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o 


LAW0FFICES Bscavso 


INNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER, L.L.S 

Stanford Research Park J(j|_ 2 6 2004 

700 Hansen Way 


Palo Alto, CA 94304 ^OFPEHTOB 


Telephone Facsn 
(650) 849-6600 (650) 849-6666 

TRANSMITTAL LETTER 

TO FROM 

Name: Office of Petitions / Name: Andrew B. Schwaab 

Director or SPRE, Group 2100 (2132) ^ " 

At: U.S. Patent & Trademark Office Phone (650) 849-6643 

i No.: 

\ 

Subject: Petition to Withdraw Holding of Date: July 20, 2004 
Abandonment 

Your File No.: 09/870,801 OurRef: 07451.0001-18000 


RECEIVED 


Re: Serial No.: 09/870,801 
Filed: June 1, 2001 
Inventor: GINTERetal. 

Title: SYSTEMS AND METHODS FOR SECURE TRANSACTION 
MANAGEMENT AND ELECTRONIC RIGHTS PROTECTION 

Please find enclosed: 

1 . Petition to Withdraw Holding of Abandonment (5 pages); and 

2. Exhibits A-F 


. AUG 0 3 ZU04 
Technology Center 2100 


CERTIFICATE OF EXPRESS MAILING 
I hereby certify that this correspondence is being deposited with the United States Postal Service's "Express Mail Post Office to 
Addressee" service under 37 CFR § 1 . 1 0, in an envelope addressed to: Commissioner for Patents, P.O. Box 1 450, Alexandria, VA 
22313-1450 on July 20, 2Q04. Express^ail Label No^ EV 527339445 US 

Signed: 




No. 09/870,801 

n re: Notice of Abandonment mailed 5/20/04 


PATENT 
Customer No. 22,852 
Attorney Docket No. 7451.0001-18000 
InterTrust Ref. No.: IT-5.2.1.1 (US) 


CERTIFICATE OF EXPRESS MAILING 
lereby certify that this correspondence is being deposited with the United States Postal Service's "Express Mail Post Office to 
Addressee" service under 37 CFR § 1.10, in an envelope addressed to: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 
22313-1450 on July 20, 2004. Express* Mail Label No.: EV 527339445 US 


Signed: 


/ 20, 2004. Express* Mail Label No.: tv 
Andrew B. Schwaab 


IN THE UNITED STATES PATENT AND TRADEMARK OB*lG£ w ,~ 

In re Application of: 


GINTER et al. 
Application No.: 09/870,801 
Filed: June 1, 2001 

For: SYSTEMS AND METHODS FOR 
SECURE TRANSACTION 
MANAGEMENT AND 
ELECTRONIC RIGHTS 
PROTECTION 


Commissioner for Patents 

P.O. Box 1450 

Alexandria, VA 22313-1450 


JUL 2 6 2004 
Group Art Unit: 2132 ORlCEOFramW 

Examiner: DARROW, Justin T. 


RECEIVED 

AUG 0 3 2004 
Technology Center 2100 


Sir: 


PETITION TO WITHDRAW HOLDING OF ABANDONMENT 


Applicants hereby petition the Commissioner for Patents, under the provisions of 
37 C.F.R. § 1 .181 , to withdraw the holding of abandonment for the above-identified 
application. Applicants contend that the application should not have been abandoned 
and, therefore, this petition under 37 C.F.R. § 1.181 is appropriate. See M.P.E.P. 
§ 71 1 .03(c) (8th ed. Feb. 2003). This petition is being filed within two (2) months of the 
mail date of the Notice of Abandonment and is thus timely under 37 C.F.R. § 1.181(f). 


-1- 


PATENT 

Appln. No. 09/870,801 Customer No. 22,852 

Petition re: Notice of Abandonment mailed 5/20/04 Attorney Docket No. 7451 .0001-18000 

InterTrust Ref. No.: IT-5.2.1.1 (US) 

The Notice of Abandonment (Exhibit A) states that the present application is 
abandoned in view of Applicants' alleged failure to timely file a proper reply to the Office 
action dated September 26, 2003. The Notice indicates that no reply had been received 
by the Office as of May 20, 2004. However, Applicants have submitted an adequate 
response, a full copy of which, including the date-stamped postcard showing receipt by 
the Office on March 26, 2004, is attached as Exhibit B. 

Furthermore, these papers were received by the Office as indicated by both the 
stamped and returned post card attached again as Exhibit C and the fact that proper 
deductions were made from the relevant deposit account for all of the papers 
necessitating fees. Specifically, both the $950.00 3-month extension fee and the 
$180.00 Information Disclosure Statement fee were deducted from deposit account No. 
06-0916, in connection with the instant application, on March 31, 2004 (see Exhibit D). 

In a telephone conversation on June 21, 2004, SPE Gilberto Barron, Jr. 
explained that in connection with Group 2100's move to IFWs (Image File Wrappers), 
the Office's new electronic document capture procedures may have caused portions of 
Applicants' responses to be lost or, at the very least, not reunited with the official file. 1 
As a result of this new process, the Amendment and Response and other lost papers 
were separated from the remainder of Applicants' submission, and have not yet been 
reappeared in the Office's records, thereby preventing the Group from readily knowing 

1 Indeed, the problem has caused erroneous abandonment of other cases due to similar 
disappearances of Response papers; for example, in at least one other such case 
(Appln. No. 09/398,665), papers such as the Information Disclosure Statements and the 
Extension of Time did make it into the file, while the Amendment itself was lost. Please 
see below for additional information on this other abandoned case. 


-2- 


PATENT 

Appln. No. 09/870,801 Customer No. 22,852 

Petition re: Notice of Abandonment mailed 5/20/04 Attorney Docket No. 7451 .0001-18000 

InterTrustRef. No.: IT-5.2.1.1 (US) 

that such papers were correctly and timely filed. In light of these events, Applicants 

respectfully request: (1) that the timely-filed amendment and response (attached hereto) 

as well as the Rule 56 submissions be entered into the prosecution file as of the date it 

was filed; (2) that the papers be considered by the Office; and also (3) that Applicants' 

patent term not be negatively impacted by the misdirection of the lost papers. 

Furthermore, Applicants have learned that the Information Disclosure Statement 
processing office has recently encountered substantial delays, and that it is quite 
possible that the missing papers are still located in that department, waiting to be 
scanned. An inquiry to that department, or allowance of a professional search service 
firm to inquire on our behalf, would be very much appreciated to explore this possibility. 

As discussed with both SPE Barron and Examiner Darrow, Applicants 
encountered a similar issue (abandonment despite filing of appropriate Amendment and 
Response) with regard to Application No. 09/398,665 ("the '665 application"). In that 
case, the Office was able to find the missing documents and notified Applicants, that the 
Office had withdrawn the holding of abandonment of the '665 application. 

The latest record on PAIR indicates that the lost papers relating to the instant 
application have not yet been located at the Office, but Applicants believe the facts here 
merit a similar withdrawal of the abandonment in this case. 

Applicants request that the Office take special care to locate the missing papers, 
as they represent a resubmission of documents previously lost by the Office, namely 
(1) an Information Disclosure Statement / form PTO-1449, and (2) a Notice of Pending 
Litigation, both filed on October 31, 2002 (see stamped postcard attached hereto as 


-3- 


Appln. No. 09/870,801 

Petition re: Notice of Abandonment mailed 5/20/04 


PATENT 
Customer No. 22,852 
Attorney Docket No. 7451.0001-18000 
InterTrust Ref. No.: IT-5.2.1.1 (US) 


Exhibit E), as well as (3) an Updated Notice Regarding Related Litigation filed on April 
3, 2002 (see stamped postcard attached as Exhibit F). 

In accordance with the facts stated above, Applicants believe that the 
abandonment for the present application is unwarranted and respectfully request that 
the abandonment be withdrawn. 

As stated in M.P.E.P. § 71 1 .03(c), this Petition does not require a fee. If there 
are any other fees due in connection with the filing of this Petition, however, including 
any fees required for an extension of time under 37 C.F.R. § 1 .136, such an extension 
is requested, and the Commissioner is authorized to charge any related fees to Deposit 
Account No. 06-0916. 


Finnegan Henderson Farabow 

Garrett & Dunner L.L.P. 
1300 I Street, NW 
Washington, D.C. 20005 
(202) 408-4000 


Respectfully submitted, 


FINNEGAN, HENDERSON, FARABOW, 
GARRETT & DUNNER, L.L.P. 


Dated: July 20, 2004 



Andrew €$. Schwaab 
Reg. No. 38,61 1 



Apdn. No. 09/870,801 
JUL I 0 ,2Wfcejfflion re: Notice of Abandonment mailed 5/20/04 


PATENT 
Customer No. 22,852 
Attorney Docket No. 7451.0001-18000 
InterTrust Ref. No.: IT-5.2.1.1 (US) 


Exhibit A - 
Exhibit B - 

Exhibit C - 
Exhibit D - 

Exhibit E - 

Exhibit F - 


Copy of Notice of Abandonment. 

Copy of full Amendment and Response to Office action and Petition for 
Extension of Time filed with the Office on March 26, 2004, as filed, 
including all relevant associated papers and date-stamped postcard 
showing receipt by the Office. 

Copy of date-stamped postcard showing receipt of all of the listed papers 
by the Office. 

Copy of Finnegan, Henderson's monthly statement of deposit account, 
indicating receipt, by the Office, of papers associated with this application 
sufficient to effect such deductions. 

Copy of date-stamped postcard showing receipt of Information 
Disclosure Statement / form PTO-1449 and Notice of Pending Litigation, 
papers also lost by the Office in 2002. 

Copy of date-stamped postcard showing receipt of Updated Notice of 
Regarding Related Litigation, another papers lost by the Office, in 2003. 


-5- 


United States Patent and Trademark Office 


Ma 


UNrTRD^TAI^-DEPARTMENT-QF-CQMMERCE^ 


United States Patent and Trademark Office 
Address: COMMISSIONER FOR PATENTS 
P.O. Box 1450 

Alexandria, Virginia 22313-1450 
www.uspto.gov 


APPLICATION NO. 

FILING DATE 

FIRST NAMED INVENTOR 

ATTORNEY DOCKET NO. 

CONFIRMATION NO. 

09/870,801 

06/01/2001 

Karl L. Ginter 

7451.0001-18000 

9392 


22852 7590 05/20/2004 

FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER 
LLP 

1300 I STREET, NW 
WASHINGTON, DC 20005 


EXAMINER 


D ARROW, JUSTIN T 


ART UNIT 


PAPER NUMBER 


2132 

DATE MAILED: 05/20/2004 


2 


Please find below and/or attached an Office communication concerning this application or proceeding. 



\ 


PTO-90C (Rev. 10/03) 



Application No. 

Applicant(s) I 

Notice of Abandonment 

09/870,801 

GINTERETAL | 

Examiner 

Art Unit 



Justin T. Darrow 

2132 



The MAILING DATE of this communication appears on the cover sheet with the correspondence address- 
es application is abandoned in view of: 

1 ^ Applicant's failure to timely file a proper reply to the Office letter mailed on 26 September 2003. 

(a) □ A reply was received on (with a Certificate of Mailing or Transmission dated ), which is after the expiration of the 

period for reply (including a total extension of time of month(s)) which expired on 

(b) □ A proposed reply was received on but it does not constitute a proper reply under 37 CFR 1 .1 1 3 (a) to the final rejection. 

(A proper reply under 37 CFR 1 .1 1 3 to a final rejection consists only of: (1 ) a timely filed amendment which places the 
application in condition for allowance; (2) a timely filed Notice of Appeal (with appeal fee); or (3) a timely filed Request for 
Continued Examination (RCE) in compliance with 37 CFR 1 .114). 

(c) □ A reply was received on but it does not constitute a proper reply, or a bona fide attempt at a proper reply, to the non- 

final rejection. See 37 CFR 1 .85(a) and 1 .1 1 1 . (See explanation in box 7 below). 

(d) No reply has been received. 

2. □ Applicant's failure to timely pay the required issue fee and publication fee, if applicable, within the statutory period of three months 
from the mailing date of the Notice of Allowance (PTOL-85). 

(a) □ The issue fee and publication fee, if applicable, was received on (with a Certificate of Mailing ^ or J™ m «» n 

K ) ), which is after the expiration of the statutory period for payment of the issue fee (and publication fee) set in the Notice of 

Allowance (PTOL-85) 

(b) □ The submitted fee of $, 


is insufficient. A balance of $_ 


is due. 


The issue fee required by 37 CFR 1 .18 is $ . The publication fee, if required by 37 CFR 1 .18(d), is $ . 

(c) □ The issue fee and publication fee, if applicable, has not been received. 

3. D Applicant's failure to timely file corrected drawings as required by, and within the three-month period set in, the Notice of 

Allowability (PTO-37). . . 

(a) □ Proposed corrected drawings were received on (with a Certificate of Mailing or Transmission dated ). which is 

after the expiration of the period for reply. 

(b) □ No corrected drawings have been received. 

4. □ The letter of express abandonment which is signed by the attorney or agent of record, the assignee of the entire interest, or all of 

the applicants. 

5. □ The letter of express abandonment which is signed by an attorney or agent (acting in a representative capacity under 37 CFR 

1 .34(a)) upon the filing of a continuing application. 

6. □ The decision by the Board of Patent Appeals and Interference rendered on and because the period for seeking court review 

of the decision has expired and there are no allowed claims. 

7. □ The reason(s) below: 


JUSTIN T. DARROW 
PRIMARY EXAMINER 
TECHNOLOGY CENTER 2100 

Petitions to revive under 37 CFR 1.137(a) or (b), or requests to withdraw the holding of abandonment under 37 CFR 1 .181 . should be promptly filed to 
minim ize any negative effects on patent term. . . — 


U.S. Patent and Trademark Office 
PTOL-1432 (Rev. 04-01) 


Notice of Abandonment 


Part of Paper No. 8 



Customer Copy 


ORIGIN (POSTAL USE ONLY) 


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Employee Signature 


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FINNEG'AN HENDERSON ¥aRA80W 
GARRETT ; £- 'DUNN6R LLP 
700 HANSEN MM 

PALOAtTO ' CA 94304-1016 


TO: (PLEASE PRINT] 

commission 

PG BOX 145 
.ALEXANDRIA 



PRESS HARD. 

You are making 3 copies. FOR PICKUP OR TRACKING CALL 1-800-222-1811 www.usps.com 



PLEASE STAMP TO ACKNOWLEDGE RECEIPT OF THE FOLLOWING: 


ELECTRONIC RIGHTS PROTECTION 

1 . Response to OA (19 pages)w/ 3 attachments; (Attachment # 1 ) Notice of Litigation (w/ 
Exhibits), filed 10/31/02, (Attachment # 2) CD-ROM containing references from IBS 
filed 10/31/02, and (Attachment # 3) Updated Notice of Related Litigation (w/ \ 
attachments) filed 4/3/03; 

2. Petition for 3 Month Extension of Time (1 page); 

3. Third Updated Notice Regarding Related Litigation (3 pages), with Exhibits 1-2, and 
CD ROM containing material from Exhibit 2 (Ex. B & C); 

4. Information Disclosure Statement (2 pages); 

5. Form PTO-1449 (38 pages); 

6. 2 CD -ROMs containing IDS References; 

7. Information Disclosure; Notice of Interference (3 pages), with Exhibits A-G; and 

8. Please charge fee of $1 ,310.00 to Deposit Account No. 06-091 6. 


Dated: March 26, 2004 
Docket No.: 07451.0001-18000 


Express Mail No.: EV 398888246 US 

Attorney: Andrew B. Schwaab 
Mail Drop: CA fl 



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RECEIVED 

AUG 0 3 2004 
Technology Center 21 00 

PLEASE STAMP TO ACKNOWLEDGE RECEIPT OF THE FOLLOWING: 

In re Application of: Karl L. Ginter, et al. 

Serial No.: 09/870,801 Group Art Unit: 2132 

Filed: June 1, 2001 ~ Examiner: G. Barron, Jr. 

For: SYSTEMS AND METHODS FOR SECURE TRANSACTION MANAGEMENT AND 
ELECTRONIC RIGHTS PROTECTION 


1 . Information Disclosure Statement (2 pages) 

2. Form- PTO-1 449 (3 pages) 

3. 48 references 

4. Notice of Pending Litigation (4 pages) 

5. Exhibits A-M 

Attorney: Kama J. Nisewaner 
Mail Drop: CA 



Dated: October 31 , 2002 
Docket No.: 07451.0001-18000 



FINNECAN 
HENDERSON 
FARABOW 
GARRETT* 
OUNNER UJ! 

1300 I Street, NW 
Vashington, DC 20005 
202.408.4000 
Fax 202.408.4400 
www.finnegan.com 


PATENT 
Customer Number 22,852 
Attorney Docket No. 0745 1 .0001 .1 8 
InterTrust Ref. No.: IT-5.2.1.1 


IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 
In re Application of: 
Karl L. GINTER et al. 
SerialNo.: 09/870,801 
Filed: June 1,2001 


Group Art Unit: 2132 
Examiner: G. Barron, Jr. 


For: SYSTEMS AND METHODS FOR 
SECURE TRANSACTION 
MANAGEMENT AND 
ELECTRONIC RIGHTS 
PROTECTION 

Commissioner for Patents 
Washington, DC 20231 


RECEIVED 

AUG 0 3 2004 
Technology Center 2100 


Sir: 

NOTICE REGARDING RELATED LITIGATION 

Applicants hereby notify the U.S. Patent and Trademark Office that several patents 
assigned to InterTrust Technologies Corporation ("InterTrust") are involved in litigation. The 
present application, Serial No. 09/870,801, is a continuation of U.S. Application Serial No. 
09/342,899, issued as U.S. Patent No. 5,917,912, which is one of the patents at issue in the 
litigation. Those applications claim the benefit of priory of a common parent with U.S. Patent 
Nos. 6,389,402 Bl; 6,253,193 Bl; 6,185,683 Bl; 5,982,891; 5,949^876; 5,915,019; and 
5,892,900, which are also at issue in the litigation. 


FINNEGAN 
HENDERSON 
FAR A BO W 
GARRETT& 
DUNNERkif 

1300 I Street NW 
/ashington, DC 20005 
202.408.4000 

Fax 202.408.4400 
www.finnegan.com 


STATUS OF RELATED LITIGATION 

The status of the litigation is as follows. On April 26, 2001 , InterTrust filed a Complaint 
alleging that Microsoft Corporation ("Microsoft") was infringing U.S. Patent No. 6,185,683 Bl, 
assigned to InterTrust. See InterTrust Tech. Corp. v. Microsoft Corp. (C 01-1640 SBA, N. D. 
Ca.). A copy of the Complaint is attached as Exhibit A. On June 26, 2001 and July 26, 2001, 
InterTrust amended its complaint to add U.S. Patent Nos. 6,253,193 Bl; 5,920,861; and 
5,940,504. 1 See Exhibit B. 

On August 29, 2001 , Microsoft filed its Answer to InterTrust's Second Amended 
Complaint. See Exhibit C. On September 17, 2001, Microsoft filed a First Amended Answer 
and Counterclaims, asserting twelve affirmative defenses, including, inter alia, non- 
infringement, invalidity, dedication to the public, prosecution history estoppel, and inequitable 
conduct, and counterclaiming for declaratory judgments of non-infringement and invalidity of 
the InterTrust patents, and for infringement of U.S. Patent Nos. 6,049,671 and 6,256,668 Bl, 
allegedly assigned to Microsoft. See Exhibit D. 

On October 26, 2001, InterTrust filed a Third Amended Complaint to add U.S. Patent 
Nos. 5,917,912; 5,892,900; and 5,982,891. See Exhibit E. Microsoft filed its Answer and 
Counterclaims to InterTrust's Third Amended Complaint on November 8, 2001, see Exhibit F, 
and filed an Amended Answer and a "Corrected" Amended Answer on November 14 and 15, 
respectively, see Exhibits G and H, asserting several additional affirmative defenses and 
counterclaims. See, e.g., id. at pages 9 and 13-19, 


1 The '504 patent was subsequently dismissed from this suit. 


MNNEGAN 
HENDERSON 
FARABOW 
CARRETT& 
DUNNER llp 

1300 I Street, NW 
Washington, DC 20005 
202.408.4000 

Fax 202.408.4400 
www.finnegan.com 


On February 6, 2002, InterTrust filed a second lawsuit against Microsoft, alleging 
infringement of U.S. Patent No. 6,157,721 ("the '721 patent"). See Exhibit L 2 Microsoft filed 
its Answer and Counterclaims on March 25, 2002, and filed a First Amended Answer and 
Counterclaims on April 12, 2002, asserting thirteen affirmative defenses, including, inter alia, 
non-infringement, invalidity, dedication to the public, prosecution history estoppel, inequitable 
conduct, and unenforceability, and counterclaiming for declaratory judgment of non- 
infringement and invalidity. See Exhibit j. On June 5, 2002, Microsoft served its Initial 
Disclosures Pursuant to Fed, R ? . Civ. P. 26(a)(1), identifying various technologies believed by 
Microsoft to bear on the validity of the *721 patent. See Exhibit K. 

On July 30, 2002, InterTrust filed a motion for leave to file a Fourth Amended 
Complaint, adding claims of infringement of additional InterTrust patents. This motion was 
granted on October 22, 2002. The Fourth Amended Complaint was filed on October 24, 2002, 
adding to the case claims of infringement of U.S. Patent Nos. 6,112,181; 5,915,019; 5,949,876; 
and 6,389,402 Bl. See Exhibit L. 

On August 16, 2002, Microsoft served its Preliminary Invalidity Contentions Regarding 
U.S. Patent Nos. 6,253,193 Bl and 6,185,683 Bl ("Preliminary Invalidity Contentions"). See 
Exhibit M. In its Preliminary Invalidity Contentions, Microsoft asserts that certain claims in 
those patents are indefinite, lack enablement, and lack an adequate written description. 
Microsoft also asserts that certain claims are anticipated or rendered obvious by various 
references. See id. at pages 3-7. 


This case has since been consolidated with the case filed April 26, 2001. 


REMARKS 


In support of its claim that InterTrust's U.S. Patent Nos. 5,892,900; 5,920,861; and 
6,157,721 are unenforceable, Microsoft cites three references: (1) an article entitled DigiBox: A 
Self-Protecting Container for Information Commerce, by Olin Sibert et al. - ("the Sibert article"); 
(2) PCT Publication No. WO 96/27155 ("the PCT Publication' , ); and (3) U.S. Patent No. 
5,910,987 ("the '987 patent"). Applicants note that the Sibert article was cited in connection 
with the present application in an IDS filed November 13, 2001. Applicants also note that the 
PCT Publication is the international counterpart of U.S. Application No. 08/388,107 ("the '107 
application"), a parent of the present application, and that the 987 patent is a continuation of the 
'107 application. 

If there are any fees due with the filing of this Notice not already accounted for, please 

charge the fees to our Deposit Account No. 06-09 1 6 

Respectfully submitted* 

FINNEGAN, HENDERSON, FARABOW, 
GARRETT & DUNNER, L.L.P. 


Dated: October 30, 2002 




Kama J. Nisewaner 
Reg. No. 50,665 


PATENT 
Customer No. 22,852 
Attorney Docket No. 7451 .0001 -1 8 
InterTrust No.: IT-5.2.1.1 

IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 

Group Art Unit: 2132 
Examiner: G. Barron, Jr. 


Commissioner for Patents 
Washington, DC 20231 

Sir: 

INFORMATION DISCLOSURE STATEMENT UNDER 37 C.F.R. S 1.97(b) 

Pursuant to 37 C.F.R. §§ 1.56 and 1.97(b), Applicants bring to the attention of 
the Examiner the documents listed on the attached Form PTO 1449. This Information 
Disclosure Statement is being filed, to the best of the undersigned's knowledge, before 
the mailing date of a first Office Action on the merits for the above-referenced 
application. Applicants also submit herewith copies of the listed documents. 

The documents cited herein were cited by Microsoft in the InterTrust Tech. Corp. 
v. Microsoft Corp. litigation (C 0i-.1640.SBA, N. D. Ca.), which involves patents related 
to this patent application. See Notice Regarding Related Litigation, filed concurrently 
herewith. Some or all of these documents may have been previously cited in other 
Information Disclosure Statements filed in this application to which those applications 


In re Application of: 

Karl L. GINTER, et al. 

Application No.: 09/870,801 

Filed: June 1,2001 

For: SYSTEMS AND METHODS FOR 
SECURE TRANSACTION 
MANAGEMENT AND ELECTRONIC 
RIGHTS PROTECTION 


claim priority under 35 U.S.C. §120. However, out of an abundance of caution, 
Applicants are bringing these documents to the Examiner's attention along with the 
additional information that these documents have been mentioned in the litigation. 
Applicants respectfully request that the Examiner consider the listed references and 
indicate that they were considered by making appropriate notations on the attached 
form. 

This submission does not represent that a search has been made or that no 
better art exists and does not constitute an admission that each or all of the listed 
documents are material or constitute "prior art." If the Examiner applies any of the 
documents as prior art against any claim in the application and Applicants determine 
that the cited documents do not constitute "prior art" under United States law, 
Applicants reserve the right to present to the office the relevant facts and law regarding 
the appropriate status of such documents. 

Applicants further reserve the right to take appropriate action to establish the 
patentability of the claimed invention over the listed documents, should one or more of 
the documents be applied against the claims of the present application. 

If there is any fee due in connection with the filing of this Statement, please 

charge the fee to our Deposit Account No. 06-0916. 

Respectfully submitted, 

FINNEGAN, HENDERSON, FARABOW, 
GARRETT & DUNNER, LLP. 


Dated: October 30, 2002 


By: . 

Kama J. Nisewaner 
Reg. No. 50,665 


INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L, Ginter, et al. 

Filing Date . June 1,2001 

, Group: 2132 


Examiner 
Initial* 

Document 
Number 

Issue Date 

Name 

Class 

Sub 

lace 

Filing Date 
If Appropriate 


4,658,093 

04-14-87 

i i —ii 

Hellman 

OOU 

ZD 

U 1 - 1 1 -oo 



\J\J £m\J WW 

Stefik etal 

235 

492 

02-16-95 


5,534,975 

07-09-96 

Stefik, etal. 

355 

202 

05-26-95 


5,603,031 

02-11-97 

White et al. 

395 

683 

07-08-93 


5,629,980 

05-13-97 

Stefik, et al. 

380 

4 

11-23-94 


5,634,012 

05-27-97 

Stefik, etal; 

395 

239 

11-23-94 


5,638,443 

06-10-97 

Stefik, et al. 

380 

4 

11-23-94 


5,715,403 

02-03-98 

Stefik 

395 

244 

11-23-94 


6.016,393 

01-18-00 

White, et al. 

395 

683 

02-10-97 


Examiner 
Initial* 

Document 
Number 

Publication 
Date 

Country 

Class 

Sub 
Class 

Translation 
Yes or No 


WO 93/01550 

01-21-93 

PCT 

G06F 

11/34 



EP 0715243 A1 

06-05-96 

EPO 

G06F 

1/00 



EP 071 5244 A1 

06-05-96 

EPO 

G06F 

1/00 . 



EP 0715245 A1 

06-05-96 

EPO 

G06F 

1/00 



EP 0715246 A1 

06-05-96 

EPO 

G06F 

1/00 



EP 0715247 A1 

06-05-96 

EPO 

G06F 

1/00 



Examiner 
Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


Abadi, M., et al., "Authentication and Delegation with Smart-cards," Technical Report 67, DEC 
Systems Research Center, October 1990. available at 
<http://citeseer.nj.nec.com/article/abadi92authentication.html>, pp. 1 -1 9. 


Blaze, M., "A Cryptographic File System for Unix," pre-print of paper for First ACM Conference on 
Computer and Communications Security, Fairfax, Virginia, Nov. 3-5,1993, pp. 1-8. 


Blaze, M., "Key Management in an Encrypting File System," Proc. Summer '94 USENIXTech. 
Conference, Boston, MA. June 1994, available at 

<http://vvww.usenix.org/publicaitons/libratry/proceedings/bos94/full_papers/blaze.asp>, pp. 1-12. 


Castano, S., et al., "Database Security," Addison-Wesley & Acm Press, 1 995 


Chaum, D., "Achieving Electronic Privacy," Scientific American, August 1992, pp. 96-101 . 


Page 1 of 3 


INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln.No. 09/870,801 

Applicant Karl L Ginter, et al. 

Filing Date June 1,2001 

Group: 2132 



Chaum, D., et al. 'Wallet databases with observers," Ernest F. Brickell, editor, Advances in 
Cryptology - CRYPTO '92, 12 th Annual International Cryptology Conference, Santa Barbara, CA, 
August 16-20, 1992, Proceedings, pp. 89-105. 


Chaum, D., "Security Without Identification Card Computers to Make Big Brother Obsolete," 
Communications of the ACM, Vol. 28., No. 10, Oct. 1985, pp. 1-24. 


"List of Articles," <www.chaum.com/articles/list-of-articles.htm>, as on August 23, 2002, 4 pages. 


Choudhury, A.K., et al., "Copyright Protection for Electronic Publishing Over Computer Networks," 
AT&T Bell Laboratories, Murray Hill, N J., submitted to IEEE Network Magazine, June 1994, pp. 1- 
17. 


Cox, B. f "What if there is a Silver Bullet and the competition gets it first?" Journal of Object- 
Oriented Programming, June 1 992, available at 
<http://www.virtualschool.edu/cox/CoxWhatlfSilverBullet.html>, pp. 1-5. 


CUPID Protocols and Services (Version 1): "An Architectural Overview," November 1992, available 
at <http//www.cni.org/projects/CUPID>, 25 pages. 


Custer, H. "Inside Windows NT," Microsoft Press, Redmond WA, 1 993. 


Denning, D. E., et al., "Data Security," 11 Computing Surveys, No. 3, Sept. 1979, pp. 227-249. 


Denning, D. E., "Secure Personal Computing in an Insecure Network," Communications of the 
ACM, August, 1979, Vol. 22, No. 8, pp. 476-482. 


loannidis, J., et al., The Architecture and Implementation of Network-Layer Security Under Unix," 
Fourth USENIX Security Symposium Proceedings (Oct.), USENIX, Berkeley, Calif. 1993, 
pp. 1-11. 


Kohl, J., et al., "The Kerberos Network Authentication Service (V 5), "Network Working Group 
Request for Comments RFC-1 51 0, September 1 993, pp. 1 -1 04. 


Kohl, U, et al., "Safeguarding Digital Library Contents and Protecting Documents Rather Than 
Channels," in D-lib Magazine, September 1997, available at 
<http://www.dlib.org/dlib/september97/ibm/09lotspiech.html>, pp. 1-9. 


Lampson, B., et al., "Authentication in Distributed Systems: Theory and Practice," ACM Trans. 
Computer Systems, Vol. 10, No. 4 (Nov. 1992), pp. 265-310. 


Mori, R. et al., "Superdistribution The Concept and the Architecture," The Transactions of the 
IEICE, Vol. E73, No. 7, Tokyo Japan, July 1990, pp. 1 133-1 146. 


Olivier, MS, et al., "A Taxonomy for Secure Object-oriented Databases," ACM Transactions on 
Database Systems, Vol. 19, No. 1, March 1994, pp. 3-46. 


Olivier, MS, et al., "Building a Secure Database using Self-protecting Objects," Computers & 
Security, Vol. 11 , No. 3, 259-271 , 1992. 


Olivier, MS, et al., "Secure Object-oriented Databases," Ph.D. Thesis, Rand Afrikaans University, 
Johannesburg, December 1991, pages I to xiv and 1-183. 


Olivier, MS, et al., "DISCO: A Discretionary Security Model for Object-oriented Databases," in GG 
Gable and WJ Caelli, Eds., IT Security: The Need for International Cooperation, pp. 345-357, 
Elsevier Science Publishers B.V. (North Holland), 1992. 


Page 2 of 3 


INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451 .0001-18000 

Appln. No. 09/870,801 

Applicant . Karl L Ginter, et al. 

Filing Date June 1,2001 

Group: 2132 



oociiiuon Tor iNeiworKeu iniorrnauon, interactive iviuiumeaia Association, jonn r. ixenneoy ocnooi 
of Government, "Proceedings: Technological Strategies for Protecting Intellectual Property in the 
Networked Multimedia Environment," 1994, Journal of the Interactive Multimedia Association, 
available at <http://www.cni.org/docs/ima.ip-workshop>, 308 pages. 


Siebert, O., et al. "Digibox: A Self-Protecting Container for Information Commerce," Proceedings 
of the First USENIX Workshop on Electronic Commerce, New York, NY, July 1995, pp. 1-13. 


Stefik, M., "Letting Loose the Light: Igniting Commerce in Electronic Publication," Xerox PARC, 
Palo Alto, CA, 1994-1 995, 35 pages. 


Stefik, M., "Letting Loose the Light: igniting Commerce in Electronic Publication, in Internet 
Dreams: Archetypes, Myths, and Metaphors," Massachusetts Institute of Technology, 1996, pp. 
219-53. 


Stefik, M., Chapter 7, Classification in "Introduction to Knowledge Systems," Morgan Kaufmann 
Publishers, Inc., 1995, pp. 543-607. 


Tygar, J.D., et al., "Cryptography: It's Not Just for Electronic Mail Anymore," CMU-CS-93-107, 
School of Computer Science Carnegie Mellon University, Pittsburgh, PA, March 1 ,1993, pp. 1-21 . 


Tygar, J.D., et al., "Dyad: A System for Using Physically Secure Coprocessors," School of 
Computer Science, Carnegie Mellon University, Pittsburgh, PA, pp. 1-41 


Tygar, J.D., et al., "Strongbox: A System for Self Securing Programs," CMU Computer Science: 
25 Anniversary Commemorative, R. Rashid (ed.) Addison-Wesley, 1991. 


White, J.E., "Telescript Technology: The Foundation for the Electronic Marketplace," General 
Magic, 1994. 


Wobber, E., et al., "Authentication in the Taos Operating System," an extended version of a paper 
presented at the 14 th ACM Symposium on Operating System Principles, December 1993, pp. 1-38. 

Examiner 

Date Considered 

*Examiner: Initial if reference considered, whether or not citation is in conformance with MPEP 609; draw line 
through citation if not in conformance and not considered. Include copy of this form with next 
communication to applicant. 

Form PTO 1449 

Patent and Trademark Office - U.S. Department of Commerce 


Page 3 of 3 



PLEASE STAMP TO ACKNOWLEDGE RECEIPT OF THE FOLLOWING: 

In re Application of: Kar! L/GINTER, et al. 

Serial No.: 09/870,801 Group Art Unit: 2132 

Filed: June 1,2001 Examiner G. Barron, Jr. 

For: SYSTEMS AND METHODS FOR SECURE TRANSACTION MANAGEMENT AND 
ELECTRONIC RIGHTS PROTECTION 


1 . Updated Notice Regarding Related Litigation (4 pages), with Exhibits 1-11. 


Dated: April 3, 2003 

Docket No.: 07451.0001-18000 



Attorney: Kama J. Nisewaner 
Mail Drop: CA 


A?. 



Group Art Unit: 2132 
Examiner: G. Barron, Jr. 


PATENT 
Customer Number 22,852 
Attorney Docket No. 07451.0001.18 
InterTrust Ref. No : IT-5.2.1.1 

IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 
In re Application of: 

Karl L. GINTER et al. 

Serial No.: 09/870,801 

Filed: June 1,2001 

For: SYSTEMS AND METHODS FOR 
SECURE TRANSACTION 
MANAGEMENT AND 
ELECTRONIC RIGHTS 
PROTECTION 

Commissioner for Patents 
Washington, DC 20231 

Sir: 

UPDATED NOTICE REGARDING RELATED LITIGATION 

Further to the submission of the Notice Regarding Related Litigation on October 
31, 2002, Applicants submit this Updated Notice to inform the Examiner of the status of 
the litigation case between InterTrust and Microsoft, entitled InterTrust Tech. Corp. v. 
Microsoft Corp. (C 01-1640 SBA, N. D. Ca.). Applicants also submit copies of papers 
exchanged by the parties in the course of this litigation. Many of these papers relate to 
claim construction. 


FINNEGAN 
HENDERSON 
FAR A BOW 
GARRET T& 
DUNNERLtf 

1300 1 Street NW 
/ashington, DC 20005 
202.408.4000 

Fax 202.408.4400 
www.firtnegan.com 


STATUS OF RELATED LITIGATION 

On October 24, 2002, InterTrust filed a Fourth Amended Complaint, adding to the 
case claims of infringement of U.S. Patent Nos. 6,112,181; 5,915,019; 5,949,876; and 
6,389,402 B1. See Exhibit!. 

On November 1, 2002, Judge Saundra Armstrong signed an Order granting, in 
part, Microsoft's Motion for a Partial Stay. See Exhibit 2. On November 5, 2002, Judge 
Armstrong signed a Further Case Management Order. See Exhibit 3. Both orders 
listed the claims which were selected to be the subject of a "mini-Markman" and 
"indefiniteness" hearing. The case management order set out a timeline for the 
exchange and submission of Patent Local Rule (PLR) materials. The following chart 
lists the claims selected to be the subject of the PLR materials and the mini-Markman 
hearing. 


U. S. Patent Number 

Claim(s) 

6,253,193 

1, 11, 15, 19 

6,157,721 

1,34 

5,917,912 

8,35 

5,920,861 

58 

5,982,891 

1 

6,185,683 

2 

5,892,900 

155 


On November 7, 2002, Microsoft filed its Answer and Counterclaims to 
InterTrust's Fourth Amended Complaint. See Exhibit 4. 


-2- 


MNNEGAN 
HENDERSON 
FAR A BOW 
CAR R ETT& 
OUNNER ll£ 

1300 I Street NW 
/ashington, DC 20005 
202.408.4000 

Fax 202.408.4400 
www.finnegan.com 


On November 8, 2002, under PLR 4-1 , the parties exchanged proposed terms 
and claim elements for construction. See Exhibits 5 & 6. 

On December 20, 2002, under PLR 4-2, the parties exchanged preliminary claim 
constructions and extrinsic evidence supporting the claim constructions. See Exhibits 7 
& 8. Microsoft's PLR 4-2 Disclosure (Exhibit 8) includes Exhibits A-G 1 . Exhibit 8D 
contains copies of excerpts from dictionaries and other publications. Due to the volume 
of the appended pages, Applicants have provided a list of the source dictionaries and 
publications in place of the excerpted pages. Exhibit 8F as submitted by Microsoft 
contains a list of selected, uncited prior art publications, identified by bates numbers 
used by the parties in the litigation. For clarification, Applications have added a list 
identifying each document in Exhibit 8F by name. Exhibit 8G as submitted by Microsoft 
contains a list of selected, uncited prior art patents, also identified by bates numbers- 
Applications have added a list identifying each of the listed documents by patent 
number. On January 10, 2003, Microsoft submitted revised Exhibits 8F and 8G, in 
which the number of references was reduced. Applications have identified the 
documents in the revised lists in bold. 

On February 3, 2003, under PLR 4-3, the parties filed a Joint Claim Construction 
and Prehearing Statement. See Exhibit 9. 

On March 17, 2003, InterTrust filed InterTrust's Opening Claim Construction 
Brief. See Exhibit 10. On March 17, 2003, Microsoft filed Microsoft's Brief in Support of 


1 To distinguish Exhibits A-G of Exhibit 8 from Exhibits A-G of Exhibit 9, Applicants will 
hereinafter refer to Exhibits A-G of Exhibit 8 as Exhibits 8A-8G. 


-3- 


FI NN E C AN 
HENDERSON 
FAR A BOW 
CAR RETT& 
DUNNER tif 

1300 I Street, NW 
Washington, DC 20005 
202.408.4000 

Fax 202.408:4400 
www.finnegan.oom 


Motion for Summary Judgment that certain "Mini-Markman" Claims are Invalid for 
Indefiniteness. See Exhibit 1 1 . 

REMARKS 

Due to the voluminous number of references indicated by these papers, they 
have not been provided. If the Examiner would like to review any of the references from 
Microsoft's PLR 4-2 Disclosure or any of the exhibits from InterTrust's Opening Claim 
Construction Brief or Microsoft's Brief in Support of Motion for Summary Judgment, 
Applicants invite the Examiner to contact the undersigned at (650) 849-6643 and 
Applicants will provide them. 

If there are any fees due with the filing of this Notice not already accounted for, 
please charge the fees to our Deposit Account No. 06-0916. 

Respectfully submitted, 

FINNEGAN, HENDERSON, FARABOW, 
GARRETT & DUNNER, LLP. 


Dated: April 2, 2003 



Kama J. Nisewaner 
Reg. No. 50,665 


_4- 


PATENT 
Customer No. 22,852 
Attorney Docket No. 7451.0001-18 
InterTrust Ref. No.: 5.2.1.1 (US) 


CERTIFICATE OF EXPRESS MAILING 
I hereby certify that this correspondence is being deposited with the United States Postal Service's "Express Mail Post Office to 
Addressee" service under 37 CFR § 1.10. in an envelope addressed to: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 
22313-1450 on March 26, 2004. Express Mail Label Nos.: EV 398888246 US 


Signed: 



Cindy Bag 


liettoi 


Group Art Unit: 2132 
Examiner: DARROW, Justin T. 


IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 

In re Application of: 
Karl L G1NTER et a\. 
Application No.: 09/678,252 
Filed: June 1, 2001 

For: SYSTEMS AND METHODS FOR 
SECURE TRANSACTION 
MANAGEMENT AND 
ELECTRONIC RIGHTS 
PROTECTION 

Commissioner for Patents 

P.O. Box 1450 

Alexandria, VA 22313-1450 

Sir: 

THIRD UPDATED NOTICE REGARDING RELATED LITIGATION 

Further to the submission of the prior Updated Notices Regarding Related 
Litigation, Applicants submit this Third Updated Notice to inform the Examiner of the 
status of the ongoing litigation between InterTrust and Microsoft, captioned InterTrust 
Tech. Corp. v. Microsoft Corp. (C 01-1640 SBA, N. D. Ca.). Applicants also submit 
herewith potentially relevant copies of the papers exchanged by the parties in the 
course of this litigation. 


) ■ • /' 

STATUS OF RELATED LITIGATION 

Dated September 2, 2003, and attached as Exhibit 1 hereto, is IriterTrust's 
Disclosures of Asserted Claims and Preliminary Infringement Contentions Pursuant to 
Patent Local Rules 3-1 and 3-2 with Exhibits A and B. Exhibit C has not been provided 
because (1) it is marked "Confidential - Subject to Protective Order" and "Attorneys 
Eyes Only" (as it pertains to proprietary Microsoft information); and (2) it is not material 
to the patentability of the pending claims, as it contains only information pertaining to 
Microsoft's current products and systems. 

On November 17, 2003, Microsoft filed Defendant Microsoft Corporation's 
Preliminary Invalidity Contentions (Patent Local Rules 3-3 and 3-4). See Exhibit 2. 

REMARKS 

Applicants submit this Third Updated Notice Regarding Related Litigation in 
fulfillment of their duty to disclose information potentially material to patentability under 
37 CFR 1 .56. Applicants encourage the Examiner to carefully review the attached 
documents, and let Applicants know if any additional information is desired. 

With this Notice, Applicants have provided copies of the papers described in the 
Status of Related Litigation section above. Furthermore, a voluminous number of 
documents have been referred to in the Microsoft paper attached as Exhibit 2 
(specifically, in Exhibit A, attached thereto). All of the references listed in Exhibit A 
which have not already been cited in this application are listed on an Information 
Disclosure Statement filed contemporaneously with this Third Updated Notice (March 
26, 2004), and copies of the cited documents were provided on CD-ROM therewith. 


2 


Furthermore, Applicants urge the Examiner to also review Exhibits B and C, exhibits to 
Microsoft's Preliminary Invalidity Contentions, which comprise an extensive listing of 
claim charts pertaining to the patents-in-suit. Exhibits B and C are provided in 
electronic format (via CD-ROM, sent with this Notice) due to their sizeable page length. 

As always, if the Examiner believes that any document not yet submitted may be 
helpful in resolving an issue before him and would like to review that or any other 
document, Applicants invite the Examiner to contact the undersigned at (650) 849-6643. 

If there are any fees due with the filing of this Notice which have not yet been 
paid, please charge the fees to our Deposit Account No. 06-0916. 


Respectfully submitted 


FINNEGAN, HENDERSON, FARABOW, 
GARRETT & DUNNER, L.L.P. 


Dated: March 26, 2004 



Andrew B. Kchwaab 
Reg. No. 38,611 


FINNEGAN, HENDERSON, FARABOW, 


GARRETT & DUNNER, L.L.P. 
1300 I Street, N.W. 
Washington, D.C. 20005-3315 


3 



Appln. No. 09/870,801 

Infor. Disci. Stmnt. dated March 26, 2004 


PATENT 
Customer No. 22,852 
Attorney Docket No. 7451.0001-18 
InterTrust Ref. No.: IT-5.2.1.1 (US) 


CERTIFICATE OF EXPRESS MAILING 
I hereby certify that this correspondence is being deposited with the United States Postal Service's "Express Mail Post Office to 
Addressee" service under 37 CFR § 1.10, in an envelope addressed to: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 
22313-1450 on March 26, 2004. Express Mail Label Nos.: EV 398888246 US 


Signed: 



indy Baglietfo 


Group Art Unit: 2132 
Examiner: DARROW, Justin T. 


IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 

In re Application of: 

GINTERetal. 
Application No.: 09/870,801 
Filed: June 1,2001 

For: SYSTEMS AND METHODS FOR 
SECURE TRANSACTION 
MANAGEMENT AND 
ELECTRONIC RIGHTS 
PROTECTION 

Commissioner for Patents 
P.O. Box 1450 
Alexandria, VA 22313-1450 


Sir: 


INFORMATION DISCLOSURE STATEMENT UNDER 37 C.F.R. § 1.97(c) 


Pursuant to 37 C:F.R. §§ 1 .56 and 1 .97(c), Applicants bring to the attention of the 
Examiner the documents listed on the attached PTO 1449. This Information Disclosure 
Statement is being filed after the events recited in Section 1 .97(b) but, to the 
undersigned's knowledge, before the mailing date of either a Final action, Quayle 
action, or a Notice of Allowance. Under the provisions of 37 C.F.R. § 1.97(c), this 
Information Disclosure Statement is accompanied by a fee of $180.00 as specified by 
Section 1.1 7(p). 


Page 1 of 2 


Appln. No. 09/870,801 

Infer. Disci. Stmnt. dated March 26, 2004 


PATENT 
Customer No. 22,852 
Attorney Docket No. 7451.0001-18 
InterTrust Ref. No.: IT-5.2.1.1 (US) 


Applicants were made aware of the references listed on the attached form PTO- 
1449 predominantly as a result of the related Microsoft litigation. They are being 
submitted in electronic format via two (2) CD-ROMs attached hereto. 

This submission does not represent that a search has been made or that no 
better art exists and does not constitute an admission that each or all of the listed 
documents are material or constitute "prior art." If the Examiner applies any of the 
documents as prior art against any claims in the application and Applicants determine 
that the cited documents do not constitute "prior art" under United States law, 
Applicants reserve the right to present to the office the relevant facts and law regarding 
the appropriate status of such documents. 

Applicants further reserve the right to take appropriate action to establish the 
patentability of the disclosed invention over the listed documents, should one or more of 
the documents be applied against the claims of the present application. 

If there is any fee due in connection with the filing of this Statement, please 
charge the fee to our Deposit Account No. 06-0916. 


Respectfully submitted, 


FINNEGAN, HENDERSON, FARABOW, 
GARRETT & DUNNER, LLP. 


Dated: March 26, 2004 


By:. 


Andrew B.^chwaab 
Reg. No. 38,611 



Page 2 of 2 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

Document 
Number 

Issue Date 

Name 

Class 

Sub 
Class 

Filing Date 
If Appropriate 


3,573,747 

04/06/71 

Adams, et al. 





3.790.700 

02/05/74 

Callais, et al. 





3,806,874 

04/21/74 

Ehrat 





3,845.391 

10/29/74 

Crosby 





3.946.200 

03/23/76 

Juodikis 





3;996,449 

12/07/76 

Attanasio et al. 





4,020.326 

04/26/77 

Coulthurst 





4.104.721 

08/01/78 

Markstein et al. 





4,162,483 

07/24/79 

Entenman 





4,183.085 

01/08/80 

Roberts et al. 





4,246.638 

01/20/81 

Thomas 





4.259,720 

03/31/81 

Campbell 





4,278,837 

07/14/81 

Best 





4.321,672 

03/23/82 

Braun et al. 





4,405,829 

09/20/83 

Rivest et al. 





4.442,484 

04/10/84 

Childs, Jr et al. 





4,471,216 

09/11/84 

Herve 





4,523,271 

06/11/85 

Levien 





4,525,599. 

06/25/85 

Curran et al. 





4,529,870 . 

07/16/85 

Chaum 





4,562,305 

12/31/85 

Gaffney, Jr. 





4.573,119 

02/25/86 

Westheimer et al. 





4,578.530 

03/25/86 

Ze idler 





4.584,639 

04/22/86 

Hardy 





4,590,552 

05/20/86 

Guttag et al. 





4,593,183 

06/03/86 

Fukatsu 





4,598,288 

07/01/86 

Yarbrough et al. 





4,599,489 

07/08/86 

Cargile 





Page 1 of 38 


■J • )■ 

OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

Document 
Number 

Issue Date 

Name 

Class 

Sub 
Class 

Filing Date 
If Appropriate 


4,609,777 

09/02/86 

Cargile 





4,609,985 

09/02/86 

Dozier 





4,621,321 

11/04/86 

Boebert et al. 





4,621,334 

11/04/86 

Garcia 





4,622,222 

11/11/86 

Horvath et al. 





4,672,605 

06/09/87 

Hustlg et al. 





4,677,552 

06/30/87 

Sibley, Jr. 





4,683,968 

08/04/87 

Appelbaum et al. 





4,700,296 

10/13/87 

Palmer, Jr. et al. 





4,727,550 

02/23/88 

Chang et al. 





4,780,821 

10/25/88 

Crossley 





4,796,220 

01/03/89 

Wolfe 





4,798,209 

01/27/89 

Klingenbeck, et al. 





4,816,655 

03/28/89 

Musycketal. 





4,817,140 

03/28/89 

Chandra, et al. 





4,827,508 

05/02/89 

Shear 





4,864,616 

09/05/89 

Pond et al. 





4,866,769 

09/12/89 

Karp 





4,868,736 

09/19/89 

Walker 





4,888,798 

12/19/89 

Earnest 





4,893,248 

01/09/90 

Pitts et al. 





4,893,332 

01/09/90 

Brown 





4,919,545 

04/24/90 

Yu 





4,926,480 

05/15/90 

Chaum 





4,937,863 

06/26/90 

Robert et al. 





4,941,175 

07/10/90 

Enescu et al. 





4,953,209 

08/28/90 

Ryder, Sr. et al. 





4,962,533. 

10/09/90 

Kruegeretal. 





Page 2 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01 ,2001 

Group: 2132 


Examiner 
Initial* 

Document 
Number 

issue uate 

Name 

Class 

oUD 

Class 

riling uate 

If Appropriate 


4,975,647 

12/04/90 

Downer et al. 





4,975,878 

12/04/90 

Boddu et al. 





4,995.082 

02/19/91 

Schnorr 





5,014,234 

05/07/91 

Edwards, Jr. 





5,022,080 

06/04/91 

Durst et al. 





5,027,397 

06/25/91 

Double et al. 





5,032,979 

07/16/91 

Hecht et al. 





5,058,162 

10/15/91 

Santon et al. 





5,065,429 

11/12/91 

Lang 





5,079,648 

01/07/92 

Maufe 





5,103,459 

04/07/92 

Gilhousen et al. 





5,109*413 

04/28/92 

Comerford et al. 





5,113,518 

05/12/92 

Durst, Jr. et al. 





5,126,936 

06/30/92. 

Champion, et al. 





5,129,084 

07/07/92 

Kelly, Jr. et al. 





5,138,712 

08/11/92 

Corbin 





5,150,407 

09/22/92 

Chan 





5.164,988 

11/17/92 

Matyas et al. 





5.191.573 

03/02/93 

Hair 





5,199,066 

03/30/93 

Logan 





5,199,074 

03/30/93 

Thor 





5,204,897 

04/20/93 

Wyman 





5,206,951 

04/27/93 

Khoyi et al. 





5.218,605 

06/08/93 

Low et al. 





5,222.134 

06/22/93 

Waite, et al. 





5.227,797 

07/13/93 

Murphy 





5,241,671 

08/31/93 

Reed, et al. 





5,251,294 

10/05/93 

Abelow 





Page 3 of 38 


INFORMATION DISCLOSURE CITATION 


OMB No. 0651-0011 


Atty. Docket No. 07451 .0001-1 8000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

Document 
Number 

Issue Date 

Name 

Class 

Sub 
Class 

Filing Date 
If Appropriate 


5,260,999 

11/09/93 

Wyman 





5,263,157 

11/16/93 

Janis 





5,263,165 

11/16/93 

Janis 





5,276,901 

01/04/94 

Howell et al. 





5,283,830 

02/01/94 

Hinsley et al. 





5.287,407 

02/15/94 

Holmes 





5.291,598 

03/01/94 

Grundy 





5,301.326 

04/05/94 

Linnett et al. 





5.319,735 

06/07/94 

Preuss et al. 





5,325.524 

06/28/94 

Black et aL 





5.335,169 

08/02/94 

Chong 





5,335,346 

08/02/94 

Fabbio 





5.337,357 

08/09/94 

Chou et al. 





5.343,526 

08/30/94 

Lassers 





5.349.642 

09/20/94 

Kingdon 





5.355,474 

10/11/94 

Thuraisngham, et al. 





5.359,721 

10/25/94 

Kempf et al. 





5.361,359 

11/01/94 

Tajalli et al. 





5,365.587 

il/15/94 

Campbell, et al. 





5,367,621 

11/22/94 

Cohen et al. 





5.369,702 

11/29/94 

Shanton 





5,369,707 

11/29/94 

Follendore, III 





5.371.792 

12/06/94 

Asai et al. 





5,373,440 

12/13/94 

Cohen et al. 





5.383.113 

01/17/95 

Kight et al. 





5.390.297 

02/14/95 

Barber et al. 





5.412.717 

05/02/95 

Fischer 





5.418,713 

05/23/95 

Allen 





Page 4 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


cacuih mc?i 

Initial* 

Document 
Number 

IOOUC LJ CM IC 


r^ifiQQ 

Sub - 
Class 

Filina Date 
If Appropriate 


5,420,927 

05/30/95 

Michali 





5,421,006 

05/30/95 

Jabionetal. 





5,432,851 

07/11/95 

Scheldt et al. 





5,432,928 

07/11/95 

Sherman 





5,438,508 

08/01/95 

Wyman 





5,440,634 

08/08/95 

Jones etal. 





5,450,490 

09/12/95 

Jensen et al. 





5,457,747 

10/10/95 

Drexler et al. 





5,458,494 

10/17/95 

Krohn et al. 





5,490,216 

02/06/96 

Ricahrdson III 





5,524,933 

06/11/96 

Kunt et al. 





5,534,855 

07/09/96 

Shockley et al. 





5,535,322 

07/09/96 

Hecht 





5,557,798 

09/17/96 

Skeen et al. 





5,574,962 

11/12/96 

Fardeau et al. 





5,577,209 

11/19/96 

Boyle et al. 





5,581,800 

12/03/96 

Fardeau et al. 





5,603,031 

02/11/97 

White etal. 





5,625,693 

04/29/97 

Rohatgietal. 





5,629,770 

05/13/97 

Brassiletal. 





5,634,012 

05/27/97 

Stefiketal. 





5,636,276 

06/03/97 

Brugger 





5,649,099 

07/15/97 

Theimer et al. 





5,671,279 

09/23/97 

Elgamal 





5,678,170 

10/14/97 

Grube, et al. 





5,689,565 

11/18/97 

Spies et al. 





5,689,566 

11/18/97 

Nguyen 





5,692,047 

11/25/97 

McManis 





Page 5 of 38 


INFORMATION DISCLOSURE CITATION 


OMB No. 0651-0011 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

Document 
Number 

Issue Date 

Name 

Class 

Sub 
Class 

Filing Date 
If Appropriate 


5,699.427 

12/16/97 

Chow et al. 





5,715,314 

02/03/98 

Payne et al. 





5,715,403 

02/03/98 

Stefik 





5,721,788 

02/24/98 

Powell, et al. 





5,721.788 

02/24/98 

Powell et al. 





5',724,424 

03/03/98 

Gifford 





5.724.425 

03/03/98 

Chang, et al. 





5.732,398 

03/24/98 

Tagawa 





5,765.152 

06/09/98 

Erickson 





5,774,872 

06/30/98 

Golden, et al. 





5,787.334 

07/28/98 

Fardeau et al. 




• 

5.802,590 

09/01/98 

Draves 





5,845,281 

12/01/98 

Benson et al. 





5,892,899 

04/06/99 

Aucsmith et al. 





5,910,987 

06/08/99 

Ginter et a). 





5,940,504 

08/17/99 

Griswold 





5,956,408 

09/21/99 

Arnold 





5,966,440 

10/12/99 

Hair 





5,978,484 

11/02/99 

Apperson et al. 





5,999,949 

12/99 

Grandall 





6,016,393 

01/18/00 

White etal. 





6,102,965 

08/00 

Dye et al. 





6,135,646 

10/24/00 

Kahn et al. 





6,363,488 

3/02 

Ginter et al. 





6.389.402 

5/02 

Ginter etal. 





6.427.140 

7/02 

Ginter et al. 





6.449,367 

9/02 

Van Wie et al. 





6,618,484 

9/03 

Van Wie et al. 





Page 6 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451 .0001 -1 8000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01 ,2001 

Group: 2132 


Examiner 
Initial* 

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Page 8 of 38 


) . • 

OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451,0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

Document 
Number 

Issue Date 

Name 

Class 

Sub 
Class 

Filing Date 
If Appropriate 


6,640,304 

10/03 

Ginter et al. 





6,658,568 

12/03 

Ginter et al. 





6,668,325 

12/03 

Collberg et al. 





Examiner 
Initial* 

Document 
Number 

Publication 
Date 

Country 

Class 

Sub 
Class 

Translation 
Yes or No 


EP 0 367 700 A2 

05/09/90 

EPO 





EP 0 567 800 A1 

11/03/93 

EPO 





EP 0 653 695 A2 

05/17/95 

EPO 





DE 3 803 982 

01/25/90 

Germany 





DE 29 43 436 A1 

10/26/79 

Germany 





JP 06-225059 

12/08/94 

Japan 





WO 96/271 55 

09/06/96 

PCT 





Examiner 
Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


Abadi, M. et al., "Authentication and Delegation with Smart-cards," Technical Report 67, DEC 
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Atty. Docket No. 07451 .0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01 ,2001 

Group: 2132 


Examiner 
Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


Blaze, Matt, "A Cryptographic File System for Unix," pre-print of paper for First ACM Conference on 
Computer and Communications Security, Fairfax, Virginia, Nov. 3-5,1993, 8 pages. 


Blaze, Matt, et al., "Decentralized Trust Management" Proc. IEEE Conference on Security and 
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Boisson, Jean-Francois, "How to CITEDise Application: Guidelines and Examples," CITED 5469. 


Boisson, Jean-Francois, "Management of Intellectual Property Rights in the Electronic Commerce: 
Textile Design Sales and Other Similar Initiatives," EURITIS. 


Boisson, Jean-Francois, "Software Components; Deliverable Trial Offer, " CITED 5469. 


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INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


t .A CI It III ICI 

Initial* 

OTHER DOCUMENTS (Includina Author Title. Date. Pertinent Paaes. etc.) 


Brockschmidt, K., "Introducing OLE 2.0, Part 1: Windows Objects and the Component Object Model," 
Microsoft Systems Journal, August 1993, pp. 15-23. 


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INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


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Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01 , 2001 

Group: 2132 


Examiner 
initial 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


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INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451 .0001 -1 8000 

Appln. No. 09/870,801 

Applicant Karl L Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


"An Introduction to Safety and Security in Telescript," (undated), 8 pages. 


"AT&T Personal-ink," Before February 13, 1995. 


ai ol i oman uara oysierns & ooiuiions, mi ai \ iyyoj. 


Automation or oecuniies iviarKeis ana r\eguiaiory irnpiicauoris, ntianuiai iviarKei i renus, ino. ou, pp. 
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Carnegie Mellon University, "Internet Billing Server," Prototype Scope Document, INI Tech Report, 
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Central Point Anti-Virus, Central Point Software, 1993. 


CITED: Final Report: A Guide to CITED Documentation," ESPIRIT, Project 5469, ISBN 0-7123- 
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CITED: Copyright in Transmitted Electronic Documents, Special Interest Group," CITED Meeing, 
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CITED: Preparation of the CITED Model Functional Requirements Specifications; Discussion Paper 
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CITED: Preparation of the CITED Model Functional Requirements Specifications; Reports of the 
lntpn/ip\A/<% with Fivp niTFH Partnpr** " ^Partners* Saaem Telesvstemes NTE Elsevier Oxford 
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Hnllprtinn nf Dnrumpnt*; Inrludina* Prntpctina Electronically Published ProDerties Increasino 
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COPYSMART - 20517: "CITED Based Multi-media IPR Management on Cost Effective Smart 
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OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01 , 2001 

Group: 2132 


CAa mirier 

Initial* 

OTHER DOCUMENTS flncludina Author Title Date Pertinent Paaes. etc ) 


C*\ IPin "Prntnml^ anri Sprvirp^* An Arphitprtural Ovprvipw" IP Wnrk^hnn \/pr 1 I fl^t iinriatprl 

November 20, 1997. 


L/ala iNciwui cu iu v_/[jci i oyoioiii v^uiitiiiui ULrciiiui io, L/iiooiuiy. iiiioiiiiciiiuii i coiinuivjyy v^pcn 

Systems Interconnection - The Directory: Overview of Concepts, Models, and Services," ITU-T 
Recommendation X.500, International Telecommunication Union (Nov. 1993). 


"DCE Technoloav at Work," Distributed Computina Environment, httD://wvw.oDenarouD.ora/tech/dce/ 
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Solutions," Ver. 0.1, Telenet (Jul. 18, 2000). 


Department of Defense Computer Security Center, "Department of Defense Password Management 
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Department of Defense Standard, "Department of Defense Trusted Computer System Evaluation 
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Department of Defense, "Trusted Computer System Evaluation Criteria," December 1985, 72 pages. 


"Digital Broadband Delivery System, Phase 1.0, System Overview," Revision 1.0, Scientific Atlanta, 
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"Digital Rights Enforcement and Management: SuperDistribution of Cryptolopes", IBM. 


DOD "Rainbow Series. 


Dynamic linking of SunOS 


EFFector Online, Vol. 6, No. 6, A Publication of the Electronic Frontier Foundation, 8 pages, Dec. 6, 
1993. 


EFT Network Data Book; 1993 Edition, Bank Network News, Vol. 11, No. lo, Nov. 1992. 


"Electronic Reverse Copyright Management System (ERCOMS)," International Institute for Electronic 
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E-mail from Caglar Gunyakti entitled: "Private Test Needed," April 28, 2001, 1 page. 


Email from Chris Drost-Hansen re press release: "AT&T Launches A2B Music Trial for Delivering 
Songs Over the Internet," Business Wire (Nov. 3, 1997). 


Email from Edmond Kouka to Jean-Francois Boisson re TELENET TELEtraining platform - Bogdan 
Lutkiewicz, Poland, Gdansk (Mar. 4, 2001). 


ESPIRIT Project 20676 - IMPRIMATUR - Intellectual Multimedia Property Rights Model and 
Terminology for Universal Reference," IMPRIMATUR Consortium (Oct. 1998). 


ESPIRIT Project: 5469: Contract Amendment Number 2; Commission of the European Communities, 
Sep. 16, 1993. 


Page 31 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No; 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


PvominAr 

cA<iriiiiit?r 
Initial* 

OTHER DOCUMENTS flncludina Author Title Date Pertinent Paaes etc) 


torr\l 1 "rOJcCl £-£c.cJQ - IVlUoC - UcVtJIUpil ly OldlludlUIZCU Uiyilal 1 llcUla IVIdl Idyc^iTlciU, oiyt lallliy dDQ 

encryption Systems for the European Music Sector," International Federation of the Phonographic 
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ESPRIT Project 24378 - MENHIR European Multimedia Network of High Quality Image Registration," 
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"Forum on Technology-Based Intellectual Property Management - Electronic Commerce for Content", 
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Handwritten note re: GVS and AJL, Mar. 2, 1994. 


Hewlett Packard Co., Manager s Guide to MPE/iX Security, Hewlett-Packard Company, April 1994. 


IBM,' "Key Cryptolope Components," viewed on March 13, 2002 at 
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IBM,"IBM Cryptolope Technology-Executive Summary," viewed on March 13, 2002 at 
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IBM, "OpenDoc vs. OLE 2.0: Superior by Design," IBM, January 1994, pp. 1-4. 


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Information Systems Audit and Control Association-Montreal Chapter, "Authentication dans les 
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International Infrastructure Standards Panel, "IISP Need #31 -Containers or Secure Packaging," 
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Page 32 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


International Infrastructure Standards Panel, "MSP Need #32-Authentication of Content," Electronic 
Publishing Research, September 18, 1995, pp. 1-3. 


International Infrastructure Standards Panel, "IISP Need #33-Control Enforcement," Electronic 
Publishing Research, September 18, 1995, pp. 1-3. 


International Infrastructure Standards Panel, "HSP Need #34-Billing and Payment," Electronic 
Publishing Research, September 18, 1995, pp. 1-3. 


International infrastructure Standards Panel, "IISP Need #35 -Reporting," Electronic Publishing 
Research, September 18, 1995, pp. 1-3. ■ 


International Standard IS08583, "Bank Card Originated Messages - Interchange Message 
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IOU 1 1 QUO - 1 allU c.) rxcy Ivlal IdyCIIICIIl ^IClallj nail 1. II IllUUUlrllUI 1 WJ i\cy IVIal iaycl 1 Id 11, rail II. rxtsy 

Management Techniques for Symmetric Ciphers," ISO (Dec. 1 , 1994). 


IQO 1^401-1* "^pr'iirp f^rvntnnrsinhir' Dpvir^c frptath - Part I* flnnrpnf<* Rpnnirpmpntc anrl 

Evaluation Methods," ISO (Jun. 15, 1998) 


ISO 7498/1 : Open Systems Interconnection: Security Architecture (1 988). 


ISO 7498/2: Open Systems Interconnection: Security Architecture (1988). 


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ISO 8583-2: "Financial Transaction Card Originated Messages - Interchange Message Specifications 
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ISO 8583-3: "Financial Transaction Card Originated Messages - Interchange Message Specifications 
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ISO 9564-1 & -2: "Personal Identification Number (PIN) management and security - Part I: Basic 
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ISO 9807: "Banking and related Financial Services - Requirements for Message Authentication 
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"Key Management Using ANSI X9.17," Federal Information Processing Standards Publication 171, 
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"KeyKOS Principles of Operation," Key Logic document KL002-04, 1985, Fourth Edition (Jan. 1987). 


Page 33 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. . 09/870.801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01 ,2001 

Group: 2132 


examiner 
Initial* 

HTMFR nriPl IMFKIT9 /InHiiHirm Aiithnr Tifrlo D^to Pprtinpnt Panp^ Ptr \ 
U 1 nuf\ UUwUIVICIi 1 O ^lllulUUIII\| MUUlUl! l-lllC| LSdlc, rcl III IcIU r ayc9| Cllr.j , 


Letter re: ESPIRIT Ill-Project 5469 (CITED) from A. Stajano at Commission of the European 
Communities, Oct. 7, 1993. 


Lorcan Dempsey & Stuart L. Weibel; The Warwick Metadata Workshop; A Framework for the 
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"Mach Books," viewed on February 6, 2002 at 

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Microsoft internet Explorer v 2.0 


Microsoft Press, OLE 2 Programmer's Reference; Volume 1, "Working with Windows Objects," 1994. 


Miscellaneous letter from Georges Van Slype at Bureau Van Dijik, Feb. 28, 1994. 


Miscellaneous Letters from Georges Van Slype at Bureau Van Dijk, Mar. 30, 1995. 


Miscellaneous Letters from Georges Van Slype at Bureau Van Dijk, Feb. 13, 1995 and Nov. 2, 1994. 


Miscellaneous Letters from Georges Van Slype at Bureau Van Dijk, Sep. 12, 1994, May 11, 1994, 
May 10, 1994, May 6, 1994, May 4, 1994, Apr. 21, 1994, Apr. 20, 1994.. 


Miscellaneous Letters from Georges Van Slype at Bureau Van Dijk, Apr. 19, 1994, Apr. 18, 1994, 
Apr. 11, 1994, Apr. 6, 1994.. 


Miscellaneous Letters from Georges Van Slype at Bureau Van Dijk, Mar. 30, 1994, Mar. 24, 1994, 
Feb. 10, 1994: 


Miscellaneous Letters from Georges Van Slype at Bureau Van Dijk, Feb. 9, 1994, Jan. 27, 1994, Jan. 
19, 1994, Jan. 12, 1994, Dec. 22, 1993, Nov. 30, 1993, Nov. 22, 1993, Dec. 6, 1993, Nov. 16, 1993, 
rw 1R 1Qcn Ort 7 Oct A 1QQ^ ^pn 90 IQ^V^pn 7 1QQ^ Mav 1Q 1QQ^ Oct 1Q 1QQ^ 


Mntnrnla MPfiftO^fl FnhanrpH *3?-hit MirrnnrnrpQQnr I l<5pr'^ Manual 9™* Fri Prpntirp-Hall 1Q8Q 


"MSDN-INF: LAN Manager 2.1 Server Autotuning (Part2)," PSS ID No. 080078, Microsoft (Feb. 
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"MSDN-Licence Service Application Programming Interface," API Specification v1.02, Micorsoft (Jan. 
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Multics, Home; viewed on November 12, 2001 at 
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Technical Disclosure Bulletin, Vol. 37, No. 3, Mar. 1994. 


"Multimedia System Services Ver. 1.0", Hewlett-POackard, IBM, & SunSoft, 1993. 


National Computer Security Center, "Trusted Unix Working Group (TRUSIX) Rationale for Selecting 
Access Control List Features for the UNIX (R) System,; August 1 8, 1 989. 


Page 34 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


National Institute of Standards and Technology, "History of Computer Security: Early Computer 
Security Papers, Part 1 viewed on September 4, 2002 at 
<http://csrc.nist.gov/publications/history/index.html> pp. 1-27 


National Security Agency, "A Guide to Understanding Security Modeling in Trusted Systems," 
October 1992, 122 pages. 


National Semiconductor "iPower Technology," (undated), 11 pages. 


Netscape, "SSL 2 0 Protocol Specification," viewed at 
httD://home.netscaDe.com/ena/securitv/SSL.2html Januarv 23. 2003. 


NIST & NSA, "Federal Criteria for Information Technology Security," Vol. II, Version 1.0, National 
Institute of Standards and Technology and National Security Agency, December 1992, 270 pages. 


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httD://www.nsa.aov/korea/DaDers.htm. dd. 1-2. 


OLE 2.0 Draft Content: Object Linking & embedding", Microsoft, June 5, 1 991 . 


OMG Security Working Group, "OMG White Paper on Security," OMG Security Working Group, April 
1994, pp. 1-24. 


OOPSLA 1993: Addendum to the Proceedings, "Security for Object-Oriented Systems," September 
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"Payment Systems: Strateaic Choices for the Future." Hitatchi Research Institute: Institute of 
Advanced Business Systems, Hitachi, Ltd., 1993. 


PKCS #1:RSA Encryption Standard," RSA Laboratories Technical Note, Ver. 1.5, revised Nov. 1, 
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PKCS #3: Duffie-Hellman Key-Agreement Standard," RSA Laboratories Technical Note, Ver. 1.4, 
revised Nov. 1 , 1993. 


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1991-1993, Revised Nov. 1, 1993. 


PKCS #6: Extended-Certificate Syntax Standard," RSA Laboratories Technical Note, Ver. 1.5, 
revised Nov. 1, 1993. 


PKCS #8: Private-Key Information Syntax Standard," An RSA Laboratories Technical Note, Ver. 1.2, 
1991-1993, Revised Nov. 1, 1993. 


PKCS #9: Selected Attribute Types," RSA Laboratories Technical Note, Ver. 1.1, revised Nov. 1, 
1993. 


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Page 35 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


pkp^ ff 1 1* PrvntnaraDhic Token Interface Standard" An RSA Laboratories Technical Note, Ver. 2.0. 
Apr. 15,1997. 


pi/rc i£i o w 1 n- Ppr<;nnal Information Excha nap Svntax" RSA Laboratories Jun 24 1999 


PKCS #13: Elliptic Curve Crytography Standard", RSA Security, Jan. 12, 1998 


PKCS #15 v 1.0: Cryptographic Token Information Format Standard", RSA Laboratories, Apr. 23, 
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PowerAgent Introduces First Internet Infomediary' to Empower and Protect Consumers (Tech Talk 
Aug. 4, 1997) 


PowerAgent Introduces First Internet 'Infomediary' to Empower and Protect Consumers 
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of Commerce, Oct. 1995. 


"Request for Technology: Multimedia System Services", Ver. 2.0, Interactive Multimedia Association 
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"Request for Technology: Multimedia System Services", Draft, Ver. 1 .1 , Interactive Multimedia 
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"Requirements for the Software License Management System", System Management Work Group, 
Rev. 3, Unix International, July 23, 1992. 


RSA Security; News; "Enterprise Solutions Announces RSA Mail," 
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RSA Security; News; "General Magic Picks RSA," <http://rsasecurity.com/news/pr/94pi12-3.html.>, 
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RSA Security; News; "Hewlett-Packard Chooses RSA," <http://rsasecurity.com/news/pr/9401 1 2- 
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"RSA Security; News; "Hilgraeve Ships Secure Version of HyperACCESS/5," 
<http://rsasecurity.com/news/pr/940112-8.html.>, dated January 12, 1994, pp. 1-2. 


RSA Security; News; "iPower's Data Security Approach," <http://rsasecurity.com/news/pr/940112- 
10.html.>, dated January 12, 1994. 


RSA Security; News; "RSA Enters Wireless Arena," <http://rsasecurity.com/news/pr/940112-6.html.>, 
dated January 12, 1994, pp. 1-2. 


RSA Security; News; <http://rsasecurity.com/news/pr/9401.html.>, dated January 12, 1994, pp. 1-2. 


"S/PAY: RSA's Developer's Suite for Secure Electronic transactions (SET), n RSA Data Security, Inc. 
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Secure Computing, "Constructing a High Assurance Mail Guard," 1994, pp. 1-10. 


Page 36 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


Examiner 
Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


Secure Electronic Transactions; Mastercard and Visa+ C345 


oqa^i iriiw PnhonrflH I IMI IY " Klotirtnol ^opiiritv/ Anonpv/ httrv//\AAA/\A/ dcq nnw/colini iy/ ■ nn *1 _0 
c^enuriiy tnnanccu liinua. iNdiiuiidi otsuuiiiy rvjoiiuy, tiup.//www.i loa.^uv/ociiiiUA/, 


oecunty in tseyiMJo. 


Sheridan Software Svstems. Data Widaets 2.0: Proarammer's Guide. Sheridan Software Systems. 
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"SIGSALY Secure DigitaLVoice Communications in World War II," National Security Agency, 
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Smart Card 1993 Conference Proceedings, "Day 1: Communications and Marketing Systems & 
MarKet uverview, Lownaes txniDiuon organisers, Lia., iyyo, pp. i-/y. 


"STARFISH State of the Art Financial Services for the in Habitants of Isolated Areas - Project 
rTOiiie, iniormaiion oocieiy lecnnoiogies, lime scneauie ^jan. z i , zuuu - jun. ou, ^.uu^j. 


Stuff It Delux v 1 .5, v 3.0, v. 3.5, Alladin Systems, 1 988-1 994. 


Summaries of Projects (FP lll/IV) - Part I: "ESPIRIT Project 20517 - COPYSMART CITED based 

rv-ti .if! rrtArlifa IDD manonomont r\r\ r*r\ct affor*ti\/A emort r4o\#i/^o " Pumnoan Information toohnnlnrix/ for 

muiu-meoia i"r\ managcrneni on cost enocuve oinan. usvicc, cuiupeaii miiuiiiiciuuii itfuiinuiuyy lor 
Information Science (Oct. 1998). 


C\/m^nfa^ A r»ti A/in ic ir\r IMoointrtch / Q \i o QAM\ Qv/mantDr *1 QQ^ 

oyrnanico /aiiu vif Uo iui iviaoiiiiuoii ^o.i\.a. orMvij, oymeuimo, iyyo. 


Symantec Corporation, "THINK Pascal: The Fastest Way to Finished Software," Symantec 

Pnrnnriatinn 1QQn nn Q^-1°^ 


"TALISMAN - Tracing Authors' Rights by Labeling Image Services and Monitoring Access Network," 
ACTS Proiect No AC01 9 Doc Reference AC019-THO-RGS-FR-P 001 -b1 (SeD 25 1998^ 


"TAI ISMAN' Trarina Authors' Riahts bv Labelina Imaae Services and Monitorina Access Network " 
ACTS, Swiss Participation in European Research Programs (Sep. 1, 1995, Aug. 31, 1998). 


"Technical Description: Pay-Per-View Copy Protection," Macroyision, Jun. 1994. 


"Technical Rationale Behind CSC-STD-003-85: Computer Security Requirements," 
http://www.radium.ncsc.mil/tpep/library/rainbow/CSC-STD-004-85.html, June 25, 1985, pp. 1-40. 


"Technical Strategies for Protecting Intellectual Property in the Networked Multimedia Environment", 
IMA Intellectual Property Proceedings, Vol. I, Issue 1, January 1994. 


"TELENET TELEtraining Platform (on NETworks) - Project Profile," Information Society 
Technologies, time schedule (Mar. 6, 2000 - Mar. 30, 2000). 


"Telescript Security," BYTE.com (Oct. 1994). 


"The Armide Products", web page. 


"The First USENIX Workshop on Electronic Commerce Proceedings. New York. New York, July 11- 
12, 1995, Usenix Association. 


Page 37 of 38 


INFORMATION DISCLOSURE CITATION 


OMB No. 0651-0011 


Atty. Docket No. 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01, 2001 

Group: 2132 


examiner 
Initial* 

vj i ncr\ uuuunnciN i o (including Muinor, i me, uaie, reninenx rages, etc.) 


"The Future of Cited: A Feasibility Study," ESPIRIT II, Project 5469, CITED Project Review, Apr. 15, 
1994. 


"The PowerTV White Paper", powertv.com website, October 11,1 996. 


The Risks Digest, "Forum on Risks to the Public in Computers and Related Systems," Vol. 15; Issue 
39, January 21, 1994, pp. 1-12 


"The Standard Business:Time for Change, " European Commision DG1 1 1 Espirit Project 5 th 
Consensus Forum (Nov. 3-4, 1998). 


Think C: Obiect-Oriented Proarammina Manual. Svmantec Corporation. 1989. 


Time-Life Books. Understanding Computers: Computer Security. 1986. 


TULIP Final Report, ISBN 0-444-82540-1 , 1991 , revised September 18, 1996. 


U.S. Department of Commerce (NIST), "Security Requirements for Cryptographic Modules," January 
11, 1994, pp. 1-53. 


U.S. Patent and Trademark Prosecution History for National Semiconductor Corporation "iOpener" 
Trademark, Registration date October 4, 1994, 27 pages.TULIP Final Report, 


UniverCD: The InterActive. Online Librarvof Product Information From Cisco Svstems. Cisco 
Systems 1993. 


Unix Svstem v. Release 3.2. Programmer's Guide. Vol. II. AT&T. Prentice Hall (1989). 


VirusCheck and VirusScan, McAfee, 1993 


Examiner 


Date Considered 


*Examiner: Initial if reference considered, whether or not citation is in conformance with MPEP 609; draw line 
through citation if not in conformance and not considered. Include copy of thjs form with next 
communication to applicant. 


Form PTO 1449 


Patent and Trademark Office - U.S. Department of Commerce 


Page 38 of 38 




PATENT 
Customer No. 22,852 
Attorney Docket No. 7451.0001-18 
InterTrust Ref. No.: 5.2.1.1 (US) 


CERTIFICATE OF EXPRESS MAILING 
I hereby certify that this correspondence is being deposited with the United States Postal Service's "Express Mail Post Office to 
Addressee" service under 37 CFR § 1.10, in an envelope addressed to: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 
2231 3-1450 on March 26, 2004. Express Mail Label Nos.: EV 398888246 US- 


Signed: 



Cindy Baglietto 


Group Art Unit: 2132 
Examiner: DARROW, Justin T. 


(N THE UNITED STATES PATENT AND TRADEMARK OFFICE 

In re Application of: 
G INTER et al. 
Application No.: 09/870,801 
Filed: June 1,2001 

For: SYSTEMS AND METHODS FOR 
SECURE TRANSACTION 
MANAGEMENT AND 
ELECTRONIC RIGHTS 
PROTECTION 

Commissioner for Patents 
P.O. Box 1450 
Alexandria, VA 22313-1450 

Sir: 

INFORMATION DISCLOSURE UNDER 37 C.F.R. $ 1.56: 
NOTICE OF INTERFERENCE 


Pursuant to 37 C.F.R. §§ 1 .56 and 1 .97(c), Applicants submit this Information 
Disclosure/I DS to bring to the attention of the Examiner the information below. Under 
the provisions of 37 C.F.R. § 1 .97(c), this Information Disclosure Statement is 
accompanied by a fee of $1 80.00 as specified by Section 1 .1 7(p); please charge this 
fee to our Deposit Account No. 06-0916. This submission is being filed after the events 


recited in Section 1.97(b) but, to the undersigned's knowledge, before the mailing date 
of either a Final action, Quayle action, or a Notice of Allowance. 

Applicants hereby advise the Examiner that U.S. Pat. Appln. No. 09/411, 205 
("the Ginter '205 application"), assigned to InterTrust Technologies Corporation, has 
become involved in an interference, entitled Benson v. Ginter, Patent Interference No. 
105,142. Applicants enclose a copy of the Notice Declaring Interference, dated 
September 4, 2003 (Exhibit A), as well as attachments to the Notice. 

The interference has been declared between the Ginter '205 application and U.S. 
Patent No. 5,845,281 to Benson (Benson I), U.S. Patent Appln. No. 09/1 64,606 to 
Benson (Benson II), and U.S. Patent Appln. No. 09/321 ,386 to Benson (Benson III). A 
copy of Benson I is attached as Exhibit B, while Exhibits C and D are listings of the 
claims of Benson II and III. The instant application and Ginter '205 both claim priority 
from the same ancestor application, Appln No. 08/388,107. The claims of the involved 
Ginter '205 application are attached as Exhibit E. The three Counts in the interference 
are described in Part F of the Notice (Exhibit A) and again in the Examiner's 
Interference Memorandum and accompanying comments, attached hereto as Exhibit F. 

A second interference involving Macrovision and InterTrust was declared on 
December 18, 2003. A copy of the Notice is attached hereto as Exhibit G. Interference 
No. 105,193 involved InterTrust patents U.S. Pat Nos. 5,920,861; 5,982,891; 6,138,119; 
and 6,253,193, and Benson patent applications Benson II and III. The instant 
application and U.S. Patent Nos. 5,982,891 and 6,253,193 all claim the benefit of 
priority of the same parent application, Appln No. 08/388,1 07. 


2 


The co-pending subject application is also assigned to InterTrust and may claim 
related subject matter to the involved Ginter '205 application. In addition, the co- 
pending subject application may be related to the Ginter '205 application by: 1) claiming 
the benefit of priority of the Ginter '205 application or any of its parent applications; 2) 
incorporating by reference the Ginter '205 application or any of its parent applications; 
and/or 3) containing statements that it is or may be related to the Ginter '205 application 
or any of its parent applications. 

If there is any additional fee due in connection with the filing of this Statement, 

please charge the fee to our Deposit Account No. 06-091 6. 

Respectfully submitted, 

FINNEGAN, HENDERSON, FARABOW, 
i GARRETT & DUNNER, LLP. 


Dated: March 26, 2004 By: 



Reg. No. 38,611 


FINNEGAN, HENDERSON, FARABOW, 

GARRETT & DUNNER, LLP. 
1300 I Street, N.W. 
Washington, D.C. 20005-3315 


3 


■■\Me(c 3-7/40 o 




PLE&§E. STAMP TO ACKNOWLEDGE RECEIPT OF THE FOLLOWING: 

InJ^ppncation of: GINTER et al. 

Ss ^n» No.: ©igS^ySOt Grou^ Art Unit: 2132 

ls f Sline 1 , 2003 ExartlMer: DARROW, Justin T 

SYSTEMSvAND METHODS FOR SECURE TRANSACTION MANAGEMENT AND 
ELECTRONIC RIGHTS PROTECTION 

1 . Response to OA (19 pages)w/ 3 attachments; (Attachment # 1 ) Notice of Litigation (w/ 
Exhibits), filed. 1 0/31/02, (Attachment # 2) CD-ROM containing references from IBS 
filed 1 0/31 /02 i; and (Attachment # 3) Updated Notice of Related Litigation (w/ \ 
attachments) filed 4/3/03; 

2. Petition for 3 Month Extension of Time (1 page); 

3. Third Updated Notice Regarding Related Litigation (3 pages), with Exhibits 1 -2, and 
CD ROM containing; material from Exhibit 2 (Ex. B & C); 

4. Information Disclosure Statement (2 pages); 

5. Form PTO-1449 (38 pages); 

6. 2 CD ROMs containing IDS References; 

7. Information Disclosure;; Notice of Interference (3 pages), with Exhibits A-G; arid 

8. Please charge fee of $1,31 0.00 to Deposit Account No. 06-0916. . vr 

Express Mail No.: EV 398888246 US ^ 
Dated : March 26, 2004 Attorney: Andrew B. Schwaab r / 

Docket No.: 07451 .0001-1 8000 Mail Drop: CA i- fo<f 



United States 
Patent and 
* * ★ ★ Trademark Office 


MONTHLY STATEMENT 
OF DEPOSIT ACCOUNT 6 omi 

To replenish your deposit account detach and 

return top portion with your check. Make Sj^jMCfiAf-J jJHw';R--Oa! PAPaPfW 
payable to Director of Patents & Trademarks? i <--^-^; v, mAT;.HDU^; 

6ARSBTA;l;!)UNNFaLLP 


Under Secretary of Commerce for Intellectual Property and 
Director of the United States Patent and Trademark Office 

Washington, DC 20231 
www.uspto.gov 


F INNEGAN & HENDERSON 
JANICE SWEET 
1300 "I" STREET, N . W. 

WASHINGTON DC 20005 


FINA 


Account No. 
060916 


Date 


3-31-0* 


Page 


PLEASE SEND REMITTANCES TO: 
U. S. Patent and Trademark Office 
P.O. Box 70541 
Chicago, IL 60673 


DATE POSTED 


MO. DAY YR 


oTT 
ok 

Ok 

ok 

Ok 
Ok 
Ok 
Ok 
Ok 
Ok 
Ok 

ok 


CONTROL 
NO. 


DESCRIPTION 
(Serial, Patent, TM, Order) 


_ 1760239 
09870801 
09870801 
6661^89 
PCT/US0V07692 
PCT/US0V07692 
09965792 
10176762 

10177387 
76357681 

09675515 
10688925 


DOCKET NO. 


7*51 .0001-18 
7*51 .0001-18 

8201.039-30* 
8201,039-30* 
057250963000 
7579.0007-01 
7579.0007-02 

01*13-001*. 00000 
08702.0020-00000 


FEE 
CODE 


"oTofJ 

1253 
1806 
1811 
1703 
8007 
1*02 
1806 
1806 
600* 
1801 
1051 


CHARGES/ 
CREDITS 


BALANCE 


299*1 .*b 
28991 .*6 
2881 1 .*6 
287H.V6 
28621 .*6 
28601 ,*6 
28591 .*6 
28*11 .*6 
28231 .*6 
28081. *6 
27311 .*6 
27181 .*6 


11 
*8 
*9 
71 
90 
92 
116 
130 

131 
196 
235 
273 


-200.00 
950.00 
180.00 
100.00 
90.00 
20.00 
10.00 
180.00 
180.00 
150.00 
770.00 
130.00 


AN AMOUNT SUFFICIENT TO 
COVER ALL SERVICES REQUESTED 
MUST ALWAYS BE ON DEPOSIT 


OPENING BALANCE 

26206. *6 


TOTAL CHARGES 
88290.00 


TOTAL CREDITS 
892*5.00 


CLOSING BALANCE 

27181. *6 


MS020A (2/2003) 


*** O.D. INDICATES OVERDRAWN 


\ 


PLEASE STAMP TO ACKNOWLEDGE RECEIPT OF THE FOLLOWING: 

In re Application of: Kar! L. GINTER, et al. 

Serial No.: 09/870,801 Group Art Unit: 2132 

Filed: June 1,2001 Examiner: G. Barron, Jr. 

For: SYSTEMS AND METHODS FOR SECURE TRANSACTION MANAGEMENT AND 
ELECTRONIC RIGHTS PROTECTION 


1. Updated Notice Regarding Related Litigation (4 pages), with Exhibits 1-11. 


Dated: April 3, 2003 Attorney: Kama J. Nisewaner 

Docket No.: 07451.0001-18000 /O* P . Mail Drop: CA 



vA'.