# US 8,543,842 B2 · System and methods for secure transaction management and electronics rights protection

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- Number: US 8,543,842 B2
- Document ID: US8543842B2
- Status: Granted
- Kind: B2
- Application number: 11/440,141
- Filed: 2006-05-23
- Published: 2006-10-05
- Granted: 2013-09-24
- Earliest claimed: 1995-02-13
- Assignees: Intertrust Technologies Corporation
- Applicants: Karl L. Ginter; Victor H. Shear; Francis J. Spahn; David M. Van Wie
- Inventors: Karl L. Ginter; Victor H. Shear; Francis J. Spahn; David M. Van Wie
- Web page: https://patentgrep.com/patent/US8543842B2

## CPC

- G06Q 50/184: {Intellectual property management}
- G06F 21/31: User authentication
- G06F 21/33: using certificates
- G06F 21/6209: {to a single file or object, e.g. in a secure envelope, encrypted and accessed using a key, or with access control rules appended to the object itself}
- G06F 21/71: to assure secure computing or processing of information
- G06F 21/86: Secure or tamper-resistant housings
- G06Q 10/087: Inventory or stock management, e.g. order filling, procurement or balancing against orders
- G06Q 20/02: involving a neutral party, e.g. certification authority, notary or trusted third party [TTP]
- G06Q 20/023: {the neutral party being a clearing house}
- G06Q 20/04: Payment circuits
- G06Q 20/085: {involving remote charge determination or related payment systems}
- G06Q 20/10: specially adapted for electronic funds transfer [EFT] systems; specially adapted for home banking systems
- G06Q 20/102: {Bill distribution or payments}
- G06Q 20/12: specially adapted for electronic shopping systems
- G06Q 20/123: {Shopping for digital content}
- G06Q 20/1235: {with control of digital rights management [DRM]}
- G06Q 20/14: specially adapted for billing systems
- G06Q 20/24: Credit schemes, i.e. "pay after"
- G06Q 20/306: {using TV related infrastructures (external card used for payment with client device H04N21/4185)}
- G06Q 20/308: {using the Internet of Things}
- G06Q 30/0273: Determination of fees for advertising
- G06Q 30/0283: Price estimation or determination
- G06Q 30/06: Buying, selling or leasing transactions
- G06Q 30/0601: Electronic shopping [e-shopping]
- G06Q 30/0609: {Qualifying participants for shopping transactions (payment transaction verification G06Q20/401)}
- G06Q 40/02: Banking, e.g. interest calculation or account maintenance (credit or loans G06Q40/03)
- G06Q 40/04: Trading; Exchange, e.g. stocks, commodities, derivatives or currency exchange
- G06Q 40/12: Accounting
- G06Q 50/188: {Electronic negotiation}
- G06T 1/0021: {Image watermarking}
- G07F 9/026: {for alarm, monitoring and auditing in vending machines or means for indication, e.g. when empty}
- H04L 9/006: {involving public key infrastructure [PKI] trust models (network architecture or network communication protocol for supporting authentication of entities using certificates in a packet data network H04L63/0823)}
- H04L 9/0819: {Key transport or distribution, i.e. key establishment techniques where one party creates or otherwise obtains a secret value, and securely transfers it to the other(s) (network architectures or network communication protocols for key distribution in a packet data network H04L63/062)}
- H04L 9/0838: {Key agreement, i.e. key establishment technique in which a shared key is derived by parties as a function of information contributed by, or associated with, each of these (network architectures or network communication protocols for key exchange in a packet data network H04L63/061)}
- H04L 9/0861: {Generation of secret information including derivation or calculation of cryptographic keys or passwords}
- H04L 9/3218: {using proof of knowledge, e.g. Fiat-Shamir, GQ, Schnorr, ornon-interactive zero-knowledge proofs}
- H04L 9/3247: {involving digital signatures}
- H04L 9/3263: {involving certificates, e.g. public key certificate [PKC] or attribute certificate [AC]; Public key infrastructure [PKI] arrangements (network architectures or network communication protocols for supporting authentication of entities using certificates in a packet data network H04L63/0823)}
- H04L 63/02: {for separating internal from external traffic, e.g. firewalls}
- H04L 63/04: {for providing a confidential data exchange among entities communicating through data packet networks}
- H04L 63/0428: {wherein the data content is protected, e.g. by encrypting or encapsulating the payload}
- H04L 63/0435: {wherein the sending and receiving network entities apply symmetric encryption, i.e. same key used for encryption and decryption (cryptographic mechanisms or cryptographic arrangements for symmetric key encryption H04L9/06)}
- H04L 63/0442: {wherein the sending and receiving network entities apply asymmetric encryption, i.e. different keys for encryption and decryption (cryptographic mechanisms or cryptographic arrangements for public-key encryption H04L9/30)}
- H04L 63/08: {for authentication of entities (cryptographic mechanisms or cryptographic arrangements for entity authentication H04L9/32)}
- H04L 63/0823: {using certificates (cryptographic mechanisms or cryptographic arrangements for entity authentication involving certificates H04L9/3263)}
- H04L 63/083: {using passwords (cryptographic mechanisms or cryptographic arrangements for entity authentication using a predetermined code H04L9/3226)}
- H04L 63/10: {for controlling access to devices or network resources}
- H04L 63/12: {Applying verification of the received information (cryptographic mechanisms or cryptographic arrangements for data integrity or data verification H04L9/32)}
- H04L 63/123: {received data contents, e.g. message integrity}
- H04L 63/16: {Implementing security features at a particular protocol layer}
- H04L 63/168: {above the transport layer}
- H04L 63/20: {for managing network security; network security policies in general (filtering policies H04L63/0227)}
- H04N 5/913: for scrambling {; for copy protection}
- H04N 7/162: {Authorising the user terminal, e.g. by paying; Registering the use of a subscription channel, e.g. billing}
- H04N 7/163: {by receiver means only}
- H04N 7/17309: {Transmission or handling of upstream communications}
- H04N 21/2347: involving video stream encryption
- H04N 21/23476: {by partially encrypting, e.g. encrypting the ending portion of a movie}
- H04N 21/235: Processing of additional data, e.g. scrambling of additional data or processing content descriptors
- H04N 21/2362: Generation or processing of Service Information [SI]
- H04N 21/2541: {Rights Management (protecting software against unauthorised usage in a vending or licensing environment G06F21/10; security in data switching network management H04L41/28; security management or policies for network security H04L63/20; access security in wireless networks H04W12/08)}
- H04N 21/2543: Billing {, e.g. for subscription services (payment schemes, architectures or protocols G06Q20/00; e-commerce G06Q30/00; arrangements for billing for the use of broadcast information or broadcast-related information H04H60/21)}
- H04N 21/2547: Third Party Billing, e.g. billing of advertiser
- H04N 21/25875: {involving end-user authentication (restricting access to computer systems by authenticating users using a predetermined code G06F21/33; arrangements for secret or secure communication including means for verifying the identity or authority of a user of the system H04L9/32; networks authentication protocols H04L63/08; authentication in wireless network security H04W12/06)}
- H04N 21/4143: {embedded in a} Personal Computer [PC]
- H04N 21/42646: {for reading from or writing on a non-volatile solid state storage medium, e.g. DVD, CD-ROM}
- H04N 21/4325: {by playing back content from the storage medium (reproduction of recorded television signals H04N5/76; reproduction of recorded television signals H04N9/79)}
- H04N 21/4345: {Extraction or processing of SI, e.g. extracting service information from an MPEG stream}
- H04N 21/435: Processing of additional data, e.g. decrypting of additional data, reconstructing software from modules extracted from the transport stream
- H04N 21/4405: involving video stream decryption
- H04N 21/44204: {Monitoring of content usage, e.g. the number of times a movie has been viewed, copied or the amount which has been watched (monitoring of user activities for profile generation for accessing a video database G06F16/739; protecting generic digital content where the protection is independent of the precise nature of the content G06F21/10; arrangements for monitoring the use made of the broadcast services in broadcast systems H04H60/31)}
- H04N 21/443: OS processes, e.g. booting an STB, implementing a Java virtual machine in an STB or power management in an STB
- H04N 21/4627: Rights management {associated to the content (security in data switching network management H04L41/28; security management or policies for network security H04L63/20; access security in wireless networks H04W12/08)}
- H04N 21/4753: {for user identification, e.g. by entering a PIN or password (cryptographic authentication protocols H04L9/32; networks authentication protocols H04L63/08)}
- H04N 21/6581: {Reference data, e.g. a movie identifier for ordering a movie or a product identifier in a home shopping application}
- H04N 21/8166: {involving executable data, e.g. software (arrangements for executing specific programs G06F9/44; broadcasting computer programmes in broadcast systems H04H20/91; involving the movement of software or configuration parameters H04L67/34)}
- H04N 21/835: Generation of protective data, e.g. certificates {(protecting software against unauthorised usage in a vending or licensing environment G06F21/10)}
- H04N 21/8355: involving usage data, e.g. number of copies or viewings allowed
- H04N 21/83555: {using a structured language for describing usage rules of the content, e.g. REL}
- H04N 21/8358: involving watermark {(protecting executable software by watermarking G06F21/16; image watermarking in general G06T1/0021; watermarks inserted in still images for transmission purposes H04N1/32144; inserting watermarks during video coding H04N19/467)}
- G06F 21/109: {by using specially-adapted hardware at the client}
- G06F 21/16: Program or content traceability, e.g. by watermarking
- G06F 2211/007: Encryption, En-/decode, En-/decipher, En-/decypher, Scramble, (De-)compress
- G06F 2221/2101: Auditing as a secondary aspect
- G06F 2221/2135: Metering
- G06F 2221/2137: Time limited access, e.g. to a computer or data
- G06F 2221/2151: Time stamp
- G06Q 2220/16: Copy protection or prevention
- H04L 2209/56: Financial cryptography, e.g. electronic payment or e-cash
- H04L 2209/60: Digital content management, e.g. content distribution
- H04L 2463/101: applying security measures for digital rights management
- H04L 2463/102: applying security measure for e-commerce
- H04L 2463/103: applying security measure for protecting copyright
- H04N 2005/91364: {the video signal being scrambled}
- G06Q: INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G06F: ELECTRIC DIGITAL DATA PROCESSING (computer systems based on specific computational models G06N)
- G06T: IMAGE DATA PROCESSING OR GENERATION, IN GENERAL
- G07F: COIN-FREED OR LIKE APPARATUS (coin sorting G07D3/00; coin testing G07D5/00; {handling coins or paper currencies apart from payment activated apparatus G07D; payment architectures, schemes or protocols G06Q20/00})
- H04L: TRANSMISSION OF DIGITAL INFORMATION, e.g. TELEGRAPHIC COMMUNICATION (arrangements common to telegraphic and telephonic communication H04M)
- H04N: PICTORIAL COMMUNICATION, e.g. TELEVISION

## Abstract

The present invention provides systems and methods for secure transaction management and electronic rights protection. Electronic appliances such as computers equipped in accordance with the present invention help to ensure that information is accessed and used only in authorized ways, and maintain the integrity, availability, and/or confidentiality of the information. Such electronic appliances provide a distributed virtual distribution environment (VDE) that may enforce a secure chain of handling and control, for example, to control and/or meter or otherwise monitor use of electronically stored or disseminated information. Such a virtual distribution environment may be used to protect rights of various participants in electronic commerce and other electronic or electronic-facilitated transactions. Distributed and other operating systems, environments and architectures, such as, for example, those using tamper-resistant hardware-based processors, may establish security at each node. These techniques may be used to support an all-electronic information distribution, for example, utilizing the “electronic highway.”

## Claims

### Claim 1

A method comprising:
creating an electronic document at a first user's electronic appliance;
at the first user's electronic appliance, securely associating first rule-based control information with the electronic document, the control information indicating that the electronic document may be used only by one or more designated users and only in one or more authorized ways, the control information being configured to be enforced by one or both of tamper-resistant software and hardware;
distributing the electronic document and the first control information to a second user's electronic appliance, the second user's electronic appliance comprising one or both of tamper-resistant software or hardware configured to govern use of electronic documents in accordance with the first control information;
determining that the second user is one of said one or more designated users;
receiving a request at the first user's electronic appliance from the second user's electronic appliance, the request seeking a modification to the first control information, and providing second control information that alters the one or more authorized ways in which the electronic document may be used; and
sending a modified set of control information based on the first and the second control information to the second user's electronic appliance in response to the request;
wherein the second user's electronic appliance is configured to securely enable the second user to make at least one use of the electronic document in accordance with the modified set of control information.

### Claim 2 (depends on 1)

The method of claim 1, in which the modified set of control information indicates that the electronic document may be used by a set of designated users that differs at least in part from the one or more designated users.

### Claim 3 (depends on 1)

The method of claim 1, in which the one or more designated users comprise a group of users, and in which the first control information identifies the group of users.

### Claim 4 (depends on 1)

The method of claim 1, in which the first control information includes a requirement that a return receipt be sent to the first user from a recipient of the electronic document, the method further comprising:
receiving a return receipt from the second user's electronic appliance at the first user's electronic appliance in accordance with the first control information.

### Claim 5 (depends on 1)

The method of claim 1, in which the first control information specifies one or more auditing requirements.

### Claim 6 (depends on 5)

The method of claim 5, in which the one or more auditing requirements include a requirement that a recipient of the electronic document send an indication of how the electronic document has been used.

### Claim 7 (depends on 5)

The method of claim 5, in which the one or more auditing requirements include a requirement that a recipient of the electronic document send an indication if the electronic document has been printed by the recipient.

### Claim 8 (depends on 5)

The method of claim 5, in which the one or more auditing requirements include a requirement that a recipient of the electronic document send an indication if the electronic document has been viewed by the recipient.

### Claim 9 (depends on 5)

The method of claim 5, in which the one or more auditing requirements include a requirement that a recipient of the electronic document send an indication if the electronic document has been edited by the recipient.

### Claim 10 (depends on 1)

The method of claim 1, in which the first control information specifies that certain or all information in the electronic document may be extracted by an authorized recipient.

### Claim 11 (depends on 1)

The method of claim 1, in which the first control information specifies that the electronic document may be redistributed by an authorized recipient.

### Claim 12 (depends on 1)

The method of claim 1, in which the at least one use comprises viewing the electronic document.

### Claim 13 (depends on 1)

The method of claim 1, in which the at least one use comprises printing, copying, extracting text from, or embedding text within the electronic document.

### Claim 14 (depends on 1)

The method of claim 1, in which the first control information is configured to govern at least two of the following uses of the electronic document: viewing the electronic document, printing the electronic document, copying the electronic document, or modifying the electronic document.

### Claim 15

A method performed at a first user's electronic appliance, the method comprising:
creating an electronic document;
associating rule-based first control information with the electronic document, the first control information indicating that the electronic document may be used only by one or more designated users and only in one or more authorized ways, the first control information being configured to be enforced by one or both of tamper-resistant software and hardware to govern use of the electronic document;
determining that a second user is one of said one or more designated users;
distributing the electronic document and the first control information to the second user's electronic appliance;
receiving a request from the second user's electronic appliance, the request seeking a modification to the first control information and providing additional control information configured to authorize at least one additional use of the electronic document not authorized by the first control information; and
sending a modified set of control information based on the first and the additional control information to the second user's electronic appliance in response to the request.

### Claim 16 (depends on 15)

The method of claim 15, in which the first control information includes a requirement that a return receipt be sent to the first user from a recipient of the electronic document, the method further comprising:
receiving a return receipt from the second user's electronic appliance in accordance with the first control information.

### Claim 17 (depends on 15)

The method of claim 15, in which the first control information specifies one or more auditing requirements, the method further comprising:
receiving auditing information generated at the second user's electronic appliance in compliance with the auditing requirements.

### Claim 18 (depends on 17)

The method of claim 17, in which the one or more auditing requirements include a requirement that a recipient of the electronic document send an indication of how the electronic document has been used.

### Claim 19 (depends on 17)

The method of claim 17, in which the one or more auditing requirements include a requirement that a recipient of the electronic document send an indication if the electronic document has been printed by the recipient.

### Claim 20 (depends on 17)

The method of claim 17, in which the one or more auditing requirements include a requirement that a recipient of the electronic document send an indication if the electronic document has been viewed by the recipient.

### Claim 21 (depends on 17)

The method of claim 17, in which the one or more auditing requirements include a requirement that a recipient of the electronic document send an indication if the electronic document has been edited by the recipient.

### Claim 22

A method comprising:
creating an electronic document at a first user's electronic appliance;
at the first user's electronic appliance, securely associating rule-based first control information with the electronic document, the control information indicating that the electronic document may be used only in one or more authorized ways, the control information being configured to be enforced by one or both of tamper-resistant software and hardware;
distributing the electronic document and the first control information to a second user's electronic appliance;
receiving a request at the first user's electronic appliance from the second user's electronic appliance, the request seeking a modification to the first control information, and providing second control information that alters the one or more authorized ways in which the electronic document may be used; and
sending a modified set of control information based on the first and the second control information in response to the request;
wherein the second user's electronic appliance includes one or both of tamper-resistant software and hardware that is configured to securely enable the second user to make at least one use of the electronic document in accordance with the modified set of control information.

### Claim 23 (depends on 22)

The method of claim 22, in which, the one or more authorized ways comprises at least two of the following: viewing the electronic document, printing the electronic document, copying the electronic document, or modifying the electronic document.

### Claim 24 (depends on 22)

The method of claim 22, in which the first control information specifies that the electronic document may be redistributed by an authorized recipient.