Skip to main content

Full text of "USPTO Patents Application 09870801"

See other formats


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 


o C70 747 

04/06/71 

Adams, et al. 





o 7QH 700 

02/05/74 

Callais, et al. 





o onfi R74 

04/21/74 

Ehrat 





0,040,0=? i 

10/2Q/74 

Crosbv 





•a o/ifi onn 

0,y40, iUU 

0^/23/76 

j nod ik is 





•3 OCA AAO 

1 2/07/76 

Attanasio et al. 





4,U^U,o^o 

04/9fi/77 

Coulthurst 





yl ifV4 791 
4,1U4,f £. 1 

08/01/78 

Markstein et al. 





4,10Z,400 

07/24/79 

Entenman 





4,1 oo,uoo 

01/08/80 

Roberts et al. 





A 94fi fi^8 

01/20/81 

Thomas 





4 959 720 

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 

Zeidler 





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 


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 

OUu 

Class 

niiiiy wait? 
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 

1 1/1 1/86 

Horvathetal. 





4,672,605 

06/09/87 

Hustig 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 

Musyck et al. 





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 

Krueger et al. 





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 
IMUmDer 

Issue Date 

Name 

Class 

Sub 
Class 

Filing Date 
If Appropriate 


4,975,647 

ao/ha ton 
1 *c/U4/yU 

r^Aiimoi" o& fil 





4,975,878 


DOQuU 61 al. 





4,995,082 


ocnnorr 





5,014,234 

nc /r\7 /oh 

05/07/91 

tawaras, jr. 





5,022,080 

06/04/91 

Durst et al. 





a— Aft 1 ! 

5,027,397 

06/25/9 1 

uouoie et at. 





5,032,979 

OT /** C IC\ A 

07/16/91 

riecnt et ai. 





5,058,162 

A. f\IA C /OH 

10/15/91 

Santon et al. 





5,065,429 

1 1/12/91 

Lang 





5,079,648 

oi/o //y^ 

Mauie 





5,103,459 

04/u / /y ^ 

oiinousen ex ai. 





5,109*410 


l>Uf ■ 161 lUiu el dl. 





5,1 13,51o 


r^i irct lr tit sal 





E hoc Q^fi 


Chamoion et al 





o, i^y,uo*f 

07/07/92 

Kellv Jr et al 





O, I JO, r 1 

08/1 1/92 

Corbin 





R 150 407 

J, 1 JU)*tu l 

09/22/92 

Chan 





5 1fi4 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 


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 


5,260,999 

a a tr\c\ /no 

1 1/09/93 

wyman 





5,263,157 

. A A IA /AO 

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 

1 - . . AA A _| 

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 

AQ/AO/Qyl 

0o/0^/94 

rauDIO 





C 007 OCT 

5,337,3o7 

na/no/ox 

onou ei ai. 





C OA*} coc 

uo/ou/y** 

1 occ arc 






AQ/On/QA 

uy/zu/y*f 







1 n/1 1 /cm 
iu/ 1 i/y*f 

TH 1 1 rale nnhs m of al 
1 I lUi dlsl lyi ictl 1 1, Cl ai. 





c ocq 791 


r\dii|Ji ci ai. 





vJ,OU I ,Ov>«7 

11/01/94 

1 IfV If W 1 

Taialli et al 

1 VI J V* 111 w L U 1 * 





5,365,587 

11/15/94 

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 ai. 





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 

Appin. No. 09/870,801 

Applicant Karl L. Ginter, et al. 

Filing Date June 01 , 2001 

Group: 2132 


Examiner 
Initial 

Document 

Kli imhor 
PIUiTfLfGi 

Issue Date 

Name 

Class 

Sub 
Class 

Filing Date 
If Appropriate 



up/ou/yo 

iviiisi la 11 





5,421 ,QUo 

up/ou/yo 

JoUIUIl til al. 





5,432,oo1 

H7/1 1 /QC 






tr jioo no Q 

5,432,920 

Uf /i i/yo 

Ol )cl 1 1 ld( 1 





C AOQ CAQ 

5,438,500 

uo/ui/yo 

vvyrnan 





5,440,634 

uoYUo/yo 

JUiloo cl al. 





5,450,490 

Uy/i2/yo 

jensen ei ai. 





r- ji r-^ "7 A~T 

5,457,747 

lu/iu/yo 

L/rexier ei ai. 





C jI CO AC\ A 

5,458,494 

iu/1 / /yo 

ixronn ei ai. 





5,490,21 o 

no/fic/Qe 

uz/uo/yo 

f3tr*aHrHcrtn III 
rxllrCflll UoUl 1 III 





O,o24,yoo 

or/1 1/Qfi 

Knnt Pt fll 
r\ui 11 xsv of. 






07/09/96 

Shocklev et al 





0,000,0^^ 

07/09/96 

Hecht 






09/1 7/96 

Skeen et al. 





c: C74 Q62 

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 

02/1 1/97 

White et al. 





5,625,693 

04/29/97 

Rohatgi et al. 





5,629,770 

05/13/97 

Brassil et al. 





5,634,012 

05/27/97 

Stefik et al. 





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 


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 


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. 





5724,424 

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 al. 





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 

Crandall 





6,016,393 

01/18/00 

White et al. 





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 et al. 





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. 

07451.0001-18000 


A _ . 1 -~ Kin 

Appln. No. 

09/870,801 

Applicant 

Karl L. Ginter, et al. 




Filing Date 

June 01 ,2001 


Group: 

2132 


Examiner 
Initial* 

UOCUmeni 
Number 

Iq^iip Date 

Name 

Class 

Sub 
Class 

Filing Date 
tf 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 96/27155 

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 

Systems Research Center, October 1990, available at 

<http //citeseer.nj.nec.com/article/abadi92authentication.html>, 22 pages. 


Abadi, M. f et al., "A Calculus for Access Control in Distributed Systems , Digital Equipment 
Corporation, Feb. 28, 1991, revised August 28, 1991. 


Abrams, Marshall D, "Renewed Understanding of Access Control Policies", Proceedings of the 16 
Computing Natioal Security Conference, 1993. 


Aharonian, G., "Software Patents - Relative Comparison of EPO/PTO/JPO Software Searching 
Capabilities," Source Translation & Optimization. 


Anderson, R., "Why Cryptosystems Fail," University Computer Laboratory, Cambridge, 
Massachusetts, (undated), pp. 1 -34. 


Antonelli et al, "Access Control in a Workstation-Based Distributed Computing Environment, CITI 
Technical Report 90-2 (July 17, 1990). 


Arms W Y "Key Concepts in the Architecture of the Digital Library," D-Lib Magazine, (Jul. 1995). 


Atkins D et al., "The Magic Words are Squeamish Ossifrage," (undated), 15 pages. 


Atkinson, R., "Security Architecture for the Internet Protocol," Network Working Group RFC 1825 
(Aug. 1995).' 


Page 7 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.) 


Aucsmith, D. f et al., "Common Data Security Architecture; Intel Architecture Lab, Presentation 
Material, January 22, 1996, pp. 1-16. 


A,.^cmifh naviH "Tamoer Resistant Software: An Implementation", IAL. 


Aw*™ al "Rpcommender Systems for Evaluating Computer Messages," Communications of the 
ACM. pp. 88-89 (Mar. 1997). 


Pfll^r R H The Computer Security Handbook, Tab Books, Inc., 1985. 


Qoihonnvir Ptal "Content-based Collaborative Recommendation, Communications of the ACM , 
pp. 66-72 (Mar. 1997). 


n a rfnr-k P F et al "Guide to Securing Microsoft Windows NT Networks," National Security Agency, 
September 18, 2001, pp. 1-132. 


Q^noro m -iKP-A Familv of Secure Electronic Payment Protocols," April 16, 1995, pp. 1-19. 
ueiiare ivi., ir\i »» pom my wi w^i/utv *— ' ^ vu w ./ 


Bellovin S M., "Encrypted Key Exchange: Password-Based Protocols Secure Against Dictionary 
AHflrk<? Praceedinas of the IEEE Symposium on Research in Security and Pnvacy, Oakland, 
California. May 1992, 13 pages. 


p Q n«win s M "There Be Draaons." AT&T Bell Laboratories, August 15, 1992, 16 pages. 


Bender et al "Techniques for Data Hiding," IBM Systems Journal, Vol. 35, Nos. 3&4 (1996). 


Berghal et al., "Protecting Ownership Rights Through Digital Watermarking,' ittt oompuung, voi. 
29, No. 7 (Jul. 1996). 


Berners-Lee, T.J., et al., "Networked Information Services: The World-Wide weD, computer 
Networks and ISDN Systems, 1992, pp. 454-459. 


Bernstein et al.. "Copyrights, Distribution Chains, Integrity, and Pnvacy: The Need for a Standards- 
Based Solution," Electronic Publishing Resources. 


Bertino, Elisa, "Data Hiding and Security in Object-Oriented Databases," Dipartimento di Matematica, 
Univers'ita di Genova, IEEE, 1992, pp.338-347. 


Bickel. R., et al.. "Guide to Securing Microsoft Windows XP." National Security Agency. October 30. 
2002.pp.'l-129. 


Birrell Andrew D., et al., "A Global Authentication Service Without Global Trust," Proceedings of the 
IEEE Symposium on Security and Privacy, Oakland, California, April 1986, pp. 1-11. 


Bishop, M., "Anatomy of a Proactive Password Changer." Department of Mathematics and Computer 
Science, Dartmouth College, (undated). 15 pages. 


Bishop M "Privacy-Enhanced Electronic Mail," Privacy and Security research Group, IAB 


Blaze, Matt, et al., "The Architecture and Implementaiton of Network Layer Security Under Unix , 
Columbia University and AT&T Bell Laboratories. 1994. 


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* 

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 
Privacy, May 1996. 


Blaze, M., "Key Management in an Encrypting File Systems, " Proc. Summer 1994 USENIX 
Technical Conference (Jun. 1994). 


Boisson, Jean-Francois, "1 -Business Perspectives and Requirements, 2-The CITED Project: Keys 
and Knowledge," CITED 5469. 


Boisson, Jean-Francois, "How to CITEDise Application: Guidelines and Examples," CITED 5469. 


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


Boisson, Jean-Francois, Software Components, Deliverable I rial uner, ui i tu owy. 


Boly, J. P., et al., The ESPIRIT Project CAFE, nigh becunty uigitai raymeni oysiems, couurMuo 
94, European Symposium on Research Computer Security, Springer-Verlas Berlin, 1994, pp. 217- 
230. 


Boone, J.V.,et al., "The Start of Digital Revolution: SIGSALY Secure Digital Voice Communications in 
World War II," December 10, 2002. 


Borenstein, N., "MIME Extensions for Mail-Enabled Applications: Application/Safe-Tel and 
Multipart/Enabled-Mail," November 1993, 24 pages. 


Born, E, et al., "Discretionary Access Control by Means of Usage Conditions," Computers & Security, 
vol. 13, no. 5, 1994, pp. 437-450. 


Bos et al., "SmartCash: a Practical electronic payment System," Center for Mathematics and 
Computer Science, Report CS-R9035. 


Rranrk q "Untraceable Off-line Cash in Wallets with Observers " CWI, (undated), 17 pages. 


Brassil et al., "Electronic Marking and Identification Techniques to Discourage Document Copying," 
AT&T Bell Laboratories, Proc. Infocom 94, 1994. 


Breon, R., et al., "Microsoft Office 97 Executable Content Security Risks and Countermeasures," 
National Security Agency, December 20, 1999, pp. 1-44. 


Brickell, E.F., et al., "The SKIPJACK Algorithm," July 28, 1993, pp. 1-7. 


Brin, Sergey, et al., "Copy Detection Mechanism for Digital Documents", Stanford University. 


Brockschmidt, K., "A Primer on Designing Custom Controls," Microsoft Systems Journal, March/April 
1992, pp. 87-101. 


Brockschmidt, K., "Implementing OLE 2.0, Part III: Uniform Data Transfer with Data Objects," 
Microsoft Systems Journal, December 1993, pp. 47-77. 


Page 9 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.) 


Brockschmidt, K., "Introducing OLE 2.0, Part 1: Windows Objects and the Component Object Model," 
Microsoft oystems Journal, August iyyo, pp. io-^o. 


r-i i i LL ^ 'ji 1/ ur\t c *"> n Dorf II • Imnlamanfinn a ^imnlp WinfiOWS ObiftCt UsinO Either C Or C++." 

Brockschmidt, K M ULfc ^.u r^an n. implementing a oimpie whiuuwo ^ujc^i womy uuivi w u| ^ » 
Microsoft Systems Journal, October 1 993, pp. 45-62. 


PrrirkRnhmidt, Kraig, Inside ULb Microson rress rrogrdmminy oenea, iow. 


Brown, C.W., Security for Minicomputers ana Microcomputers, ^unuctieu/, pp. ^o^^o. 


Brown, Patrick W., "Digital Signatures: Can They Be Accepted as Legal Signatures in EDI?," 1 st 
Conference on Computer and communication oecurny, iNovemDei iwo, pp. ou o^.. 


Rnimm P et aK 80386/80486 Assembly Lanauaae Proaramming, Windcrest/McGraw-Hill, 1993. 


Brunnsteih et al., "Intellectual Property Rights and new Technologies," Proceedings of the KnowRight 
'95 Conference (Aug. 1995). 


i-» ~ \/«« r\::L- M/mnrtam^nt D^nnrt fr\r Tack 4 *v Fpacihilitv Studv of the Cited Aoencv. 1992-1993. 

Bureau van uijk Management Kepon ior i as>r\ *t.o. reaoiuiiiiy oiuuy ui me "y^»»^ji w^*- i^^w. 


Bureau Van Dijk: Gestion Des Contrats; 497C.C.C.E.: CITED (SUITE), Feb. 1993. 


Burns, Christopher, "AAP Draft: Local Access and Usage Controls", Association of American 
Publishers Report, April 13, 1995. 


Cabell, D. ( et al., "Software Protection," May 1985, pp. 35-37. 


Calas, C, "Distributed File System Over a Multilevel Secure Architecture Problems and Solutions," 
Computer Security, ESCORICS 94, Brighton, United Kingdom, November 7-9,1994, pp. 281-297. 


Case, J., "A Simple Network Management Protocol (SNMP)." Network Working Group, May 1990, 
pp. 1-21. 


r.astann r S. et aL. Database Security, Addison-Wesley & Acm Press, 1995 


Chase, Chevy, M.D., DiscStore (Electronic Puoiisning Kesources iyy i j. 


Chaum et al. f "Wallet Databases with Observers," CWI, Aarhus University, Advances in 
Cryptography, Proceedings of Crypto '92, pp. 89-1 05 (1 992). 


Chaum, D., "Privacy and Social Protection in Electronic Payment Systems," Chapter 12, The Future 
of Money in the Information Age. 


Chaum, D., "Untraceable Electronic Cash," Extended Abstract, Center for Mathematics and 
Computer Science, 1988, pp. 319-327. 


Chaum. D.. Smart Card 2000. Elsevier Science Publishers, 1991. 


Chaum, D.L., et al., "Implementing Capability-Based Protection Using Encryption," College of 
Engineering, University of California, Berkeley, July 17, 1978, 12 pages. 


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


Page 10 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 

07451.0001-18000 

I Appln. No. 

09/870,801 

Applicant 

Karl L Ginter, etal. 



Filing Date 

June 01, 2001 

I Group: 

2132 


Examiner 
Initial* 

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


Chaum, David, "Security Without Identification: Card Computers to Make Big Brother Obsolete; 

U« A.J.iet ii 9009 at <httn //www chaum com/articles/Security Wthout Identification. html> 

VieWeO On AUGUST ^O, c\j\jC dl lup.//www.oi icun i-wi i w »viv/wi .vj — — 

pp. 1-24. 


Chaum, David, "Smart Card 2000," Selected Papers from the Second International Smart Card 2000 
Conference, Oct. 4-6, 1 989. 


Chor et al., "Tracing Traitors," Crypto 94, p. 257 (1994). 


ju..«. a w A * «i u n^r\\/r\nbit Prrtt<artinn for Fi^etronic Publishina Over Computer Networks," 
Choudhury, A.r\. etal., oopyngni "ruieuuun hji c.!,.i<uuiiiu . Mwiwimy w * ^ , 

AT&T Bell Laboratories, Murray Hill, NJ, June 1994, 18 pages. 


Choy D.M., et al., "A Digital Library System for Periodicals Distribution", May 1996. 


* i u a n\/rxo a n M :« v/__i,4^.-,— OA/^uriK/ Q\/ctom Pf* ^nftwarp A^*5fit Protection Concepts." 
Cina Jr et al ABYSS: A Basic Yorktown oecuniy oysiem rv^ ouuwcue naoci nuwouwn wnw^w*, 

IBM Research Report No. RC 12401, IBM Thomas J. Watson Research Center (Dec. 18, 1986). 


i n«..i r* a* oi m ditq* a QmcirtrarH Prntprted ODeratina System," Communications of the 
Clark Paul o. etai., diiw. m oiiiai iuoiu n uicoicu v^oiuuny w/^^'i'i. 

ACM ' vol. 37, no. 11, November 1994, 66-94. 


Clarke et al., "Cryptography issues in Plain Text," Privacy Law and Policy Reporter (1996). 


r**r*A D 0 f 0 r "nhi^rt-Oripntpri Patterns " Communications of the ACM, vol. 35, no. 9, September 
1992,* pp. 152-159. 


mhPn F B Protection and Security on the Information SuDerhiahwav. John Wiley & Sons, Inc., 
1995. 


Cook, S., "Net Results," PC World, December 1985, pp. 270-328. 


Corbato, F.J., et al., "Introduction and Overview of the Multics System," viewed on November 13, 
P001 at <http://wvvw.multicians.ora/Ticci.ntmi> pp. i-i o. 


Cornish, Graham, "Copyright Management of Document Supply in an Electronic Age," The CITED™ 

Solution, Interlending & Document buppiy, voi. £\, ino. ^, iy$>o, 10 ^u. 


Cousins, Steve B. et al., "InterPay: Managing Multiple Payment Mechanisms in Digital Libraries. 


Coutrot, Francois, et al.. "A Single FConditional Access System for Satellite-Cable and Terrestrial 
TV" IEEE Transactions on Consumer Electronics, Vol. 35, No. 3, Aug. 1989. 


Cox B., "Superdistribution," Wired, September 1994, 2 pages. 


Cox Benjamin et al., "NetBIII Security and Transaction Protocol; Carnegie Mellon University. 


Cox, Brad, "What If There is a Silver Bullet and the Competition Gets it First?," Journal of Object- 
Oriented Programming, Jun. 1992. 


Crocker et al., "MIME Object Security Services," Network Working Group RFC 1848 (Oct. 1995), 


Curry P a -i imiy Qyctom s^writy A Guide for Users and Svstem Administrators, Addison-Wesley 
Publishing Company, Inc., 1992. 


Curry David A., "Improving the Security of Your Unix System," Final Report April 1990, pp. 1-74. 


Page 11 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.) 


Custer, H. Inside Windows NT. Microsoft Press, Redmond wa, iyyo. 


Custer, H.. inside the Windows NT File System. Microsoft Press, 1994. 


Cybenko, G, et al., "Cognitive Hacking; A Battle for the Mind," Computer, August 2002, 0018- 
9162/02©2002 IEEE, pp. 50-56. 


Date, CJ., "An Introduction to Database Systems," 4 th . Ed., Vol. 1, Addison-Wesley Publishing 
Company, 1987. 


paviPR, D.W.; Price. W.L.: Security for Computer Networks. John Wilev & Sons, 1984. 


Davin, J., et al., "SNMP Administrative Model," Network Working Group, July 1992, pp. 1-22. 


Davis, D M et al., "Network Security via Private-Key Certificates," MIT Project Athena, (undated), pp. 
1-4. 


Deering, S.E., "Host Extensions for IP Multicasting," Network Working Group, RFC 1112 (Aug. 1989). 


Dempsey, Lorcan, et al., "The Warwick Metadata Workshop; A Framework for the Deployment of 
Resource Description," Jul./Aug. 96. 


Denning. A.. OLE Controls Inside Out. Microsoft Press, 1995. 


n^noinn n f M ^*arnrp ppr<;nnai Onmnutina in an Insecure Network," Communications of the ACM, 
August 1979, Vol. 22, No. 8, pp. 476-482. 


n^nninn D Crvtoaranhv and Data Security Addison-Wesley Publishing Company, Inc., 1982. 


npnnina Dorothv E R CrvDtoaraDhv and Data Security, Addison-Wesley Publishing Company, 
1982, Reprinted with corrections, Jan. 1983. 


Denning p * r.nmpntpr t inrier Attack: Intruders. Worms, and Viruses. ACM Press, 1990. 


Deutsch, P., "GZIP File Format Specification Version 4.3," Network Working Group, May 1996, pp. 
12. 


Diffie et aL Privacy on the Line: The Politics of WiretaDDina and Encryption. Massachusetts Institute 
of Technology, 1998. 


Diffie, Whitfield, "Authentication and Authenticated Key Exchanges", Sun Microsystems and Bell- 
Northern Research, March 6, 1992. 


Diffie, Whitfield, "The First Ten Years of Public-Key Cryptography", Proceedings of the IEEE, Vol. 76, 
No. 5, May 1988. 


Diffie, Whitfield, et al., "New Directions in Cryptography", Stanford University, 1976. 


DiLascia, Paul, "OLE Made Almost Easy: Creating Containers and Servers Using MFC 2.5," 
Microsoft Systems Journal, April 1994, pp. 13-33. 


Doster et al., "Third-Party Authentication in the Institutional File System," Center for Information 
Technology Integration. 


Page 12 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* 

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


nniigherty r D„ et aL The Mosaic Handbook for the X Window System, O' Reilly & Associates, 1994. 


Downs, D.D., et aL, "Issues in Discretionary Access Control," Proceedings of the 1985 Symposium 
on Security and Privacy, April 22-24, 1 985, Oakland, California, pp. 208-21 8. 


Dukach, S., "SNPP: A Simple Network Payment Protocol," MIT Laboratory for Computer Science, 
(undated), 7 pages. 


Eastlake III et aL, "Randomness Recommendations for Security," Network Working Group RFC 
1750 f Dec. 1994. 


Eastlake III, D., "Physical Link Security Type of Service," Network Working Group RFC 1455 (May, 


rL flrpft i incanh "Prrktortinn int p>ii **rt i iai Pmnprtv Riahts on the Information SuDerhiahwavs." March 
1994. 


Eizenberg, G., H Contribution of Information Technology Security to Intellectual Property Protection, u 
CERT-DERL 


Epstein, J., "A Trusted X Window System Server for Trusted Mach," Usenix Association 
Proceedings, Mach Workshop, October 4-5, 1990, dunmgton, vermoni, pp. i<n-ioo. 


Erickson, John S., "A Copyright Management System for Networke Interactive Multimedia", 
Proceedings ot the 199b uartmoutn institute Tor Movanceu v^rduuditj oiuuies, 


Erickson, John S., Rights Management i nrougn tnnanceu /\nnuuuon - t rre&tsmeu cu unc i »o 
Proceedings, June 1996. 


Everett, David B., "Smart Card Tutorial-Part 1 Sep. 1992. 


Farmer, u., I ne uuro oecuniy v^necKer oysiem, uuiy iu, 


Feistel, H. "Cryptographic Coding for Data-Bank Privacy," IBM document RC 2827 (Mar. 18, 1970). 


Ferraiolo, D., et aL, "Role-Based Access Control," Reprinted from the Proceedings of the 15 th 
National Computer Security Conference, 1 992, pp. 1-1 1 . 


Fine, T.,et al, "Assuring Distributed Trusted Mach," Secure Computing Corporation, 1993, 13 pages. 


Finin et aL, 41 A Language and Protocol to Support Intelligent Agent Interoperability," Proceedings of 
the CE & CALS, Washington '92 Conference (Apr. 1992). 


Forcht r K.A.. Computer Securitv Manaqement. Boyd & Fraser Publishing Company, 1994. 


Franklin, M„ et aL, "An Overview of Secure Distribution Computing," March 24, 1992, pp. 1-46. 


Franz, M., "Technological Steps Toward a Software Component Industry," Institut fur 
Computersysteme, Zurich, Switzerland, (undated), 23 pages. 


Frederick, Keith P., "Certification and Accreditation Approach", Air Force Cryptologic Support Center 
(OL-FP). 


Fuchsberger et aL, "Public-key Cryptography on Smart Cards," Information Security Group. 


Page 13 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.) 


Fugini, M„ et al., "Security Management in Office Information Systems," Computer Security: A Global 
Challenge, 1984, pp. 487-498. 


Fugini, M.G., et al., "Authorization and Access Control in the Office-Net System," Computer Security 
in the Age of Information, 1989, pp. 147-162. 


Galvin et al., "Security Protocols for version 2 of the Simple Network Management Protocol 
(SNMPv2)," Network Working Group RFC 1446 (Apr. 1993). 


<^*ivin J «t al "SNMP Securitv Protocols " Network Workina Group, Julv 1992. dp. 1-26. 


Gamble, Todd, Implementing Execution Controls in Unix," Usenix Association, Proceedings of the 
^pventh Svstems Administration Conference November 1-5. 1993. Monterey, California, dd. 237- 
242. 


Garfinkel. S.. PGP: Prettv Good Privacy, O* Reilly & Associates. Inc., (undated). 


Garfinkel T Simson. et al.. Practical UNIX Securitv. O* Reillv & Associates, Inc., 1991. 


Gasser, M., et al., "The Digital Distributed System Security Architecture," Reprint from the 
Proceedings of 1989 National Computer Security Conference, 1989, pp. 1-13. 


Gaster, J. L, "Authors' Rights and Neighboring Rights in the Information Society," DG XV/E/4, 
European Commission. 


Gifford, D., et al., "The Cirrus Banking Network," Communications of the ACM, vol. 28, no. 4, August 
iyoo, pp. f yo-ou/. 


Gifford, D.K., "Cryptographic Sealing for Information Secrecy and Authentication," Communications 
ot ine AL/ivi, voi. ^o, no. Mpru icfo^, pp, ^/*f-<too. 


Rilrip R "DAT-Heads- Freauentlv Asked Questions "1991. Release 3.1 (SeD. 2. 1992). 


Gircys. G.R.. Understandina and Usinq COFF. O'Reilly & Associates. Inc. (Nov. 1988). 


Glatzer, H., "The Promise of LANs MIS Back in Control," Software News, March 1985, pp. 51-58. 


Gligor, V.D., et al., "Object Migration and Authentication," IEEE Transactions on Software 
Engineering, vol. SE-5, no. 6, November 1979, pp. 607-611. 


Gong, Li, "A Secure Identity-Based Capability System," University of Cambridge Computer 
Laboratory, January 1989, pp. 1-15. 


Goodman, Bill, "Compactor Pro." 


finster, .lames. "Software Protection: Myth or Reality". Lecture Notes in Computer Science. 
Advances in Crvotoloqy - Crypto '85 Proceedinqs. 1985. 


Gosling, J., "Oak Intermediate Bytecodes," 1995, 5 pages. 


Gozani et al., "GAFFES: The Design of a Globally Distributed File System," Report No. UCB/CSD 
87/361 ; Computer Science Division (EECS), U.C. Berkley (Jun. 1997). 


Page 14 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 rages, eic.j 


Greenwald et al. t "The Distributed Compartment Model for resource management and Access 
Control," Technical report Number TR94-035, The University of Florida (Oct. 1 994). 


Griswold, Gary N., "A Method for Protecting Copyright on Networks", IMA Intellectual Property 
Proceedings, Vol. 1, Issue 1, January 1994. 


Gruber, R. t et al., "Disconnected Operation in the Thor Object-Oriented Database System," 
Laboratory of Computer Science, Massachusetts Institute of Technology, (undated), pp. 1-6. 

< 

Guillou, Louis C; "Smart Cards and Conditional Access", Sprhger-Veriag, 1986.' 


Halfhill, T.R., et al., "Agents on the Loose," Byte.com, February 1994, pp. 1-2. 


Halfhill, Tom, R., et al., "Just Like Magic?," Byte.com, February 12, 1994, pp. 1-5. 


Haller, N., "The S/KEY One-Time Password System," Network Working Group RFC 1760 (Feb. 
1995). 


Hansen, S.E., et al., "Automated System Monitoring and Notification with Swatch," Proceedings of 
the 1993 LISA, Monterey, California, November 1-5, 1993, pp. 101-108. 


Hardjono, Thomas, Record Encryption in Distributed Databases, Department or computer science, 
University of New South Wales, January 1990, pp. 386-395. 


Hardy, N., The Keykos Architecture, Eighth Edition, uecemoer lyyu, pp. i-o. 


Ham, Lein, et al., A Software Authentication system tor tne rrevenuon pi oompuier viruses, mum, 
1992, pp.447-.450 


Harris, J., et al., "Bento Specification," Apple Computer, Inc., July 15, 1993, 106 pages. 


Harty, K., etai., uase otuoy. ine viom iransacxion rrowsooiny oy&iem, may uu, icuu, pp. ■ 


Hauser, Ralf, "Control Information Distribution and Access," Dissertation Der 
Wirtschartswissenscnaniicnen raKuitai uer univerbiiai i-uiioii, may i, ijcj. 


Hauser, Ralf, C, "Does Licensing Require New Access Control Techniques?," Institutfur Informatik, 
Universitat Zurich, August 12, 1993, 9 pages. 


Hauser, Ralf, et al., "LTTP Perfection - A Pragmatic Approach to Licenseing", Institutfur Informatik, 
Universitat Zurich, Jan. 13, 1994. 


Hawk, H.S., "RSA & General Magic," email to Good Guys, January 6, 1994, 1 page. 


Hellman, "Multi-user Cryptographic Techniques". 


Herzberg, Amir, et al., "On Software Protection", Proceedings of the 4 th Jerusalem Conference on 
Information Technology (JCIT), IEE Computer Society Proes. April 1984. 


Her^Korg Amir Pt al "Pnhiir Protection of Software". ACM Transactions on Computer Systems, Vol. 
5, No. 4, November 1987. 


Hickman, Kipp, E.B., SSL 2.0 Protocol Specificatoin. 


Page 15 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 

07451.0001-18000 

j 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.) 


uiit William pt al "Edit Wear and Read Wear," Computer Graphics and Interactive Media Research 
Group, ACM; May 3-7, 1992. 


Miii wiiiiam Pt al "Histnrv-Enriched Diaital Objects " Computer Graphics and Interactive Media 
Research Group; Bell Communications Research, 1993. 


u««r«on i i MnHom Mpthodc; fnr Cnmnuter Security and Privacv. Prentice-Hail, Inc., 1977. 


unicinnor f Hnw Mii^ir and Comouters Work Ziff-Davis Press, 1994. 


u^hnor o Uoaww Motai ni F 0 0 Prnnrammina IDG Books Worldwide, Inc., 1994. 


u«no%/mon p w ninp«:t nf thp Fir«5t UNSENIX WorkshoD on Electronic Commerce (EC 95) t " July 
1995. 


Hnrster, P.. Communications and Multimedia Security II. Chapman & Hall, 1996. 


Ucian n pt al nomnntpr Security Academic Press, Inc., 1979. 


Hiitt A F eta! ComDuter Security Handbook Second Edition. Macmillan Publishing Company, 

IQftft nn 201-217 

12700, ^ u » £.11. 


Jaeger, T, et al., "Support for the File System Security Requirements of Computational E-Mail 
Systems," November 1994, ACM 0-89791-732-4/94/0011, 9 pages. 


Johnson, H.L, et al., "A Secure Distributed Capability Based System," ACM, 1985, pp. 392-402. 


Johnson, R., "Info on Telescript," 1994 Software Agents List Archieve, December 6, 1994, pp. 1-4. 


Jones et al., "Credentials for Privacy and Interoperation," University of Illinois at Urbana-Champaign. 


Kahn D The Codebreakers: I ne otorv ot oecret vvriunq. i iws ividwumaii vuiMjjany, • 


Kahn, Robert, et al., "A Framework for Distgributed Digital Object Services, Corporation for National 
Research Initiatives, May lo, i»yo. 


Kaliski, Jr., et al. "A Layman's Guide to a Subset of ASN.1, BER, and DER", RSA Laborato4ries 
Technical Note, 1991, Revised November 1, 1993. 


Kamens, J.I., "Retrofitting Network Security to Third-Party Applications-The SecureBase 
Experience," Symposium Proceedings, Unix Security IV, October 4-6, 1993, Santa Clara, California, 
pp. 41-57. 


Kan*' nem Pt al , Testinq Computer Software, Second Edition, Van Nostrand Reinhold, 1988. 


Kaplan, M., "IBM Cryptolopes, Super Distribution and Digital Rights Management," viewed at < 
<httD7/www.research.ibm.comfo^^ December 30, 1996, 
pp. 1-10. 


Karger, P.A., et al., "A VMM Security Kernel for the VAX Architecture; CH2884-5/90/0000/0002, 
IEEE 1990, pp. 2-19. 


Karger, P.A., et al., "Multics Security Evaluation: Vulnerability Analysis," HQ Electronic Systems 
Division, Hanscom AFB, Technical Report 19, June 1974, 14 pages. 


Page 16 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.) 


Kastenholz, F„ "The Definitions of Managed Objects for the Security Protocols of the Point-to-Point 
Protocol," Network Working Group RFC 1472 (Jun. 1993). 


Kai?an Harrv Jr Comouter Data Security. Litton Educational Publishing Company, 1973. 


Kautz, "Referral Web: Combining Social Networks and Collaborative Filtering," Communications of 
♦ho APM nn fiV6*5 fMar 1997^ 

ine r\wlvl, pp. wo uo ^iviai . iwi / 


Keefe, T.F., et al., "Prototyping the SODA Security Model," Department of Computer Science, 

iiniwdrcitv rvf MinnpQntfl iQQfl nn 211-235 


Kelman, Alistair, "Electronic Copyright Management: Possibilities and Problems", Scientists for Labor 
r^ressniaiiui i, inuv. it, i </z/\j . 


Kelter, U. ( "Discretionary Access Controls in a High-Performance Object Management System," 1991 
ippf pnmniiter Societv SvmDOsium on Research in Security and Privacy, May 20-22, 1991, 
Oakland, California, pp. 288-299. 


Kelter, U., et al., "Type Level Access Controls for Distributed Structurally Object-Oriented Database 
Systems," Computer Security, ESCORICS 92, Second European Symposium on Research in 
Computer Security, Toulouse, France, November 23-25, 1992, pp. 21-40. 


Kent, S., "U.S. Department of Defense Security Options for the Internet Protocol," Network Working 
Group KrU i 1U0 ^inov. iyynj. 


i/ fln i o Driwanu Pnhanrpmpnt for intpmpt Electronic Mail* "Part II: Certificate-Based Key 
Management," Network Working Group, RFC 1422, 2002, pp. 1-29. 


uwr-hr^oi Cfpwp p al "Shnnninn Models " A Flexible Architecture for Information Commerce", 
Stanford University. 


Kim M al "The Desian and ImDlementation of Tripwire: A File System Integrity Checker," 
November 19, 1993. 


Kim, Gene H., et al. "Experiences with Tripwire: Using Integrity Checkers for Intrusion Detection," 
Purdue Technical Report CSD-TR-94-012, Feb. 21, 1994. 


Kim, L. f et al., "Novell Cuisine," Proceedings of the ACM SIGUCCS User Services Conference XIX, 
November 3-6, 1991, Seattle, Washington, pp. 183-184. 


Kim, W., et al., "Features of the ORION Object-Oriented Database System," 1989, pp. 251-282. 


Kim Won, et al.. Object-Oriented Concents. Databases, and Aoolications, ACM Press, 1989. 


Klemond, P., "Investigating Object Linking and Embedding, Part II: Adding Server Support," Microsoft 
Systems Journal, May/June 1 992, pp. 87-94. 


Klemond, P., "Taking the Bull by the Horns: Investigating Object Linking and iEmbedding, Part l, n 
Microsoft Systems Journal, March/April 1992, pp. 19-38. 


Kluepfel, H.M., "Securing a Global Village and its Resources: Baseline Security for Interconnected 
Signaling System #7 Telecommunications Networks," 1993, pp. 195-212. 


Page 17 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.) 


Koenig, A., "Automatic Software Distribution," Usenix Association Software Tools Users Group, 
Summer Conference, Salt Lake City, June 12-15, 1984, pp. 312-322. 


Kohl et al. f "Safeguarding Digital Library Contents and Users," IBM research Division, D-Lib 
magazine, (Sep. 1997). 


Kohl, J. et al., "The Kerberos Network Authentication Service (V 5)," Network Working Group 
Request for Comments RFC-1510, September 1993, 104 pages. 


Kohl, J.T., et al., "The Evolution of the Kerberos Authentication Service," Digital Equipment 
Corporation, (undated), pp. 1-15. 


Kohl, J.T., et al., "The Evolution of the Kerberos Authentication System," 1991. 


Kohnfelder, Loren M. ( "Towards a Practical Public-Key Cryptosystem", May 1978. 


L/^nUAirvt A Ion n £»♦ al f*n/ntrvnrarvhv/- A Primor Ifthn WilPY/ A Sons IflC 1981 
Konneim. Alan. el aLtOrYPlOQiapny. r\ miner, «JUilll wiiey cx uuna, miw., i aw i . 


Konstan, et al., "Applying Collaborative Filtering to Usenet News," Communications of the ACM, pp. 

77 fl7 /Mar 1QQ7^ 

f f-of ^iviar. ) 


uYoiou/Qki ir m "Anniirahilitv of Smart Cards to Network User Authentication." Combutinq 
Systems, vol. 7, no. 1, Winter 1994, pp. 75-89. 


K>aipw<iki Jr M "Smart Card Auamentation of Kerberos". The Mitre Corporation, (undated), 6 
pages. 


Krajewski, Jr., M. t et al., "Concept for a Smart Card Kerberos," The Mitre Corporation, (undated), 7 
pages. 


Kramer, M., "Strength in Numbers," PC Week, July 22, 1 986, pp. 57-58. 


Kreutzer, A.N., "An On-Line System for Controlling and Monitoring Software Usage in a 
Microcomputer uaDoraiory, oiouluo iNewsieuer, vol io, iiu. ^, i»oq, py. 


Kristol, D.M., et al., "Anonymous Internet Mercentile Protocol," AT&T Bell Laboratories, March 17, 
1994, pp. 1-16. 


Krol, E. f The Whole Internet User's Guide and Catalog. 2 nd . Ed.. 0' Reilly & Associates, Inc., 1992. 


Kurak, C, et al., "A Cautionary Note On image Downgrading," Proceedings of the 1992 Computer 
Security Applications Conference, San Antonio, TX f December 1992, 7 pages. 


Lacy, Jack, et al., "Music on the Internet and the Intellectual Property Protection Problem". 


Lagoze et al., "A Design for Inter-Operable Secure Object Stores (ISOS)," Cornell University, NCSA, 
CNRI (Nov. 1995). 


Lagoze, Carl, "A Secure Repository Design for Digital Libraries", D-Lib Magazine, Dec. 1995. 


I at nnde Wilf r R.. et al.. Inside Smalltalk: Volume 1. Prentice-Hall, Inc., 1990. 


Lampson, B., "Computer Security," Digital Equipment Corporation, 1991, pp. 1-54. 


Page 18 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.) 


Lampson, B.W., "A Note on the Confinement Problem," Communications of the ACM, October, 1973, 

pp. 1-3- 


Lampson, Butler, et al., "Authentication in Distributed Systems: Theory and Practice", Digital 


\ onriu/phr PF pt al M A Taxonomv of ComDuter Proaram Security Flaws " ACM Computer Surveys, 
Vol. 26, No. 3, September 1 994, pp. 21 1-254. 


Landwehr, C.E., "Formal Models for Computer Security," Computer Surveys, Vol. 13, No. 3, 
September 1981. pp. 247-278. 


Langelaar, G.C. "Overview of Protection Methods in Existing TV and Storage Devices," SMS-TUD- 
609-1 , Final Ver. 1 ,2, Feb. 26, 1 996. 


Leary, P., "Are There Ciphers in Shakespeare?," 1995, pp. 1-18. 


i <*iqq F "On Authorization Svstems with Grantor-Controlled Propagation on Privileges," Compcon 
83, February 28-March 3, 1983, San Francisco, California, pp. 499-502. 


Lpsk M "Diaital Libraries Meet Electronic Commerce: On-Screen Intellectual Property," (Dec. 15, 
1998). 


Levine, P.H., et al., "Network License Server," Apollo, October 1987, pp. 1-19. 


Levy, Steven; "E-Money (That's What I Want)", Wired Magazine, Issue 2.12, Dec. 94. 


Lewontin, S., et al., "The DCE Web Project: Providing Authorization and Other Distributed Services 
to the World Wide Web," February 22, 2002. 


Lin, P., The Encapsulated Security Services Interface (ESSI)," Computer Security (A-37), 1993, pp. 
119-135. 


Linn, J., "Privacy Enhancement for Internet Electronic Mail: Part l-Message Encipherment and 
Authentication Procedures," Network Working Group, August 1989, pp. 1-30. 


Lipson, S., "Little Black Box 'Blocks' Illicit Software Copying," Stamford Advociate, September 14, 
1986, pp. E1-E2. 


[ ockhart -lr H W OSF DCE Guide to Developinq Distributed Applications, McGraw-Hill. Inc.. 1994. 


Lord et al„ "Access Management in Multi-Administration Networks," IEE 2 nd International Conference 
on Secure Communication Systems (1986). 


Low, S.H., et al., "Anonymous Credit Cards," Proceedings of the 2 nd ACM Conference on Computers 
and Communication Security, Fairfax, Virginia, November 2-4, 1994, pp. 1-10. 


Low, S.H., et al., "Document Marking and Identification Using Both Line and Word Shifting," AT&T 
Bell Laboratories Infocom 95, Jul. 29, 1994. 


Lunt, Teresa, "Multilevel Security for Object-Oriented Database Systems," SRI international 
Computer Science Laboratory, 1 990, pp. 1 99-209. 


Page 19 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 a!. 

Filing Date June 01 , 2001 

Group: 2132 


Examiner 
Initial* 

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


Mann, C.C., "Homeland Insecurity, " September 2002. 


Mathy, Laurent, "Features of the ACCOPI Multimedia Transport Service", Lecture Notes in Computer 
Science, NO. 1045, Proc. of European Workshop IDMS' 96, March 1996. 


Maude, T., et a!., "Hardware Protection Against Software Piracy," Communications of the ACM, vol. 
27, no. 9, September 1984, pp. 951-959. 


Maxemchuk, N.F., "Electronic Document Distribution", AT&T Bell Laboratories 


McClogbrie et al., "Management Information Base for Network Management of TCP/IP-based 
Internets," Network Working Group, RFC 1 156 (May 1990). 


McCloghrie, K., et al., "Definitions of Managed Objects for Administration of SNMP Parties," Network 
Working Group, July 1992, pp. 1-17. 


McCollum, C.J., et al., "Beyond the Pale of MAC and DAC-Defining New Forms of Access Control," , 
Unisys Defense Systems, 1990, pp. 190-200. 


MrC5raw r G. r et al.. Java Security. John Wiley & Sons, Inc., 1997. 


Medvinsky, G., et al., "NetCash: A Design for Practical Electronic Currency on the Internet," 1 st 
Conference on Computer and Communication Security, November, 1993, pp. 102-106. 


Merkle, R.C., "Secure Communications Over Insecure Channels," Communications of the ACM, vol. 
21 , no. 4, April 1978, pp. 294-296. 


Merkle, Ralph C, Protocols for Public Key Cryptosystems , ibbt, lyou. 


Mfiyer C.H„ et aL. CrvDtoaraDhv: A New Dimension in Computer Data Security. John Wiley & Sons. 
Inc., 1982. 


Millen, J.K., et aL, "Security for Object-Oriented Database Systems," Proceedings of the 1992 IEREE 
Computer Society oymposium on Kesearcn in oecurity ana rnvacy, May *md, tom, vjaKiana, 
California, pp. 260-272. 


Miller S.P., et a I., "Kerberos Authentication and Authorization System," Massachusetts Institute of 
Technology, October 27, 1 998, pp. 1-36. 


Minear, S.E., "Providing Policy Control Over Object Operations in a Mach Based System," Secure 
Computing Corporation, April 28, 1995, 15 pages. 


Moens, Jan, "Case of Application of the Generic CITED Model to the CITEDisation of a Directory 
Database on CD-ROM, Ver. 2.0," ESPIRIT II, Project 5469, The CITED Consortium, Nov. 30, 1992. 


Moens, Jan, "Report on the Users Requirements, Ver. 1.0," ESPIRIT II, Project 5469, The CITED 
Consortium, Nov. 27, 1 991 . 


Moffett, J. D., "Delegation of Authority Using Domain-Based Access Rules," thesis Imperial College 
of Science, Technology & Medicine, University of London (Jul. 1990). 


Moffett, J., et al., "Specifying Discretionary Access Control Policy for Distributed Systems," Computer 
Communications, vol. 13, no. 9, November, 1990, pp. 1-17. 


Page 20 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.) 


Moffett, J.D., "Specification of Management Policies and Discretionary Access Control," Department 
of Computer Science, University of York, June 28, 1994, pp. 1-28. 


Moffett, J.D., et al., "The Representation of Policies as System Objects," Proceedings of the 
Conference on Organizational Computer systems (ouos yi), Atlanta, Georgia, iNovemoer d-c, 
1991, 16 pages. 


Moffett, J.D.,et al., Policy Hierarchies for Distributed systems Management, ittt joao special 
Issue on Network Management, vol. 11 , no. 9, December 1993, pp. 1-4. 


Moffett, Jonathan, D., et al., An Introduction to Security Distributed systems, uepartment or 
Computer Science, University of York, England, August 1993, pp. 1-14. 


Montini, G, et al., Access Control Models and Office structures, computer secunty. a <jioDai 
Challenge, 1984, pp. 473-485. 


Mori, R. et al., Superdistnbution: The Concept and the Architecture, i nt i kansao i uns ur 
THE EIEICE, V, E73, No. 7, Tokyo, Japan, July 1990, pp. 1133-1146. 


Muftic. Sead. Security Mechanisms tor oomDuter iMetworKs. tins norwooa Limuea, i»o». 


Mullender r S.. Distributed Systems. ACM Press. 1989. 


Needham, R.M., "Ading Capability Access to Conventional File Servers," Xerox Palo Alto Research 
Center, (undated), pp. 3-4. 


Neuman et al. "Kerberos: An Authentication Service for Computer Networks," IEEE Communications 
magazine (Sep. 1994). 


Neuman, B.C., "Proxy-Based Authorization and Accounting for Distributed Systems," Information 
Sciences Institute, University of Southern California, 1 993, pp. 283-291 . 


Nguyen, Thanh et al., "Guidelines for Validation of a CITED System," CITED 5469, SA-21-40-003, 
Jul. 4, 1994. 


O'Connor, MaryAnn, "New Distribution Option for Electronic Publishers," Information Access Co., 
March 1994, pp. 1-6. 


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


Olivier, M.S. et al., "Building a Secure Database using Self-protecting Objects," Computers & 
Security, Vol. 11, No. 3, 1992, 14 pages. 


Olivier, M.S. 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, 14 pages. 


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


Olivier, M.S., "A Multilevel Secure Federated Database," Database Security, VIII (A-60), 1994, pp. 
183-198. 


Page 21 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 

07451.0001-18000 

| Appln. No. 

09/870 t 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.) 


ni<;nn M et al "Concurrent Access Licensing," vol. 6, no. 9, Unix Review, 1988, pp. 67-74. 


nrfaij r fttal The Essential Distributed Obiects Survival Guide, John Wiley & Sons, Inc., 1996. 


nr ga nirk F I The Multics Svstem: An Examination of Its Structure, MIT Press, 1972. 


Paepcke, Andreas, "Summary of Stanford's Digital Library Testbed and Status," Stanford University, 
D-Lib Magazine (Jul. 1996). 


Paradinas, Pierre et al., "New Directions for Integrated Circuit Cards Operating Systems." 


Park J S AS/400 Security in a Client/Server Environment, John Wiley & Sons, Inc., 1995. 


Perlman, Bill, "A Working Anti-Taping System for Cable Pay-Per-View," IEEE Trans. On Consumer 
Electronics, Vol. 35, No. 3 (Aug. 1 989). 


Pethia et al., "Guidelines for the Secure Operation of the Internet," Network Working Group, RFC 
1281 (Nov. 1991). 


Picciotto, J., et al., "Extended Labeling Policies for Enhanced Application Support," Computers & 
Security, vol. 13, no. 7, 1994, pp. 587-599. 


PiPtrpek M Windows Internals: The Imolementation of the Windows ODeartion Environment, 
Addison-Wesley(1993). 


Pijenborg. Mari, F.J., "Auteursrecht En De Digitale Bibliotheek," 195 Open, Jan. 1995. 


Pijnenborg, Mari F.J., "CITED Final Report," Elsevier Science B.V., Apr. 1994. 


Polk T W., Approximating Clark-Wilson Access iripies wiui Dd^iu uinia v/unuuia, oyiupuoium 
Proceedings, Unix Security IV, October 4-6, 1993, Santa Clara, California, pp. 145-154. 


Popek, Gerald, J., et al., "Encryption and Secure Computer Networks," Computing Surveys, vol. 11, 
no. 4, December 1979, pp. 331-356. 


Press, J., "Secure Transfer of Identity and Privilege Attributes in an Open Systems Environment," 
Computers & Security, vol. 10, no. 2, 1991, pp. 117-127. 


Press, Jim et al, "A New Approach to Olographic Facility Design", ICL Mid-Range Systems Division 
Reading, Berks, UK. 


Purdy, G.B., et al., "A Software Protection Scheme," Proceedings of the 1982 Symposium on 
Security and Privacy, April 26-28, 1982, Oakland California, pp. 99-103. 


R^hiri R F CMU Comouter Science: A 25 th Anniversarv Commemorative. Addison-Wesley 
Publishing Company, 1 991 . 


Reali, Patti, "Copy Protection: The answer to pay per view's Prayers?," TVRO Dealer, Dec. 1994. 


Reiher et al. "Truffles - Secure File Sharing With minimal system Administrator Intervention/' UCLA, 
Trusted Information Systems. 


Reiher et al., "Truffles - A Secure Service for Widespread File Sharing," UCLA, Trusted Information 
Systems 


Page 22 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.) 


Rescorla, E., et al., "The Secure HyperText Transfer Protocol," Enterprise Integration Technologies, 
June 1994, pp. 1-23. 


Richardson. D.W.. Electronic Monev: Evolution of an Electronic Funds-Transfer Svstem. The MIT 
Press (1970). 


Rindfrey J., Security in the World Wide Web, Fraunhofer Institute for oomputer Graphics (Dec. 
1996). 


Rindfrey, Jochen, "Towards an Equitable System for Access Control and Copyright Protection in 
Broadcast Image Services; The Equicrypt Approach," Fraunhofer Institute for Computer Graphics. 


Rivest, R., "The MD5 Message-Digest Algorithm," Network Working Group, April 1992, pp. 1-21. 


Rivest, R.L., et al., "A Method for Obtaining Digital Signatures and Public-Key Cryptosystems," 
Communications of the ACM, vol. 21, no. 2, February, 1978, pp. 120-1 26b. 


Rivest, Ronald L., et al., "SDSI - A Simple Distributed Security Infrastructure", MIT and Microsoft 
Corporation, April 30, 1996. 


Roberts. R.. et al.. Computers ComDuter Security. Compute! Publications. Inc.. 1989. 


Robinson et al., "Encoding Header Field for Internet Messages," Network Working Group RPC 1154 
(Apr. 1990). 


Rose et al. t "Structure and Identification of management Information for TCP/IP-based Internets," 
Network Working Group RFC 1155 (May 1990). 


Rosenberry, W., et al., "Distributing Applications Across DCE and Windows NT," 1993. 


Rosenberry. W.. et al.. Understandina DCE. O'Reiliv & Associates. Inc., 1992. 


Rosenblit, Moshe, Secure Software Distribution , IEEE 0-7803-1811-0/94, 1994. 


Rosenthal, Doug, El Net: A secure, Open Network for Electronic Commerce , Ittt, 1994. 


r\OSS, r .C, l-^Opo VtJIouo lUUUcio 111 UyUcI opdOC, rUI Uco \OCp. 3, I cjcjvj j. 


Rouaiz, F., "A Web Navigator with Applets in Caml," INRIA. 


Rubin et al., "Formal Methods for he Analysis of Authentication Protocols CITI Technical Report 93- 
7," Center for Information Technology Integration (Nov. 8, 1 993). 


Rubin et al., "Long Running Jobs in an Authenticated Environment," CITI Technical Report 93-1, 
Center for Information Technology Integration (March 1 993). 


Rubin, A.D., "Trusted Distribution of Software Over the Internet," Bellcore, 1995, pp. 1-9. 


Rucker, et al., "Personalized Navigation for the Web," Communications of the ACM, pp. 73-75 (Mar. 
1997). 


Rushby, J.M., "Design and Verification of Secure Systems," ACM, 1981, pp. 12-21. 


Russell. D.. et al.. Computer Security Basics, O' Reillv & Associates, Inc., 1991. 


Page 23 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.) 


Russell, S., "Paradigms for Verification of Authorization at Source of Electronic Documents in an 
Integrated Environment," Computers & Security, vol. 12, no. 6, 1993, pp. 542-549. 


Russell, S., "Planning for the EDI of Tomorrow Using Electronic Document Authorization," Computer 
Security (A-37), 1 993, pp. 243-251 . 


Sahuguet, A. "Piracy: the Dark Side of Electronic Commerce: ClS-700/2 " Univ. of Pennsylvania 
(May 5, 1998). 


Sammer et al., "New Tools for the Internet," Jeanneum Research, Graz University of Technology. 


Sandhu, R., et al., "A Secure Kernelized Architecture for Multilevel Object-Oriented Databases," 
Proceedings of the IEEE Computer Security Foundations Workshop IV, June 1991, Franconia, NH, 
pp. 139-152. 


Sandhu, R.S., "The Typed Access Matrix Model," Proceedings of the IEEE Symposium on Security 
and Privacy, Oakland California, May 4-6, 1992, pp. 122-136. 


Sandhu, R.S., et al., "Data and Database Security and Controls," Handbook of Information Security 
Management, Auerbach Publishers, 1993, pp. 1-37. 


Sandhu, Ravi, S M et al., "Implementation Considerations for the Typed Access Matrix Model in a 
Distributed Environment," Proceedings of the 15 th NIST-SCSC National Computer Security 
Conference, Baltimore, Maryland, October 1992, pp. 221-235. 


Saydjari, O.S., et al., "LOCK Trek: Navigating Unchartered Space," National Computer security 
Center, 1989, pp. 167-175. 


Schaumuller-Bichl, S M "IC-Cards in High-Security Applications," Voest-Alpine AG, (undated), pp. 
177-199. 


Schill, A., et al., "Mobility Aware Multimedia X. 400 e-mail: A Sample Application Based on a Support 
Platform for Distributed Mobile Computing," Dresden University of Technology, Faculty of Computer . 
Science, (undated), pp. 1-7. 


Schill, A.B., et al., "DC++: Distributed Object-Oriented System Support on top of OSF DCE," 1993. 


Schill, A.B., et al., "DCE-The OSF Distributed Computing Environment Client Server Model and 
Beyond," October 1993. 


Schneier. Bruce. Applied CrvDtoaraDhv: Protocols, Alaorithms, and Source Code in C. John Wilev & 
Sons, Inc., 1994. 


Schulze, Dr. J., "Case of Application of the Generic CITED Model to the CITEDisation in the Software 
Distribution Process," ESPIRIT II, Project, Jan. 12, 1993. 


Schutzer, p., "A Need for a Common Infrastructure: Digital Libraries and Electronic Commerce," 
Citibank, D-Lib Magazine (Apr. 1996). 


Sebes, E.J., "Overview of the Architecture of Distributed Trusted Mach," (undated), pp. 1-10. 


Sebes, E.J., et al., "The Architecture of Triad: A Distributed, Real-Time, Trusted System," (undated), 
pp. 1-12. 


Page 24 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, r*ertinem rages, eic.j 


Sebes, E.J., et al., "The Triad System: The Design of a Distributed, Real-Time, Trusted System," 
(undated), pp. 1-12. 


Shaffer, S.U et al.. Network Security. Academic Press, Inc., 1994. 


Shear, Victor; "Solutions for CD-ROM Pricing and Data Security Problems". 


Shirley, J., "Guide to Writing DCE Applications," 1 st Ed. 1992. 


pu;, u., I —i to \A/rttinn HPF Annlir-oHnn^ n Ffl 1QQ4 

Shirley, J., et-ai., ouioe 10 wnung uoc /\ppiiodiiuria, ^. cu. iwt- 


Shneier, B., "Description of New Variable-Length Key, 64-bit block cipher (Blowfish)," Fast Software 
Encryption, Cambridge Security Workshop Proceedings (1994). 


Short, K.L. T Microprocessors and Proarammed Loaic. Prentice-Hall, Inc., 1981. 


Sibert, 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, 13 pages. 


Sibert, O., et aL, "The Intel 80x86 Processor Architecture: Pitfalls for Secure Systems," (undated), 12 
pages. 


Qimr»n ot al "Hinitfli imanp^ Protection Manaaement in a Broadcast Framework: 
OverviewrTALISMAN Solution," Thomson-CSF, RTBF, ART3000, UCL. 


Sirbu et al., "NetBill: An Internet Commerce System Optimized for Network Delivered Services," 
Carnegie Mellon University. 


Smith, Mary Grace, et al., "A New Set of Rules for Information Commerce: Rights-Protection 
Technologies and Personalized-lnformation Commerce Will Affect Ail Knowledge Workers", 
CommunicationsWeek, Nov. 6, 1995. 


Sninmon A M PC Viruses: Detection. Analvsis and Cure. Sprinqer-Verlag, (undated). 


Solomon, Daniel, J., "Processing Multilevel Secure Objects," Proceedings of the 1981 Symposium on 
Security and Privacy, April 27-29, 1981 , Oakland, California, pp. 56-61 . 


St. Johns, M., "Draft Revised IP Security Option", Network Working Group, RFC, 1038, Jan. 1998. 


stAilinqs. W.. CryptoaraDhv and Network Securitv: Principles and Practice, Prentice-Hall, Inc., 1999. 


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


Stepney et. al., "Formal specification of an Access Control System," Software-Practice and 
Experience, Vol. 17, No. 9 (1987). 


Strack, Hermann, "Extended Access Control in UNIX System V-ACLs and Context," Usenix 
Association, Proceedings of the Unix Security II Workshop, August 27-28, 1990, Portland, Oregon, 
pp. 87-101. 


Strohm et al., "ABYSS: Tokens," IBM Research Report Number RC 12402 (Dec. 18, 1986). 


Page 25 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* 

lillllal 

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


Stubblebine, S.G., "Security Services for Multimedia Conferencing," Proceedings of the 16 m National 
Computer Security Conference, Baltimore, Maryland, September 20-23, 1993, pp. 1-5. 


Swedlow, Tracy, "2000: Interactive Enhanced Television: A Historical and Critical Perspective," 
Interactive TV Today. 


Tanenbaum et al., Amoeba bystem, oommunications ot ine mom, vol oo, no. \c. ^ueo. i»»u;. 


Tanenbaum et al., Experiences with the Amoeoa uismDUiea uperaung oysiem, vnjts uiiiytsi^iitsii 
and Centrum voor Wiskunde en Informatica. 


Tanenbaum et al., "Using Sparse Capabilities in a Distributed Operating System," Vrije Universiteit 
and Centre for Mathematics and Computer Science. 


Tanenbaum, A.S., et al., "Distributed Operating Systems," Computing Surveys, vol. 17, no. 4, 
December 1985, pp. 419-470. 


Tanenbaum, A.S., et al., Experiences witn tne Amoeoa uisiriDuiea uperaung oysiem, i»»u. 


Tanenbaum, A.S., et al., "The Amoeba Distributed Operating System-A Status Report," 1991 . 


Tanpnhaum, A.S. T Modern Operatinq Systems. Prentice-Hail. Inc. 1992. 


T*nfinhaum r A.S.. Ooeratina Systems: Desian and Implementation. Prentice-Hall. Inc. 1987. 


Tardo et al., "Mobile Agent Security and Telescript," General Magic, Inc. 


Thomas, R.K., et al., "Implementing the Message Filter Object-Oriented Security Model without 
Trusted Subjects," Proceedings of the IFIP Workshop on Database Security, August 19-21 , 1992, 
Vancouver, Canada, 21 pages. 


Thompson, Victoria P., et al., "A Concept for Certification of an Army MLS Management Information 
owetpm" Prnrf»pdinns of the 16 th National Computer Security Conference, September 20-23, 1993. 


Thor, "A Distributed Object-Oriented Database System", MIT. 


Thuraisingham, B., et al., "Parallel Processing and Trusted Database Management Systems," 
ACM, 1993. 


Thuraisingham, M.B., "Mandatory Security in Object-Oriented Database Systems," OOPSLA '89 
Proceedings, October 1-6, 1989, pp. 203-210. 


Ting, T.C., et al., "Requirements, Capabilities and Functionalities of User Role Based Security for an 
Object-Oriented Design Model," Database Security, V: Status and Prospectus, 1992, pp. 275-297. 


Tirkel, A.Z. et al., "Electronic Water Mark," (undated), 5 pages. 


Toohey. J.. Usina OLE 2.X in ADDlication Development. Que Corporation, 1994 


Townsend, J.E.. "NIST on Internet Security," March 22, 1994, pp. 1-15. 


Tuck, Bill, "Electronic Copyright Management Systems: Final Report of a Scoping Study for Elib," 
(Jul. 1996). 


Page 26 of 38 


OMB No. 0651-0011 

INFORMATION DISCLOSURE CITATION 


Atty. Docket No. 

07451.0001-18000 

I Appln. No. 

09/870.801 

Applicant 

Karl L. Ginter, etal. 



Filing Date 

June 01, 2001 

| Group: 

2132 


Examiner 

Initial* 

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


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


Tygar, J.D. et al., "Dyad: A System for Using Physically Secure Coprocessors," School of Computer 
Science, Carnegie Mellon University, Pittsburgh, PA, May 1991, 43 pages. 


Tygar, J.D. et al., "Strongbox: A System for Self Securing Programs," CMU Computer Science: 25 th 
Anniversary Commemorative, R. Rashid (ed.) Addison-Wesley, 1991, pp. 163-197. 


Uhler, Stephen A., "PhoneStation, Moving the Telephone onto the Virtual Desktop," 1993 Winter 
i I9FNIX San Dieao California. January 25-29, 1993, pp. 131-140. 


miutxua p Th*s i inHnr:iimentf*d PC* A Proarammer's Guide to I/O. Cous. and Fixed Memorv 
Areas, Addison-Wesley Publishing Company. 1994. 


van Schyndel, R.G., et al., "A Digital Watermark," (undated), 3 pages. 


Van Slype, Georges et al, "The Future of CITED; a Feasibility Study," ESPIRIT II, Project 5469, The 
CITED Consortium, Nov. 15. 1993. 


Van Slype Georges et al., "Natural Language Version of the Generic CITED Model, Ver. 4.2, Vol. I: 
Presentation of the Generic Model," ESPIRIT II, Project 5469, The CITED Consortium, May 8, 1 995. 


Van Slype, Georges et al., "The Future of CITED: A Feasibility Study, Ver. 1 .0, Vol. II: Full Report," 
ESPIRIT II. Project 5469, The CITED Consortium. Feb. 28, 1994. 


Van Slype, Georges, "Draft CITED Interchange Formats, Ver. 1 .0", ESPIRIT II, Project 5469, the 
CITED Consortium, Jan. 28, 1994. 


Van Slype, Georges, "Knowledge Economy; Future Trends," CITED 5469. 


Van Slype, Georges, "Natural Language Version of the Generic CITED Model, Ver. 2.1, Vol. II ECMS 
(Electric Copyright Management System) Design for Computer Based Applications," ESPIRIT II, 
Project 5469, The CITED Consortium, May 8, 1995. 


Van Slype, Georges, "Natural Language Version of the generic CITED model Vol. I: Presentation of 
^ nonerir mnHpi vpr ^ 0" and "Vol II* Cltedf usaae monitorinq system design for computer based 
applications, ver. 1.0" Project 54659, The CITED Consortium, September 6, 1993. 


Van Slype, Georges, "PL4 RACE/ACCOPI Workshop on Conditional Access and Copyright 
Protection," ESPIRIT II, Project 5469, Presentation of the CITED, Nov. 9, 1994. 


Van Slype, Georges, "PL4 RACE/ACCOPI Workshop on Conditional Access and Copyright 
Protection," ESPIRIT II, Project 5469, The CITED Consortium, Nov. 9, 1994. 


Van Slype, Georges, "The CITED Approach, Ver. 4.0," ESPIRIT II, Project 5469, The CITED 
Consortium, Apr. 20, 1 994. 


Van Slype, Georges, "The Future of CITED: A Feasibility Study, Ver. 1.0, Vol. I: Summary Report 
and and Recommendations." ESPIRIT II, Project 5469, The CITED Consortium, Feb. 28, 1994. 


Van Slype, Georges, "The Future of CITED: A Feasibility Study, Ver. 1 .1 , Vol. Ill: Draft CITED 
Interchange Formats," ESPIRIT II, Project 5469, The CITED Consortium, Feb. 28, 1994. 


Page 27 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* 

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


Van Slype, Georges, "The Future of CITED: A Feasibility Study, Ver. 1.1, Vol. I: Summary Report 
and Recommendations," ESPIRIT If, Project 5469, The CITED Consortium, Mar. 28, 1994. 


Vickers Benzel, T.C., et al., "Identification of Subjects and Objects in a Trusted Extensible Client 
Server Architecture," (undated), pp. 1-17. 


Vittal, J., "Active Message Processing: Messages as Messengers," Bolt, Beranek and Newman, Inc., 
1980, pp. 175-195. 


Voydock, V.L., et at., oecunty iviecnanisms in mgn-Levei rMeiwui* riuioouio, ^umpuimy oui vcyo, 
vol. 15, no. 2, June 1983, pp. 135-171. 


Wagner, N. Fingerprinting, urexei university, ittt oymp. un inio. ana rnvacy i»»o;. 


waikpr Rrur.fi J., et aL. Comouter Securitv and Protection Structures. Dowden, Hutchinson. & Ross. 
Inc., 1977. 


Walker, S., "Notes from RSA Data Security Conference," January 18, 1994, pp. 1-3. 


Ware, W., Chairman RAND Corporation "Panel: The InterTrust Commerce Architecture," 1997, 6 
pages. 


Wayner, P., "Agents Away," Byte.com, May 1994, pp. 1-9. 


Wayner r Peter. Diaital CoDvriaht Protection. Academic Press, 1997. 


Weadon, P.D., "The SIGSALY Story," December 10, 2002. 


Weber, Robert; "Digital Rights Management Technologies - A Report to the International Federation 
of Reproduction Rights Organisations", Northeast Consulting Resources, Inc., Oct. 1995. 


Weber, Robert; "Metering Technologies for Digital Intellectual Property - A Report to the International 
Federation of Reproduction Rights Organisations", International Federation of Reproduction on 
Rights Organisations, Northeast Consulting Resources, Inc., Oct. 1994. 


Weingart, S.H., "Physical Security for the uABYSS System", IEEE, 1987. 


Wfiils Rob, Odvssev of Plastic Purchase: 20-Second Round Trio, Associated Press, Dec. 1993. 


White, J.E., "Telescript Technology: An Introduction to the Language," General Magic, inc., 
(undated), pp. 1-13. 


White, James E., "telescript: The Foundation for the Electronic Marketplace", Ver. 5.0, General 
Magic, Inc., November 30, 1993. 


White, Steve R.; Comerford, Liam; "ABYSS: A Trusted Architecture for Software Protection:, IEEE, 
Apr. 27, 1987. 


White, Steve R.; Comerford, Liam; "ABYSS: An Architecture for Softweare Protection", IEEE 
Transations on Software Engineering, Vol. 16, No. 6, Jun. 1990 


Willett, S., "Metered PCs: Is Your System Watching You?, Wave Systems Beta Tests New 
Technology," IDG Communications, Inc., May 2, 1994, pp. 1-6. 


Page 28 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* 

II IIUCII 

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


Williams, S. f "An MSJ Interview with Microsoft's Chief Architect of OLE, Tony Williams," Microsoft 
Systems Journal, October 1993, pp. 55-66. 


Williams, Tony, "Microsoft Object Strategy", Microsoft PowerPoint Presentation", 1990. 


Winslet et al., "Formal Query Languages for Secure Relational Databases," ACM Transactions on 
Database Svstems Vol 19. No. 4 (Dec. 1994). 


Wobber, Edward, et al., "Authentication in the Taos Operating System", Digital Equipment 


Wong, R., et al., "The SIDOS System: A Secure Distributed Operating System Prototype," Odyssey 
R^crparrh Associates October 1989. dd. 172-183. 


Woo, Thomas, Y.C., et al., "A Framework for Distributed Authorization," Proceedings of the 1 st 
Conference Computer and Communication Security, November 1993, pp.1 12-118. 


Wood P.H., et al., UNIX System Security. Pipline Associates, Inc., 1985. 


Yee, B. f "Using Secure Coprocessors," CMU-CS-94-149, School of Computer Science, Carnegie 
Mellon University, Pittsburgh, PA, 1994, 94 pages. 


Yee, B., et al., "Secure Coprocessors in Electronic Commerce Applications," Proceedings of the First 
Usenix Workshop on Eiectornic Commerce, New York, New York, July 1995, 16 pages. 


Young, W.D., "Verifiable Computer Security and Hardware: Issues," Technical Report, Computational 
Logic Inc., September 1991 , 43 pages. 


Zeleznick, M.P., "Security Design in Distributed Computing Applications," Department of Computer 
Science, University of Utah, December 1993, 16 pages. 


Zelnick, Nate, "Keeping Business Safe on the Internet," PC Magazine, April 25, 1995, pp. 1-2. 


Zurko, M.E., "Panels at the 1997 IEEE Symposium on Security and Privacy," Oakland, CA, May 
1997, 12 pages. 


"A Brief History of the Green Project," viewed on March 12, 2002 at 
<http://java.sun.com/people/jag/green/index.html> pp. 1-2. 


A2b's Recent Press Coverage, (1998). 


"Access Control and Copyright Protection for Images Security Technology for Graphics and 
Communication Systems - RACE M1005: ACCOPI", webpage, Security Projects at Fraunhofer 1GD, 
2002 


"ACCOPI RACE Project M1005 Warning of ACCOPI web pages removal," UCL Laboratoire de 
telecommunications et teledetection. 


"Arhtevfiments Archive/ www.imprimatur.net/ web pages-. 


"American National Standard: Specification for Financial Message Exchange Between Card Acceptor 
and Acquirer, X9.1 5," American Banker's Association, 1990. 


Page 29 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* 
Inlllcl! 

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. 


"AT&T Smart Card Systems & Solutions," AT&T (1993). 


Automation of Securities Markets and Regulatory Implications, Financial Market Trends, No. 50, pp. 
20-33, Oct. 1991. [File 148, Gale Group Trade & Industry DB, Dialog(R) commercial database]. 


Bell-Labs Secure Technologies, "Information Vending Encryption System (IVES)™," Lucent 
Technologies, May 31 , 2002, pp. 1-16. 


Byte.com, "Speaking the Same Language," May 1994, pp. 1-2. 


CardTech/SecurTech 94 Conference Proceedings, "Building Foundations for Innovation," 
CardTech/SecurTech, Inc., April 1994, 1,031 pages. 


Carnegie Mellon University, "Internet Billing Server," Prototype Scope Document, INI Tech Report, 
October 14, 1993, pp. 1-29. 


Central Point Anti-Virus, Central Point Software, 1993. 


CITED: Final Report: A Guide to CITED Documentation, bbriKi i , Krojeci o^oy, iodin u / i^o 
21 1 5-2, The CITED Consortium, Sept. 1994. 


CITED: Copyright in Transmitted electronic uocumenis, opecidi irueicoi oiuup, i mccmy, 
Heathrow, Sep. 22, 1993. 


CITED: Preparation ot the Ol I tu Mooei runcuonai rcequirtsiTitsiuo opcuiuuauuno, uio^uooiui 1 1 
(Revision 1)," Bureau Van Dijk, Jan. 16, 1991 . 


CITED: Preparation of the CITED Model Functional Requirements Specifications; Reports of the 
Interviews with Five CITED Partners," (Partners: Sagem, Telesystemes, NTE, Elsevier, Oxford 
University Press), Bureau Van Dijik, Apr. 5, 1 991 . 


Collection of Documents Including: Protecting Electronically Published Properties, Increasing 
Publishing Profits, (Electronic Publishing Resources Inc.) Jan. 1993, 25 pages. 


Competitive Analysis AT&T/a2b music (Jun. 16, 1998). 


"Copyright Ownership Projection in Computer-Assisted Training", COPICAT - 8195, ESPRIT, Dec. 
1993. 


COPYSMART - 20517: "CITED Based Multi-media IPR Management on Cost Effective Smart 
Device," European Inforamtion Technology for Information Science, start date Dec. 1, 1995. 


"CopySmart (CSM) suit," European Information technology for Information Science. 


"CREANET - Creative Rights European Agency NETwork - Project Profile," Information Society 
Technologies (Feb. 18, 2000). 


"Cryptographic API Specification," Version 0.6, Microsoft, Mar. 1995. 


"Cryptolope Containers Technology: A White Paper", IBM InfoMarket Business Development Group. 


Page 30 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 


Pvaminer 

WACII 1 III Ivl 

Initial* 

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


CUPID, "Protocols and Services: An Architectural Overview", IP Workshop, Ver. 1, Last updated 
November 20, 1997. 


Data Network and Open System Communications, Directory: Information Technology - Open 
Systems Interconnection - The Directory: Overview of Concepts, Models, and Services," ITU-T 
Recommendation X.oOO, international i eiecommunicauon union unuv. iwoj. 


DCE Technology at worn, uistnouteo oompuung cnvironiiicni, i iuu.//www.uuc;i imiuui./.vjim/ic?v>i 
tech/tech. htm, November 7, 2000, pp. 1-3. _ . , 


"Deliverable D3: Specification of the Infrastructure and Explanation of Trust and Confidence Building 
Solutions," Ver. 0.1, Telenet (Jul. 1 8, 2000). 


DeDartment of Defense Computer Security Center, "Department of Defense Password Management 
Guideline," Department of Defense Computer Security Center, April 12, 1985, pp. 1-34. 


Department of Defense Standard, "Department of Defense Trusted Computer System Evaluation 
Criteria," December 1985, pp. 1-72. 


Department of Defense, "Trusted Computer System Evaluation Criteria," December 1985, 72 pages. 


"Digital Broadband Delivery System, Phase 1.0, System Overview, Revision l.u, bcientmc Atlanta, 
1997. 


Digital Rights Enforcement and Management. Superuistnoution ot urypioiopes , idm. 


DOD "Rainbow Series. 


Dynamic linking of SunOS 


FFFprtor 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. 13, Nov. 1992. 


"Electronic Reverse Copyright Management System (ERCOMS)," International Institute for Electronic 
Library Research, website updated by Ramsden, Anne (Jul. 22, 1996). 


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 


CacFFFIIHci 

Initial* 

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


ESPRIT Project 22226 - MUSE - Developing Standardized Digital media Management, Signaling and 
encryption Systems for the European Music Sector," International Federation of the Phonographic 
Industry (Oct. 1998). 


ESPRIT Project 24378 - MENHIR European Multimedia Network of High Quality Image Registration," 
Museums On Line (Feb. 1, 1997). 


"Europe and The Global Information Society Recommendations to the European Council," 
Ramgemann Report, www.medicif.orq web Daaes, Global Information Society (May 1994). 


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


"Forum on Technology-Based Intellectual Property Management - Electronic Commerce for Content", 
IMA INtellectual Property Proceedings, Vol. 2, June 1996. 


FreeBSD System Manager's Manual "LDCONFIG", Oct. 3, 1993. 


"Gemplus. MCOS: Multi Application Chip Operating System - Introduction," Gempius Card 
International (1990). 


Global Projects Group, "Smart Card Technology International: The Global Journal of Advanced Card 
Technology," undated, pp. 1-151. 


Guide to the Secure Configuration and Administration of Microsoft Exchange 5.x® " National Security 
Agency, June 20, 2002, pp. 1-58. 


Handwritten note re: GVS and AJL, Mar. 2, 1 994. 


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 
<http://www-3.ibm.com/software/security/cryptolope.about.htmi> pp. 1-2. 


IBM,"IBM Cryptolope Technology-Executive Summary," viewed on March 13, 2002 at 
<http://www-3.ibm.com/software/security/cryptolope.about.himl> pp. 1-3. 


IBM, "OpenDoc vs. OLE 2.0: Superior by Design," IBM, January 1994, pp. 1-4. 


"Imprimatur News," iMPRIMATUR (Dec. 1998). 


Information Systems Audit and Control Association-Montreal Chapter, "Authentication dans les 
environnements de traitement distributes," viewed on March 25, 2002 at <http:www.apvcsi- 
montreal.ca/en/publications/contact133.html> pp. 1-15. 


Interchange Message Specification for Debit and Credit Card Message Exchange Among Financial 
Institutions," American National Standard, Accredited Standards Committee X9-Financial Services 
Committee, ANSI X9.2-1988, American Bankers Association, May 16, 1988. 


International Infrastructure Standards Panel, "IISP Need #31 -Containers or Secure Packaging," 
Electronic Publishing Research, September 18, 1995, pp. 1-3. 


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, "IISP 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, "IISP Need #34-Billing and Payment," Electronic 
Publishing Research, September 18, 1995, pp. 1-3. 


International Infrastructure Standards Panel, "IISP Need #35 -Reporting," Electronic Publishing 
Rocoarrh ^pntpmber 18 1995 dd 1-3 


intornntinnat Standard IS08583 "Bank Card Oriainated Messaaes- Interchange Messaqe 

ITl 1 ti| | |C| H^JI ICI 1 vJ I Gil lUOl \J i ^J^^ V w'ww 1 j Wi IIA V*^ vJ 1 %J l>J H IW % w w f » ■ ww wwj w^w ******** w» ■ ™* * & w^ 

Specifications - Content for Financial Transactions," International Organization for Standardization, 
August 15, 1987, pp. 1-33. 


Introduction to Smart Cards v. 1.0", Gemplus Card Internatioal, March 21, 1991. 


iOpener," Registered Trademark of National Semiconductor Corporation, Registration date October 
4, 1994, 1 page. 


ISO 1 1568-1 and -2, "Key Management (retail) - Part I: Introduction to Key Management; Part II: Key 
Management Techniques for Symmetric Ciphers," ISO (Dec. 1, 1994). 


ISO 13491-1: "Secure Cryptographic Devices (retail) - Part I: Concepts, Requirements and 
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). 


ISO 7813-1987 Identification Cards-Financial Transaction Cards," ISO, 1987. 


ISO 8583-2: "Financial Transaction Card Originated Messages - Interchange Message Specifications 
- Part 2: Application and registration Procedures for institution Identification Codes (IIC)," ISO (Jul. 1, 
1998). 


ISO 8583-3: "Financial Transaction Card Originated Messages - Interchange Message Specifications 
- Part 3: Maintenance Procedures for Codes," ISO (Jul. 1 , 1 998). 


ISO 9564-1 & -2: "Personal Identification Number (PIN) management and security - Part I: Basic 
Principles and Requirements for online PIN Handling in ATM and POS Systems; & -2 Approved 
Algorithm(s) for PIN Encipherment," ISO (Apr. 15, 2002 & Dec. 15, 1991). 


ISO 9807: "Banking and related Financial Services - Requirements for Message Authentication 
(retail)," ISO (Dec. 15, 1991). 


JUKEBOX - Music Across Borders," LIB-JUKEBOX/4-1049. 


"Key Management Using ANSI X9.17," Federal Information Processing Standards Publication 171, 
U.S. Department of Commerce (Apr. 1992). 


"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* 

II llllal 

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


I Rttpr re- ESPIRIT Ill-Proiect 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 
Deployment of Resource Description, JulVAug. 96. 


"Marh Rnnk<! " vipw/pd on Februarv 6 2002 at 

httD7/www2.cs.cmu.edu/afs/cs/Droiect/mach/Dublic/www/doc/books.htmL, pp. 1-3. 


KA\nrr\cnfi Inter no! Fynlnrpr v 7 fl 


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, 1 994. 


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. is, iyy4, 
Apr. 11,1994, Apr. 6,1994.. 


Miscellaneous Letters from Georges Van Slype at Bureau van uijk, Mar. du, iyy4, Mar. ^4, iyy4, 
Feb. 10, 1994. 


. . . , , i .1 _ g _ — — \ / _ _ oi»*«^ Dnm«Mi Wort r*\ !■ \s CaK O QG/4 Ion 07 *1 QQi4 Ian 

Miscellaneous Letters from Georges Van Slype at Bureau van uijk, i-eu. y, iyy4 f jan. ^/ , iyy4, Jan. 
19, 1994, Jan. 12, 1994, Dec. 22, 1993, Nov. 30, 1993, Nov. 22, 1993, Dec. 6, 1993, Nov. 16, 1993, 
Oct. 15, 1993, Oct. 7, 1993, Oct. 4, 1993, Sep. 20, 1993, Sep. 7, 1993, May 19, 1993, Oct. 19, 1993. 


Motorola MC68030 Enhanced 32-bit Microorocessor User's Manual. 2 nd Ed., Prentice-Hall, 1989. 


"MSDN-INF: LAN Manager 2.1 Server Autotuning (Part2)," PSS ID No. 080078, Microsoft (Feb. 
1993). 


"MSDN-Licence Service Application Programming Interface," API Specification v1.02, Micorsoft (Jan. 
1993). 


Multics, Home; viewed on November 12, 2001 at 
<http://www.multicians.org> pp. 1-3. 


"Multimedia Mixed Object Envelopes Supporting a Graduated Fee Scheme via Encryption"; IBM 
Technical Disclosure Bulletin, Vol. 37, No. 3, Mar. 1994. 


"Multimedia System Services Ver. 1.0", Hewiett-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 18, 1989. 


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 oeptemoer 4, ^uuz ax 
<http://csrc.nist.gov/publications/history/index.html> pp. 1-27 


National Security Agency, A (juide to understanding oecunty ivioaeiing in i iu&ieu oy&ieiiis, 
October 1992, 122 pages. 


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


Netscape, "SSL 2.0 Protocol Specification," viewed at 
http://home.netscaDe.com/ena/secuntv/SSL.2html Januarv 23, ^ouo. 


NIST & NSA, "Federal Criteria for Information Technology Security," Vol. II, Version 1.0, National 
Institute of Standards and Technology and National becunty Agency, uecemDer iay^, ^ru pages. 


NSA Korean War 1950-1953 Commemoration," History Papers, National Security Agency, 
httD://www.nsa.aov/korea/DaDers.htm, pp. 1-2. 


OLE 2.0 Draft Content: Object Linking & embedding", Microsoft, June 5, 1991. 


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 
26-October 1 , 1 993, pp. 77-78. 


n p on Rnftwarp Foundation. OSF DCE Administration Guide-Core ComDonents. PTR Prentice Hall, 
1993. 


"Pavment Svstems: 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, 
1993. 


PKCS #3: Duffie-Hellman Key-Agreement Standard," RSA Laboratories Technical Note, Ver. 1 .4, 
revised Nov. 1, 1993. 


PKCS #5: Password-Based Encryption Standard," An RSA Laboratories Technical Note, Ver. 1.5, 
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. 


PKCS #10: Certification Request Syntax Stanard," An RSA Laboratories Technical Note, Ver. 1.0, 
Nov. 1,1993. 


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 

Examiner 
Initial* 

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


PKCS #11: Cryptographic Token Interface Standard", An RSA Laboratories Technical Note, Ver. 2.0, 
Apr. 15, 1997. 


PKCS #12 v 1.0: Personal Information Exchange Syntax", RSA Laboratories. Jun. 24, 1999. 


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


PKCS #15 v 1.0: Cryptographic Token Information rormat btanaara , rom Lduuituunc;*, /a^i. ^o, 
1999. 


PowerAgent Introduces First Internet 'Infomediar/ to Empower and protect consumers \ i ecn i di* 
Aug. 4, 1997) 


PowerAgent Introduces First Internet Infomediary to Empower ana rroieci oonbumeis> 
(Techmall.com Aug 4, 1997). 


"Privacy and the Nil: Safeguarding Telecommunications - Related Personal inrrmauon , u.o^ uepi. 
of Commerce, Oct. 1995. 


■ . * i. i h^.u:™^ cuofrirM con/irQc" \/or 9 n interactive Multimedia Association 
"Request for Technology: Multimedia System oervtces , ver. z.u, mieiaouve muiuuicuw noouu.ai.ui 

Compatibility Project, Nov. 9, 1 992. 


_ , . . . u: ^j:^, e.«»tAm Con/irae" Hraft \/^r 1 1 Interactive Multimedia 

"Request for Technology: Multimedia System bervices , uran, ver. 1.1, muacn/uvc muiumcuia 

Association Compatibility Project, October 16, 1992. 


. - _ Cofhi/oro i ironco Mananpmpnt Sv<;tem n Svstem Manaoement WorK Group, 

Requirements for the oonware License Managed icm oyswiu , oyowsm mui. M yw...« r , 

Rev. 3, Unix International, July 23, 1992. 


r-*r> a r*» . kiaih^- "Cntamrica Qrtli itinnc AnnmmfiP^ RSA Mail." 

RSA Security! News, enterprise ooiuuuno mihiuumuoo i»ion, 
<http7/rsasecurtty.com/news/pr/940112-2.html.>, dated January 12, 1994, pp.1-2. 


RSA Security; News; "General Magic Picks RSA," <http://rsasecurity.com/news/pr/9401 12-3.html>. 
dated January 12, 1994, pp. 1-2. 


RSA Security; News; "Hewlett-Packard Chooses RSA," <http^/rsasecurity.com/news/pr/940112- 
html > dated Januarv 12. 1994, pp. 1-2. 


"RSA Security; News; "Hilgraeve Ships Secure Version of HyperACCESS/5," 
<http7/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://rsasecunty.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)," RSA Data Secunty, Inc. 
(1997). 


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 


"Security Enhanced LINUX," National Security Agency, httD://www.nsa.gov/selinux/ f pp. 1-2. 


"Security in KeyKOS." 


QhoriHan Rnftwam Systems. Data Widaets 2.0: Proarammer's Guide. Sheridan Software Systems, 
Inc 1993-1995. 

If IKS * j ■ W W W ■ w w* 


"SIGSALY Secure DigitaLVoice Communications in World War ll ; " Nationnl Security Agency, 
http7/www nsa aov/wwii/Daoers/siqsalv.htm, October 13, 2000, pp. 1-2. 


Smart Card 1993 Conference Proceedings, "Day 1: Communications and Marketing Systems & 
Market Overview," Lowndes Exhibition Organisers, Ltd., 1993, pp. 1-79. 


"STARFISH State of the Art Financial Services for the in Habitants of Isolated Areas - Project 
Profile," Information Society technologies, time schedule (Jan. 21 , 2000 - Jun. 30, 2002). 


Stuff It Delux v 1 .5, v 3.0, v. 3.5, Alladin Systems, 1988-1994. 


Summaries of Projects (FP lll/IV) - Part I: "ESPIRIT Project 20517 - COPYSMART CITED based 
multi-media IPR management on cost effective smart device," European Information technology for 
Information Science (Oct. 1998). 


Symantec Anti- Virus for Macintosh (a.k.a. SAM), Symantec, 1993. 


Symantec Corporation, "THINK Pascal: The Fastest Way to Finished Software," Symantec 
Corporation, 1990, pp. 93-123. 


"TALISMAN - Tracing Authors 1 Rights by Labeling Image Services and Monitoring Access Network," 
ACTS Project No. AC019, Doc Reference AC01 9-THO-RGS-FR-P 001-M (Sep. 25, 1998). 


"TALISMAN: Tracing Authors' Rights by Labeling Image Services and Monitoring Access Network," 
ACTS, Swiss Participation in European Research Programs (Sep. 1, 1995, Aug. 31, 1998). 


Technical Description: Pay-Ker- view uopy rroieciion, iviawuyi&iuu, juh. iw. 


"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 1 994. 


"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 Proceedinas. New York. New York, July 11- 
12, 1995, Usenix Association. 


Page 37 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* 

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


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


"The PowerTV White Paper", powertv.com website, October 11, 1996. 


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 DG11 1 Espirit Project 5 th 
Consensus Forum (Nov. 3-4, 1998). 


Tttinls f~* • Hhicrt OrionfoH Prnnramminn MAniml 53\/msintAC dfSmr*ratifin 1QftQ 
I ninK UU|cOl _ wi ItJI lltJU r ILH^ialMIIHliVJ ivialiual, oyiliai Ih?Is wLil pui auui I] ' wuc. 


Time-Life Books, Understandina 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 Librarv of Product Information From Cisco Svstems. Cisco 
Systems 1993. 


Unix Svstem v. Release 3.2. Proarammer'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 this form with next 
communication to applicant. 

Form PTO 1449 

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


Page 38 of 38