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WILLIAM L. ANTHONY (State Bar No. 106908) 
ERIC L. WESENBERG (State Bar No. 139696) 
MARK R. WEINSTEIN (State Bar No. 193043) 
ORRICK, HERRINGTON & SUTCLIFFE, LLP 
1000 Marsh Road 
MenloPark,CA 94025 
Telephone: (650)614-7400 
Facsimile: (650)614-7401 

STEVEN ALEXANDER (admitted Pro Hac Vice) 

KRISTIN L. CLEVELAND (admitted Pro Hac Vice) 

JAMES E. GERINGER (admitted Pro Hac Vice) 

JOHN D. VANDENBERG 

KLARQUIST SPARKMAN, LLP 

One World Trade Center, Suite 1600 

121 S.W. Salmon Street 

Portland, OR 97204 

Telephone: (503) 226-7391 

Facsimile: (503) 228-9446 

Attorneys for Defendant and Counterclaimant, 
MICROSOFT CORPORATION 

UNITED STATES DISTRICT COURT 
NORTHERN DISTRICT OF CALIFORNIA 
OAKLAND DIVISION 

CASE NO. C01-1640 SBA 


MICROSOFT CORPORATION'S 
PATENT LOCAL RULE 4-l(a) 
STATEMENT (LIMITED TO "MINI- 
MARKMAN" CLAIMS) 


INTERTRUST TECHNOLOGIES 
CORPORATION, a Delaware corporation, 

Plaintiff, 

v. 

MICROSOFT CORPORATION, a 
Washington corporation, 

Defendant. 

MICROSOFT CORPORATION, a 
Washington corporation, 

Counterclaimant, 

v. 

[NTERTRUST TECHNOLOGIES 
CORPORATION, a Delaware corporation, 

Counter Claim-Defendant. 


MICROSOFT CORPORATION'S PATENT LOCAL 
RULE 4-l(a) STATEMENT, Case No. C 01-1640 
SBA 


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Pursuant to Patent Local Rule 4-1 (a), Microsoft submits below the claim terms, phrases, 
and clauses of the twelve selected "Mini-Markman" patent claims that Microsoft presently 
submits, subject to discussions with InterTrust, should be construed by the Court, in addition to 
construing each claim as a whole. 

Set forth in Section A, below, is a list of individual claim terms that Microsoft presently 
submits, subject to discussions with InterTrust, should be construed by the Court. Individual 
claim terms should be construed wherever they are found in these twelve claims. 

Set forth in Section B, below, are the phrases and clauses that Microsoft presently 
submits, subject to discussions with InterTrust, should be construed by the Court. The claim 
phrases and clauses that Microsoft presently submits, subject to discussions with InterTrust, 
should be governed by 35 U.S.C. § 1 12(6), are identified in Section B by double underlining. 

Many of these claim terms, phrases and clauses are indefinite and otherwise improper 
under 35 U.S.C. § 1 12(2), and Microsoft reserves all rights to assert those defects as to each of 
these claim terms, phrases and clauses. 

The grouping of individual claim terms below is for convenience only and does not imply 
any particular connection, or lack of connection, between any terms. 
A - Individual Claim Terms 

a digital file, digital file 
access, accessed, access to, accessing 
addressing 
allowing, allows 
applying ... in combination 
arrangement 
aspect 

associated with 
authentication 

authorization information, authorized, not authorized 
budget control, budget 

MICROSOFT CORPORATION'S PATENT LOCAL 
RULE 4-l(a) STATEMENT, Case No. C 01-1640 
-2- SBA 


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• can be 

• capacity 

• clearinghouse 

• compares, comparison 

• component assembly 

• contain, contained, containing 

• control (n.), controls (n.) 

• controlling, control (v.) 

• copied file 

• copy, copied, copying 

• copy control 

• creating, creation 

• data item 

• derive, derives 

• descriptive data structure 

• designating 

• device class 

• digital signature, digitally signing 

• entity, entity's control 

• environment 

• executable programming, executable 

• execution space, execution space identifier 

• generating 

• govern, governed, governed item, governing 

• halting 

• host processing environment 

• identifier, identify, identifying 

• including 

• information previously stored 

• integrity programming 

• key 

• load module 

• machine check programming 

• metadata information 

• opening secure containers 

• operating environment, said operating environment 

• organization, organization information, organize 

• portion 

• prevents 

• processing environment 


-3- 


MICROSOFT CORPORATION S PATENT LOCAL 
RULE 4-1(a) STATEMENT, Case No. C 01-1640 
SBA 


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protected processing environment 

protecting 

record 

required 

resource processed 

rule 

secure 

secure container, secure containers 
secure container governed item 
secure container rule 
secure database 
secure execution space 
secure memory, memory 

secure operating environment, said operating environment 
securely applying 
securely assembling 
securely processing 

securely receiving, securely receiving ... a control 
security 

security level, level of security 

specific information, specified information 

tamper resistance 

tamper resistant barrier 

tamper resistant software 

tampering 

use 

validity 

virtual distribution environment 
Claim Phrases and Clauses 


receiving a digital file including music 

a budget specifying the number of copies which can be made of said digital file 
controlling the copies made of said digital file 

determining whether said digital file may be copied and stored on a second device based on at 
least said copy control 

if said copy 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 


'193:1 


-4- 


MICROSOFT CORPORATION'S PATENT LOCAL 
RULE 4-l(a) STATEMENT, Case No. C 01-1640 
SBA 


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transferring at least a portion of said digital file to a second device 
storing said digital file 

'193;11 

determining whether said digital file may be copied and stored on a second device based on 
said first control 

identifying said second device 

whether said first control allows transfer of said copied file to said second device 

said determination based at least in part on the features present at the device 

if said first 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 

storing said digital file 

'i93;is 

receiving a riipitaf fi1 P 

an authentication step comprising: 

accessing at least one identifier associated with a 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 

storing said digital file in a first secure memory of said first device, but only if said device 
and/or user is so authorized, but not proceeding with said storing 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 may be copied and stored on a second device based oh 
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 

storing said digital file 

493:19 

receiving a digital file at afirst .devfe 

f^^»^,po^un^J^bfg^i8aid first device atida clearing house located at a 

using said authorization information to gain access to or make at least one use of said first 
digital file 

including using said key to decrypt at least a . portion of said first digital file 

MICROSOFT CORPORATION'S PATENT LOCAL 
RULE 4- 1(a) STATEMENT, Case No. C 01-1640 
-5- SBA 


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I from faid riftarinehftusiB : 

storing said first digital file in a memory of said first device 

using said first control to determine whether said first digital file may be copied and stored on 
a second device 

if said first control allows at least a portion of said first digital file to be copied and stored on 
a second device 

copying at least a portion of said first digital file 

transferring at least a portion of said first digital file to a second device including a memory 
and an audio and/or video output 

storing said first digital file portion 

'683:2 

user controls 

the first secure container having been received from a second apparatus 
an aspect of access to or use of 

the first secure container rule having been received from a third apparatus different from said 
second apparatus 

hardware or software used for receiving and onening sec ure containers 

said secure containers each including the capacity to contain a governed item, a secure 
container rule being associated with each of said secure containers 
protected processing environment at least in part protecting information contained in said 
protected processing environment from tampering by a user of said first apparatus 
h^Vi^WSP^ for annlving sajd list secure aontairier rule andia ? secr>hf} ff frtitm 

container rule in combination to afffleasf to^ emm, m lmmm&mm of access jo or v «e 
of a governed item contained in a secu re container 

liardwate:Or s0ft^:ttsed ^tSfmmM^^ikmm chfrtamerSto other annaratuses or for ffie 
receml of secure containers fmm nfli er armai^m.«ass. 

'721:1 

digitally signing a first load module with a first digital signature designating the first load 
module for use by a first device class 

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 
distributing the first load module for use by at least one device in the first device class 
distributing the second load module for use by at least one device in the second device class 

'721:34 

arrangement within the first tamper resistant barrier 

prevents the first secure execution space from executing the same executable accessed by a 
second secure execution space having a second tamper resistant barrier with a second security 
level different from the first security level 

MICROSOFT CORPORATION'S PATENT LOCAL 
RULE 4-l(a) STATEMENT, Case No. C 01-1640 
-6- SBA 


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'861:58 

creating a first secure container 

including or addressing . . . organization information . . . desired organization ... and 
metadata information at least in part specifying at least one step required or desired in creation 
of said first secure container 

at least in part determine specific information required to be included in said first secure 
container contents 

rule designed to control at least one aspect of access to or use of at least a portion of said first 
secure container contents 

'891:1 

resource processed in a secure operating environment at a first appliance 
securely receiving a sectmA wflitvN 

securely processing a data item at said first appliance, using at least one resource 
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 

'900:155 

first host processing environment comprising 
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: ... one or more storage locations storing said 
information 

derives information from one or more aspects of said host processing environment, 
one or more storage locations storing said information 
information previously stored in said one or more storage locations 
generates an indication based on the result of §aid comparison 
programming which takes one or more actions based on the state of said indication 
at least temporarily halting further processing 

'912:8 

identifying at least one aspect of an execution space 
required for use and/or execution of the load module 

said execution space identifier provides the capability for distinguishing between execution 
spaces providing a higher level of security and execution spaces providing a lower level of 
security 

checking said record for validity prior to performing said executing step 


-7- 


MICROSOFT CORPORATION'S PATENT LOCAL 
RULE 4-l(a) STATEMENT, CaseNo. C 01-1640 
SBA 


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'912:35 

• received in a secure container 

• said component assembly allowing access to or use of specified information 

• said first component assembly specified by said first record 


Dated: November 8, 2002 



Of Counsel: 

T. Andrew Culbert, Esq. 
One Microsoft Way 
Building 8 

Redmond, WA 98052-6399 
Phone: 425-882-8080 


WltLlAML. ANTHONY 
ERIC L. WESENBERG 
MARK R. WEINSTEIN 
ORRICK HERRINGTON & SUTCLIFFE, LLP 
1000 Marsh Road 
Menlo Park, CA 94025 
Telephone: (650)614-7400 

STEVEN ALEXANDER 
KRISTIN L. CLEVELAND 
JAMES E. GERINGER 
JOHN D. VANDENBERG 
KLARQUIST SPARKMAN, LLP 
One World Trade Center, Suite 1600 
121 S.W. Salmon Street 
Portland, OR 97204 
Telephone: (503) 226-7391 

Attorneys for Defendant 
MICROSOFT CORPORATION 


-8- 


MiCROSOFT CORPORATION'S PATENT LOCAL 
RULE 4-l(a) STATEMENT, Case No. C 01-1640 
SBA 


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3 am' more man eighteen years old and not a party to this action. My place of employment 
md^usiriess^dr^f!! 121 S.W. Salmon St., Suite 1600, Portland, OR 97204. 

On Npwem^el g, 2002, 1 served on counsel for InterTrust Technologies Corporation: 

^#<5S0I^ G^ORATION'S PATENT LOCAL RULE 4-l(a) STATEMENT by e- 

majl deTfvety^nd!byplacing true copies of these papers in envelopes addressed to: 


Michael H. Page, Esq. 
John W. KekeriEsq. 
ifonlfc StriSeriiEsq. 
KEKER^AMNEST, LLP 
!7t0Sansb^S|j^et 
San Francisco, CA 94111 
Phone: 415-391-5400 
Fax: 415-397-7188 
E-mail: mhp@kvn.com 


lor^Co. l^aWOlBeels; 
liOSOl&an^ 
Suite 101 

Alameda, CA$4S0$ 
Phone: 510-811-9401 
Fax: 510-865-941)8 ; 
Email: stavlor^colaw^com 


700-Hansen W«y 
Pai&AlG**^ 

stei^|a6rrisse^amheeajn.com 



^ »s^g ea#5e^Yeloi»^ alQjtiiig adequate first-class postage and dcposraagit in the U.S. mail 
(t56raandiQi©gOB. 

I declare under praalty Y df perjury that the foregoing is true and correct. Executed on 
%vember & 2Q02,. atPp^amcS, Ojegon. 



(SIGNATURE) 


(PRINT NAME) 


-9- 


MICROSOFT CORPORATION'S PATENT LOCAL 
RULE 4-l(a) STATEMENT. Case No. C 01-1640 
SBA