 
type programs to flie system libraries. (IBM) 

securely 
assembling 

912.8, 91235 

Intrinsic: 

- C193 87:33-40) 

"ROS 602 also provides a tagging and sequencing scheme fliat may be used within the loadable . 
component assemblies 690 to detect tampering by substitution. ('193 87:41-62) 

- "ROS 602 generates component assemblies 690 in a secure manner. As shown graphically in 
FIGS. 1 11 and 1 1 J, the different elements comprising a component assembly 690 may be 
"interlocking" in tibe sense that they can only go together m ways that are intended by the VDE 

' participants who created the elements and/or specified the component assemblies. ROS 602 includes 
-security protections that can prevent an unauthorized person from modifying elements, and also 
prevent an unauthorized person from substituting elements." (*193 84:60-85:2) 

"ROS 602 assembles these elements together into an executable component assembly 690 prior to 
loading and executing the component assembly (e.g., in a secure operating environment such as SPE 
503 and/or HPE 655). ROS 602 provides an element identification and referencing mechanism that 
includes infomiation necessary to automatically assemble elements into a component assembly 690 in 
a secure manner prior to, and/or during, execution." (*193 83:44-52) 

- ('107 page 782 claim 80); CI 93 1 16:25-35); ('193 116:29-33) 

Extrinsic: 

Secm-e: Pertaining to the control of who can use an object and to the extent to which the objea can be 
used by controlling the authority given to the user, (EBM) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 41 of 100 



Claim Term 

MS Construction 

securely 
processing 

891.1 

Intrinsic: 

- "VDE can satisfy the requirements of widely differing electronic commerce and data security 
applications by, in part, employing this general purpose transaction management foimdation to securely 
process VDE transaction related control methods " C 193 25:52-57) 

- "For example, they [HPE and SPE] may each perform secure processing based on one or more VDE 
component assemblies 690, and tiiey may each offer secure processing services to OS kernel 680." 
(493 79:43-46) 

- **VDE methods 1 000 are designed to provide a very flexible and highly modular ^proach to secure 
processing." C 193 181:18-19) 

- "In these cases, secure processing steps performed by an SPU typically must be segmented into 
small, securely packaged elements that may be "paged in" and "paged out" of the limited available 
internal memory space." (67:39) 

- (*193 21:43-22:31); ('193 109:24-45); (493 139:28-31); C683 24:26-33) 

- Load modules are not necessarily directly governed by PERCs 808 that control them, nor must they 
contain any time/date information or expiration dates. The only control consideration is the preferred 
embodiment is that one or more methods 1000 reference them using a correlation tag (the value of a 
protected object created by the load module's owner, distributed to authorized parties for inclusion in 
their methods, and to which access and use is controlled by one or more PERCs 808). If a method core 
1000' references a load module 1 100 and asserts the proper correlation tag (and the load module 
satisfies the internal tamper checks for the SPE 503), then the load module can be loaded and executed, 
or it can be acquired from, shipped to, updated, or deleted by, other systems. 

- ROS 602 also provides a tagging and sequencing scheme that may be used within loadable 
component assemblies 690to detect tampering by substitution. Each element comprising a component 
assembly 690 may be loaded into a SPU 500, decrypted using encrypt/decrypt engine 522, and then 
tested/compared to ensure that the proper element has been loaded. ...In addition, a 
validation/coiTelation tag stored under the encrypted layer of the loadable clement may be compared to 
make sure it matches on or more tags provided by a requesting process. This prevents unauthorized use 
of information. As a third protection, a device assigned tag (e.g., a sequence number) stored under an 
encryption layer of loadable element may be checked to make sure it matches a corresponding tag value 
e^q>ected by SPU 500. This prevents substitution of older elements. Validation/correlation tags are 
typically passed only in secure wrappers to prevent plaintext exposure of this infoimation outside of 
SPU 500.. 

- Key and Tag Manager 558 also provides service relating to tag generation and management In the 
preferred embodiment, transaction and access tags are preferably stored by SPE 503 (HPE 665) in 
protected memory (e.g., within the NVRAM 534b of SPU 500). These tags may be generated by key 
and tag manager 558. They are used to, for example, check access rights to, validate and correlate data 
elements. For example, they may be used to ensure components of the secured data structures are not 
tampered with outside of the SPU 500, 

- Initiation of load module execution in this environment is strictly controlled by a combination of 
access tags, validation tags, encryption keys, digital signatures, and/or correlation tags. Thus, a load 
module 1 100 may only be referenced if the caller knows it ID and asserts the shared secret correlation 
tag specific to that load module. The decrypting SPU may match the identification token an and local 
access tag of a load module after decryption. These techniques make the physical replacement of any 
load module 1 100 detectable at the next physical access of a load module. 

- Meters and budgets are common examples of this. Expiration dates cannot be used effeaively to 
prevent substitution of the previous copy of a budget UDE 1200. To secure these frequently updated 
items, a transaction tag is generated and included in the encrypted item each time that item is updated. 
A list of all VDE items Ids and the current transaction tags for each item is maintained as part of the 
secure database 610. 

UDEs 1200 are preferably encrypted using a site specific key once they are loaded into a site. This site- 
specific key marks a validation tag that may be derived from a cryptograph ically strong pseudo-random 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 42 of 100 



Claim Term 

MS Construction 


sequence by the SPE 503 and updated each time the record is written back to the secure database 610. 
This technique provided reasonable assurance that the UDE 1200 has not been tampered with nor 
submitted when it is requested by the system for the next use. 

Extrinsic: 

Secure: Pertaining to the control of who can use an object and to the extent to v/h\ch the object can be 
used by controlling the authority given to the user. (IBM) 

Process: 1. The performance of logical operations and calculations on datum including temporary 
retention of data in processor storage while the data is being operated on. (IBM) 

Process: Process: (1) in computing, the active system entity through which programs run. The entity in 
a computer system to which authorizations are granted; thus the unit of accountability in a computer 

system. (2) In computing, a program in execution (4) In computing, a program is a static piece of 

code and a process is the execution of that code. (Longley) 

Processing: In legislation, as defmed by the U.K. Data Protection Act o f 1984, pertaining to the 
amending, augmenting, deleting, or re-arranging of the data or extracting the information constituting 
Ae data and , in the case of personal data, processing means perfonning any of the abovementioned 
operations by reference to the data subject (Longley) 

securely 
receiving 

891.1 

Intrinsic: 

Prosecution History of Application 08/388,107: "Johnson's user database is not securely delivered, but 
rather is created at the license server by-and is under the control of— tiie site administrator,** 

08/388,107, Amendment, 06/20/97, p. 23 (MS1028847) 

"(A]pplicants' independent claims ... require secure delivery of both first ^d second control items 
originating from someplace other than tiie appliance where they are used, at least in part, for controlling 
the same process, operation or the like. This feature in combination is not taught or suggested by 
Johnson and/or Rosen." 
(pg-23) 

"Johnson's user database is not securely delivered, but rather is created at the license server by-and is 

under the control of— the site administrator.** 

(pg.23) 

"Rosen does not disclose or suggest securely delivering controls of plural different entities and/or 
appliances from at least one source remote to the receiving site or appliance as recited in applicants* 
independent claims Rosen's is distinguishable at least because Rosen *s merchant trusted agent 
(MTA) and customer trusted agent (CTA) are loaded into different appliances and operate in different 
appliances. ... Furthermore, such loading operation is performed at Rosen's physically secure device 
manufacturing site — not from at least one source remote to the device." 
(pg. 23-24) 

08/388,107, Amendment, 06/20/97, p. 23, 23, 24 (MSI028 847-48) 

- "Secure communications means employing authentication, digital signaturing, and encrypted 
transmissions." (M93 12:5-35, 12:33) 

- The appliance 600 may then open the secure electronic container ("attachd case") 302 and deliver 
ine Item ii contains lo recipicm **ujo \^rnj. 710, oiuck \ voj j 

- "FIGS. 114A-1 1 8 show example processes for securely receiving an item" ('683 14:64-65) 

- "By way of non-exhaustive summary, these present inventions provide a highly secure and trusted 
item delivery and agreement execution services providing the following features and functions:" 
('683:6) 

- "When encrypted or otherwise secured information is delivered into a user's secure VDE processing 
area (e.g., PPE 650), a portion of this information can be used as a '"tag" that is first decrypted or 
otherwise unsecured and then compared to an expected value to confirm that the information represents 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 43 of 100 


Claim Term 


MS Construction 


security level, 
level of security 

721.1; 721.34, 
912.8 


expected infoimation. Hie tag thus can be used as a portion of process confirming the identity and 
correctness of received, VDE protected, information." (214:17) 

_ "For objects in which maintaining security is particularly important, the permission records 808 
and key blocks 810 will frequently be distributed electronically, using secure communications 
techniques (discussed below) that are controUed by the VDE nodes of the sender and receiver." ('193 
129'8-13) 

- "Creator B . may accept such a [new control] model if information associated with the one or 
more meter methods that record the number of bytes decrypted by users is securely packaged by 
distributor B's VDE secure subsystem and is securely, employing VDE communications techniques, 
sent to creator B in addition to distributor A" C 1 93 307:46-5 1) 

. (»193 209:27-30); C193 29:64-30:4); ('193 36:29-33); C193 45:39-45); C193 153:53-67); (493 
293:4-7); C683 15:67-16:4) 

Extrinsic: 

Secure: Pertaining to the control of who can use an object and to the extent to which the object can be 
used by controlling the authority given to the user. (IBM) 
Receiving: 1. To obtain and store data.(IBM) 

Secure Processing Unit: The physically secure hardware component of the SPE: a processor with local 
memory and non-volatile storage. The SPE consists of the SPU itself and the SPE software runnmg on 
the SPU. (ITG, 3/7/1995, IT00709620, see footnote 2) 


Intrinsic: 

- (M 93 21 :26-3 1); C 193 45:52-59), but only as to 912.8. 

- •^For example, protected processing environments or other secure execution spaces that are more 
impervious to tampering (such as those providing a higher degree of physical security) may use an 
assurance level that isolates it from protected processing environments or other secure execution spaces 
that are relatively more susceptible to tampering (such as those constructed solely by software 
executing on a general purpose digital computer in a non-secure location)." 

- "The present invention may use a verifying authority and the digital signatures it provides to 
compartmentalize the different electronic appliances depending on their level of security (e.g., work 
factor or relative tamper resistance)." 

- "Assurance level 1 might be used for an electronic appliance(s) 6 1 whose protected processing 
environment 108 is based on software techniques that may be somewhat resistant to tampering. An 
example of an assurance level I electronic appliance 61 A might be a general purpose personal computer 
that executes software to create protected processing environment 108. An assurance level II electronic 
appliance 61B may provide a protected processing environment 108 based on a hybrid of software 
security techniques and hardware-based security techniques. An example of an assurance level II 
electronic appliance 61B might be a general purpose personal computer equipped with a hardware 
integrated circuit secure processing unit ("SPU'*) that performs some secure processmg outside of the 
SPU (see Ginter et al. patent disclosure FIG. 10 and associated text). Such a hybnd arrangement might 
be relatively more resistant to tampering than a software-only implementation. The assurance level III 
appliance 61C shown is a general purpose personal computer equipped with a hardware-based secure 
processing unit 132 providing and completely containing protected processing environment 108 (see 
Ginter et al. FIGS. 6 and 9 for example). A silicon-based special purpose integrated circuit security chip 
is relatively more tamper-resistant than implementations relying on software techniques for some or all 
of their tamper-resistance." ('721 ) 

- "Assurance level in this example may be assigned to a particular protected processing environment 
108 at initialization (e.g., at the factory in the case of hardware-based secure processing units). 
Assigning assurance level at initialization time facUitates the use of key management (e.g., secure key 
exchange protocols) to enforce isolation based on assurance level. For example, since establishment of 
assurance level is done at initialization time, rather than in the field in this example, the key exchange 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 44 of 100 


Claim Term 

MS Construction 


mechanism can be used to provide new keys (assuming an assurance level has been established 
correctly)." 0721 _J 

- "The assurance level m appliance 61C shown is a general purpose personal computer equipped with 
a hardware-based secure processing unit 132 providing and completely containing protected processing 
environment 108 (see Ginter et al. FIGS. 6 and 9 for example). A silicon-based special purpose 
integrated circuit security chip is relatively more tamper-resistant than implementations relying on 
software techniques for some or all of tiieir tamper-resistance." 

- "Protected execution spaces such as protected processing environments can be programmed or 
otherwise conditioned to accept only those load modules or other executables bearing a digital 
signature/certificate of an accredited (or particular) verifying authority. Tamper resistant barriers may 
be used to protect this programming or otiier conditioning. The assurance levels described below are a 
measure or assessment of the effectiveness with which this programming or other conditioning is 
protected." 

- SN: 08/689,754: Amendment 

- Claims 9 and 30 cancelled. 

- Claims 1-2, 5-6, 10-15, 17-23, 26-27, 31-32, 34. 36, 38-43 amended. Some terms changed (e.g. 
work fector = security level); points in part to * 1 07 spec'n (and in part to specific portions of *754 app.) 
to support defmiteness of challenged claim terms; "execution spaces" "refers to a resource which can 
be used for execution of a program or process." (14)); 

- "In accordance with this feature of the invention, veriiying authority 100 supports all of these 
various categories of digital signatures, and system 50 uses key management to distribute the 
appropriate verification keys to different assurance level devices. For example, verifying authority 100 
may digitally sign a particular load module 54 such that only hardware-only based server(s) 402(3) at 
assurance level XI may authenticate it This compartmentalization prevents any load module executable 
on hardware-only servers 402(3) from executing on any other assurance level appliance (for example, 
sofhvare- only protected processing environment based support service 404(1))." (19:1 1) 

- "VDE. in its preferred embodiment, uses special purpose tamper resistant Secure Processing Units 
(SPUs) to help provide a high level of security for VDE processes and information storage and 
communication." (*193 4:3-7) 

- C193 29:24-28); C193 49:59-62); ('193 201:51-55); ('193 203:58-67); ('193 212:66-213:15) 

"In order to allow, in the preferred embodiment, the ability to differentiate installations with 
different levels/degrees of trustedness/security, different certification key pairs may be used (e.g., 
different certification keys may be used to certify SPEs 503 then are used to certify HPEs 655)." 
(210:36) 

"security level. To protect digital works against unauthorized uses, repositories need different 
degrees of physical security. Repositories handling extremely valuable works need greater 
security than ones for ordinary and portable use. The term security level refers to a sequence of 
levels ranging from low security to very high security." 

"Letting Loose the Light: Igniting Commerce in Electronic Publication," Stefik, draft 1994, 1995 

(MSI028761) 

"Security level: Different degrees of physical security - ranging from low security to very high 
security - for protecting digital works against unauthorized use. Repositories for handling 
extremely vaiuaoie worKs neeo greaier secuniy uioii uiubc lur uiuuioiy oiiu puruioic ubc. 

"Letting Loose the Light: Igniting Commerce in Electronic Publication," Stefik, in Internet Dreams, 

MIT 1996 (MSI028785) 

Prosecution History of '721 Patent: 

"please amend the application identified above as follows: 

IN THE CLAIMS 

Please cancel claims ... and amend claims 1, ... as follows: 
I . [Amended] A security method comprising: 

(a) digitally signing a fu-st load module with a fu-st digital signature designating the fu-st load 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 45 of 100 



Claim Term 

MS Construction 


module for use by a first device class; 

(b) digitally sigaing a second load module with a second digital signature difierent from the first 
digital signature, the second digital signature designating the second load module for use by a second 
device class having at least one of tamoer resistance andf/orl security level fwork factor substantiallv] 
different from flie at least one of tamper resistance and/for! security level [work factor! of ihe first 
device class; 

(c) distributing the first load module for use by at least one device in the first device class; and 

(d) distributing the second load module for use by at least one device in the second device class.**" 
(pg.J-2) 

"36, f Amended] A protected processing environment comprising: 

a first tamper resistant barrier having a first security level [work factorl, 

a first secure execution space, and 

at least one arrangement within the fint tamper resistant barrier that prevents the first secure execution 
space from executing the same executable accessed by a second rfurther] secure execution space having 
a second ffortherl tamper resistant barrier with a second ffurthcrl security level fwork factor 
substantially] different from the first security level [work factor!.** 
(pg- 10) 

"In the pending Office Action, the Examiner rejected claims 1-43 under 35 U.S.C. 1 12, second 
paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter 
of the invention. By this Amendment, Applicants have canceled claims ... and amended other claims 
to more appropriately define the present invention. ... In response to the Examiner's rejection. 
Applicants also have amended Claims 1-2, ... 36, to address issues raised by the Examiner." 
(pg. 13) 

08/689,754 C721), Amendment, 04/14/99, 1-2, 10. 13 
Extrinsic: 

Security: The quality or state of being cost-effectively protected from undue losses (e.g. loss of 
goodwill, monetary loss, loss of ability to continue operations, etc.) (Longley) 

Level: 1. The degree of subordination of an item in a hierarchic arrangement 3. The version of a 
program. (IBM) 

Level: 1. In computer security, sec security level and integrity level (Longley) 

Security level: In computer security, the combination of hierarchical classification and a set of non- 
hierarchical categories that represent tiie sensitivity of information. (Longley) 

Integrity level: In access control, a level of trustworthiness associated with a subject or object 
(Longley) 

Security: The combination of integrity and secrecy, applied to data. (ITG, 5/12/95, IT00028295) 
Secrecy: The inability to obtain any information from data. (ITG, 5/12/95, IT00028294) 

tamper resistance 

721.1,721.34, 
900.155 

Intrinsic: 

"The level of security and tamper resistance required for trusted SPU hardware processes depends on 
the commercial requirements of particular markets or market niches, and may vary widely," (' 193 
49:59-62) 

Extrinsic: 

Tamper-resistant Module: In data security, a device in which sensitive information, such as a master 
cryptographic key, is stored and cryptographic functions are performed. The device has one or more 
sensors to detect physical attacks, by an adversaiy trying to gain access to the stored information in 
which case the stored sensitive data is immediately destroyed. (Longley) 

Infonnation Security Dictionary of Concepts, Standards, and Terms (1992) ("Tamper-resistant Module: 
In data security, a device in which sensitive information, such as a master cryptographic key. is stored 
and cryptographic functions are performed. The device has one or more sensors to detect physical 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 46 of 100 



Claim Term 

MS Construction 


attacks, by an adversary trying to gain access to the stored information in which case the stored 
sensitive data is immediately destroyed-'O 

IT41530-49,IT51147-60 

Neumann, Computer Related Risks (1995) at 349 

Tamper resistant 
bairier 

721.34 

Intrinsic: 

"In addition. Applicants would like to draw the Examiner's attention to other sections of the 
specification in support of words or phrases cited by the Examiner as "mdefinite." .,. In claims ... 36 
... the term "barrici^ is used as part of the phrase "tamper resistant bairier." This phrase is described in 
the specification on at least pages 7-S and 46. In addition, the incorporated Ginter application describes 
tamper resistant barriers in a number of locations such as, for example, page 201 
(pg. 13-14) (pages 7 and 46 of the original specification are *721 2:62-3:13 and 16:35-54 of the issued 
patent; page 201 of Gmter application SN 08/388,107 is *193 80:40-81:1) 

08/689,754 C721), Amendment, 04/14/99. p. 14 

- SPU 500 is enclosed within and protected by a "tamper resistant security barrier" 502. Security 
barrier 502 separates the secure environment 503 from the rest of the world. It prevents information and 
processes within the secure environment 503 from being observed, interfered with and leaving except 
under ^propriate secure conditions." (*193 59:48-53) 

- "Although block 1262 includes encrypted summary services information on the back up, it 
preferably does not include SPU device private keys, shared keys, SPU code and other internal security 
information to prevent this information from ever becoming available to users even in encrypted form." 
C193 166:59-64) 

"Briefly, the preferred example software-based PPE 650 installation process provides tiie following 
security tedmiques: encrypted software distribution, installation customized on a unique instance 
and/or electronic appliance basis, encrypted on-disk form, installation tied to payment method, unique 
software and data layout, and identifiable copies." (236.32) 

" (c) if the load module has an associate digital signature , authenticating the digital signature at 
least one public key secured behind a tamper resistant barrier and therefore hidden from the user." 
C721.9) 

"A further attack technique might involve duplicating one installed operational material 3472 
instance by coping the programs and data from one personal computer 3372B to another personal 
computer 3372C or emulator (see FIG. 67B, block 3364, and the "copy" arrow 3364A in FIG. 67A). 
The duplicated PPE instance could be used in a variety of ways, such as, for example, to place an 
imposter PPE 650 instance on-line and/or to permit fiirther dynamic analysis." ('900 233:8-15) 

"Various software protection techniques detailed above in connection with FIG. 10 may provide 
software-based tamper resistant barrier 674 within a software-only and/or hybrid software/hardware 
protected processing environment 650. The following is an elaboration on those above-described 
techniques. These software protection techniques may provide, for example, the following: An on-line 
registration process that results in the creation of a shared secret between the registry and the PPE 650 
instance — ^used by the registry to create content and transactions that are meaningfiil only to specific 
PPE instance. An installation program (that may be distinct from the PPE operational material 
software) that creates a customized installation of the PPE software unique to each PPE instance and/or 
associate electronic appliance 600. Camouflage protections that make it difficult to reverse engineer 
the PPE 650 operational materials during PPE 650 operation. Integrity checks perfonmed during PPE 
650 operation (e.g.. during on-line interactions with trusted servers) to detect compromise. In general, 
the software-based tamper resistant barrier 674 may establish "trust" primarily through uniqueness and 
complexity." (^900 235:30-57> 

- C900 243:3-9); (M93 80:40-65, Fig. 10); ('900 230:61-65); (*900 233:24-33); (*900 235:30-56); 
C900 236:9-15) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 47 of 100 


Claim Term 


MS CoDStruction 


tamper resistant 
software 

900.155 


use 

912.8,91235, 
861.58, 193.19, 
891.1,683.2, 
721.1 


Extrinsic: 

Tamper-resistant Module: In data security, a device in which sensitive infoimation, such as a master 
cSfoLpUc key, is stoied and ayptographic functions are perfonn«^ 

detect physical attacks, by an adversary trying to gab access to the stored urfonnation m 
which case 4e stored sensitive data is immediately destroyed. (Longley) 
"The -tamper-resistant module" is physically strong and destroys secrets when opened, and the 
software running inside has been checked for integrity;" (Davies) 

"TTie host computer is provided with a specially, physically secure module containing aU the secret 
iafomation wWch muit be protected. In fte IBM papers it is called the X^tographic Faohty : we 
shall call it a 'Tamper Resistant Module' (TRM)." (Davies) 


Intrinsic: 

-Operational materials 3472 may then decrypt the next program segment "^i^ff'^^'y 

m^h^m increases the tamper-resistance of the executable code-thus providmg additional tamper 

resistance for PPE operations." ('900 243:3-8) 

Extrinsic: 

Tamper-resistant Module: In data security, a device in which sensitive iirformation. such as a master 
S^t^hic key. is stored and cryptographic functions are perfonned. ITie device has one or more 
^S^detect physical attack^b? an adversary trying to gain access to the stored mformadon m 
which case the stored sensitive data is immediately destroyed. (Longley) 
"Tamper resistant software resists observation and modification." Aucsmith, D., Tamper Resistant 
Software, 1" Workshop on Information Hiding, May 30, 1996. 


Intrinsic 


Provides non-repudiation of use and may record specific forms of use such as viewmg, editmg, 
extracting, copying, redistributing (including to what one or more parues). and/or savmg. 
Con^X («ec^bUs for example) delivered with proof of deh very ^d/or execution orother use. 
"In general, VDE enables parties that (a) have rights in electronic mformation, and/or (b) ac^as 
direct or indirect agents for parties who have rights in electronic mformation, to ensure that the 
moving, accessing, modifying, or oflierwise using of information can be securely oanttolled by 
rules regarding how, when, where, and by whom such activiues can be perfoimcd. (193 6.24-30) 
" ome or all of the back up fUes may be packaged within an admmistrative object and transmitted 
for analysis, transportation, or other uses." ('193 167:45-48) . j 

4 "to securely conm.1 access and other use. including distribution of records, documents, and notes 
associated with the case." ('193 274:34-36) r „„„v„^„h 

"•nius wrapped, a VDE object may be distributed to the recipient without fear of unau&onzed 
access and/ J other use. The one or more authorized users who have received an object are the only 
parties who may open tiiat object and view and/or manipulate and/or otherwise mwi^ its con^^^ 
and VDE secure auditing ensures a record of all such user content activities. ( 193 277:15-21) 
"These appliances typically include a secure subsystem that can enable control of content use such 
as displaying, encrypting, decrypting, printing, copying, saving, extractmg, embeddmg. 
distributing, auditing usage, etc." {'193 9:24-27) 

"VDE provides a secure, distributed electronic ffansaction management system for controllmg flie 
distribution and/or other usage of electronically provided and/or stored mformation. ( 193 9:36- 

"As a result, VDE supports most types of electronic information and/or appliance: usage control 
(including distribution), security, usage auditing, reporting, other administration, and payment 
arrangemenu." ('193 13:50-53) , ^ • - 
Provides non-repudiation of use and may record specific forms of use such as viewmg, editmg. 
extracting, copying, redistributing (including to what one or more parties), and/or savmg. 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 48 of 100 



Claim Term 

MS Construction 


Content (executables for example) delivered with proof of delivery and/or execution or other use. 
"In general, VDE enables parties tfiat (a) have rights in electronic information, and/or (b) act as 
direct or indirect agents for parties who have rights in electronic information, to ensure that the 
moving, accessing, modifying, or otherwise using of information can be securely controlled by 
rules regarding how, when, where, and by whom such activities can be performed." ('193 6:24-31) 
"Some or all of the back up files may be packaged within an administrative object and transmitted 
for analysis, transportation, or other uses.** (' 1 93 6:24-) 

"Thus wrapped, a VDE object may be distributed to the recipient without fear of unauthorized 
access and/or other use. The one or more authorized users who have received an object are the only 
parties who may open that object and view and/or manipulate and/or otherwise modify its contents 
and VDE secure auditing ensures a record of all such user content activities." (* 1 93 277: 15-21) 
"These appliances typically mclude a secure subsystem that can enable control of content use such 
as displaying, encrypting, decrypting, printing, copying, saving, extracting, embedding, 
distributmg, auditing usage, etc". (M93 9:24-27) 

"VDE provides a secure, distributed electronic transaction management system for controlling the 
distribution and/or other usage of electronically provided and/or stored inifomiarion." {'193 9:36- 
39) 

"As a result, VDE supports most types of electronic information and/or appliance: usage control 
(including distribution), security, usage auditing, reporting, other administration, and payment 
arrangements." C193 13:50-53) 

"SPU 500 is enclosed within and protected by a "tamper resistant security bairier" 502. Seciirity 
barrier 502 separates the sectire environment 503 from the rest of the world. It prevents 
information and processes within the secure environment 503 from being observed, interfered with 
and leaving except under appropriate secure conditions. Barrier 502 also controls external access to 
secure resources, processes and information within SPU 500. In one example, tamper resistant 
seciirity barrier 502 is formed by security features such as "encryption," and hardware that detects 
tampering and/or destroys sensitive information within secure envirorunent 503 when tampering is 
detected C193 59:48-59) 

"Once the uiformation is downloaded, the now-initialized PPE 650 can discard (or simply not use) 
the manufecturing key." (* 193 212:57-59) 

Extrinsic: 

Usen A person using a InterTrust node to perform some function (i.e., acting in some role). A user is 
identified with respect to the node by a user ID. (ITG, 5/12/95, IT00028300) 

User ID: Locally to a InterTrust node, each InterTrust user has an ID associated with a user name and 
authentication (e.g., password). In some deployments, there may be only one user, and access to the 
machine may be considered sufficient authentication; in such cases, the user ID concept may not be 
visible to the user even though it is present in the implementation. (ITG, 5/12/95, ITO0028301) 

Use: To use an object is to access the content This involves the processes of controlling and metering 
the use of the property and creating audit trail records on the use. (VDE ROI DEVICE v 1.0a 9 Feb 
1994, IT00008570) 

user controls 
683.2 

Intrinsic: 

"PPE 650 may perform various tests on the inputted item and/or other results of the user interaction 
provided by block 4512E in accordance with one or more user controls." ('683 39:19-21) 
C193 26:39-67) 

"support user interaction through: ...(c) VDE aware applications which, as a result of the use of a VDE 
API and/or a transaction management (for example, ROS based) programming language embeds VDE 
"awareness" into commercial or internal software (application programs, games, etc.) so that VDE user 
control information and services are seamlessly integrated into such software .... For example, in a 
VDE aware word processor application, a user may be able to "print" a document into a VDE content 
container object, applying specific control information by selecting from amongst a series of different 


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Claim Term 

MS Construction 


menu templates for different purposes (for example, a confidential memo template for internal 
organization purposes may restrict the ability to "keep," that is to make an electronic copy of the 
memo)." CI 93 26:39) 

Extrinsic: 

Control: A business rule that governs the use of content (ITG, 1997-1998, ML00012B) 

Control: A set of rules and consequences that apply to a governed element The term control can apply 
to either a control program or a control set OTG, 1997-2000, ML00012D) 
Control: * Control Elemenn A data structure that givems (j/c^ the operation of a control mechanism 
(e.g., meter element, budget element, report element, trail element). * Control mechanism: One of the 
mechanisms that controls and performs operations on a VDE object (e.g. meter, bill, budget). A control 
mechanism is distinct from a control element in that it specifies the execution of some process. * 
Control object: A data structure that is used to implement some VDE control: a PERC, a control 
clement, a control parameter, or the data representing a control mechanism. * Control Parameter: A 
data structure that is input to a control mechanism and that serves as part of the mechanism's 
specifications. For example, a billing mechanism might have a pricing parameter; a creator using that 
mechanism could alter the parameter but not change the mechanism itself. (ITG, 3/7/1995, 
IT007096 1 8, see foomote 2) 

Control: Defines rules and consequences for operations on a Property Chunk. A Control may be 
implemented by a process of arbitrary complexity (within the limits posed by ^e capability of the 
Node.QTG, 5/12/95, IT00028293) 

Control: A set of rules and consequences for operations on content, such as pricing, payment models, 
usage reporting etc. GTG, 8/21/95, 1X00032373, TD00068B) 

User A person using a InterTrust node to perform some fimction (i.e., acting in some role). A user is 
identified with respect to the node by a user ID. (ITG, 5/12/95, 1700028300) 

User ID: Locally to a InterTrust node, each InterTrust user has an ID associated with a user name and 
authentication (e.g., password). In some deployments, there may be only one user, and access to the 
machine may be considered sufficient authentication; in such cases, the user ID concept may not be 
visible to the user even though it is present in the implementation. (ITG, 5/12/95, IT00028301) 

User 1 . A person who requires the services of a computing system. 2. Any person or any tiling that 
may issue or receive commands and messages to or from the information processmg system. (IBM) 

User. 1 . In communications security, any person who interacts directly with a network system. 
4. In computer security, people who can access an AIS either by direct connections or indirect 
connections. (Longley) 

Control: The determination of the time and order in which the parts of a data processing system and the 
devices that contain those parts perform the input, processing, storage, and output fimctions.(IBM) 

validity 

0 1 0 R 
7 1 ^.o 

Intrinsic: 

- "One of the functions SPU 500 may perform is to validate/authenticate VDE objects 300 and other 
itamc Voiiriai-iort/QiitVipntirntinn nftpn inunlvp^ comnarinp lonc' riata strings to determuic whether thev 
compare in a predetermmed way." (*193 67:56-60) 

- ('193 73:24-25);C193 73:26);C193 78:6-17); (M 93 87:47-55); {^193 1 12:46-61); (U93 210:28- 
35) 

Extrinsic: 

Validation: 1 . In Cryptography, the process of checking the data integrity of a message, or selected 
parts of a message. (Longley) 

Validity Check: The process of analyzing data to determine whether it conforms to predetermined 


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MS ConstnictioD 


completeness and consistency parameters. (Microsoft Computer Dictionary, 3" ed. 1997) 
"Validate - resolve references to other objects, check 'parameters'" (ITO0051955) 

Virtual 

distribution 

CDviromnent 

900.155 

. Intrinsic: 

'193 203:58-67; '193 2:22 through conclusion of Background and Summary 

"The instant application is one of a series of plications which are all generally directed to a virtual 
distribution environment" 

09/208.017 C193), Examiner's Amendment, 08/04/00, p. 2 

See 900. 155 for Prosecution History limitations. 

"With respect to the remaining issues. Applicants respectfully disagree. For example, the 
Examiner objects to the use of "environment" as indefinite and unclear. This word, however, is not 
used in isolation, but rather in the context of several longer phrases, all of which are defined in the 
specification.. Tht phrase "protected processing environment," for example, is used in Claims 1 1 and 
1 5- 1 8 and described on at least, for example, pages 7-8 and 25 of the specification. The term "virtual 
distribution environment" used in Claim 1 1 is described, for example, on page 7 of the specification. 
The terms are also described in Ac commonly copending application Serial Number 08/388,107 of 
Ginter ct al, filed 13 February 1995, entitled "System and Methods for Secure Transaction 
Management and Electronic Rights Protection." A copy of the incorporated Ginter application can be 
provided to the Examiner upon request." 

(pg. 13-14) (pages 7, 7-8 and 25 of &e original specification are '721 2:62-3:13, 2:62-3:34 and 8:6-28 
of the issued patent) 

08/689,754 C721X Amendment, 04/14/99, p. 13 

- VDE supports a model wide, distributed security implementation which creates a single secure 
"virtual" transaction processing and information storage environment VDE enables distributed VDE 
installations to securely store and communicate mfonnadon and remotely control the execution 
processes and Ae character of use of electronic information at other VDE installations and in a wide 
variety of ways; ('193 21:57-65) 

- Tiie rights protection problems solved by the present invention are electronic versions of basic 
societal issues. These issues include protecting property ri^ts, protecting privacy rights, properly 
compensating people and organizations for their work and risk, protecting money and credit, and 
generally protecting the security of information. (* 1 93 4 : 8- 13) 

- The present invention provides a new kind of "virtual distribution environment" (called "VDE" in this 
document) that secures, administers, and audits electronic information use. C193 2:24-27) 

- A fundamental problem for electronic contmt providers is extending their ability to control the use of 
proprietary information. Content providers often need to limit use to authorized activities and amounts. 
Participants in a business model involving, for example, provision of movies and advertising on optical 
discs may include actors, directors, script and other writers, musicians, studios, publishers, distributors, 
retailers, advertisers, credit card services, and content end-users. These participants need the ability to 
embody their range of agreements and requirements, including use limitations, into an "extended" 
agreement comprising an overall electronic business model This extended agreement is represented by 
electronic content control information that can automatically enforce agreed upon rights and 
obligations. Under VDE, such an extended agreement may comprise an electronic contract involving all 
business model participants. Such an agreement may alternatively, or in addition, be made up of 
electronic agreements between subsets of the business model participants. Through the use of VDE, 
electronic commerce can ftmaion in the same way as traditional commerce-that is commercial 
relationships regarding products and services can be shaped through the negotiation of one or more 
agreements between a variety of parties, C 193 2:37-60) 

- '*Protecting the rights of electronic conununity members involves a broad range of technologies. 
VDE combines these technologies in a way that creates a "distributed" electronic rights protection 


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"eavironmcnt" This environment secures and protects transactions and other processes important for 
rights protection. VDE, for example, provides the ability to prevent, or impede, interference with and/or 
observadon of; important rights related transactions and processes.'' CI 93 3:63-4:3) 

- "VDE is a cost-effective and efficient rights protection solution that provides a unified, consistent 
system for securing and managing transaction processing. VDE can: (a) audit and analyze the use of 
content, (b) ensure that content is used only in authorized ways, and (c) allow infonnation regarding 
content usage to be used only in ways approved by content users.*" (* 193 4:48-55) 

- In general, VDE enables parties that (a) have rights in electronic information, and/or (b) act as direct 
or indirect agents for parties who have rights in electronic information, to ensure tiial the moving, 
accessmg, modifying, or otherwise using of infonnation can be securely controlled by rules regardmg 
how, when, where, and by whom such activities can be performed. C^93 6:24-30) 

- **A variety of capabilities are required to implement an electronic commerce environment. VDE is 
the first system that provides many of these capabilities and therefore solves fundamental problems 
related to electronic dissemination of information." {* 1 93 8: 16-20) 

- VDE offers an ardiitecture that avoids reflecting specific distribudon biases, administrative and 
control perspectives, and content types. Instead, VDE provides a broad-spectrum, fundamentally 
configurable and portable, electronic transaction control, distributing, usage, auditing, reporting, and 
payment operating environment VDE is not limited to being an application or application specific 
toolset &at covers only a limited subset of electronic interaction activities and participants. Ratiier, 
VDE supports systems by which such applications can be created, modified, and/or reused. As a result, 
the present invention answers pressing, unsolved needs by offering a system that supports a 
standardized control environment which facilitates interoperability of electronic appliances, 
interoperability of content containers, and efficient creation of electronic commerce applications and 
models toou^ the use of a progranmiable, secure electronic transactions management foundation and 
reusable and extensible executable components, VDE can support a single electronic Vorid" within 
which most forms of electronic transaction activities can be managed. C193 8:53-9:5) 

- "VDE can securely manage the integration of control information provided by two or more parties. 
As a result, VDE can construct an electronic agreement between VDE participants that represent a 
"negotiation" between, the control requirements of, two or more parties and enacts terms and conditions 
of a resulting agreement VDE ensures the rights of each party to an electronic agreement regarding a 
wide range of electronic activities related to electronic information and/or appliance usage." (* 193 9:52- 
61) 

- ""Hardware* 506 also contains long-term and short-term memories to store infonnation securely so h 
cant be tampered with." 60: 1 -3) 

- VDE prevents many fonns of unauthorized use of electronic information, by controlling and auditing 
(and other administration of use) electronically stored and/or disseminated information. ('193 11 :60-63) 

- Together, these VDE components comprise a secure, virtual, distributed content and/or appliance 
control, auditing (and other administration), reporting, and payment environment ('193 13:14-17) 

- VDE can securely deliver mformation from one party to another concerning the use of commercially 
distributed electronic content Even if parties are separated by several "steps" in a chain (pathway) of 
handling for such content usage information, such infonnation is protected by VDE through encryption 
and/or other secure processing. Because of that protection, the accuracy of such information is 
guaranteed by VDE, and the information can be trusted by all parties to whom it is delivered. ('193 
14:31-39) 

- VDE allows the needs of electronic commerce participants to be served and it can bind such 
participants together in a universe wide, trusted commercial network that can be secure enough to 
support very large amounts of commerce. VDE's security and metering secure subsystem core will be 
present at all physical locations where VDE related content is (a) assigned usage related control 
information (rules and mediating data), and/or (b) used. This core can perform security and auditing 
functions (including metering) that operate within a "virtual black box," a collection of distributed, very 


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CUim Term 

MS Construction 


secure VDE related hardware instances that are mtcrconnected by secured information exchange (for 
example, telecommunication) processes and distributed database means. ('193 15:14-27) 

- VDE provides organization, community, and/or universe wide secure environments whose integrity is 
assured by processes securely controlled in VDE participant user installations (nodes). 0193 20:48-51) 

- - "Summary of Some Important Features Provided by VDE in Accordance Witii the Present 
Invention: VDE employs a variety of capabilities that serve as a foundation for a general purpose, 
sufficiently secure distributed electronic commerce solution. VDE enables an electronic commerce 
marketplace that supports divergent, competitive business partnerships, agreements, and evolving 
overall business models. For example, ... ^'employ •'templates** to ease the process of configuring 
cq)abilities of the present invention as they relate to specific industries or businesses. ...Given the very 
large range of c^abilities and configurations supponed by the present invention, reducing the range of 
configuration opportunities to a manageable subset particularly appropriate for a given business model 
allows the full configurable power of the present invention to be easily employed by "typical" users 
who would be otherwise burdened with complex progranuning and/or configuration design 
responsibilities template ^plications can also help ensure that VDE related processes are secure and 
optimally bug free by reducing the risks associated with the contribution of independently developed 
load modiiles, including unpredictable aspects of code interaction between independent modules and 
a5)plications, as well as security risks associated with possible presence of viruses in such modules. ... 
As the context surrounding Aese templates changes or evolves, template applications provided under 
the present invention may be modified to meet these changes for broad use, or for more focused 
activities. ... Of course, templates may, under certain circumstances have fixed control information and 
not provide for user selections or parameter data entry." ('193 21 :43-53 27:1-28:18) 

- ^'Summary of Some Important Features Provided by VDE in Accordance With the Present Invention: 
VDE employs a variety of capabilities that serve as a foundation for a general purpose, sufficiently 
secure distributed electronic commerce solutioru VDE enables an electronic commerce marke^lace that 
supports divergent, competitive business partaerships, agreements, and evolving overall business 
models. For example, ... provide mechanisms to persistently maintain trusted content usage and 
reporting control information trough both a sufficiently secure chain of handling of content and 
content control information and through various forms of usage of such content wherein said 
persistence of control may survive such use. Persistence of control includes the ability to extract 
information fit>m a VDE contamer object by creating a new container whose contents are at least in part 
secured and that contains both the extracted content and at least a portion of the control information 
which control information of the original container and/or are at least in part produced by control 
information of the original container for this purpose and/or VDE installation control information 
stipulates should persist and/or control usage of content in the newly formed container. Such control 
information can contmue to manage usage of container content if &e container is "embedded" into 
another VDE managed object, such as an object which contains plural embedded VDE containers, each 
of which contains content derived (extracted) from a different source." (' 1 93 2 1 :43-53 28:45-65) 

- Summary of Some Important Feanires Provided by VDE in Accordance With the Present 
Invention.. .. Interoperability is fundamental to efficient electronic commerce. The design of the VDE 
foundation, VDE load modules, and VDE containers, are important features that enable the VDE node 
operating environment to be compatible with a very broad range of electronic appliances. ^19.323 :43- 
45 34:25-30) 

- Summary of Some Important Features Provided by VDE in Accordance With the Present Invention.... 
securely support electronic currency and credit usage control, storage, and communication at, and 
between, VDE installations. Q^9J:21":43^536:A9'5\) 

- Summary of Some Important Features Provided by VDE in Accordance With the Present Invention.... 
requiring reporting and payment compliance by employing exhaustion of budgets and time ageing of 
keys. C^:g3;;5g43-45 40:8-9) 

- Summary of Some Important Features Provided by VDE in Accordance With the Present Invention..., 
Because of the VDE security, including use of effective encryption, authentication, digital signaturing, 


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Claim Term 

~ ' MS CoDStructioD 


and secure database stmctures, the records conaincd within a VUt card anangement may be accepted 
as valid transaction records for government and/or coiporatt recordkeepmg requirements. CSHMS- 
45 4137-42) 

- Since all secure communications are at least in part encrypted and the processing inside the secure 
subsystem U concealed from outside observation and interference, the present mvendon ensures that 
content control information can be enforced. C193 46:4-8) 

- An important feanire of VDE is that it can be used to assure the administration ot and adequacy of 
security and rights protection for, electronic agreements implemented through the use of the present 
invention. 0193 46:51-54) 

. These are merely a few simple examples demonstrating Ae importance of ROS 602 ensmng that 
certain componem assemblies 690 are formed in a secure mamier. ROS 602 provide a wide range of 
protections against a wide range of "threats" to the secure handling and execution of component 
assemblies 690. ('193 85:15-20) 

. VDE fiirther enables ihis-process by providing a secure execution space in wW<iAe negotiation 
process(es) are assured of integrity and confidentiality in their operation. C193 245:20-22) 

- ^Taken together, and employed at times with VDE administrative objects and VDE security 
arrangements and processes, the present invention tmly achieves a content con^ol and «^^g 
architecmre thai can be configured to most any commercial distribuuon embodiment ( 193 261.10- 

15) 

- For example, VDE 100 positively controls content access and usage, provides piarantee of payment 
for content used, and enforces budget limits for accessed content C193 240:53-56) 

- Such metering is a flexible basis for ensuring payment for content royalties, licensing, purchasing, 
and/or advertising. C193 33-.56-58) 

- nie overaU integrity and security of VDE 100 could ensure, in a coherem and centralized manner, that 
electronic reporting of tax related information (derived from one or more electromc commerce 
activities) would be valid and comprehensive. C193 237.47-51) 

- Distributors 106 and fimmcial clearinghouses 1 16 may themselves be audited based on secure records 
of their administrative activities and a chain of reliable, "misted" processes ensures fee mte^ty of the 
overall digital distribution process. This allows content owners, for example, to verify that aicy^rt 
receiving a^Jropriate compensation based on acmal content usage or other agreed-upon bases. C193 
254:66-255:5) 

- Because the control information is carried with each copy of a VDE protected document, and can 
ensure that central registries are updated and/or that originators are notified of document use. trackmg 
can be prompt and accurate. C193 281:14-16) 

. A final desirable feattire of agreements in general (and electronic representations of agreements in 
nanicular) is that they be accurately recorded in a non-repudiatable form. In traditional terms, this 
Solves creating a paper documem (a contract) that describes the rights, restnctions. and obligations of 
all parties involved. Tliis document is read and then signed by all parties as bemg an accurate 
representation of the agreement Electronic agreements, by their namre, may not be mina ly rendered m 
paper. VDE enables such agreements to be accurately electronically described and then electronically 
signed to prevent repuQiauon. ^. lyj jjj 

. As discussed above, a wide variety of techniques are currently being used to provide secure, misted 
confidential delivery of documents and other items. Unfortunately, none of these previously existing 
mechanisms provide truly misted, virtually instantaneous delivery on a cost-effective, convenient basis 
and none provide rights managemem and auditing through persistent, secure, digital mformation 

iTroS. the presem inventions provide the tnisttdness, confidentiality and security of a personal 
misted courier on a virtually instantaneous and highly cost-effective basis. Tbey provide techniques, 
systems and methods that can being to any fonn of electronic communications (mcludmg, bu^not 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 54 of 100 


Claim Term 


MS Construction 


limited to Intemet and internal company electronic mail) an extremely high degree of tnistedness, 
confidence and security approaching or exceeding that provided by a trusted personal courier. They also 
provide a wide variety of benefits that flow from rights management and secure chain of handling and 
control. C683 5:20) 

- The Virtual Distribution Environment provides comprehensive overall systems, and wide arrays of 
methods, techniques, structures and anangemcnts. that enable secure, efficient electronic commerce and 
rights management on the Internet and other infonnation superhighways and on internal coi3>orate 
nctworics such as "Intranets". (*683 5:41) 

"parties using the Virtual Distribution Environment can participate in commerce and other 
transactions in accordance with a persistent set of rules they electronically define." ('683 6:11) 

- "All of these various coordination steps can be performed nearly simultaneously, efficiently, rapidly 
and wi& an extremely high degree of tnistedness based on flic user of electronic contmere 302 and the 
secure communications, authentication, notarization and archiving techniques provided in accordance 
with the present inventions." (*683 55:54) 

- "People are increasingly using secure digital containers to safely and securely store and transport 
digital content One secure digital container model is the "DigiBox.TM" container developed by 
InterTrust Technologies, Inc. of Sunnyvale, Calif. The Ginter et al. patent specification referenced 
above describes many characteristics of this DigiBox.TM. container model — a powerful, flexible, 
general construct that enables protected, efBcient and mteropcrable electronic description and regulation 
of electronic commerce relationship of all kinds, including the secure transport, storage and rights 
management interfece with objects and digital information within such containers." ('861 \35) 

" "Briefly, DigiBox containers are tamper-resistant digital containers that can be used to package any 
kind of digital information such as, for example, text, graphics, executable software, audio and/or video. 
The rights management environment in which DigiBox.TM- containers are used allows commerce 
participants to associate rules with the digital information (content). The rights management 
environment also allows rules (herein including rules and parameter data controls) to be securely 
associated with other rights management infonnation, such as for example, rules, audit records created 
during use of digital inforaiation and administrative information associated with keeping the 
environment working properly, including ensuring rights and any agreements among parties. The 
DigiBox.TM.. electronic container can be used to store, transport and provide a rights management 
interfaces to digital information, related mles and other rights management information, as well as to 
other objects and/or data within a distributed, rights management environment This arrangement can 
be used to provide electronically enforced chain of handling and control wherein rights management 
persists as a container moves from one entity to another. This capability helps support a digital rights 
management architecture that allows content rightsholders (including any parties who have system 
aufliorized interests related to such content, such as content republishes or even governmental 
authorities) to securely control and manage content, events, transactions, rules and usage consequences, 
including any required payment and/or usage reporting. This seciu-e control and management continues 
persistentiy, protecting rights as content is delivered to, used by, and passed among creators, 
distributors, repurposes, consumers, payment disagrcgators, and other value chain participants... " 
C861 1:47) 

- "Use of a secure electronic container containers to transport items providers an unprecedented degree 
of security, niisiedness and flexibility." C683 8:50) 

- "Virtual distribution environment 100 is "virtual" because it does not require many of the physical 
"things" that used to be necessary to protect rights, ensure reliable and predictable distribution, and 
ensure proper compensation to content creators and distributors." ('193 53:23-27) 

- VDE allows the needs of electronic commerce participants, to be served and it can bind such 
participants together in a universe wide, trusted commercial network that can be secure enough to 
support very large amounts of conmierce. VDE*s security and metering secure subsystem core will be 
present all physical locations where VDE related contents is (a) assigned usage related control 
information (rules and mediating data), and/or (b) used. This core can perform security and auditing 


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functions (including metering) that operate within a "Virtual black box"** a collection of distributed, 
very secure VDE related hardware instances that are interconnected by secured information exchange 
(for example, telecommunication) processes and distributed database means. CI 93 15:14-27) 

" "Summary of Some Important Features Provided by VDE in Accordance With the Present invention 
„ . VDE employs special purpose hardware distributed throughout some or all locations of a VDE 
implementation: a) said hardware controlling important elements of: content preparation (such as 
causing such content to be placed in a VDE content container and associating content control 
information with said content), content and/or electronic appliance usage auditing, content usage 
analysis, as well as content usage control; and b) said hardware having been designed to securely 
handle processing load module control activities, wherem said control processing activities may involve 
a sequence of required control factors*' ('193 21:43-45 22:20-31) 

- Physical facility and user identity authentication security procedures may be used instead of hardware 
SPUs at certain nodes, such as at an established financial clearinghouse, where such procedures may 
provide sufficient security for trusted interoperability with a VDE arrangement employing hardware 
SPUs at user nodes. C193 45:60-65) 

- An important part of VDE provided by the present invention is the core secure transaction control 
arrangement, herein called an SPU (or SPUs), that typically must be present in each usci^s computer, 
other electronic appliance, or network. SPUs provide a trusted environment for generating decryption 
keys, encrypting and decrypting information, managing the secure conununication of keys and other 
mformation between electronic appliances (i.e. between VDE instaUations and/or between plural VDE 
instances within a single VDE installation), securely accumulating and managing audit trail, reporting, 
and budget information in secure and/or non-secure non-volatile memory, maintaining a secure 
database of control information management mstnictions, and providing a secure environment for 
performing certain other control and administrative functions. (*193 48:66-49:14) 

- A hardware SPU (rather than a software emulation) within a VDE node is necessary if a highly trusted 
environment for pof orming certain VDE activities is requn-ed. (' 1 93 49: 1 5- 1 7) 

" ""Hardware" 506 also contains long-term and short-term memories to store information securely so it 
can't be tampered with." Q\9^ 60:1-3) 

- A VDE node's hardware SPU is a core component of a VDE secure subsystem and may employ some 
or all of an electronic appliance's primary control logic, such as a microcontroller, microcomputer or 
other CPU arrangement This primary control logic may be otherwise employed for non VDE purposes 
such as the control of some or all of an electronic appliance's non- VDE functions. When operating in a 
hardware SPU mode, said primary conu-ol logic must be sufficiently secure so as to protect and conceal 
important VDE processes. For example, a hardware SPU may employ a host electronic ^pliance 
microcomputer operating in protected mode while performing VDE related activities, thus allowing 
portions of VDE processes to execute with a certain degree of security. C193 49:33-46) 

- As shown FIG. 6. in the preferred embodiment, an SPU 500 may be implemented as a single 
integrated circuit "chip** 505 to provide a secure processing environment in which confidential and/or 
commercially valuable information can be safely processed, encrypted and/or decrypted. CI 93 63:48- 
52) 

"SPU 500 is enclosed within and protected by a "tamper resistant security barrier" 502. Security barrier 
502 separates the secure environment 503 from the rest of the worid. It prevents information and 
processes within the secure environment 503 form being observed, interfered with and leaving except 
under appropriate secure conditions. Barrier 502 also controls external access to secure resources, 
processes and information within SPU 500. In one example, tamper resistant security barrier 502 is 
formed by security features such as "encryption," and hardware that detects tampering and/or destroys 
sensitive information within secure environment 503 when tampering is detected." (M93 59:48-59) 

- "SPU 500 may be surrounded by a tamper-resistant hardware security barrier 502. Part of this 
security barrier 502 is formed by a plastic or other package m which an SPU "die" is encased. Because 
the processing occurring within, and information stored by. SPU 500 are not easily accessible to the 


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MS Construction 


outside world, they arc relatively secure from unauthorized access and tampering. All signals cross 
barrier 502 through a secure, controlled path provided by BIU 530 that restricts the outside world's 
access to the internal components within SPU 500. The secure, controlled path resists attempts form 
the outside world to access secret infonnation and resources within SPU 500 " (* 193 63:60-64:5) 

- Regulation is ensured by control information put in place by one or more parties. 0193 6:34-35) 

-"Limited only by the VDE control information employed by content creators, other providers, and 
other pathway of handling and control participants, VDE allows a ''natural" and unhindered flow of; and 
creation of, electronic content product models." ('193 297:25-29) 

- As a result, the present invention answers pressing, imsolved needs by offering a system that supports 
a standardized control environment which facilitates interoperability of electronic appliances, 
interoperability of content containers, and efBcient creation of electronic commerce applications and 
models throu^ the use of a programmable, secure electronic transactions management foundation and 
reusable and extensible executable components. CI 93 8:62-9:3) 

- Independently, securely deliverable, component based control information allows efficient interaction 
among control infonnation sets supplied by different parties. C193 10:46-48) 

- A significant facet of the present invention's ability to broadly support electronic commerce is its 
ability to securely manage independendy delivered VDE component objects containing control 
information (normally in the form of VDE objects containing one or more methods, data, or load 
module VDE components). This independently delivered control information can be integrated with 
senior and other pre-existing content control information to securely form derived control information 
using the negotiation mechanisms of the present invention. All requirements specified by this derived 
control information must be satisfied before VDE controlled content can be accessed or otiierwise used. 
This means that, for example, all load modules and any mediating data which are listed by the derived 
control information as required.must be available and securely perform their required function. (* 193 
10:66-11:14) 

- Content control infonnation governs content usage according to criteria set by holders of rights to an 
object's contents and/or according to parties who otherwise have rights associated with distributing such 
content (such as governments, financial credit providers, and users). (* 193 15:46-50) 

- In part, security is enhanced by object methods employed by the present invention because the 
encryption schemes used to protect an object can efficientiy be furdier used to protect the associated 
content control information (software control information and relevant data) from modificatioiL CI 93 
15:51-55) 

- Sununary of Some Important Features Provided by VDE in Accordance With the Present Invention.... 
Content users, such as end-user customers using commercially distributed content (games, information 
resources, software programs, etc.), can define, if allowed by senior control information, budgets, 
and/or other control information, to manage their own internal use of content, C|t|^^-45 29:3-8) 

' - Summary of Some Important Features Provided by VDE in Accordance With the Present Invention.... 
support the separation of fundamental transaction control processes through the use of event (triggered) 
based method control mechanisms. These event methods trigger one or more other VDE methods 
(which are available to a secure VDE sub-system) and are used to carry out VDE managed transaction 
related processing. These triggered methods include independently (separably) and securely 
processable component billing management methods, budgeting management methods, metering 
management methods, and related auditing management processes. As a result of this feature of the 
present invention, independent triggering of metering, auditing, billing, and budgeting methods, the 
present invention is able to efBcientiy, concurrentiy support multiple fmancial currencies (e.g. dollars, 
marks, yen) and content related budgets, and/or billing increments as well as very flexible content 
distribution models. C193 gjgMS 42:21-38) 

- support, complete, modular separation of the control structures related to (1) content event triggering, 
(2) auditing. (3) budgeting (including specifying no right of use or unlimited right of use), (4) billing, 
and (5) user identity (VDE installation, client name, department, network, and/or user, etc.). The 


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independence of these VDE control stmctures provides a flexible system which allows plural 
relationships between two or more of these structures, for example, the ability to associate a financial 
budget wili different event trigger structures (tiiat are put in place to enable controlling content based 
on its logical portions). Without such separation between these basic VDE capabilities, it would be 
more difficult to efficiently maintain separate metering, budgeting, identification, and/or billing 
activities which involve the same, differing (including overlapping), or entirely different, portions of 
content for metering, billing, budgeting, and user identification, for example, paying fees associated 
with usage of content, perfonning home banking, managing advertising services, etc. VDE modular 
separation of these basic capabilities supports the prograinming of plural, "arbitrary" relationships 
between one or differing content portions (and/or portion units) and budgeting, auditing, and/or billing 
control infonnation. (!\92 4239*63) 

- The virtual distribution environment 100 prevents use of protected information except as permitted by 
the "niles and controls" (control mfomiation). For example, the "rules and controls" shown in FIG. 2 
may grant specific individuals or classes of content users 1 12 "pennission" to use certain content They 
may specify what kinds of content usage are permitted, and what kinds arc not They may specify how 
content usage is to be paid for and how much it costs. As another example, "rules and controls" may 
require content usage infom:iation to be reported back to the distributor 106 and/or content creator 102. 
{•193 56-:26-35) 

. -ROS VDE functions 604 may be based on segmented, independentiy loadable executable 
"component assemblies" 690. TTicse component assemblies 690 are independentiy securely deliverable. 
The component assemblies 690 provided by the preferred embodiment comprise code and data 
elements that are diemselves independentiy deliverable.... These component assemblies 690 are the 
basic functional unit provided by ROS 602. The component assemblies 690 are executed to perform 
operating system or application tasks. Thus, some component assemblies 690 may be considered to be 
part of the ROS operating system 602, while other component assemblies may be considered to be 
"applications" that run under tiie support of tiie operating system." (* 193 83: 12-29) 

- "As mentioned above, ROS 602 provides several layers of security to ensure the security of 
component assemblies 690. One important security layer involves ensuring that certain component 
assemblies 690 are formed, loaded and executed only in secure execution space such as provided within 
an SPU 500." {'193 8733-38) 

- "Methods 1000 perform the basic function of defining what users {including, where appropriate, 
distributions, client administration, etc.), can and cannot do with an object 300." {* 193 128:30-33) 

- "Container 152 in Ais example further includes an electronic control set 188 describing conditions 
under which the power may be exercised. Controls 1 88 define the power(s) granted to each of the 
participants - including (in this example) conditions or limitations for exercising these powers. 
Controls 1 88 may provide the same powers and/or conditions of use for each participant, or they may 
provide different powers and/or conditions of use for each participant" ('712 220: 1-8) 

- "...content creators and rigjits owners can register permissions with the rights and permissions 
clearinghouses 400 in the foraa of electronic "control sets." These permissions can specify what 
consumers can and can't do with digital properties, under what conditions the permissions can be 
exercised and the consequences of exercising the permissions." ('712 72:2-7) 

- "This "channel 0" "open channel" task may then issue a series of requests to secure database manager 

566 to obtain the "blueprinf for constructing one or more component assemblies 690 to be 
associated witii channel 594 (block 1 127). In the preferred embodiment, this "blueprint" may 
comprise a PERC 808 and/or URT 464." ('193 112:46-51) 

- In part, security is enhanced by object methods employed by the present invention because the 
encryption schemes used to protect an object can efficiently be further used to protect the associated 
content control infonnation (software control information and relevant data) from modification. {'193 
15:51-55) 

- FIG. 5 A shows how the virtual distribution environment 100, in a preferred embodiment, may 
package infonnation elements (content) into a "container" 302 so the information can't be accessed 


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except as provided by its "niles and controls.** Normally, the container 302 is electronic rather than 
physical. Electronic container 302 in one example comprises "digital" information having a well 
defined structure. Container 302 and its contents can be called an "object 300." CI 93 58:39-46) 

- "Moreover, when any new VDE object 300 arrives at an electronic appliance 600, the electronic 
appliance must "register*' the object within object registry 450 so that it can be accessed." ('193 153:56- 
59) 

- "Even if the object is stored locally to the VDE node, it may be stored as a secure or protected objea 
so that it is not directly accessible to a calling process. ACCESS method 2OO0 establishes the 
connections, routings, and security requisites needed to access the objert." (*193 192:14-19) 

. "ACCESS mediod 2000 reads the ACCESS method MDE from the secure database, reads it in 
accordance with the ACCESS method DTD, and loads encrypted content source and routing 
information based on the MDE (blocks 2010. 2012), This source and routing information specifies the 
location of the encrypted content ACCESS method 2000 then determines whether a connection to the 
content is available (decision block 2014). This "connection" could be, for example, an on-line 
coimection to a remote site, a real-time information feed, or a path to a secure/protected resource, for 
example. If the connectionto Ae content is not currently available ("No" exit of decision block 2014), 
then ACCESS mediod 2000 takes steps to open the connection (block 20 1 6). If the connection foils 
(e.g., because &e user is not authorized to access a protected secure resource), then the ACCESS 
method 2000 rcmms with a failure indication (termination point 2018)." (*193 19236-52) 

- "It also employs a software object architecture for VDE content containers that carries protected 
content and may also cany both freely available information (e.g., summary, table of contents) and 
secured content control information which ensures the performance of control information." CI 93 
15:41-46) 

- "In this example, creator 102 may employ one or more application software programs and one or 
more VDE secure subsystems to pkcc unencrypted content into VDE protected form (i.e., into one or 
more VDE content containers)." (•193 315:53-56) 

- "The Ginter et al. patent specification referenced above describes many characteristics of this 
DigiBox™ container model, a powerful, flexible, general construct that enables protected, efficient and 
interoperable electronic description and regulation of electronic commerce relationships of all kinds..." 
('861 1:39)] 

- "The node and container model described above and in the Ginter et al. patent specification (along 
with similar other DigiBoxA^E (Virtual Distribution Environment) models) has nearly limitless 
flexibility." (*861 2:37) 

- Therefore, the container creation and usage tools must themselves be secure in the sense that they 
must protect certain details about the container design. This additional security requirement can make it 
even more difficuh to make containers easy to use and to provide interoperability. ('861 4:59) 

- "FIG. 88 illustrates secure electronic container 302 as an attach^ handcuffed to the secure delivery 
person's wrisL Once again, 'container is shown as a physical thmg for purposes of illustrations only -in 
the example it is preferably electronic rather than physical, and comprises digital infonrtation having a 
well-defined structure (see FIG. 5 A). Special ma&ematical techniques known as "cryptography" can 
be used to make electronic container 302 secure so that only intended recipient 4056 can open the 
container and access the electronic docimient (or other items) 4054 it contains." ('683 15:61) 

- "Appliance 600B may deliver the digital copy of item 4054 within container 302 and/or protect the 
item with seals. Electronic fingerprints, watermarks and/.or other visible and/or hidden markings to 
provide a "virtual container or some of the security or other characteristics of a container (for example, 
the ability to associate electronic controls with the item). (*683 18:) 

. "For example, defendant's attorney 5052 can specify one container 302 for opening by his co- 
counsel, client or client in-house counsel, and program another container 302 for opening only by 
opposing (plaintiffs) counsel 5050. Because of the unique trustedness features provided by system 
4050, the defendant's attorney 5052 can have a high degree of trust and confidence that only the 


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authorized parties will be able to open the respective containers and access the information they 
contain." C683 56:17) 

- "The "container^ concept is a convenient metaphor used to give a name to the collection of elements 
required to make use of content or to perform an administrative-type activity." (M93 127:30-32) 

- *1iie virtual distribution environment 100, in a preferred embodiment, may package information 
elements (content) into a "container" 302 so the information can't be accessed except as provided by its 
*^les and controls."" (* 193 58:39-43) 

- "VDE 100 provides a media independent container model for encapsulating content" C193 127:2-3) 

- "The electronic form of a document is stored as a VDE container (object) associated with the specific 
client and/or case. The VDE container mechanism supports a hierarchical ordering scheme for 
organizing files and other information with a container, this mechanism may be used to organize the 
electronic copies of the documents within a container, A VDE container is associated with specific 
access control information and rights that are described in one or more permissions control information 
sets (PERCs) associated with that container. In this example, only those members of the law firm who 
possess a VDE instance, an appropriate PERC, and Ae VDE object that cont^ the desired document, 
may use the document" (* 193 274:52-64) 

- "The situation is no better for processing documents within the context of ordinary computer and 
network systems. Al&ough said systems can enforce access control information based on user identity, 
and can provide auditing mechanism for tracking accesses to files, these are low-level mechanisms that 
do not permit tracking or controlling the flow of content In such systems, because document content 
can be freely copied and manipulated, it is not possible to determine where documents content has 
gone, or where it came from." C 1 93 28 1 :27-35) 

- "Secure containers 302 may be used to encapsulate the video and audio being exchanged between 
electronic kiosk ^pliances 600, 600' to maintain confidentiality and ensure a high degree of 
trustedness. 

- "Because container 152 can only be opened within a secure protected processing environment 154 
that is part of the virtual distribution envirorunent described in the above-referenced Ginter et al. patent 
disclosure" - "The present invention provides a new kind of "virtual distribution environmenf (called 
"VDE" in diis document) that secures, administers, and audits electronic information use. VDE also 
features fundamentally important capabilities for ..."(* 193 2:24-28) 

-*'the present invention truly achieves a content control and auditing architecture that can be configured 
to most any commercial distribudon embodiment" (' 1 93 26 1 : 1 2- 1 5) 

-"The inability of conventional products to be shaped to the needs of electronic information providers 
and users is sharply in contrast to the present invention. Despite the attention devoted by a cross-section 
of Americans largest telecommunications, computer, entertainment and information provider companies 
to some of the problems addressed by the present mvention, only the present invention provides 
commercially secure, effective solutions for configurable, general purpose electronic commerce 
transaction/distribution control systems." ('193 2:13-22) 

-"The configurability provided by the present invention is particularly critical for supporting electronic 
commerce, that is enabling businesses to create relationships and evolve strategies that offer 
competitive value. Electronic commerce tools that are not inherently configurable and interoperable 
will ultimately fail to produce products (and services) that meet both basic requirements and evolving 
needs of most commerce applications." ('193 16:41-48) 

-"VDE also extends usage control information to an arbitrary granular level (as opposed to a file based 
level provided by traditional operating systems) and (*193 275:8-1 1) 

-Summary of Some Important Features Provided by VDE in Accordance With the Present Invention: 
(*193 21:43-45) 

-"A significant facet of the present invention's ability to broadly support electronic commerce is its 


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ability to securely manage independently delivered VDE component objects containing control 
infonnation {M93 10:66-11:2) 

-"Some of the key factors contributing to the configurability intrinsic to the present invention include: . 
...."C193 16:66-67) 

-"The scalable transaction management/auditing technology of the present invention will result in more 
efficient and reliable interoperability ..." (•193 34:9-11) 

-"the present invention answers pressmg, tinsolved needs by offering a system that supports a 
standardized control environment which facilitates mteroperability of electronic appliances, 
interoperability of content containers, and efficient creation of electronic commerce applications and 
models throu^ the use of a programmable, secure electronic transactions management foundation and 
reusable and extensible executable components.** (* 193 8:63-9:3) 

-"Hie design of the VDE foundation, VDE load modules, and VDE contamers, are important features 
that enable the VDE node operating environment to be compatible with a very broad range of electronic 
appliances.** (* 1 93 34:26-30) 

-"The ability to optionally incorporate different methods 1000 with each object is important to making 
VDE 100 highly configurable." ('193 128:28-30) 

-"An important feature of VDE is that it can be used to assure the administration of, and adequacy of 
security and rights protection for, electronic agreements implemented through the use of the present 
invention." C7 12 168:22-25) 

-"In this example, both the address request 602 and the responsive information 604 are contained within 
secure electronic containers 152 in order to maintain the confidentiality and integrity of the requests 
and responses. In this way, for example, outside eavesdroppers cannot tell who sender 95(1) wants. to 
commimicate with or what information he or she needs to perform communications with or what 
information he or she needs to perform the communications - and the directory responses cannot be 
"spoofed" to direct the requested message to another location." (* 7 1 2 12:1 5-22) 

Components: *'On the other hand, if the information to be exchanged has already been secured and/or is 
available without autijentication (e.g., certain catalog information, containers that have already been 
encrypted and do not require special handling, etc.), the "weaker" for of login/password may be used." 
(*193 290:57-62) 

Components: "VDE provides means to securely combine content provided at different times, by 
differing sources, and/or representing different content types. These types, timings, and/or different 
sources of content can be employed to form a complex array of content within a VDE content container 
objects, each containing different content whose usage can be controlled, at least in pan, by its own 
container's set of VDE content control information." (M93 397:35-) 

Container-Related Methods: "Although methods 1000 can have virtually unlimited variety and some 
may even be user-defined, certain basic **use" t>pe methods are preferably used in the preferred 
embodiment to control most of the more fundamental object manipulation and other functions provided 
by VDE 100. For example, the following high level methods would typically be provided for object 
manipulation; OPEN method, READ method, WRITE method, CLOSE method. An OPEN method is 
used to control opening a container so its content may be accessed, A READ method is used to control 
access to contents in a container. A WRITE method is used to control the insertion of contents into a 
container, A CLOSE method is used to close a container that has been opened." {'193 183:12-29)^ 

- "DESTROY method 2180 removes the ability of a user to use an object by destroying the URTthe 
user requires to access the object In the preferred embodiment, .... DESTROY method 2180 may than 
call a WRITE and/or ACCESS method to write information which will corrupt (and thus destroy) the 
header and/or other important parts of the object (block 2186). DESTROY method 2180 may then 
mark one or more of the control structures (e.g., the URT) as damaged by writing appropriate 
information to control structure (blocks 2188, 2190)." (*193 198:41-45) 

- "PANIC method 2200 may prevent the user from fiirther accessing the object currentiy being accessed 


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by, for example, destroying fee channel being used to access the object and marking one or more of the 
control stnictures (e.g^ tiie URT) associated with the user and object as damaged.(blodcs 2206, and 
2208-2210, respectively). Because the control structure is damaged, tiie VDE node will need to contact 
an administrator to obtain a valid control structure(s) before the user may access the same object 
again." C 193 198:60-199:2) 

- "EXTEIACT method 2080 is used to copy or remove content from an object and place it into a new 
object In Ae preferred embodnnent, the EXTRACT method 2080 does not involve any release of 
content, but rather simply takes content from one container and places it into ano&er container, both of 
which may be secure. Extraction of content differs from release in that the content is never exposed 
outside a secure container." ('193 194:13-20) 

- "Use of secure electronic containers to transport items provides an unprecedented degree of security, 
trustedness and flexibility (*683 8:50) 

-**Elcctroruc delivery person 4060 can deliver fee electronic version of item 4054 within secure 
container attachd case 302 from personal computer 4 1 1 6' to another personal computer 4116 operated 
by recipient 4056/' {*683 20:27) 

- "Because feesc transactions are conducted using VDE and VDE secure containers, feose observing 
fee conmiunications leam no more fean fee fact that fee parties arc commimicating." ('712 3 10:1-3) 

- "VDE in one example provides a 'Virtual silicon container^ C*virtual black box") in feat several 
different instances of SPU 500 may securely communicate togefeer to provide an overall secure 
hardware environment feat "virtually" exists at multiple locations and multiple electronic appliances 
600. FIG. 87 shows one model 3600 of a virtual silicon container. This virtual container model 3600 
includes a content creator 102, a content distributor 106, one or more content redistributors 106a, one or 
more client administrators 700, one or more client users 3602, and one or more clearinghouses 116. 
E&ch of feese various VDE participants has an electronic appliance 600 including a protected 
processing envirormicnt 655 feat may comprise, at least in part, a silicon-based semiconductor 
hardware element secure processmg tmit 500, The various SOUs 500 each encapsulate a part of fee 
virtual distribution enviroimient, and feus, togefeer form fee virtual silicon container 3600." ('193 
317:58-318:8) 

-"uses tools to transform digital information(such as electronic books, databases, computer software 
and movies) into protected digital packages called "objects." Only feose consimiers (or ofeer along fee 
chain of possession such as redistributor) who receive permission from a distributor 106 can open feese 
packages. VDE packaged content can be constrained by "rules and control information,"" (* 193 
254:18-25) 

-"To open VDE package and make use of its content, and end-user must have peraiission." ('193 
254:45-46) 

- "place unencrypted content into VDE protected form (i.e., into one or more VDE content containers)." 
C193 315:55-56) 

- "VDE can protect a collection of rights belonging to various "parties having in rights in. or to, 
electronic iiiformation. This infonnation may be at one location or dispersed across (and/or moving 
between) muhiple locations. The information may pass through a "chain" of distributors and a "chain" 
of users. Usage infonnation may also be reported ferough one or more "chains" of parties. In general, 
VDE enables parties feat (a) have rights in electronic infonnation, and/or (b) act as direct or indirect 
agents for parties who have rights in electronic information, to ensure feat fee moving, accessing, 
modifying, or ofeerwisc using of information can be securely controlled by rules regarding how, when, 
where, and by whom such activities can be performed." (*193 6:18-31) 

r All requirements specified by feis derived control infonnation must be satisfied before VDE 
controlled content can be accessed or ofeenvise used (' 1 93 11:8-11) 

- "VDE provides important mechanisms for bofe enforcing commercial agreements and enabling fee 
protection of privacy rights. VDE can securely deliver information from one party to anofeer 


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concerning tbe use of conuncrcialiy distributed electronic content Even if parties are separated by 
several "steps** in a chain (pathway) of handling for such content usage information, such infonnation 
is protected by VDE through encryption and/or other secure processing. Because of &at protection, the 
accuracy of such infonnation is guaranteed by VDE, and the information can be trusted by all parties 
to whom it is delivered." (493 14:29-39) 

- VDE ensures that certain prerequisites necessary for a given transaction to occur are met This 
includes the secure execution of any required load modules and the availability of any required, 
associated data. ('193 20:27-30) 

- Required methods (methods listed as required for property and/or appliance use) must be available as 
specified if VDE controlled content (such as intellectual property distributed within a VDE content 
container) is to be used. 0193 43:37-41) 

- "Since all secure conunimications are at least in part encrypted and the processing inside the secure 
subsystem is concealed from outside observation and interference, the present invention ensures that 
content control infonnation can be enforced. (*193 46:4-8) 

- This control infonnation can determine, for example: 

(1) How and/or to whom electronic content can be provided, for example, how an electronic property 
can be distributed; 

(2) How one or more objects and/or properties, or portions of an object or property, can be directly 
used, such as decrypted, displayed, printed, etc; .... C193 46:17-24) 

""Hardware" 506 also contains long-term and short-term memories to store information securely so it 
can^ be tampered with." C193 60:1-3) 

"A feature of VDE provided by the present invention is that certain one or more methods can be 
specified as required in order for a VDE installation and/or user to be able to use certain and/or all 
content (M 93 43:47-50) 

The virtual distribution envirormient 100 prevents use of protected information except as permitted by 
the "rules and controls" (control information). ('193 56:26-28) 

- As mentioned above, virtual distribution environment 100 "associates" content with conesponding 
"rules and controls," and prevents the content from being used or accessed unless a set of corresponding 
"rules and controls" is available. The distributor 106 doesnt need to deliver content to control the 
content's distribution. The preferred embodiment can securely protect content by protecting 
corresponding, usage enabling "rules and controls" against unauthorized disuibution and use. C193 
57:18-26) 

- Since no one can use or access protected content without "permission" from corresponding "rules and 
controls," the distributor 106 can control use of content that has already been (or will in the future be) 
delivered. ('193 57:30-33) 

- SPU 500 is enclosed within and protected by a "tamper resistant security barrier" 502. Security barrier 
502 separates the secure envirorunent 503 from the rest of the world. It prevents infonnation and 
processes within the secure environment 503 from being observed, interfered with and leaving except 
under appropriate secure conditions. Barrier 502 also controls external access to secure resources, 
processes and infonnation within SPU 500. (\92 59:48-55) 

- Provides non-repudiation of use and may record specific forms of use such as viewing, editing, 
extracting, redistributing (including to what one or more parties), and/or saving. 

- In general, VDE enables parties that (a) have rights in electronic infonnation, and/or (b) act as direct 
or indirect agents for parties who have rights in electronic information, to ensure that the moving, 
accessing, modifying, or otherwise using of information can be securely controlled by rules regarding 
how, when, where, and by whom such activities can be perfonned. ('193 6:24-30) 

- to securely control access and other use, including distribution of records, documents, and notes 
associated with the case, C 193 274:34-36) 


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. Xbus wi^>ped, a VDE object may be distributed to Ac recipient without fear of unauthorized access 
and/or other use. C193 277:16-17) 

- These appliances typically include a secure subsystem that can enable control of content use such as 
displaying, encrypting, decrypting, printing, copying, saving, extracting, embedding, distributing, 
auditing usage, etc.(*193 9:24-27) 

- .VDE provides a secure, distributed electronic transaction management system for controlling the 
distribution and/or other usage of electronically provided and/or stored information. (* 193 9:36-39) 

- "The doctor 5000 may then send container 301(1) to a trusted go-between 4700. ...For example, the 
trusted go-between 4700 in one example has no access to the content of the container 302(1), but does 
have a record of a seal of the contents." C683 53:40) 

- "FIG. 1 1 6 shows example steps that may be performed by PPE 650 in response to an "open" or 
"view" event In this example, PPE 650 may - - upon allowing recipient 4056 to actually interact with 
the item 4054-...PPE 650 may then release the image 40681 and/or the data 4068D to the application 
running on electronic ^pHance 600 — electronic fingerprinting or watermarking the released content if 
appropriate (FIG. 1 1 6, block 4625C). ('683 4238) 

- FIG. 5 A shows how the virtual distribution environment 100, in a preferred embodiment, may 
package information elements (content) into a "container" 302 so the information can't be accessed 
except as provided by its "rules and controls." C193 58:39-43) 

- Each VDE participant in a VDE palhway of content control information may set methods for some or 
all of the content in a VDE container, so long as such control information does not conflict with senior 
control information already in place with respect to: 

(1) certain or all VDE managed content, 

(2) certain one or more VDE users and/or groupings of users, 

(3) certain one or more VDE nodes and/or groupings of nodes, and/or 

(4) certain one or more VDE applications and/or arrangements. C193 44:6-1 7) 

- "All participants of VDE 100 have the innate ability to participate in any role." (M93 256:50-51) 

- "Any VDE iiser 1 12 may assign the right to process information or j>erfonn services on their behalf 
to the extend allowed by senior control information." ('193 257:17-20) 

- "PERC and URT structures provide a mechanism that may be used to provide precise electronic 

representation of rights and tiie controls associated with those rights. VDE ihus provides a 
"vocabulary" and mechanism by which users and creators may specify their desires." ('193 
245:11-) 

- "VDE provides comprehensive and configurable transaction management, metering and monitoring 
technology." ('193 3:34) 

- VDE may be combined with, or integrated into, many separate computers and/or other electronic . 
appliances. These appliances typically include a secure subsystem that can enable control of content use 
such as displaying, encrypting, decrypting, printing, copying, saving, extracting, embedding," 
distributing, auditing usage, etc. The secure subsystem in the preferred embodiment comprises one or 
more "protected processing environments", one or more secure databases, and secure "component 
assemblies" and other items and processes that need to be kept secured. VDE can, for example, securely 
control electronic currency, payments, and/or credit management (including electronic credit and/or 
currency receipt, disbursement, encumbering, and/or allocation) using such a "secure subsystem." ('193 
9:22) 

- "In addition VDE: 

(a) is very configurable, modifiable, and re-usable; , 

(b) supports a wide range of useful capabilities that may be combined in different ways to 
accommodate most potential applications; 

(c) operates on a wide variety of electronic appliances ranging from hand-held inexpensive devices to 
large mainframe computers; 


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(d) is able to ensure the various rights of a number of different parties, and a number of different rights 
protection schemes, simultaneously; 

(e) is able to preserve the rights of parties through a series of transactions that may occur at different 
times and difierent locations; 

(f) is able to flexibly accommodate different ways of securely delivering information and reporting 
usage; and 

(g) provides for electronic analogues to "real" money and credit, including anonymous electronic cash, 
to pay for products and services and to support personal (including home) banking and other financial 
activities." C193 4:57) 

- It can provide efficient, reusable, modifiable, and consistent means for seciu^ electronic content 
distribution, usage control, usage payment, usage auditing, and usage reporting. CI 93 8:26) 

- VDE offers an architecture that avoids reflecting specific distribution biases, administrative and 
control perspectives, and content types. Instead, VDE provides a broad-spectrum, fundamentally 
configurable and portable, electronic transaction control, distributing, usage, auditing, reporting, and 
payment operating environment (*193 8:53) 

- The present invention allows content providers and users to formulate their transaction environment 
to accommodate: 

(1) desired content models, content control models, and content usage information pathways, 

(2) a complete range of electronic media and distribution means, 

(3) a broad range of pricing, payment, and auditing strategies, 

(4) very flexible privacy and/or reporting models, 

(5) practical and effective security architectures, and 

(6) other administrative procedures that together with steps (1) through (5) can enable most "real world" 
electronic commerce and data security models, incliiding models unique to the electronic world, (* 193 
10:11) 

- Because of the breadth of issues resolved by the present invention, it can provide the emerging 
"electronic highway" with a single transaction/distribution control system that can, for a very broad 
range of commercial and data security models, ensure against unauthorized use of confidential and/or 
proprietary information and commercial electronic transactions. C193 17:22) 

- "A feature of the present invention provides for payment means supporting flexible electronic 
currency and credit mechanisms, including the ability to securely mmtain audit trails reflecting 
information related to use of such currency or credit' ('193 33 :58) 

- "the end-to-end nature of VDE applications, in which content 108 flows in one direction, generating 
reports and bills 1 18 in the other, makes it possible to perform **back-end" consistency checks." (*193 
223:17) 

- By way of non-exhaustive sunmiary, these present inventions provide a highly secure and trusted 
item delivery and agreement execution services providing the following features and functions: 
Tnistedness and security approaching or exceeding that of a personal trusted courier. 

Instant or nearly instant delivery. 

Optional delayed delivery ("store and forward"). 

Broadcasting to multiple parties. 

Highly cost effective. 

Trusted validation of item contents and delivery. 

Value Added Delivery and other features selectable by the sender and/or recipient 
Provides electronic transmission trusted auditing and validating. 
Allows people to communicate quickly, securely, and confidentially. 

Communications can later be proved through reliable evidence of the communications transaction- 
providing non-repudiatable, certain, admissible proof that a particular communications transaction 
occurred. 

Provides non-repudiation of use and may record specific forms of use such as viewing, editing, 
extracting, copying, redistributing (including to what one or more parties), and/or saving. 


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Supports persistent rights and rules based document woricflow management at recipient sites. 
System may operate on the Internet, on internal organization and/or coiporate networks ("intranets" 
iiTCspective of whether they use or offer Internet services internally), private data netwoiks and/or using 
any o&er form of electronic communications. 

System may operate in non-networked and/or intermittently networked environments. 
Legal contract execution can be performed in real time, with or without fece to face or ear-to-ear 
personal interactions (such as audiovisual teleconferencing, automated electronic negotiations, or any 
combination of such interactions) for any number of distributed individuals and/or organizations using 
any mixture of interactions. 

The items delivered and/or processed may be any "objecr in digital format, including, but not limited 
to, objects containing or representing data types such as text, images, video, linear motion pictures in 
digital format, sound recordings and other audio information, computer software, smart agents, 
multimedia, and/or objects any combination of two or more data types contained within or representing 
a single compound object 

Content (cxecutables for example) delivered with proof of delivery and/or execution or other use. 
Secure electronic containers can be delivered. The containers can maintain control, audit, receipt and 
other information and protection securely and persistently in association with one or more items. 
Trustedness provides non-repudiation for legal and other transactions. 

Can handle and send any digital information (for example, analog or digital information representing 

text, graphics, movies, animation, images, video, digital linear motion picmres, sound and sound 

recordir^s. still images, software computer programs or program fragments, cxecutables, data, and 

including multiple, independent pieces of text; sound clips, software for interpreting and presenting 

other elements of content, and anything else that is electronically representable). 

Provides automatic electronic mechanisms that associate transactions automatically with other 

transactions. 

System can automatically insert or embed a variety of visible or invisible "signatures" such as unages 
of handwritten signatures, seals, and electronic "fingerprints" indicattag who has "touched" (used or 
other interacted with in any monitorable manner) the item. 

System can affix visible seals on printed items such as documents for use both in encoding receipt and 
other receipt and/or usage related information and for establishing a visible presence and impact 
regarding the authenticity, and ease of checking the authenticity, of the item. 
Seals can indicate who originated, sent, received, previously received and redistributed, electronically 
view, and/or printed and/or otherwise used the item. 

Seals can encode digital signatures and validation information providing time, location, send and/or 

other information and/or providing means for item authentication and integrity check. 

Scanning and decoding of item seals can provide authenticity/integrity check of entire item(s) or part of 

an item (e.g.. based on number of words, format, layout, image-picture and/or test-composition, etc.). 

Seals can be used to automatically associate electronic control sets for use in further item handlmg. 

System can hide additional information within the item using "stenanography" for later retrieval and 

analysis. 

Steganography can be used to encode electronic fingerprints and/or other information into an item to 
prevent deletion. 

Multiple stenanographic storage of the same fingerprint information may be employed reflecting 
"more" public and "less" public modes so that a less restricted steganographic mode (different 
encryption algorithm, keys, and/or embedding techniques) can be used to assist easy recognition by an 
authorized party and a more private (confidential) mode may be readable by only a few parties (or only 
one party) and comprise of the less restricted mode may not affect the security of the more private 
mode. 

Items such as documents can be electronically, optically scanned at the sender's end-and printed out in 
original, printed form at the recipient's end. 

Document handlers and processors can integrate document scanning and delivery. 

Can be directly integrated into enterprise and Internet (and similar network) wide document workflow 

systems and applications. 

Secure, tamper-resistant electronic appliance, which may employ VDE SPUs. used to handle items at 
both sender and recipient ends. 


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"Original" item(s) can automatically be destroyed at the sender's end and reconstituted at the recipient's 
end to prevent two originals from existing simultaneously. 

Secure, non-repudiable authentication of the identification of a recipient before delivery using any 
number of different authentication techniques including but not limited to biometric techniques (such as 
palm print scan, signature scan, voice scan, retina scan, iris scan, biometric fingerprint and/or handprint 
scan, and/or face profile) and/or presentation of a secure identity "token." 

Non-repudiation provided through secure authentication used to condition events (e.g., a signature is 
affixed onto a document only if the system securely authenticates the sender and her intention to agree 
to its contents). 

Variety of return receipt options including but not limited to a receipt indicating who opened a 
document, when, where, and the disposition of the docmnent (stored, redistributed, copied, etc.). These 
receipts can later be used in legal proceedings and/or other contexts to prove item delivery, receipt 
and/or knowledge. 

Audit, receipt, and other information can be delivered independently from item delivery, and become 

securely associated with an item within a protected processing cnvirorunent 

Secin-e electronic controls can speciiy how an item is to be processed or otherwise handled (e.g., 

document can't be modified, can be distributed only to specified persons, collections of persons, 

organizations, can be edited only by certain persons and/or in certain manners, can only be viewed and 

will be "destroyed" after a certain elapse of time or real time or after a certain nimibcr of handlings, 

etc.) 

Persistent secure electronic controls can continue to supervise item workflow even after it has been 
received and "read." 

Use of secure electronic containers to transport items provides an unprecedented degree of security, 
tnistedness and flexibility. 

Secure controls can be used in conjunction with digital electronic certificates certifying as to identity, 
class (age, organization membership, jurisdiction, etc,) of the sender and/or receiver and/or user of 
coimnunicated information. 

Efficientiy handles payment and electronic addressing arrangements through use of support and 
administrative services such as a Distributed Commerce Utility as more fully described m the 
copending Shear, et al. ^plication. 

Compatible with use of smart cards, including, for example, VDE enabled smart cards, for secure 
personal identification and/or for payment 

Transactions may be one or more component transactions of any distributed chain of handling and 
control process including Electronic Data Interchange (EDI) system, electronic trading system, 
document workflow sequence, and banking and other fmancial communication sequences, etc. (*683 
6:18) 

- "Content providers and distributors have devised a number of limited function rights protection 

mechanisms to protect their rights. Aufliorization passwords and protocols, license servers, 
"lock/unlock" distribution methods, and non-electronic contractual limitations imposed on users of 
shrink-wrapped software are a few of the more prevalent content protection schemes. In a 
commercial context, these efforts are inefficient and limited solutions." ('900 2:64) 

- "The inability of conventional products to be shaped to the needs of electronic information providers 
and users is sharply in contrast to the present invention- Despite the attention devoted by a cross- 
section of America's largest telecommimications, computer, entertainment and information provider 
companies to some of the problems addressed by the present invention, only the present invention 
provides commercially secure, effective solutions for configurable, general purpose electronic 
conmierce transaction/distribution control systems." ('193 2:13) 

- "The features of VDE allow it to function as the fu^t trusted electronic information control 
environment that can conform to, and support, the bulk of conventional electronic commerce and data 
security requirements. In particular, VDE enables the participants in a business value chain model to 
create an electronic version of traditional business agreement terms and conditions and further enables 
these participants to shape and evolve their electronic commerce models as they believe appropriate to 
their business requirements." (* 1 93 8 :43 ) 


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- An objective of VDE is supporting a transaction/distiibution control standard. Development of such a 
standard has many obstacles, given the security requirements and related hardware and communicadons 
issues, widely differing environments, infonnation types, types of information usage, business and/or 
data security goals, varieties of participants, and properties of delivered information. A significant 
feature of VDE accommodates tiie many, vaiying distribution and other transaction variables by, in 
part, decomposing electronic commerce and data sectirity functions into generalized c^ability modules 
executable within a secure hardware SPU and/or corresponding software subsystem and further 
allowing extensive flexibility in assembling, modifying, and/or replacing, such modules (e.g. load 
modules and/or methods) in applications run on a VDE installation foundation. This configurability and 
reconfigurability allows electronic commerce and data security participants to reflect their priorities and 
requirements through a process of iteratively shaping an evolving extended electronic ^eement 
(electronic control model). CI 93 15:66) 

- Some of the key factors contributing to the configurability intrinsic to the present mvention include: 

(a) integration into the fundamental control environment of a broad range of electronic appliances 
through portable API and programming language tools that efficiently support merging of control and 
auditing capabilities in nearly any electronic appliance environment while maintaining overall system 
security; 

(b) modular data structures; 

(c) generic content model; 

(d) general modularity and independence of foundation architectural components; 

(e) modular security structures; 

(f) variable length and multiple branching chains of control; and 

(g) independent, modular control structures in &e form of executable load modules tibat can be 
maintained in one or more libraries, and assembled into control methods and models, and where such 
model control schemes can "evolve** as control information passes through the VDE installations of 
participants of a pathway of VDE content control information handling. (' 1 93 1 6:66) 

. "Summary of Some Important Features Provided by VDE in Accordance With the Present Invention: 
VDE employs a variety of capabilities that serve as a foundation for a general purpose, sufficiently 
secure distributed electronic commerce solution. VDE enables an electronic commerce marketplace that 
supports divergent, competitive business partnerships, agreements, and evolving overall business 
models. For example, ... provide mechanisms that allow control infoimation to "evolve" and be 
modifled according, at least in part, to independently, securely delivered further control information. ... 
Handlers in a pathway of handling of content control information, to the extent each is au&orized, can 
establish, modify, and/or contribute to, pennission, auditing, payment, and reporting control 
infonnation related to controlling, analyzing, paying for, and/or reporting usage of, electronic content 
and/or appliances (for example, as related to usage of VDE controlled property content)." (M93 21:43, 
29:21) 

- "Summary of Some Important Features Provided by VDE in Accordance With the Present Invention: 
VDE employs a variety of capabilities that serve as a foundation for a general purpose, sufficiently 
secure distributed electronic commerce solution. VDE enables an electronic commerce marketplace that 
supports divergent, competitive business partnerships, agreements, and evolving overall business 
models. For example, ... enable a user to securely extract, through the use of the secure subsystem at 
the user's VDE installation, at least a portion of the content included within a VDE content conuiner to 
produce a new, secure object (content container), such that the extracted information is maintained in a 
continually secure manner through the extraction process." ('193 21 :43 31:66) 

- "As with the content control infonnation for most VDE managed content, features of the present 
invention allows [sic] the content's control infonnation to: (a) "evolve," for example, the extractor of 
content may add new control methods and/or modify control parameter data, such as VDE application 
compliant methods, to the extent allowed by the content's in-place control information. ...(b) allow a 
user to combine additional content with at least a portion of said extracted content, ...(c) allow a user 
to securely edit at least a portion of said content while maintaining said content in a secure form within 
said VDE content container; . . , (d) append extracted content to a pre-existing VDE content container 
object and attach associated control infonnation ...(e) preserve VDE control over one or more portions 


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of extracted content after various forms of usage of said portions ... Generally, the extraction features 
of the present invention allow users to aggregate and/or disseminate and/or otherwise use protected 
electronic content information extracted from content container sources while maintaining secure VDE 
capabilities thus preserving the rights of providers in said content information after various content 
usage processes." {*193 32:27) 

- The secure component based architecture of ROS 602 has important advantages. For example, it 
accommodates limited resource execution environments such as provided by a lower cost SPU 500. It 
also provides an extremely high level of configurability. In fact, ROS 602 will accommodate an ahnost 
unlimited diversity of content types, content provider objectives, transaction types and client 
requirements. In addition, the ability to dynamicaDy assemble independently deliverable components at 
execution time based on particular objects and users provides a hi^ degree of flexibility, CI 93 87:63) 

- "Each logical object structure 800 may also include a "private bod/" 806 containmg or referencing a 
set of methods 1000 (i.e., programs or procedures) that control use and distribution of the object 300. 
The ability to optionally incorporate different methods 1000 with each object is important to making 
VDE 100 highly configurable." ('193 128:25) 

- "VDE methods 1000 arc designed to provide a very flexible and highly modular spproach to secure 
processing." CI 93 181:17) 

- "The reusable functional primitives of VDE 100 can be flexibly combined by content providers to 
reflect their respective distribution objectives." C 193 255:27) 

- the present invention truly achieves a content control and auditing architecture that can be configured 
to most any conmiercial distribution embodiment" (M93 261:12) 

- "Adding new content to objects is an important aspect of authoring provided by the present inventioiL 
Providers may wish to allow one or more users to add, hide, modify, remove and/or extend content that 
they provide. In this way, other users may add value to, alter for a new purpose, maintain, and/or 
otherwise change, existing content The ability to add content to an empty and/or newly created object 
is important as well" C 1 93 261 :23) 

- "The distribution control information provided by tiie present invention allows flexible positive 
conut)l. No provider is required to include any particular control, or use any particular strategy, except 
as required by senior control information. Raier, the present invention allows a provider to select from 
generic control components (which may be provided as a subset of components ^propriate to a 
provider's specific market, for example, as included in and/or directly compatible with, a VDE 
application) to establish a structure appropriate for a given chain of handling/control." (M93 
297:9)"Importantly, VDE securely and flexibly supports editing the content in, extracting content from, 
embedding content into, and otherwise shaping the content composition of, VDE content containers. 
Such capabilities allow VDE supported product models to evolve by progressively refleaing the 
requirements of "nexf' participants in an electronic conmiercial model." CI 93 297:9) 

- "For instance, the user may have an "access" right, and an "extraction" right, but not a "copy" right" 
C193 159:24) 

- "PERCS 808 speciiy a set of rights that may be exercised to use or access the corresponding VDE 
object 300. The preferred embodiment allows users to "customize" their access rights by selecting a 
subset of rights authorized by a corresponding PERC 808 and/or by specifying parameters or choices 
that correspond to some or all of the rights granted by PERC 808, These user choices are set forth in a 
user rights table 464 in the preferred embodiment User rights table (URT^ 464 includes URT records, 
each of which correspond to a user (or group of users). Each of these URT records specific users 
choices for a corresponding VDE object more methods 1000 for exercising the rights granted to the 
user by the PERC 808 in a way specified by the choices contained within the URT record." (* 1 93 
156:55) 

- "PERC and URT structures provide a mechanism that may be used to provide precise electronic 
representation of rights and the controls associated with those rights. VDE thus provides a 


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*Vocabulary" and mechanism by which users and creators may specify their desires " {*193 245:10) 

- "Id sum, the present invention allows information contained in electronic information products to be 
supplied according to user specification. Tailoring to user specification allows the present invention to 
provide the greatest value to users, which in turn will generate the greatest amount of electronic 
commerce activity." (' 193 22:66) 

- Fxmction: "Adding new content to objects is an important aspect of authoring provided by fte present 
invention. Providers may wish to allow one or more users to add, hide, modify, remove and/or extend 
content that they provide. In Ihis way, other users may add value to, alter for a new purpose, maintain, 
and/otherwise change, existing content. The ability to add content to an empty and/or newly created 
object is important as well.*' (* 193 261 :23) 

- Function: "Each logical object structure 800 may also include a "private body" 806 containing or 
referencing a set of method 1000 (i.e., programs or procedures) that control use and distribution of the 
object 300. The ability to optionaUy incorporate different methods 1000 with each object is important 
to making VDE 100 highly configurable." (M93 128:25) 

- Fimction: "An important aspect of adding or modifying content is the choice of encryption/decryption 
keys and/or other relevant aspects of securing new or alt^ed content" (* 193 262:21) 

- Function: "Importantly, VDE securely and flexibly supports editing the content in, extracting content 

from, embedding content into, and otherwise shaping the content composition of, VDE content 
containers." ('193 297:9) 

- VDE also features fundamentally important capabilities for managing content that travels "across" the 
"information highway." These capabilities comprise a rights protection solution that serves all 
electronic conununity members. These members include content creators and distributors, financial 
service providers, end-users, and others. VDE is the first general purpose, configurable, transaction 
control/rights protection solution for users of computers, other electronic appliances, networks, and the 
information highway " (* 1 93 2:27) 

- VDE provides a unified solution that allows all content creators, providers, and users to employ the 
same electronic rights protection solution. ('193 5:17) 

- "Since different groups of components can be put together for diflFerent applications, the present 
invention can provide electronic control information for a wide variety of different products and 
markets. This means the present invention can provide a "unified," efficient, secure, and cost-effective 
system for electronic commerce and data security. This allows VDE to serve as a single standard for 
electronic rights protection, data security, and electronic currency and banking." (* 193 7:6) 

- "Employing VDE as a general purpose electronic transaction/distribution control system allows users 
to maintain a single transaction management control arrangement on each of their computers, networks, 
communication nodes, and/or other electronic appliances. Such a general purpose system can serve the 
needs of inany electronic transaction management applications without requiring distinct, different 
installations for different purposes. As a result, users of VDE can avoid the confusion and expense and 
other inefficiencies of different, limited purpose transaction control applications for each different 
content and/or business model. For example, VDE allows content creators to use the same VDE 
foundation control arrangement for both content authoring and for licensing content from other content 
crcaiura lui inclusion mio uicir prouucis or lor ouierusc. LficarmgDouscs, Qisuiuuiors, conieni creators, 
and other VDE users can all interact, both with the applications nmning on their VDE installations, and 
with each other, in an entirely consistent marmer, using and reusing (largely transparently) the same 
distributed tools, mechanisms, and consistent user interfaces, regardless of the type of VDE activity." 
(M 93 11:38) 

- An objective of VDE is supporting a transaction/distribution control standard. (*193 55:66) 

- Sununary of Some Important Features Provided by VDE in Accordance With the Present 
Invention.... The design of the VDE foundation, VDE load modules, and VDE containers, are 
important features that enable the VDE node operating environment to be compatible with a very broad 


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range of electronic appliances. The ability, for example, for control methods based on load modules to 
execute in very "smaU" and inexpensive secure sub-system environments, such as environments with 
veiy little read/write memory, while also being able to execute in large memory sub-systems that may 
be used in more expensive electronic appliances, supports consistency across many machines. This 
consistent VDE operating environment, including its control structures and container architecture, 
enables the use of standardized VDE content containers across a broad range of device types and host 
operating environments. Since VDE capabilities can be seamlessly integrated as extensions, additions, 
and/or modifications to fundamental capabilities of electronic appliances and host operating systems, 
VDE containers, content control infomiation, and the VDE foundation will be able to work with many 
device types and these device types will be able to consistently and efficiently interpret and enforce 
VDE control information. C193 2jg 34a6) 

- This rationalization stems from the reusability of control structures and user interfaces for a wide 
variety of transaction management related activities. As a result, content usage control, data security, 
information auditing, and electronic financial activities, can be supported with tools that are reusable, 
convenient, consistent, and familiar. In addition, a rational approach— a transaction/distribution control 
standard-aJlows all participants in VDE the same foundation set of hardware control and security, 
authoring, administration, and management tools to support widely varying types of information, 
business market model, and/or personal objectives {'193 1 1:26) 

- Because of the breadth of issues resolved by the present invention, it can provide the emerging 
"electronic highway" with a single traiisaction/distribution control system that can, for a very broad 
range of commercial and data security models, ensure against unauthorized use of confidential and/or 
proprietary information and commercial electronic transactions. VDE's electronic transaction 
management mechanisms can enforce the electronic rights and agreements of all parties participating in 
widely varying business and data security models, and this can be efficiently achieved through a single 
VDE implementation within each VDE participant's electronic appliance. VDE supports widely varying 
business and/or data security models that can involve a broad range of participants at various "levels" of 
VDE content and/or content control information pathways of handling. Different content control and/or 
auditing models and agreements may be available on the same VDE installation. These models and 
agreements may control content in relationship to, for example, VDE installations and/or users in 
general; certain specific users, installations, classes and/or other groupings of installations and/or users; 
as well as to electronic content generally on a given installation, to specific properties, property 
portions, classes and/or other groupings of contenL('193 17:22) 

- "the present invention's trusted/secure, universe wide, distributed transaction control and 
administration system." C 1 93 35:66) 

- "Commerce Utility Systems 90 are generalized and programmable..." (*712 67:7) 

- "Providers of "electronic currency" have also created protections for their type of content These 
systems are not sufficiently adaptable, efficient, nor flexible enough to support the generalized use of 
electronic currency. Furthermore, they do not provide sophisticated auditing and control configuration 
c^abilities. This means that current electronic currency tools lack the sophistication needed for many 
real- world financial business models. VDE provides means for anonymous currency and for 
"conditionally" anonymous currency, wherein currency related activities remain anonymous except 
under special circumstances." (* 193 3:10) 

- "Traditional content control mechanisms often require users to purchase more electronic infoimation 
than the user needs or desires. For example, infrequent users of shrink-wrapped software are required to 
purchase a program at the same price as frequent users, even though they may receive much less value 
from their less frequent use. Traditional systems do not scale cost according to the extent or character of 
usage and traditional systems can not attract potential customers who find that a fixed price is loo high. 
Systems using traditional mechanisms are also not normally particularly secure. For example, shrink- 
wrapping docs not prevent the constant illegal pirating of software once removed from either its 
physical or electronic package." (*193 5:50) 

- "Traditional electronic information rights protection systems are often inflexible and inefficient and 


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may cause a content provider to choose costly distribution channels that increase a product's price. In 
general these mechanisms restrict product pricing, configuration, and marketing flexibility. These 
comproniises are the result of techniques for controlling infonnation which cannot accommodate both 
different content models and content models which reflect the many, varied requirements, such as 
content delivery strategies, of the model participants. This can limit a provider's ability to deliver 
sufficient overall value to justify a given product's cost in the eyes of many potential users. VDE allows 
content providers and distributors to create applications and distribution networks that reflect content 
providers* and users' preferred business models. It offers users a uniquely cost effective and feature rich 
system that supports the ways providers want to distribute information and the ways users want to use 
such information." CI 93 5:36) 

- "VDE does not require electronic content providers and users to modify their business practices and 
personal preferences to conform to a metering and control application program that supports limited, 
largely fixed functionality [sic]. Furthermore. VDE permits participants to develop business models not 
feasible with non- electronic commerce, for example, involving detailed reporting of content usage 
information, large numbers of distinct transactions at hitherto infcasible low price points, "pass-along" 
control information that is enforced without involvement or advance knowledge of the participants, 
etc." cm 9:67) 

- "VDE can fiirther be used to enable commercially provided electronic content to be made available to 
users in user defined portions, rather than constraining the user to use portions of content that were 
"predetermined" by a content creator and/or other provider for billing purposes." (* 193 1 1:66) 

. "The "usage map" concept provided by the preferred embodiment may be tied to the concept of 
"atomic elements," In tiie preferred embodiment, usage of an object 300 may be metered in terms of 
"atomic elements." In the preferred embodiment, an "atomic element" in the metering context defines a 
unit of usage that is "sufficiently significant" to be recorded in a meter. The definition of what 
constitutes an "atomic element" is determined by the creator of an object 300. For instance, a "byte" of 
information content contained in an object 300 could be defined as an "atomic element," or a record of 
a database could be defined as an "atomic element," or each chapter of an electronically published book 
could be defined as an "atomic element"*' (*193 144:53) 

- Sunmiary of Some Important Features Provided by VDE in Accordance WiA the Present Invention. 
VDE employs a variety of capabilities that serve as a foundation for a general purpose, sufficiently 
secure distributed electronic conamcrce solution. VDE enables an electronic conamerce marketplace that 
supports divergent, competitive business partnerships, agreements, and evolving overall business 
models. For example, VDE includes features &at* support dynamic user selection of information 
subsets of a VDE electronic information product (VDE controlled content). This contrasts with the 
constraints of having to use a few high level individual, pre-defined content provider infonnation 
increments such as being required to select a whole information product or product section in order to 
acquire or otherwise use a portion of such product or section. VDE supports metering and usage control 
over a variety of increments (including "atomic" increments, and combinations of different increment 
types) that arc selected ad hoc by a user and represent a collection of pre-identified one or more 
increments (such as one or more blocks of a preidentified nanire, e.g., bytes, images, logically related 
blocks) that form a generally arbitrary, but logical to a user, content "deliverable." VDE control 
information (including budgeting, pricing and metering) can be configured so that it can specifically 
apply, as appropriate, to ad hoc selection of different, unanticipated variable user selected aggregations 
of information increments and pricing levels can be, at least in part, based on quantities and/or nature of 
mixed increment seleaions (for example, a certain quantity of certain text could mean associated 
images might be discounted by 1 5%; a greater quantity of text in the "mixed" increment selection might 
mean the images are discounted 20%). Such user selected aggregated infonnation increments can 
reflect the actual requirements of a user for infonnation and is more flexible than being limited to a 
single, or a few, high level, (e.g. product, document, database record) predetermined increments. Such 
high level increments may mclude quantities of information not desired by the user and as a result be 
more costly than the subset of information needed by the user if such a subset was available. In sum, 
the present invention allows information contained in electronic information products to be supplied 
according to user specification. Tailoring to user specification allows the present invention to provide 


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the greatest value to users, which in turn will generate the greatest amount of electronic commerce 
activity. The user, for example, would be able to define an aggregation of content derived from various 
portions of an available content product, but which, as a deliverable for use by the user, is an entirely 
unique aggregated increment The user may, for example, select certain numbers of bytes of 
information from various portions of an information product, such as a refer«ice work, and copy them 
to disc in unencrypted form and be billed based on total number of bytes plus a surcharge on the 
number of "articles" that provided the bytes. A content provider might reasonably charge less for such a 
user defined mformation increment since the user does not require all of the content from all of the 
articles that contained desired information. C193 21:43, 22:32) 

- Summary of Some Important Features Provided by VDE in Accordance With the Present 
Invention.... Differing models for billing, auditing, and security can be applied to the same piece of 
electronic information content and such differing sets of control information may employ, for control 
pxirposes, the same, or differing, granularities of electronic information control increments. ('193 21-^3, 
28:23)) 

- "The VDE templates, classes, and control structures arc inherently flexible and configurable to 
reflect the breadth of information distribution and secure storage requirements, to allow for efficient 
adaptation into new industries as they evolve, and to reflect the evolution and/or change of an existing 
industry and/or business, as well as to support one or more groups of users who may be associated with 
certain permissions and/or budgets and object types. The flexibility of VDE templates, classes, and 
basic control structures is enhanced through the use of VDE aggregate and control methods which have 
a compound, conditional process impact on objea control. Taken together, and employed at times with 
VDE administrative objects and VDE security airangeraents and processes, &e present invention truly 
achieves a content control and auditing architecture that can be configured to most any coitunercial 
distribution embodiment Thus, the present invention fully supports the requirements and biases of 
content providers without forcing them to fit a predefined application model. It allows them to define 
the rights, control information, and flow of their content (and the return of audit information) through 
distribution channels " ('193 260:66) 

- VDE also extends usage control information to an arbio^ granular level (as opposed to a file based 
level provided by traditional operating systems) and provides flexible control information over any 
action associated with the information which can be described as a VDE controlled process." (* 193 
275:8) 

- "The situation is no better for processing documents within the context of ordinary computer and 
network systems. Although said systems can enforce access control information based on user identity, 
and can provide auditing mechanisms for tracking accesses to files, these are low-level mechanisms 
diat do not permh tracking or conUx)lling the flow of content In such systems, because document 
content can be freely copied and manipulated, it is not possible to determine where document content 
has gone, or where it came from. In addition, because the control mechanisms in ordinary computer 
operating systems operate at a low level of abstraction, the entities they control are not necessarily the 
same as those that are manipulated by users. This particularly causes audit trails to be cluttered with 
voluminous information describing uninteresting activities." (*193 281:27) 

- "Importantly, VDE securely and flexibly supports editing the content in, extracting content from, 
embedding content into, and otherwise shaping the content composition of, VDE content containers." 
(M 93 297:9) 

- "The InterTrust DigiBox container model allows and facilitates these and other different container 
uses. It facilitates detailed container customization for different uses, classes of use and/or users in 
order to meet different needs and business models. This customization ability is very important, 
particularly when used in conjunction with a general purpose, distributed rights management 
environment such as described in Ginter, et al. Such an environment calls for a practical optimization of 
customizability, including customizability and transparency for container models. This customization 
flexibility has a number of advantages, such as allowing optimization (e.g., maximum efficiency, 
minimum overhead) of the detailed container design for each particular application or circumstance so 
as to allow many different container designs for many different purposes (e.g., business models) to exist 


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at the same time and be used by the rights control client (node) on a user electronic appliance such as a 
computer or entertainment device." ('861 2:49) 

- "The node and container model described above and in the Ginter et al. patent specification (along 
wiih similar other DigiBoxADE (Virtual Distribution Environment) models) has nearly limitless 
flexibility." C861 237) 

Such capabilities allow VDE supported product models to evolve by progressively reflecting 
requiiments of "nexf* participants in an electronic commercial models." (*193 297:12) 

Extrinsic: 

VDE: VDE is the broad name given to a comprehensive system (algorithms, software, and hardware) 
that provides metering, securing, and administration tools for intellectual property. VDE stands for 
"Virtual Distribution Environment." (VDE ROI DEVICE vl.Oa 9 Feb 1994, IT00008570) 

Virtual: Pertaining to a fimctional unit that q>pears to be real, but whose functions are accomplished by 
other means.(IBM) 

Environment: 1. The aggregate of external circumstances, conditions, and objects that affect the 
development, operation, and maintenance of a system. 2. In computer security, those factors, both 
internal and external, of an ADP system that help to define the risks associated with its operation 
(Longley) 

Environment: See InierTrust node: A computer that is enabled for processing of DigiBox containers 
by installation of a PPE, which may be either hardware or software based. A node may include 
application software and/or operating system integration. The node is also termed the environment. 
aTG. 8/21/95, ITO0O32375, TD00068B) 

InterTrust Commerce Architecture model: A model that defines a general-piirpose distributed 
architecture for secure electronic commerce and digital rights management The InterTrust Conmierce 
Architecture model includes four key software elements: DigiBox secure containers, InterRights Point 
software with associated protected database, the InterTrust Transaction Authority Framework, and the 
InterTrust Deployment Manager. (ITG, 1 997, MLOOO 1 2A) 

VDE is a system using secure computing technology to enforce a chain of handling and control 
representing the rights of interested parties. (ITG, 3/7/1995, IT00709616) (see foomote 2) 

Virnial Distribution EnvnT)nment fVDEV A set of components that protects content and enforces rights 
associated with content. (ITG, 3/7/1 995, IT00709620, see footnote 2) 

Virtual Distribution Environment: or "VDE** shall mean a system which guarantees: (I) that the 
content creators, publishers, and/or distributors of infonnation receive agreed upon fees for the use of, 
and/or records of the use of, electronic content; and/or (ii) that stored and/or distributed information 
will be used only in authorized ways. More particularly, VDE relates to systems for applying controls 
to,' and controlling and/or auditing use of, electronically stored and/or disseminated information. 
[License Agreement, National Semiconductor and EPR, 3/1 8/94, Exhibit 12 to IT 30(bX6)) 

ITOOOl 689-96, IT0709785 (VDE on a Page), IT000202-29 

M93:l 

"The instant application is one of a series of applications which are all generally directed to a virtual 
distribution environmenL" 

09/208,017 ('193), Examiner^s Amendment, 08/04/00, p. 2 
See "Virtual Distribution Environment" above. 

receiving a 
digital file 
including music 

Intrinsic: 

- "Moreover, when any new VDE object 300 arrives at an electronic appliance 600, the electronic 
appliance must "register" the object within object registry 450 so that it can be accessed." C193 153:56) 

- "FIGS. 1 14A and 1 14B show an example process 4600 for receiving an item. In this example, 


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MS Constrnction 


electronic appUance 600 that has received an electronic object 300 may first generate a notification to 
PPE 650 that the container has arrived (HG. 1 14A, block 4602). PPE 650 may. m response, use the 
dynamic user interaction techniques discussed above to interact with aut^'^cate fte r^^^^ 
accordance with &e electronic controls 4078 within the received object 300 q^G. 1 14A block 4603; 
authentication routine shown in HG. 111). Intended recipient 4056 may be given an opnon of acceptmg 
or declining deUveiy of the object (FIG. 1 14A, block 4604). If intended recipient 4056 accepu the item, 
appliance may store the container 302 locally (FIG. 1 14A. block 4606) and flien generate a "register 
object" event for processing by PPE 650." 

- wWle grandparent ('107) did not refer to fax transmission or physical mail, it did recite that tiie 
delivery means could be by "physical storage media" or by transfemng "physical things ( 193 326, 
5:4, 1421,18:10,127:6.242:32) 

-In this example, the trusted electronic go-between between 4700 receives notification that tiie 
electronic container 302 has arrived (FIG. 121, block 4752). may store Aeconmmer loc^y (Fia 121, 
block 4754) and opens and authenticates tfie container and its contents (FIG. 121, block 4756). The 
trusted electi>mc go-between 4700 may then, if necessary, obtain andjocally register any method/rules 
required to intract with secure container 302 (FIG. 121. block 4758)." 

Extrinsic: 


a budget 
q)eciiying flie 
number of copies 
which can be 
made of said 
digital file 


Intrinsic: 

- For example, content control information for a given piece of content may be stipulated as senior 
mformation and therefore not changeable, might be put in place by a content creator and might stipulate 
that national distributors of a given piece of their content may be permitted to make 100,000 copies per 
calendar quarter, so long as such copies are provided to bonfire end-users, but may pass only a smgle 
copy of such content to a local retailers and the control information limits such a retailer to mdcing no 
more than 1.000 copies per month for retail sales to end-users. In addition, for example, an end-user of 
such content might be limited by the same content control information to making three copies of such 
content, one for each of three different computers he or she uses (one desktop computer at work, one for 
a desktop computer at home, and one for a portable computer). {'193 48:19) 

- "storing a first digital file and a first control in a first secure contains, said first control constituting 
a first budgrt which governs the number of copies wUch may be made of said first digital file or a ^ 
portion of said first digital file while said first digital file is contained in said first secure contamer, 

('193 claim 60) . , ^ . ■ j r 

. "A certain content provider might, for example, require metenng the number of copies made for 
distribution to employees of a given software program (a portion of the program might be inamtamed m 
encrypted form and require the presence of a VDE installation to run). This would require the execution 
of a inetering method for copying of the property each time a copy was made for anotiier employee. 
(M93 20*36) 

- For example,'in the earlier example of a user with a desktop and a notebook computer, a provider 
may allow a user to make copies of infomiation necessary to enable the notebook computer based on 
infomiation present in the desktop computer, but not allow any further copies of said information to be 
made by the notebook VDE node. In this example, the distribution control strucmre descnbed earlier 
would continue to exist on the desktop computer, but the copies of the enabling information passed to 
the notebook computer would lack the required distribution control structure to perfom distnbution 
from the notebook computer. Similarly, a distribution control structure may be provided by a content 
provider to a content provider who is a distributor in which a control stnicmre would enable a certam 
number of copies to be made of a VDE content container object along with associated copies of 
permissions records, but the pennissions records would be altered (as per specification of the content 
provider, for example) so as not to allow end-users who received disuibutor created copies from 
making fiirther copies for distribution to other VDE nodes.(* 193 264:29) 

- "Similarly, a distribution control structure may be provided „. so as not to allow end-users who 
received distributor created copies from making fiirther copies for distribution to other VDE nodes," 


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0193 264:40) 

- SPU 500 is enclosed within and protected by a "tamper resistant security banrier" 502. Security 
bairier 502 separates the secure environment 503 fi-om the rest of the world. It prevents information and 
processes within the secure environment 503 from being observed, interfered with and leaving except 
under ^ropiiatc secure conditions. (*193 59:48) 

- " Secure container 302 may also contain an electronic, digital control structure 4078. This control 
structure 4078 (which could also be delivered independently in another container 302 different from the 
one carrying the image 40681 and/or the data 4068D) may contain important information controlling 
use of container 302. For example, controls 4078 may specify who can open container 302 and under 
what conditions the container can be opened. Controls 4078 might also specify who, if anyone, object 
300 can be passed on to. As another example, controls 4078 might specify restrictions on how the 
image 40681 and/or data 4068D can be used (e.g., to allow the recipient to view but not change the 
image and/or data as one example). The detailed nature of control structure 4078 is described in 
connection, for example, with FIGS. 1 lD-1 IJ ; FIG. 15 ; HGS. 17-26B; and HGS. 41 A-61 C683 
25:62)"Many objects 300 that are distributed by physical media and/or by "out of channel" means (e.g., 
redistributed after receipt by a customer to another customer) might not include key blocks 8 1 0 in the 
same object 300 thai is used to transport the content protected by the key blocks. This is because VDE 
objects may contain data that can be electronically copied outside the confines of a VDE node. If the 
content is encrypted, the copies will also be enciypted and the copier cannot gain access to the content 
unless she has the appropriate decryption key(s)." (*193 128:66) 

Although block 1262 includes encrypted summary services information on the back up. it preferably 
does not include SPU device private keys, shared keys, SPU code and other internal security 
information to prevent this information from ever becoming available to users even in enciypted form. 
C193 166:59) 

Extrinsic: 

controlling tiie 
copies made of 
said digital file 

See above. 

detennining 
whether said 
digital file may 
be copied and 
stored on a 
second device 
based on at least 
said copy control 

Intrinsic: 

- "Similarly, a distribution control structure may be provided ... so as not to allow end-users who 
received distributor created copies from making further copies for distribution to other VDE nodes." 
C 193 264:40) 

- "As mentioned above, traveling objects enable objects 300 to be distributed "Out-Of-Channel;" that 
is, the object may be distributed by an unauthorized or not explicitly authorized individual to another 
individual "Out of channel" includes paths of distribution that allow, for example, a user to directly 
redistribute an object to another individual For example, an object provider might allow users to 
redistribute copies of an object to their fiiends and associates (for example by physical delivery of 
storage media or by delivery over a computer network) such that if a friend or associate satisfies any 
certain criteria required for use of said object, he may do so." (* 193 13 1:53) 

- "In some cases, the extract rights require an exact copy of the PERC 808 associated with the original 
object (or a PERC included for this purpose) to be placed in the new (destination) container ("no" exit 
to decision block 2096)." (M93 194:47) 

- "Metering, billing, and budgeting can allow a provider to enable and limit the copying of a 
pennissions record 808." (*193 263:54) 

- "In some circumstances, it may be desirable for a provider to control how administrative processes 
are performed The provider may choose to include in distribution records stored in secure database 610 
information for use in conjunction with a component assembly 690 that controls and specifies, for 
example, how processing for a given event in relation to a given method and/or record should be 
performed. For example, if a provider wishes to allow a user to make copies of a pennissions record 


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808, she may want to aher the permissions record internally. For example, in the earlier example of a 
user with a desktop and a notebook computer, a provider may allow a user to make copies of 
information necessary to enable the notebook computer based on information present in the desktop 
computer, but not allow any further copies of said information to be made by the notebook VD£ node. 
Id this example, the distribution control structure described earlier would continue to exist on the 
desktop computer, but the copies of the enabling information passed to the notebook computer would 
lack the required distribution control structure to perform distribution from the notebook computer. 
Similarly, a distribution control structure may be provided by a content provider to a content provider 
who is a distributor in which a control structure would enable a certain number of copies to be made of 
a VDE content container object along with associated copies of permissions records, but the 
permissions records would be altered (as per specification of the content provider, for example) so as 
not to allow end-users who received distributor created copies from making further copies for 
distribution to other VDE nodes." C193 264:20) 

^Transfer of ownership of a VDE object 300 is a special case in which all of the permissions and/or 
budgets for a VDE object are redistributed to a different PPE 650. Some VDE objects may require that 
all object-related information be delivered (e.g., if s possible to "seir all rights to the object). However, 
some VDE objects 300 may prohibit such a transfer." (* 193 220:41) 

Extrinsic: 

if said copy 
control aUows at 
least a pordon of 
said digital file to 
be copied and 
stored on a 
second device 

Intrinsic: 

"Persistence of control includes the ability to extract information from a VDE container object by 
creatmg a new container whose contents are at least in part secured and that contains both the extracted 
content and at least a portion of the control information which control information of the original 
contamer and/or are at least in part produced by control information of the original container for this 
purpose and/or VDE installation control information stipulates should persist and/or control usage of 
content in the newly formed container." (* 193 28:50) 

"enable a user to securely extract, through the use of the secure subsystem at the user's VDE 
installation, at least a portion of the content included within a VDE content container to produce a new, 
secure object (content container), such that the extracted information is maintained in a continuaDy 
secure manner through the extraction process. Formation of the new VDE container containing such 
extracted content shall result in control information consistent with, or specified by, die source VDE 
content container, and/or local VDE installation secure subsystem as appropriate, content control 
information. Relevant control information, such as security and administrative information, derived, at 
least in part, from the parent (source) object's control information, will normally be automatically 
inserted into a new VDE content container object containing extracted VDE content This process 
typically occurs under the control framework of a parent object and/or VDE installation control 
information executing at the user's VDE installation secure subsystem (with, for example, at least a 
pordon of this inserted control information being stored securely in encrypted form in one or more 
permissions records)." CI 93 31:66) - 

Extrinsic: 

copying at least a 
portion of said 
digital file 

Intrinsic: 

"Usage map meters are thus an efficient means for referencing prior usage. They may be used to enable 
certain VDE related security functions such as testing for contiguousness (including relative 
contiguousness), logical relatedness (including relative logical relatedness), usage randomization, and 
other usage patterns. For example, the degree or character of the "randomness" of content usage by a 
user might serve as a potential indicator of attempts to circumvent VDE content budget limitations. A 
user or groups of users might employ multiple sessions to extract content in a maimer which does not 
violate contiguousness, logical relatedness or quantity limitations, but which nevertheless enables 
reconstruction of a material portion or all of a given, valuable unit of content. Usage maps can be 


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MS Construction 


analyzed to deteimine other patterns of usage for pricing such as, for example, quantity discounting 
after usage of a certain quantity of any or certain atomic units, or for enabling a user to reaccess an 
object for which tiie user previously paid for unlimited accesses (or unlimited accesses over a certain 
time duration). Other useful analyses might include discounting for a given atomic unit for a plurality 
of uses," C193 146:54) 

Extrinsic: 

transferring at 
least a portion of 
said digital file to 
a second device 

Intrinsic: 

- "In this case, these users may still be able to transfer some or all usage rights to another electronic 
appliance 600, and/or they may be permitted to move some of their righu to another electronic 
appliance, if such nmsferring and/or moving is permitted by the usage permissions received from the 
repository 200g." C193 317:12) 

- "A result of processing tiie distribute event within the BUDGET method might be a secure 
communication (1454) between VDE nodes 102 and 106 by which a budget granting use and 
redistribute rights to tiie distributor 106 may be transferred from the creator 102 to the disuibutor." 
C193 173:1) 

"VDE securely managed content (e.g. toough tiie use of a VDE aware application or operating system 
having extraction capability) may be identified for extraction from each of one or more locations within 
one or more VDE content containers and may then be seciu-cly embedded into a new or existing VDE 
content container through processes executing VDE controk in a secure subsystem PPE 650." (* 193 
301:26) 

Extrinsic: 

storing said 
digital file 

See above. 

'193:11 

Intrinsic: 

"The instant application is one of a series of applications which are all generally directed to a virtual 
distribution environment" 

09/208,017 C193), Examiner's Amendment, 08/04/00, p. 2 
See "Vhtual Distribution Environment" above. 


receiving a 
digital file 

See above. 

determining 
whether said 
digital file may 
be copied and 
stored on a 
second device 
based on said 
first control 

See above. 

identifying said 
second device 

See above. 

whether said first 
control allows 

See above. 


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MS Construction 

transfer of said 
copied file to 
said second 
device 


said 

determination 
based at least in 
part on the 
features present 
at fte device 

Intrinsic: 

- "The software-based tamper resistant barrier 674 provided by HPE 655 may be provided, for 
example, by: ... using a map of defects on a storage device (e.g., a hard disk, memory card, etc.) to 
form internal test values to impede moving and/or copying HPE 655 to other electronic s^pliances 600" 
CI 93 80:40) 

**The degree of tnistedness of a VDE arrangement wiD be primarily based on whether hardware SPUs 
are employed at participant location secure subsystems and the effectiveness of the SPU hardware 
security architecture, software security techniques when an SPU is emulated in software, and the 
encryption aigorTthm(s) and keys that arc employed for securing content, control information, 
communications, and access to VDE node (VDE installation) secure subsystems." (* 193 45:52) 

- "Independent claim 122 recites -determining step including identifying said second device and 
determining v^ether said first control allows transfer of said copied file to said device, said 
determination based at least m part on the features present at the device to which said copied file is to 
be transfciTed" which distinguishes over LOfberg which provides for determination of the 
identification of a second device (the user station) but dies [sic] not provide for basing the 
determination at least in part on the features present at the device to which the copied file is to be 
transferred." 

"At the terminal TERM the personal data carrier ID is used for the input of customer identification 
information, for example an account number or a corresponding information. Simultaneously, the time 
of rent and a programme identification information is supplied to the terminal." 
(LOfberg, U.S. Pat No. 4,595,950, 12:5 1-56) 

09/208,017 C193), Examiner's Supplemental Notice of Allowability, 1 1/06/00, p. 2 (MSI026638) 

if said first 
control allows at 
least a portion of 
said digital file to 
be copied and 
stored on a 
second device 

See above. 

copying at least a 
portion of said 
digital file 

See above. 

transferring at 
least a portion of 
said digital file to 
a second device 

See above. 

storing said 
digital file 

See above. 

M93:15 

"The instant application is one of a series of applications which are all generally directed to a virtual 
distribution environment" 

09/208,017 C193), Examiner's Amendment, 08/04/00. p. 2 


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MS Construction 


See "Virtual Distribution Environmenf* above. 

receiving & 
digital file 

oce ooovc. 

an authentication 
step comprising: 

Intrinsic: 

"The secure subsystems at said user nodes utilize a protocol that establishes and authenticates each 
node's and/or participant's identity" (M93 12:35) 

Extrinsic: 

accessing at least 
one identifier 
associated with a 
first device or 
with a user of 
said first device 

Intrinsic: 

- "a stipulation that the traveling object may be used on certain one or more installations or 
installation classes or users or utser classes where classes correspond to a specific subset of installations 
or users who are represented by a predefined class identifiers stored in a secure database 610" {* 193 
131:40) 

- "Thus, if the user had a VDE node, tiie user might be able to use the traveling object ... if he or his 
VDE node belonged to a specially authorized group of users or installations" (* 193 132:13) 

- "A traveling object might register its user within itself and thereafter only be useable by that one 
user." CI 93 133:43) 

- "Administrative objects, for example, may increase or otherwise adjust budgets and/or permissions 
of the receiving VDE node to which the administrative object is being sent" (* 193 135:21) 

- "This metering process may ... record the VDE node name, user name, associated object 
identification information, time, date, and/or other identification information. Some or all of this 
information can become part of audit information securely reported by a clearinghouse or distributor.... 
For each metered one or more permissions records (or set of records) that were created for a certain user 
(and/or VDE node) to manage use of certain one or more VDE object(s) and/or to manage the creation 
of VDE object audit reports, it may be desirable that an auditor receive corresponding audit information 
incorporated into an, at least in part, encrypted audit report." (* 193 273:58) 

- "provide very flexible and extensible user identification according to individuals, installations, by 
groups such as classes" (* 193 253 1) 

"During the same or different communication session, the terminal could similarly, securely 
communicate back to tiie portable appliance 2600 VDE secure subsystem details as to the retail 
transaction (for example, what was purchased and price, the retail establishment's digital signature, the 
retail terminal's identifier, tax related information, etc.)." C193 233:35) 

Extrinsic: 

"User Authentication: The [Database Management System] can require rigrous user authentication. For 
example, a DBMS might require a user to pass both specific password and time-of-day checks." 
(Pfleeger, p.307) 

determining 
whether said 
identifier is 
associated with a 
device and/or 
user authorized 
to store said 
digital file 

See above. 

storing said 
digital file in a 
first secure 
memory of said 
first device, but 

intrinsic: 

Claims 91 and 132, as added with this Preliminary Amendment 
"91. A method comprising: 
receiving a digital file; 


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only if said 
device and/or 
user is so 
authorized, but 
not proceeding 
wi& said storing 
if said device 
and/or user is not 
au&orized 

storing said digital file in a first secure memory of a first device; 

storing information associated with said digital file in a secure database stored on said first 
device, said information including at least one control; 

determining whether said digital file may be copied and stored on a second device based on 
said at least one control; 

if said at least one control allows at least a portion of said digital file to be copied and stored 
on a second device, 

copying at least a portion of said digital file; 

transferring at least a portion of said digital file to a second device including a memory and an 
audio and/or video output; 

storing said digital file in said memory of said second device; and 

rendering said digital file through said output" 
"132. A method as in claim 91, further comprising: 

an authentication step occurring prior to said step of storing said digital file m said memory of 
said first device, said authentication step comprising: 

accessing at least one identifier associated with said first device or with a user of said first 
device; 

determining whether said identifier is associated with a device and/or user authorized to store 
said digital file; and 

proceeding with said storing step if said device and/or user is so authorized, but not proceeding 
with said step if said device and/or user is not authorized." 

09/208.017 C193), Preliminary Amendment. 12/09/98, p. 1-2, 12 

"Claims ... 132-134 ... are objected to as being dependent upon a rejected base claim, but would be 
allowable if rewritten in independent form including all of the limitations of the base claim and any 
intervening claims," 

09/208,017 C193), Office Action. 06/07/00, p. 4-5 

" 1 32. (Amended) A method [as in clahn 9 1 , further ] comprising: 
receiving a digital file; 

an authentication step [occurring prior to said step of storing said digital file in said memory of 
said first device, said authentication step] comprising: 

accessing at least one identifier associated with a [said] first device or with a user of said first 
device; and 

determining whether said identifier is associated with a device and/or user authorized to store 
said digital file; [and proceeding with said storing step]; 

storing said digital file in a first secure memory of said first device* but only [proceeding with 
said storing step] if said device and/or user is so authorized, but not proceeding with said storing [stepl 
if said device and/or user is not authorized; 

storing information associated with said digital file in a secure database stored on said first 
device, said information including at least one control; 

determining whether said digital file mav be copied and stored on a second device based-on 
said at least one control; 

if said at least one control allows at least a portion of said digital file to be copied and stored 
on a second device, 

copying at least a portion of said digital file; 

transferring at least a portion of said digital file to a second device including a memory and an 

audio and/or video output; 

storing said digital file in said memory of said second device; and 
rendering said digital file through said output." 

(pg.5-6) 

"The examiner also objected to claims ... 132-134, ... as dependent upon a rejected base claim (OA, 
^5). With this Amendment, Applicants have amended the above-mentioned claims to an independent 
form including all the lunitations of the rejected base claim and any intervening claims per the 
Examiner's suggestion." 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 81 of 100 



Claim Term 

MS Construction 


(pg.22) 

09/208,017 C193). Amendment, 08/04/00, p. 5-6, 22 
Extrinsic: 

Storing 
infonnatioD 
associated with 
said digital file in 
a secure database 
stored on said 
first device, said 
information 
including at least 
one control 

Sec above. 

determining 
whether said 
digital file may 
be copied and 
stored on a 
second device 
based on said at 
least one control 

Sec above. 

if said at least 
one control 
allows at least a 
portion of said 
digital file to be 
copied and stored 
on a second 
device, 

See above. 

copying at least a 
portion of said 
digital file 

See above. 

transferring at 
least a portion of 
said digital file to 
a second device 

See above. 

storing said 
digital file 

See above. 


iiiu LUaJU. 

"The instant application is one of a series of applications which are all generally directed to a virtual 
distribution environmenL" 

09/208,017 C193), Examiner's Amendment, 08/04/00, p. 2 
See "Virtual Distribution Environment" above. 

receiving a 
digital file at a 
first device 

See above. 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 82 of 100 



Claim Term 

MS Construction 

establishing 
commimicadaD 
between said first 
device and a 
clearinghouse 
located at a 
location remote 
from said first 
device 

Intrinsic: 

"A usage clearinghouse 200c as described above in connection with FIG. 1 A and/or as disclosed in the 
Shear et al. patent disclosure may be used to track the audit informatioD based on event-driven or 
periodic reporting, for example. Audit records could be transmitted to a usage cleannghouse (or to a 
trusted go-between 4700) by an automatic call forwarding transmission, by a supplement caU during 
transmission, by period update of audit information, by the maintenance of a constant communication 
line or q>en network pathway, etc." ('683 37:56) 

XtXuulSlC. 

using said 
ouuion^uun 
information to 
gain access to or 
make at least one 
use of said first 
digital file 

See above. 

receiving a first 
control from said 
clearinghouse at 
said first device 

See above. 

storing said first 
digital file in a 
memory of said 
first device 

Sec above. 

using said first 
control to 
determine 
whether said first 
digital file may 

uc cupicu OUU 

Stored on a 
second device 

See above. 

if caiH firct 

control allows at 
least a portion of 
said first digital 
file to be copied 
and stored on a 
second device 

See above 

copying at least a 
portion of said 
first digital file 

See above. 

transferring at 
least a portion of 
said first digital 
file to a second 
device including 
a memory ^n 
audio and/or 
video output 

See above. 

storing said first 

See above. 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 83 of 100 



Claim Term 

MS Construction 

digital j&le 
portion 


*683:2 

Intrinsic: 

"The instant application is one of a series of applications which are all generally directed to a virtual 
distribution environment" 

09/208,017 C193), Examiner's Amendment, 08/04/00, p. 2 

See "Vhtual Distribution Environmenr above. 

Prosecution History of *683 Patent 

"A comparison of independent claim 7 to Fischer to derive the similarities and differences between the 
claimed invention and the prior art follows. ... claim 7 recites hardware and/or software used for 
transmission of secure containers to otiier apparatuses and/or for the receipt of secure containers from 
other apparatuses, see cohmm 1, lines 18-24 and column 4, lines 58-69." 

09/221,479 C683), OfSce Action, 1 1/12/99, 4-5 0X00065800-01) 

- Fischer, U.S. Pat No. 5,412,717: 

"Each terminal. A, B , . . N also includes a conventional IBM communications board (not shown) 
which when coupled to a conventional modem 6, 8, 10, respectively, permits the terminals to transmit 
and receive messages. Each terminal is capable of generating a message performing whatever digital 
signature operations may be required and transmitting the message to any of the other terminals 
connected to communications channel 12 (or a communications network (not shown), which may be 
coimected to communications chaime] 12)." (4:58-69) 

Ac first secure 
container having 
been received 
from a second 
apparatus 

Intrinsic: 

- "Incoming administrative object manager 756 typically maintains records (in concert with SPE 503) 
in secure database 610 (e.g., receiving table 446) that record which objects have been received, objects 
expected for receipt, and other information related to received and/or expected objects " (* 193 102:46) 

- REGISTER method 2400 in this "administrative response" mode may prime appropriate audit trails 
(blocks 2460, 2462). and then may unpack the received administrative object and write the associated 
register request(s) configuration information into the secure database (blocks 2464, 2466). REGISTER 
method 2400 may then retrieve the administrative request from the secure database and determine 
which response method to run to process the request (blocks 2468, 2470). If Ac user feils to provide 
sufficient hxformation to register the object, REGISTER metiiod 2400 may fail (blocks 2472, 2474), 
(M93 179:23) 

- "Referring to FIG. 110, appliance 600 may then deliver the secure container(s) 302 to the intended 
recipient 4056 and/or to trusted electronic go-between 4700 based upon the instructions of sender 4052 
as now reflected in the electronic controls 4078 associated with the object 300 (FIG. 110, block 4514). 
Such delivery is preferably by way of electronic netwoik 4058 (672), but may be performed by any 
convenient electronic means such as, for example, Internet, Electronic Mail or Electronic Mail 
Attachment, WEB Page Direct, Telephone, floppy disks, bar codes in a fax transmission, filled ovals on 
a form delivered through physical mail, or any other electronic means to provide contact with the 
intended recipient(s)." (*683 40:10) 

Extrinsic: 

an aspect of 
access to or use 
of 

See above. 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 84 of 100 


Claim Term 

MS Construction 

the first secure 
container rule 
having been 
received from a 
third apparatus 
different from 
said second 
apparatus 

Intrinsic: 

"[Ajpplicants* independent claims ... require secure delivery ofboth first and second control items 
originating from someplace other than the appliance where they are used, at least in part, for controlling 
the same process, operation or the like. This feature in combination is not taught or suggested by 
Johnson and/or Rosen." 

OS/388,107, Amendment, 06/20/97, p. 23 (MSI028847) 

. "Appliance 600 may next, if necessary, obtain and locally register any methods, controls or other 
information required to manipulate object 300 or its contents (FIG. 1 15, block 4607B; see regisnztion 
method shown in FIGS. 43a-4). For example, item 4054 may be delivered independently of an 
associated control set 4078, where the control set may only be partial, such that appliance 600 may 
require additional controls from peimissioning agent 200f (see FIG. lA and "rights and permissions 
clearing house" description in the copending Shear et al. patent disclosure) or oAer archive in order to 
use the item." C683 41:4) 

- "Secure container 302 may also contain an electronic, digital control structure 4078. This control 
structure 4078 (which could also be delivered independently in another container 302 different from the 
one carrying the image 40681 and/or the data 4068D) may contain important information controlling 
use of container 302." ('683 25:62) 

Extrinsic: 

hardware or 
software used for 
receiving and 
opening secure 
containers 

Intrinsic: 

"Please ... add the following new claims: 

7. A system including, ... hardware and/or software used for receiving and opening secure containers 

n 

09/221,479 (*683), Preliminary Amendment, 12/28/98, p. 2 

- "SPU 500 in this example is an integrated circuit ("IC") "chip" 504 including "hardware" 506 and 
"firmware" 508. SPU 500 connects to the rest of the electronic appliance througji an "appliance link" 
510. SPU "firmware" 508 in this example is "software" such as a "computer program(s)" "embedded" 
within chip 504. Firmware 508 makes the hardware 506 work. Hardware 506 preferably contains a 
processor to perform instructions specified by firmware 508. "Hardware" 506 also contains long-term 
and short-term memories to store information securely so it can*t be tampered with, SPU 500 may also 
have a protected clock/calendar used for timing events. The SPU hardware 506 in this example may 
include special purpose electronic circuits that are specially designed to perform certain processes (such 
as "encryption" and "decryption") rapidly and efficiently." (' 193 59:60) 

- "Referring to FIG. 1 10. appliance 600 may then deliver the secure containcr(s) 302 to the intended 
recipient 4056 and/or to trusted electronic go-between 4700 based upon the instructions of sender 4052 
as now reflected in the electronic controls 4078 associated with the object 300 (FIG. 1 10, block 4514). 
Such delivery is preferably by way of electronic network 4058 (672), but may be performed by any 
convenient electronic means such as, for example, Internet, Electronic Mail or Electronic Mail 
Attacumeni, wt.x5 ^ age uireci, i eiepnonc, iioppy uisks, dot voucb ui a ioa utuiMui^diuiL, imcu ovdid on 
a form delivered through physical mail, or any other electronic means to provide contact with the 
intended recipient(s)." (*683 40:10) 

- while grandparent (* 1 07) did not refer to fax transmission or physical mail, it did recite that the 
delivery means could be by "physical storage media" or by transferring "physical things" CI 93, 3:28, 
5:4, 14:21, 18:10. 53:33, 127:6, 245:32) 

- "Incommg adminisu^tive object manager 756 receives administrative objects from other VDE 
electronic appliances 600 via communications manager 776." (*193 102:42) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 85 of 100 



Claim Term 

MS Construction 


- Trusted go-between 4700 might be authorized to register (but not open) the containers 302(1) it 
receives for later use as evidence in court 5016. (* 683 52:35) 

479.7: "hardware and or/ [sic. and/or] software** 

Exninsic: 

said secure 
containers each 
including the 
capacity to 
coniaiD a 

governed item, a ' 
secure container 
rale being 
associated with 
each of said 
secure containers 

Intrinsic: 

"VDE objea creation in the preferred embodiment employs VDE templates whose atomic elements 
represent at least in part modular control processes. Employing VDE creation software (in the 
preferred embodiment a GUI programming process) and VDE templates, users may create VDE objects 
300 by, for example, partitioning the objects, placing "meta data" (e.g., author's name, creation date, 
etc.) into them, and assigning rights associated with them and/or object content to, for example, a 
publisher and/or content creator. When a objea creator rui^ throu^ this process, she normally will go 
through a content specification procedure which will request required data. The content specification 
process, when satisfied, may be proceed by, for exan^sle, inserting data into a template and 
encapsulating the content." (*193 259:37) 

Extrinsic: 

protected 
processing 
environment at 
leasi in pan 
protecting 
information 
contained in said 
protected 
processing 
environment . 
from tampering 
by a user of said 
fost apparatus 

Intrinsic: 

See "protected processing environment** for Prosecution History limitations. 

behalf of users." (*193 27736)" 
Extrinsic: 

hardware or 
software used for 
applying said 
first secure 
container rule 
and a second 
secure container 
rule in 

combination to at 
least in part 
govern at least 
one aspect of 
access to or use 
of a governed 
item contained in 
a secure 
container 

Intrinsic: 

Prosecution History of * 683 Patent: 

"A comparison of independent claim 7 to Fischer to derive the similarities and differences between the 
claimed invention and the prior an follows. ... The combination of the first rule and the rule associated 
with the secure container is discussed at column 17, lines 40-61 " 

U.S. Pat No. 5,412,717 17:40-51: 

"Thereafter, the program X's program authorizing mformation is combined, as appropriate, with the 
PAI associated with the PCB of the calling program, if any. This combined PAI, which may include 
multiple PAI's, is then stored in an area of storage which cannot generally be modified by the program 
and the address of the PAI is stored m the process control block (PCB) as mdicated m field 156 of FIG. 
5. Thus, if program X is called by a calling program, it is subject to all its own constraints as well as 
being combined in some way with the constraints of the calling program, which aggregate constraints 
are embodied into program X's PAI." 

"A permissions record 808 may include requirements associated with this control information in 
combination with other control mformation, or a separate permissions record 808 may be used." (* 193 
262:17) 

09/221,479 (*683), Office Action, 1 1/12/99, 4-5 (IT00065 800-01) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 86 of 100 



Claim Term 

MS Construction 


- "The VD£ content control architecture allows content control information (such as control 
information for governing content usage) to be shaped to conform to VD£ control information 
requirements of multiple parties. Formulating such multiple party content control information normally 
involves securely deriving control information from control information securely contributed by parties 
who play a role in a content handlmg and control model (e.g. content crcator(s), provider(s), nser(s)» 
clearia^ouse(s), etc,). Multiple party control information may be necessary in order to combine 
multiple pieces of independently managed VDE content into a single VDE container object (particularly 
if such independently managed content pieces have differing, for example conflicting, content control 
information). Such secure combination of VDE managed pieces of content will frequently require 
VDE's ability to securely dcriye content control information which accommodates the control 
mformation requirements, including any combinatorial rules, of the respective VDE managed pieces of 
content and reflects an acceptable agreement between such plural control information sets.*" ("193 
296:12) 

- "The role of go-between 4700 may, in some circumstances, be played by one of the participant's 
SPU's 500 (PPEs), since SPU (PPE) behavior is not under the user's control, but rather can be under the 
control of rules and controls provided by one or more other parties other than the user (although in 
many instances the user can contribute his or her own controls to operate in combination with controls 
contributed by odicr pardes)." (*683 24:26) 

> "Many such load modules are inhercntiy configurable, aggregatable, portable, and extensible and 
singularly, or in combination (along with associated data), run as control methods under the VDE 
transaction operating environment" (M 93 25:48) 

- permissions record 808 may include requirements associated with this control information in 
combination with other control information, or a separate permissions record 808 may be used,** (*193 
262:17) 

- "Seniority of contributed control information, including resolution of conflicts between content 
control information submitted by multiple parties, is normally established by:..." ('193 46:30) 

- "This attribute of supporting multiple party securely, independentiy deliverable control information 
is fimdamental to enabling electronic commerce, tfiat is, defming of a content and/or ^pliance control 
information set that represents the requirements of a collection of independent parties such as content 
creators, other content providers, financial service providers, and/or users." (* 193 84: 10) 

- "A significant feature of VDE accommodates the many, varying distribution and other transaction 
variables by, in part, decomposing electronic commerce and data security functions into generalized 
capability modules executable within a secure hardware SPU and/or corresponding software subsystem 
and further allowing extensive fiexibility in assembling, modifying, and/or replacing, such modules 
(e.g. load modules and/or methods) in applications run on a VDE installation foundation. This 
configurability and reconfigurability allows electronic commerce and data security participants to 
reflect their priorities and requirements through a process of iteratively shaping an evolving extended 
electronic agreement (electronic control model). This shaping can occur as content control information 
passes from one VDE participant to another and to the extent allowed by "in place** content control 
information. This process allows users of VDE to recast existing control information and/or add new 
control information as necessary (including the elimination of no longer required elements)." (* 193 
16:5) 

- "A significant facet of the present invention's ability to broadly support electronic commerce is its 
ability to securely manage independently delivered VDE component objects containing control 
information (normally in the form of VDE objects containing one or more methods, data, or load 
module VDE components). This independently delivered control information can be integrated with 
senior and other pre-existing content control information to securely form derived conn*ol information 
using the negotiation mechanisms of the present invention. All requirements specified by this derived 
control information must be satisfied before VDE controlled content can be accessed or otherwise used. 
This means that, for example, all load modules and any mediating data which are listed by the derived 
control information as required must be available and securely perform their required function." C 1 93 
10:66) 

- "Embedding takes content that is already in a container and stores it (or the complete object) in 
another container directly and/or by reference, integrating the control information associated with 
existing content with those of the new content" (M93 194:24) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 87 of 100 


Claim Term 

MS Construction 


- However, the EMBED method 2110 perfonns a slightly different fiinction-it writes an object (or 
reference) into a destination conuiner. Blocks 21 12-2 122 shown in FIG. 57b are similar to blocks 2082- 
2092 shown in FIG. 57a. At block 2124, EMBED method 2110 writes 4e source object into the 
destination container, and may at the same tune extract or change the control information of the 
destination container. One alternative is to simply leave the control information of the destination 
container alone, and include the full set of control information associated with the object being 
embedded in addition to the original container control infomiation. As an optimization, however, the 
preferred embodiment provides a technique whereby Ac control information associated with the object 
being embedded are "^stiacted*' and incorporated into the control information of the destination 
container. (M93 195:3) 

- Users of VDE may include content creators who apply content usage, usage reporting, and/or usage 
payment related control information to electronic content and/or appliances for users such as end-user 
organizations, individuals, and content and/or appliance distributors. CI 93 9:40) 

- For example, in a VDE aware word processor application, a user may be able to "print" a document 
into a VDE content container object, ^plying specific control information by selecting from amongst a 
series of different menu templates for different purposes (for example, a confidential memo template for 
internal organization pmposes may restrict the ability to "keep," that is to make an electronic copy of 
the memo). C 193 26:59) 

- '479^7: "hardware and/or software used for^ 

- "Collection of terms (a control set) define a contract associated with a specific right," ('193 245:56) 

- "securely combining said first and second controls to form a set of controls.*' (' 1 07 pg. 733 claim 
45) . 

- '*the right to use the content may be associated with two control sets. One control set may describe a 
fixed C'higher^ price for using the content Another control set may describe a fixed ("lower") price 
for using the content with additional content information and field specification requiring collection and 
return the user's personal information C 193 246:50) 

- "Multiple party control information may be necessary in order to combine multiple pieces of 
independently managed VDE content into a single VDE container objca (particularly if such 
independently managed content pieces have differing, for example, conflicting, content control 
information). Such secure combinations of VDE managed pieces of content will frequently require 
VDE's ability to securely derive content control information which acconunodates the control 
information requirements, including any combinatorial rules, of the respective VDE managed pieces of 
content and reflects an acceptable agreement between such plural control information sets.**('193 
296:21) 

- "Control sets 914, in turn, each includes a control set header 9 1 6, a control method 918, and one or 
more require methods records 920." (M93 150:24) 

- "Each control set 914 contains as many required methods records 920 as necessary to satisfy all of the 
requirements of the creators and/or distributors for the exercise of a right** {* 193 150:51 ) 

"Control sets 914 exist in two type in VDE 100: common required control sets which are given 
designations, "control sets 0" or "control set for right," and a set of control set options. "Control set 0" 
902 contain a list of reuired methods that are common to all control set options, so that the common 
required methods do not have to be duplicated in each control set option. A "control set for right" 
("CSR") 9 10 contain a similar list for control sets within a given right "Control set 0" and any "control 
sets for rights" are thus, as mentioned above, optimizations; the same functionality fir the control set 
can be accomplished by listing all the common required methods in each control set option and omitting 
"control set 0" and any "controls set for rights." (* 193 150:30) [see Fig. 26] 

- "Rights and permissions clearinghouses 400 may then distribute a new, combined control set 
188 ABC consistent with each of the individual control sets 188A, 188B, 188C — relieving he value 
chain participants form having to formulate any control sets other than the one they are particularly 
concerned about" ('712 190:14-18) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 88 of 100 



Claim Term 

MS Construction 


- "May form an overall transaction control set from a number of discrete sub-control sets contributed, 
for example, by a number of different participants." ('712 234:12-15) 

"Transaction authority 700 also receives another control set 188X specifying how to link the various 
partic^)ants' control sets together into overall transactions processes with requirements and limitations 
(Figures 58 A and 58B, block 752). The overall transaction control set 188Y specifies how to resolve 
conflicts between the sub-transaction control set 188 (1), 188 (N) provided by the individual 
participants (this could involve, for example, an electronic negotiation process 798 as shown in Figures 
75A-76A of the Ginter et al. patent disclosure). The transaction authority 700 combines the 
participant's individual control sets - trying them together with additional logic create an overall 
' Transaction control superset 188Y (Figures 58A and 58B, block 752).** (*712 243:8-19) 

Extrinsic: 

hardware or 
software used for 
transmission of 
secure containers 
toother 
apparatuses or 
for the receipt of 
secure containers 
from other 
apparatuses. 

Intrinsic: 

- "Referring to FIG. 110, appliance 600 may then deliver tiie secure container(s) 302 to the intended 
recipient 4056 and/or to trusted electronic go-between 4700 based upon the instructions of sender 4052 
as now reflected in the electronic controls 4078 associated with the object 300 (FIG. 1 10, block 4514). 
Such delivery is preferably by way of electronic network 4058 (672), but may be performed by any 
convenient electronic means such as, for example, Internet, Electronic Mail or Electronic Mail 
Attachment, WEB Page Direct, Telephone, floppy disks, bar codes in a fax transmission, filled ovals 
on a form delivered through physical mail, or any other electronic means to provide contact with the 
intended recipient(s)." (*683 40:10) 

while grandparent (* 107) did not refer to fax transmission or physical mail, it did recite that tiie 
delivery means could be by "physical storage media" or by transferring "physical things'* C\93 3^8, 
5:4, 14:21, 18:10, 53:33, 127:6, 245:32) 

Those programs may communicate with the PPE 650 component of a user's electronic appliance 
600 to make VDE-protected documents available for use while limiting the extent to which their 
contents may be copied, stored, viewed, modified, and/or transmitted and/or otherwise further 
distributed outside the specific electronic appliance. C193 279:3) 

Extrinsic: 

^721:1 

Intrinsic: 
USP 5,757,914 
USP 4,930,703 

"The instant application is one of a series of applications which are all generally directed to a virtual 
distribution environment" 

09/208,017 C193), Examiner's Amendment, 08/04/00, p. 2 

digitally signing 
a first load 
module with a 
first digital 
signature 
designating the 
fust load module 
for use by a first 

Intrinsic: 

- "A hierarchy of assurance levels may be provided for different protected processing environment 
security levels. Load modules or other executables can be provided with digital signatures associated 
with particular assurance levels. Appliances assigned to particular assurance levels can protect 
themselves from executing load modules or other executables associated with different assurance levels. 
Different digital signatures and/or certificates may be used to distinguish between load modules or other 
executables intended for different assurance levels." ('721 6:16) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 89 of 100 



Claim Term 

MS Construction 

device class 

- "Encryption can be used in combination with the assurance level scheme discussed above to ensure 
that load modules or other cxecutables can be executed only in specific envirormients or types of 
environments. The secure way to ensure that a load module or otiicr executable cant execute in a 
particular environment is to ensure that tiie environment doesn*t have the key(s) necessary to decrypt it" 
C721 6:63) 

- **A protected processing cnvironment(s) of assurance level I protects itself (themselves) by executing 
only load modules 54 sealed with an assurance level I digital signature 106(1). Protected processing 
cnvironment(s) 108 havmg an associated assurance level I is (are) securely issued a public key 124(1) 
that can "unlock" the level I digital signamre. Similarly, a protected processing environment(s) of 
assurance level II protects itself (themselves) by executing only the same (or different) load module 54 
sealed with a "Level 11" digital signature 106(11). Such a protected processing environment 108 having 
an associated corresponding assurance level n possess a public key 124(11) used to "unlock" the level II 
digital signature. A protected processing environment(s) 108 of assurance level III protects itself 
(themselves) by executing only load modules 54 having a digital signature 106(111) for assurance level 
m. Such an assurance level HI protected processing cnviroiuncnt 108 possesses a corresponding 
assurance level 3 public key 124ail).'' (*721 17:48) 

- "More specifically, a particular assurance level appliance 6 1 thus protects itself fi-om using a load 
module 54 of a different assurance level Digital signatures (and/or signature algorithms) 106 in this 
sense create the isolated "desert islands" shown-since they allow execution environments to protect 
themselves from "off island" load modules 54 of different assurance levels." (*721 19:61) 

"If a load module is encrypted differently for different assurance levels, and the keys and/or algorithms 
that are used to decrypt such load modules are only distributed to envirorunents of the same assurance 
level, an additional measure of security is provided," (*721 20:7) 

Extrinsic: 

digitally signing 
a second load 
module with a 
second digital 
signature 
different from the 
first digital 
signature, the 
second digital 
signature 
designating the 
second load 
module for use 
by 'a second 
device class 
having at least 
one of tamper 
resistance and 
security level 
different from the 
at least one of 
tamper resistance 
and security level 
of the first device 
class 

Intrinsic: 

- "In one example, verifying authority 100 may digitally sign identical copies of load module 54 for 
use by different classes or "assurance levels" of electronic ^pliances 61." 

- "Protected execution spaces such as protected processing envirormients can be programmed or 
otherwise conditioned to accept only diosc load modules or other executables bearing a digital 
signature/certificate of an accredited (or particular) verifying authority. Tamper resistant barriers may 
be used to protect this programming or other conditioning. The assurance levels described below are a 
measure or assessment of the effectiveness with which this programming or other conditioning is 
protected." 

- "For example, protected processing environments or other secure execution spaces that are more 
impervious to tampering (sudi as those providing a higher degree of physical security) may use an 
assurance level that isolates it from protected processing envirormients or other secure execution spaces 
that are relatively more susceptible to tampering (such as those constructed solely by software 
executing on a general purpose digital computer in a non-secure location)." (*721 6:34) 

- "The present invention may use a verifying authority and the digital signatures it provides to 
compartmentalize the different electronic appliances depending on their level of security (e.g., work 
factor or relative tamper resistance)." 

- "Assurance level I might be used for an electronic appliance(s) 6 1 whose protected processing 
environment 108 is based on software techniques that may be somewhat resistant to tampering. An 
example of an assurance level I electronic appliance 61 A might be a general purpose personal computer 
that executes software to create protected processing environment 108. An assurance level II electronic 
appliance 61 B may provide a protected processing environment 108 based on a hybrid of software 
security techniques and hardware-based security techniques. An example of an assurance level II 
electronic appliance 6 IB might be a general purpose personal computer equipped with a hardware 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 90 of 100 



Claim Term 

MS Construction 


integrated circuit secure processing unit ("SPU") that performs some secure processing outside of the 
SPU (see Ginter ct aL patent disclosure FIG. 10 and associated text). Such a hybrid arrangement might 
be relatively more resistant to tampering than a software-only implementation. The assurance level ID 
appHancc 61C shown is a general purpose personal computer equipped with a hardware-based secure 
processing unit 132 providing and completely containing protected processing environment 1 08 (see 
Ginter et al. FIGS. 6 and 9 for example). A silicon-based special purpose integrated circuit security chip 
is relatively more tamper-resistant dian implementations relying on software techniques for some or all 
of their tamper-resistance." 

"Assurance level in this example may be assigned to a particular protected processing environment 108 
at initialization (e.g., at the factory in the case of hardware-based secure processing units). Assigning 
assurance level at initialization time facilitates the use of key management (e.g.. secure key exchange 
protocols) to enforce isolation based on assurance level. For example, since establishment of assurance 
level is done at initialization time, rather than in the field in this example, the key exchange mechanism 
can be used to provide new keys (assuming an assurance level has been established correctly).** 

Extrinsic: 

distributing the 
fust load module 
for use by at least 
one device in the 
first device class 

See above. 

distributing the 
second load 
module for use 
by at least one 
device in the 
second device 
class 

Sec above. 

'721:34 

Intrinsic: 
USP 5,757,914 
USP 4,930,703 

"The instant application is one of a series of applications which are all generally directed to a virtual 
distribution environment** 

09/208,017 0193), Examiner's Amendment, 08/04/00, p. 2 
See "Vutual Distribution Environment" above. 

arrangement 
within the first 
tamper resistant 
barrier 

Intrinsic: 

An important part of VDE provided by the present invention is the core secure transaction control 
airangemcnt, herein called an SPU (or SPUs), that typically must be present in each user's computer, 
other electronic appliance, or network. ('193 48:66) 

Extrinsic: 

prevents the first 
secure execution 
space from 
executing the 
same executable 

Intrinsic: 

"In accordance with this feature of the invention, verifying authority 100 supports all of these various 
categories of digital signamres, and system 50 uses key management to distribute the appropriate 
verification keys to different assurance level devices. For example, verifying authority 100 may 
digitally sign a particular load module 54 such that only hardware-only based server(s) 402(3) at 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 91 of 100 



Claim Term 

""^ ' ■ MS Construction ' 

second secure 
execution space 
having a second 
temper resistant 
barrier with a 
second security 
level different 
from the first 
security level 

assurance level XI may authenticate it This compartmentalization prevents any load module executable 
on hardware-only servers 402(3) from executing on any other assurance level app ian(^ (for 
software, only protected processing environment based support service 404(1)). ( 721 19:1 1) 

Exninsic: 

*86l:58 

Intrinsic: 

"The instant appUcation is one of a series of applications which are all generally directed to a virtual 
distribution environment** 

09/208,017 C193), Examiner's Amendment. 08/04/00, p. 2 
See "Virtual Distribution Environment" above. 

creating a first 
secure container 

Intrinsic: 

- 'Tor example, the descriptive data smicture may be used in a creation process 302 Tlie CTea^n 
process 302 may read the descriptive data stnicturc and, in response, create an output file 400 wi4 a 
predefined fonnat such as, for example, a container 1 00 corresponding to a format described by fte 
descriptive data structure 200." C86 1 11 :58; Fig. 3) . ^ f f 

. 'The output of the layout tool 300 may be a descriptive data strucmre 200 m the form of, for 
example, a text file. A secure packaging process 302a may accept container specific data as an input, 
and it m^y also accept the descriptive data structure 200 as a read only mput Ih^ packager 302a could 
be based on a graphical user interface and/or it could be automated. The packager 302a packages the 
container specific data 3 14 into a secure container 100. It may also package descriptive data structure 
200 into the same container 100 if desired.** C861 12:9, and see Fig. 4) . ^. . 
. **Dcscriptivc data strucmre 200 may provide encodings ofothercharactensticsm the form ot 
metadata that can also be used by application 506 during a process of creating, usmg or raanipulatmg 

container 100.** C861 13:30) . . , . . u 

- "This invention relates to techniques for defining, creating, and manipulatmg nghts management 

data structures " C861 1:23) , . ^ *i. 

. "Therefore, the container creation and usage tools inust themselves be secure m the sense that they 

must protea certain details about the container design." ('861 4:59) 

- "-nie above-referenced Ginter et al. patent specification describes, by way of non-exhaustive 
example ''templates" that can act as a set (or collection of sets) of control instructions and/or data for 
object control software. See, for example, the ''Object Creation and Initial Control Sdiictuies, 
"Templates and Classes." and "object defmition file," "information" method and content methods 
discussions in the Ginter et al. specification. The described templates are. in at least some examples, 
capable of creating (and/or modifying) objects in a process that interacts with user mstructions and 
provided content to create an object" ('861 4:65) 

. "The DDS creation tool 800 (see FIG. 1 OA) may then package the resultmg DOS 200 mto a secure 
container 100 along with an associated object 830" ('861 19:62) 

- "In accordance with one aspect of how to advanugeously use descriptive data structures m 
accordance with a preferred embodiment of this invention, a machine readable descriptive dau stmcnjre 
may be created by a provider to describe the layout of the provider's particular nghts managemem data 
strucmre(s) such as secure containers. These descriptive data strucUire ("DDS") templates may be used 
to create containers." ('861 6:24) ^ 

- "Object construction stage 1230 may use information in object configuration file 1240 to assemble or 
modify a container. This process typically involves communicating a series of events to SPE 503 to 
create one or more PERCs 808, public headers, private headers, and to encrypt content, all for storage m 
the new object 300 (or within secure database 610 within records associated with the new object)." 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 92 of 100 



Claim Term 

MS Construction 


C193 103:47) 

- "The Internet Repository 3406 VDE containerizes, including encrypts, selected object content as it 
streams out of the Repositoiy in response to an online, user request to download an object*' (* 193 
313:33) 

- "The container manager 764 may, in cooperation with SPE 503, construct an object container 302 
based at least in part on parameters about new object content or other information as specified by object 
configuration file 1240. Container manager 764 may then insert into the container 302 the content or 
other information (as enaypied by SPE 503) to be included in the new olyecL Container manager 764 
may also insert appropriate pomissions, rules and/or control information into Ac container 302 (this 
permissions, rules and/or control information may be defined at least in part by user interaction through 
objert submittal manager 774, and may be processed at least in part by SPE 503 to create secure data 
control suiictures). Container manager 764 may then write tiie new objert to object repository 687, and 
the user or the electronic ^pliance may "register** the new objert by including appropriate information 
within secure database 610. " (*193 1 04:12) [see Fig. 12A] 

Extrinsic: 

inchiding or 
addressing . . . 
organizaticm 
infonnadon . . . 
desired 

organization of a 
content section. . 
. and metadata 
information at 
least in part 
specifying at 
least one step 
required or 
desired in 
creation of said 
first secure 
container 

Intrinsic: 

- ^'metadata fields 264 (which may be part of and/or referenced by the descriptive data structure)" 
C861 14:20); "include or reference" (* 861 15:21); advantages of referencing ('861 15:32-58); 
alternative to referencing is "explicitly include" ('861 15:59); "including or addressing" (861 .58); 
"includes a reference to" (86 1 .69); 

- " it may be useful to store the metadata m a secure container 100 separately from DDS 200" (*86 1 
15:35) 

- FIG. 7 shows an example of how descriptive data structure 200 may be formatted. As mentioned 
above, descriptive data structure 200 may comprise a list such as a linked list Each list entry 260(1), 
260(2), . . . may include a number of data fields including, for example: an objert name field 262, one 
or more metadata fields 264 (which may be part of and/or referenced by the descriptive data structure); 
and location mformadon 266 (which may be used to help identify the corresponding information within 
the container data structure 1 00).** 

- "a descriptive data structure could serve as * instructions" that drive an automated packaging 
application for digital content and/or an automated reader of digital content such as display priorities 
and organization (e.g^ order and/or layout). "('86 1 7:54); 

- "a DDS 200 could serve as the 'instructions' that drive an automated packaging application for 
digital content or an automated reader of digital content" (*861 13:) 

- "In accordance with one exan^ile, the machine readable descriptive data structure provides a 
description that reflects and/or defines corresponding structure(s) within the rights management data 
structure. For example, the descriptive data structure may provide a recursive, hierarchical list that 
reflects and/or defines a corresponding recursive, hierarchical structure within the rights management 
data structure. ... descriptive data structure may directly and/or indirectly specify where, in an 
associated rights management data structure, corresponding defined data types may be found." (*721 

- Issued claim 1 : a first memory storing a descriptive data structure, said descriptive data structure 
including: information regarding a first organization of elements within a secure container, said 
information including: inforaiation on the organization of said elements within said secure container, 
and information on the location of at least some of said elements within said secure container; " Issued 
claim 1 6: *^ising said organization information to identify a specific portion of said first secure 
container content." (see c. 17-19 re. specific specific portions) 

- Issued claim 34: "a representation of the format of data contained in a fu^ rights management data 
structure said representation including; element information contained within said fu^t rights 
management data sGucture; and organization information regarding the organization of said elements 
within said fu-st rights management data structure; and infomiation relating to metadata, said metadata 
including" 


EXHIBIT D TO JOEKT CLAIM CONSTRUCTION STATEMENT- Page 93 of 100 



Claim Term 

MS Construction 


- Issued claim 45 (dependent from 34-44): "said infonnation regarding elements contained within 
said first rights management data structure includes infonnation relating to the location of at least one 
such element" 

- Issued claim 73: "said descriptive data stnicture organization infonnation includes information 
^ecifying that said first secure contamer contents will include at least a title and a text section refened 
to by said title." 

- Issued claim 74: "said descriptive data stnicture organization infonnation includes information 
specifying that said first secure container contents will include at least one advertisement" 

- Issued claim 75: "said descriptive data stnicture further includes information relating to the location 
at which said title, said text section and said advertisement should be stored in said first secure 
container." 

- Issued claim 76: "at least a portion of said descriptive data structure organization infonnation 
includes information specifying fields relating to at least one atomic transaction" 

- "For example, the FIG. 2A example descriptive data structure headline definition 202a does not 
specify a particular headline (e.g., "Yankees Win the Pennant!"), but instead defines the location (for 
example, the logical or other offset address) within the container data structure 100a (as well as certain 
other characteristics) in which such headline information may reside." (*861 10:54); 

"iflvmit "hmt*i" and field definitions (c e text text block, integer, file, image or other data type)." ('861 
16:49) 

- "A method of creating a first secure container, said method including the following steps;" ('86 1 this 
claim 58) 

"Descriptive data structure 200 can, for example, tell application 506 to always display a certain field 
(e.g., the author or copyright field) and to never display other information (e.g., infonnation that should 
be hidden from most users)." ('861 13:) 

Extrinsic: 

at least in part 
detennine 
specific 
infonnation 
required to be 
included in said 
first secure 
container . 
contents 

Intrinsic: 

- "Descriptive data structure 200 may provide encodings of other characteristics in the form of 
metadata that can also be used by application 506 during a process of creating, using or manipulating 
container 100. The DDS 200 can be used to generate a software program to manipulate rights 
management structures. For example, a DDS 200 could serve as the 'instructions' that drive an 
automated packaging application for digital content or an automated reader of digital content" ('861 
13:30);. 

- "such metadata may impose integrity or other constraints during the creation and/or usage process 
(e.g., "when you create an object, you must provide this information", or "when you display the object, 
you must display this infonnation")." (*861 15:25); "many possible integrity constraints.... Required: 
... Optional ... Required relationship ... Optional relationship ... Repetition" ('861 16:15); 

- " "construction type" metadata (upon object construction, the information is required; upon object 
construction, the object creation tool is to always or never pronipt for the infonnation)" ('861 16:41); 
The descriptive data structure can be used to generate one or more portions of software programs that 
manipulate rights management structures. For example, a descriptive data structure could serve as 
'instructions' that drive an automated packaging application for digital content and/or an automated 
reader of digital content such as display priorities and organization (e.g., order and/or layout)." ('861 
7:51) 

"In use, electronic appliance 500 may access secure container 100 and-in accordance with rules 316 — 
access the descriptive data strucmre 200 and content 102 it contains and provide it to application 506. 
The interpreter 508 within application 506 may, in turn, read and use the descriptive data structure 
200." 

For example, suppose the application 506 wants to display the "headline" information within newspaper 
style content shown in FIG. 2A. Application 506 may ask interpreter 508 to provide it with information 
that will help it to locate, read, format and/or display this "headline" information." ('861 12:57) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 94 of 100 



Claim Term 

MS Construction 


Extrinsic: 

rule designed to 
control at least 
one aspect of 
access to or use 
of at least a 
portion of said 
first secure 
container 
contents 

Intrinsic: 

Prosecution History of '861 Patent: 

"Claims [1,1 0,25^6] are rejected under 35 U.S.C, 102(b) as being clearly anticipated by the common 
and decades-old practice of using database schema to describe the structure of a database which 
requires password^identifications for access. ... Claims [1-17^5-26] are rejected under 35 U.S.C. 
102(a) as being anticipated by Anderson et al (Anderson), USP 5,537,526, Method and Apparatus for 
Processing a Display Document Utilizing a System Level Document The claims are rejected on the 
basis of the correspondence between the teachings of Anderson and the elements of the claims as 
follows: As to claim 1 (and 10), the TabstractModel 502 is a machine readable, abstract descriptive 
data structure which interoperates with Tmodels 506 (TM), and TmodelSurrogates 504 (TMS). ... 
Hiese models are clearly data structures, and while they can be of many types, fte data tiiey manage 
can include restrictions that correspond to rights manageroenL" 

08/805,804 (*86 1), Office Action, 06^25/98. p. 2-3 

- "The rights management environment in which DigiBox.TM. containers are used allows commerce 
participants to associate rules with the digital information (content).*^ ('861 1:50) 

- "For example, a creator of content can package one or more pieces of digital information with a set 
of rules in a DigiBox secure container-sudi rules may be variably located in one or more containers 
and/or client control nodes— and send the container to a distributor. The distributor can add to and/or 
modify die rules in the container within the parameters allowed by the creator. The distributor can then 
distribute the container by any rule allowed (or not prohibited) means— for example, by communicating 
it over an electronic network such as the Internet A consumer can download the container, and use the 
content according to the rules within the container. The container is opened and the rules enforced on 
the local computer or other InterTrust-aware appliance by software InterTnist calls an InterTnist 
Commerce Node, The consumer can forward the container (or a copy of it) to other consumers, who can 
(if the rules allow) use the content according to the same, differing, or other included rules-which rules 
apply being detennined by user available rights, such as the users specific identification, including any 
class membership(s) (e.g., an automobile club or employment by a certain imiversity). In accordance 
with such rules, usage and/or payment information can be collected by the node and sent to one or more 
clearinghouses for payment settlement and to convey usage information to those with rights to receive 
it" C8612:13) 

- "Descriptive data structure 200 may supply integrity constraints or rules that protect the integrity of 
corresponding content during use of and/or access to the content** (*861 12:2) 

- "For example, DDS 200 can specify that an article of a newspaper cannot be viewed without its 
headline being viewed. The corresponding integrity constraint can indicate the rule * if there is an article, 
there must also be a headline"." C 86 1 1 6*.2) 

"In this example, each target data block 801 includes rule "(control) information. Different target data 
blocks 801 can provide different rule information for different target environments 850. Hie rule 
information may, for example, relate to operations (events) and/or consequences of application program 
fiinctions 856 within the Ji^^nciated tarpet environment 850 such as sneci'^inp*'* r*861 18*33^ 

Extrinsic: 

'891:1 

Intrinsic: 

"The instant application is one of a series of applications which are all generally directed to a virtual 
distribution environment" 

09/208,017 C193), Examiner's Amendment, 08/04/00, p. 2 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 95 of 100 ' 



Claim Term 

MS Construction 


See "Virtual Distribution Environment" above. 

resource 
processed in a 
secure opcratnig 
enviromztent at a 
first appliance 

Intrinsic; 

- Prosecution History of Application 08/388,107 (issued at *891): 
"Please amend the remaming claims as follows: 

15 (Amfnd'^) A m^*^f^A fnr [mnnflging] usinp at least one resource fwithl processed in a secure 
operating environment at a first apoliaDce, said me&od comprising: 

securelY receiving a first entity's control ffi^m a first cntitvl at said first aooliance, said first entitv 
bem£ located remoteW fi-om [external to] said operating environment and said first appliance; 
securely receiving a second entity's control [from a second cntitvl ^ said first appliance, said second 
entity being located remotely from [external to] said operating environment and said first appliance, 
said second entity oemg oiiiCTeni irom saio lusi cnuiy, ana 

«curelv processing a data item at said first appliance, using at least one resource [. a data item 
Qctm-ifltftH with Mid first and second controls: andl. including securely applying, at said first appliance 
through use of said at least one resource, said first entity's control and said second entity's control 

[cnntrols] to [manage said resource fori govern use [wifli] of said data item " 

08/388.107, Amendment, 06/20/97, p. 2 (MSI028825) 

Extrinsic: 

securely 
receiving a first 
entity's control at 
said first 
appliance 

See above. 

securely 
receiving a 
second entity's 
control at said 
first appliance 

See above. 

securely 

processing a data 
item at said first 
^Uance, using 
at least one 
resource 

Intrinsic: 

"a protected processing environment, coupled to said communications arrangements, that: (a) securely 
processing, using at least one resource, a data item associated with said first and second controls, and 
(b) securely applies said first and second controls to manage said resources for use of said data item " 
(08/388,107 page 781 claim 75) 

Extrinsic: 

securely 

applying, at said 
first appliance 
through use of 
said at least one 
resource said first 
entity's control 
and said second 
entity's control to 
govern use of 
said data item 

Intrinsic: 

"Such secure combination of VDE manage pieces of content will fi-equently require VDE's ability to 
securely derive content control information which acconunodates the control information requirements, 
including any combinational rules, of the respective VDE managed pieces of content and reflects an 
acceptable agreement between plural control information sets." (293:12 

Extrinsic: 

*900:155 

Intrinsic: 

"The instant application is one of a series of applications which are all generally directed to a virtual 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 96 of 100 


Claim Term 


MS Construction 


distribution environment" 

09/208,017 C193), Examiner's Amendment. 08/04/00, p. 2 

ProsecutioD History of *900: 

Claims 302, 32 1 and 322, as pending: 

"302. A virtual distribution environment comprising 

• a first host processing environment comprising 

• a central processing unit; 

• main memory operatively connected to said central processing unit; 

• mass storage operatively coimected to said central processing unit and said main 
memory; 

• said mass storage storing tamper resistant software designed to be loaded into said 
main memory and executed by said central processing unit, said tamper resistant 
software comprising: 

• machine chedc programming which derives information from one or more aspects of 
said host processing environment, 

• one or more storage locations storing said informadonj and 
» integrity programming which 

• causes said machine check progranmiing to derive said information, 

• compares said information to information previously stored in said one or more 
storage locations, and 

• generates an indication based on the result of said comparison. 

321. A virtual distribution environment as in claim 302, 

• said virtual distribution enviroiunent further comprising programming which takes 
one or more actions based on the state of said indication. 

322. A virtual distribution enviroiunent as in claim 321 m which said one or more actions 
includes at least temporarily halting further processing." 

(08/706^06 C900). Amendment, 06/09/98, 92-93, 96. 96-97) 

"Claims ... 322-324, ... are objected to as being dependent upon a rejected base claim, but would be 
allowable if rewritten in independent form including all of the limitations of the base claim and any 
intervening claims." 

08/706,206 (*900). Office Action. 08/27/98. p. 2 

"322. A virtual distributira environment comprising 

• a first host processing environment comprising 

• a central processing imit; 

• main memory operatively connected to said central processing unit; 

• mass storage operatively cormected to said central processing unit and said 
main memory; 

• said mass storage storing tamper resistant software designed to be loaded 
into said main memory and executed. by said central processing unit, said tamper 
resistant software comprising: 

• machine check programming which derives information from one or more 
aspects of said host processing enviroiunent. 

• one or more storage locations storing said information; 

• integrity programming which 

o causes said machine check programming to derive said information, 

o compares said information to information previously stored in said 

one or more storage locations, and 
o generates an indication based on the result of said comparison; and 

• programming which takes one or more actions based on the state of said 
indication; 

• said one or more actions including at least temporarily halting further 
processing." 

(pg. 27-28) 

Remarks, '^Applicants appreciate the indication that claims ... are allowed and that claims ... 322-324 


EXHIBIT D TO JOINT CLAIM COKSTRUCTION STATEMENT- Page 97 of 100 



Claim Term 

MS Construction 


are OPjeCLeO to out WOUIU DC ailOWBOlC U iCWIIiU;ii Ult-u uiu&^buubrui xumi. ... i w ^bu^w^w^ 

expedition, applicants are cancelling Ae rejected claims without prejudice and are rewriting 
objected to dependent claims into independent form " (pg. 42) 
08/706^06 (*900), Amendment, 1 1/23/98. p. 27-28, 42 

first host 
processing 
eDvironment 
comprising 

See above. 

said mass storage 
storing tamper 
resistant software 

See above. 

designed to be 
loaded into said 
main memory 
and executed by 
said central 
processing unit 

See above. 

said tamper 
resistant software 
comprising: . . . 
one or more 
storage locations 
storing said 
information 

Intrinsic: 

"Referring once again to FIG. 69B, &e installed operational materials 3472 may be further customized 
for each instance by making random changes to reserved, unused portions of Ae operational maierials 
(FIG. 69B, block 3470(6)). An example of this is shown in FIG. 69E. In this example, tiie operational 
materials 3472 include unused, embedded random data or code portions 3494." 

Extrinsic: 

derives 

information from 
one or more 
aspects of said 
host processing 
environment. 

Intrinsic: 

C900 73:1 - 80: 6); C900 230:55 - 23334); C900 235:28-244:15); Figs. 69A-N 

one or more 
storage locations 
storing said 
information 

Intrinsic: 

iceiemng once again lo rivj. ovo, mc insiaucu opcrauunaj niaLciuiid j** mcy uc lujuici uu^iuiui^rcu 
for each instance by making random changes to reserved, unused portions of the operational materials 
(FIG. 69B, block 3470(6)). An example of this is shown in FIG. 69E. In this example, the operational 
materials 3472 include unused, embedded random data or code portions 3494." 

information 
previously stored 
in said one or 
more storage 
locations 

Intrinsic: 
See terms. 

generates an 
indication based 
on the resuh of 
said comparison 

See terms. 

programramg 
which takes one 
or more actions 
based on the state 
of said indication 

Intrinsic: 

Claim 321, as pending: 

"321. A virtual distribution environment as in claim 302, 
said virtual distribution environment further comprising programming which takes one or more actions 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 98 of 100 



ClaiiD lerm 



based on the state of said indication." 
08/706^06 (*900), Amendment, 06/09/98. p. 96 

at least 
temporarily 
halting further 
processmg 

Seehahing. 

'912:8 

"The instant application is one of a series of applications which are all generally directed to a virtual 
distribution environment'* 

09/208,017 C193), Examiner's Amendment. 08/04/00, p. 2 
See "Virtual Distribution Environment" above. 

idestiiying at 
least one aspect 
of en execution 
space required 
for use and/or 
execution of the 
load module 

Intrinsic: 

*Tor each site, the manufacturer generates a site ID 2821 and list of site characteristics 2822." (*193 
209:55) 

said execution 
space identifier 
provides the 
capaoiiuy xor 
distinguishing 
between 

execution spaces 
providing a 
higher level of 
security and 
execution spaces 
providmg a lower 
level of security 

Extrinsic: 

See generally processor identification field, memory maps, and address spaces. 

checking said 
record for 
validity prior to 
perfonning said 
executing step 

Extrinsic: 

Validity Check: The process of analyzing data to determine whether it conforms to predetermined 
completeness and consistency parameters. (Microsoft Computer Dictionary, 3"* ed. 1997) 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 99 of 100 


Claim Term 

MS Construction 

*912:35 

"Hie instant application is one of a scries of applications which are all generally directed to a virtual 
distribution environment" 

09/208.017 C193). Examiner's Amendment, 08/04/00. p. 2 
See "Virtual Distribution Environment" above. 


received in a 
secure container 

See terms. 

said component 
assembly 
allowing access 
to or use of 
specified 
information 

See terms. 

said first 
component 
assembly 
specified by said 
first record 

See terms. 


EXHIBIT D TO JOINT CLAIM CONSTRUCTION STATEMENT- Page 100 of 100