Monitoring usage of software by supervising program checking tags associated with the software

BACKGROUND OF THE INVENTION

Software or information piracy is the activity of using or making copies of software or information without the authorization of the creator or legitimate owner of that software or information. Piracy is most prevalent in the computer software application industry where people frequently make unlicensed illegal copies of a software application. The application may be copied for personal use or for re-production and commercial profit. Other types of piracy include acts of copying information such as musical recordings or an electronically readable version of documentation or an electronic book. In all cases, piracy costs billions of dollars of lost profits to business annually.

The software and information technology industries have responded to the threat of piracy through the use of locking schemes. Locking schemes can include software locking mechanisms, licenses and specialized hardware devices which prevent unauthorized use of software, information, or an entire electronic device.

These schemes seek to prevent adversaries from being able to freely copy software.

There are many-types of software locking mechanisms. For example, a manufacturer can encrypt portionsofa software program with the unique key. A customer who purchases the software is given the key which allows decryption and execution of the software. An example of such a software protection mechanism is a Certificate of Authenticity supplied with the purchase of software programs such as Microsoft Windows 98. manufactured by the Microsoft Corporation of Redmond, Washington. Microsoft and Windows98 are trademarks of the Microsoft Corporation. The Certificate of Authenticity indicates a unique product number.

During installation of the software, the product number is requested by the software application and must be entered correctly by the user. If the product number entered matches a number expected by the application, the copy of the application is assumed to be legitimate and is allowed to be installed and executed as normal. If the number entered is incomect, the software will not install properly.

-2Hardware piracy protection schemes attach a device to the processor, typically through a communications port. These types of hardware devices are often called dongles. An example of a hardware protection scheme is provided in U.S. Patent No. 3,996,449 which discloses a method for determining if a program or a portion of a program is valid when running on a computer. In this system, a hash function is applied to a users identification code or key along with the text of the program itself in a special tamper-proof hardware checking device. The checking device compares a resulting value from the hash function with a verifier value to see if the program text is correct. If the text is correct, the program is allowed to execute on the device.

Another hardware related approach assigns a unique identifier to each processor that can execute programs. Software programs are then encoded with the identity of a designated processor identifier to which that program is assigned or authorized to execute. No other processor identifications are provided for the software and thus the software will not run on other processors. Obviously, such systems can provide usage limitations when attempting to execute software on a processor with which that software is not specifically associated. The number assignment mechanism may be supervised through the use of an authorization network which can associate a piece of software with a specific processor identification number.

Aside from the electronic hardware and computer software application and data protection mechanisms noted above, little has been done to thwart the piracy of other types of encoded information that is accessed hy electronic devices, such as musical recordings.

Characteristics of Prior Art Systems

Prior art techniques for protecting the unauthorized use of software and information suffer from a variety of problems. Systems which use a certificate of authenticity or key suffer in that one key allows unlimited usage of the program and nothing prevents copying of the key. As such, the owner of a copy of the software

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-3can pass his key or certificate along with the software or information to someone else who can use the certificate or key to install and run the software or to access the information. If one key allows only a single usage or a one-time execution, the problem of copying may be solved but then each usage requires a separate key to be entered. To be commercially acceptable most programs require multiple uses.

Software locks are also easy to break on personal computers because the owner of the machine has unrestricted privileges and unlimited time to attempt to break locks. Hardware protection solutions lack flexibility since the hardware designer needs to know the nature of the software to be protected in advance of the production of the hardware device. Furthermore, if different pieces of software using different hardware protection mechanisms are to be run, separate individual hardware devices must be provided. Costs associated with custom hardware production and the fact that consumers have found hardware protection schemes difficult to deal with, prevent widespread deployment of hardware protection mechanisms.

Hardware protection schemes thus limit the flexibility to move software from device to device. Users may not be able to buy software before buying their computational devices, because they do not know the identities of the devices at the time of purchase. Hardware manufacturers may cheat users by giving the same identifier to many machines. Finally, skilled hackers may be able to forge identities of hardware devices by reverse engineering techniques or change software so it fails to check the hardware identifier.

SUMMARY

Embodiments of the invention mitigate one or more of the above described problems. The invention provides methods and apparatus to enable owners or vendors or distributors, each of whom will be hereinafter referred to as a vendor, of software to protect their intellectual property and other rights in that software. Software is defined hereinafter in a broad sense to include such things as computer programs, text, data, databases, audio, video, images, or any other information capable of being represented digitally or as a signal, said software being accessed by or used by users on devices (hereinafter ^lNT ofp'ce cf n.z

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-4referred to as user devices or devices) such as computers or special purpose devices. The invention also enables vendors of software to charge on a pay per-use basis for an instance of software.

Specifically, aspects of the invention provide systems, methods and apparatus for supervising usage of software on a user’s device and for a monitoring regime that prevents a device from employing any instance of software in a manner not authorized by the legitimate vendor or owner of the rights to that software.

A vendor’s rights in a particular software may be infringed upon in a number of ways, including but not limited to the following. A user may make copies of a vendor’s software purchased by him and give them to other users who install the software on their devices, when this is not allowed under the first user’s terms of purchase of the software. An organization purchases or rents a vendor’s software and is allowed to make and use a specified number of copies of the software and then exceeds that specified number. A pirating vendor makes illegal copies of a legitimate vendor’s software, for example is recompiling an application program or renaming and otherwise changing a song, and distributes and sells copies of the infringing software.

Embodiments of the invention achieve the above mentioned protection of legitimate vendor’s rights in software and can prevent infringement of these rights by users, without resorting to encryption of instances or parts of instances of software and requiring the user to decrypt before access, without requiring special hardware devices or attachments (“dongels”) or special processors, and without requiring manufacturers to build identifying numbers into hardware. Thus the disadvantages and weaknesses associated with existing technology are avoided in embodiments of the present invention. Furthermore, the methods and apparatus of embodiments of the invention do not enable denial of service, where an unscrupulous adversary attempts to use the protection mechanisms of the system to prevent a legitimate user from accessing software which this user is employing in accordance with the rightful vendor’s specified regime.

Using this invention, a software vendor may have a specific piece of software, such as a specific application program or a specific book or song, which [R:\LIBOO]0612O.doc :mic “INTELLECTUAL PROPERTY

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-5the vendor wishes to sell or lease, or otherwise distribute in a controlled manner, to users.

Each particular copy of the software which is intended to be installed on or used on a user’s device, is referred to as an instance of that software, or as a software instance. In general, software can be installed on, accessed by, or used on a user device, with each of these access modes referred to hereinafter as use or use of software. Thus, for example, use of an instance of software which is an application program includes, but is not limited to, installing that instance or reading it or copying it or executing it. And use of text includes, but is not limited to, installing the text on the device or reading the text by use of the device or copying portions of that text on or by use of the device.

Components and Steps of Specific Embodiments of the Invention

According to one embodiment, the invention provides a system for supervising usage of software. The system includes a software vendor component producing identical instances of software and a tag server accepting the instances of software. The tag server produces a plurality of tags, one per instance of software, and each tag uniquely identifies an instance of software with which it is associated. A user device receives and installs an instance of software and separately and securely receives a tag uniquely associated with that instance of software and unrelated to the user device. The user device includes a supervising program which detects attempts to use the instance of software and which searches for and verifies the authenticity of the tag associated with the instance of software before allowing use of the instance of software. In a preferred embodiment, the supervising program on the user device verifies the authenticity of the tag and maintains or stores the tag in a tag table and maintains or stores the instance of software, preferably on a storage device, if the tag is authentic. The supervising program rejects the instance of software if the tag associated with the software is not authentic.

Another embodiment provides a software vendor component for a computer system comprising:

a software production mechanism creating identical instances of software each having at least one name and one software content;

each instance of software being usable only in conjunction with a tag that is unique to and separate from that instance of software, the tag being a unique collection of information concerning the instance of software with which the tag is associated and including at least one of the name of the software, a unique number of the instance of software and a hash function value on portions of content of the software.

Another embodiment provides a user device comprising: _ . INTELLECTUAL PROPERTY 1 OFFICE OF N.Z

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- 5a an input port receiving an instance of software and receiving a tag uniquely associated with and separate from that instance of software and receiving a request to use the instance of software;

a processor executing a supervising program, the supervising program detecting the request to use the instance of software and verifying the authenticity of the tag associated with the instance of software before allowing use of the instance of software by the user device.

Another embodiment provides a tag server accepting a copy of specific vendor software and producing a plurality of tags, one tag per instance of the software, each tag uniquely identifying an instance of software with which it is associated, and each tag comprising at least one of the name of the software associated with the tag, a unique number of the instance of software associated with the tag, and hash function values computed on portions of the instance of software associated with the tag.

is Another embodiment provides a method for supervising usage of software comprising the steps of:

creating an instance of software;

creating a tag that is uniquely associated with the instance of software; distributing the instance of software and separately and securely distributing the tag to a user device and receiving the instance of software and separately and securely receiving the associated tag at the user device, the tag uniquely associated with that instance of software and unrelated to the user device;

detecting an attempt to use the instance of the software on the user device; and determining if the attempt to use the instance of the software is allowable by determining a status of the tag that is associated with the instance of software to be used.

A tag is preferably unique to an instance of software. The tags created by the authentication server include at least one of a name of an instance of software, a unique number of an instance of software, and/or has function value on portions of an instance of software. Preferably, the unique number of the instance of software is selected from a sparse set of numbers. In other embodiments, each tag

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-6further comprises a unique identifier of the supervising program. In yet another embodiment, each tag includes at least one fingerprint computed on portions of the instance of software associated with the tag.

To verify and determine if a tag is authentic, the supervising program can verify a hash function value in the tag or can verify a digital signature of the tag. In another embodiment, the supervising program verifies that the unique identifier of the supervising program in a tag is the same as an identifier of the supervising program on the user device. In the embodiment using fingerprinting, the supervising program verifies that the software instance associated with a tag satisfies a same-location fingerprint check against the at least one fingerprint included in the tag associated with the instance of software. The same-location fingerprint check may be performed by the supervising program at least one time of before, during, and after use of the instance of software.

In embodiments that use fingerprinting, each tag further includes at least one list of locations containing values from which the at least one fingerprint is computed and the supervising program verifies that the software instance associated with each tag satisfies a same-location fingerprint check against the at least one fingerprint associated with the software at locations specified in the at least one list of locations. Alternatively, general location fingerprinting may be used. (In same-location fingerprinting, two sequence of fingerprints on a common sequence of locations match if the first fingerprint from the first sequence matches the first fingerprint from the second sequence, the second fingerprint from the first sequence matches the second fingerprint from the second sequence, and so on. In general-location fingerprinting, two sequences of fingerprints match if each fingerprint in the first sequence matches some fingerprint in the second sequence and each fingerprint in the second sequence matches some fingerprint in the first sequence.) Since the tag is separate from the instance of software, the invention provides protection for software without the need to modify the software.

According to another aspect of the invention, whenever any data file is accessed by an instance of software, information associated with an instance of software performing the access is stored in a location associated with the data file.

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-7The information associated with the instance of software may be the tag associated with the instance of software as well as the time of modification performed by the instance of software. Preferably, the information associated with the instance of software performing the access is written to a secure location which the supervising program alone can access. Essentially, this aspect of the invention is used to track piracy of software that uses shared software data.

In this case, when an instance of the software attempts to access a data file (i.e., shared software data) having associated information stored in the location associated with that data file, the supervising program tests whether the associated information stored is information associated with the instance of software currently attempting access. If so, the supervising program determines whether that instance was a pirated copy. To do so, the supervising program according to one aspect can use an unaliasable hash function to verify the associated information stored in the location associated with the data file for which access is currently being attempted.

In addition, the supervising program can use the time of the last modification. The idea is to see whether this data file was written by a software instance having a tag of the software instance on this device and if so whether the software instance on this device in fact wrote that data file at the time of the last modification. If not, at least two software instances having the same tag are-in circulation and piracy has taken place.

Another embodiment of the invention includes a guardian center having a tagged software database and a verification program. The guardian center periodically communicates with the user device via a call-up procedure to receive tags from the user device. The tags are associated with instances of tagged software used on the user device. The verification program examines each tag received from the user device against the tagged software database to ensure that the tags are in compliance with at least one usage supervision policy. Preferably, the usage supervision policy is associated with at least one individual instance of software with which at least one tag is associated. The verification program returns a continuation message to the user device. The continuation message indicates for the instance of software associated with each tag on the user device an action to follow.

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-8The supervising program on the user device receives and verifies the continuation message for authenticity and if authentic, performs the action to follow indicated in the continuation message. In this manner, the guardian center can ultimately determine access to software on user devices, by controlling tag usage status.

Preferably, all messages between the guardian center and the user device are sent in a secure fashion and the secure fashion involves public key encryption.

According to another aspect of the invention, at least one of the software vendor, the tag server, and the guardian center are combined with another of the at least one of the software vendor, the tag server and the guardian center.

According to another aspect of the invention, when the supervising program on a user device communicates with the guardian center, the process is called a call-up. The maximum allowed time interval between successive call-up procedures is preferably determined by at least one of a combination of the time elapsed in the user device, a number and duration of uses of instances of software, a number of times the user device is powered on, and a measure of use of the user device. When a user device fails to perform a call-up procedure with the guardian center before the end of a maximum allowed interval since the last call-up procedure, the user device is disabled for a period of time or usage of certain instances of software is denied for a period of time. Preferably, a call-up occurs when an instance of software is used (i.e., accessed, installed, or otherwise detected) a first time on a user device.

Alternatively, a call-up may occur due to an request from the guardian center.

According to one aspect of the invention, during a call-up, the supervising program tests the authenticity of the continuation message by verifying that a hash function value of a tag table in the continuation message is the same as a hash function value of a tag table sent in a call-up message from the user device.

Verifying a digital signature in the continuation message may also be used.

When a user device that receives no continuation message following a call-up message to the guardian center, the user device can resend a call-up message with a cancellation command for a previous call-up message. This aspect allows the user device to attempt call-up again.

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-9In the guardian center, the usage supervision policy may be associated with the entire user device with which the guardian center communicates during the call-up procedure, or the usage supervision policy is associated with an individual user of the user device with which the guardian center communicates during the call-up procedure, or usage supervision policy is associated with a usage supervision history of the user device with which the guardian center communicates during the call-up procedure.

According to another aspect of the invention, the guardian center maintains a tag data structure in the tagged software database for each tag associated with each instance of software on each user device. Each tag data structure includes a tag of an instance of software, a usage supervision policy associated with the instance of software, and a collection of references to call-up records. Each call-up record in the collection of call-up records represents information concerning one call-up procedure. The continuation message associated with the call-up procedure includes at least one of a call-up time, a header of a tag table transferred to the guardian center during the call-up procedure, a last call-up time indicating a time stamp of a former call-up procedure, a hash function value of the tag table transferred to the guardian center during the call-up procedure, and actions to follow on the user device. The reason for keeping previous call-up records is to enable the guardian center to ensure that only one device has a given header of a tag table. Otherwise it would be possible for different physical devices to share the same software instances in violation of usage supervision policies.

In an alternative or combined implementation of the guardian center, the guardian center includes a verification program. According to this aspect, the guardian center periodically communicates with the user device via a call-up procedure to receive a unique identifier for the user device's supervising program from the user device. The verification program examines the unique identifier to ensure that at most one supervising program has that identifier, and the verification program returns a continuation message to the user device. The continuation message indicates an action to follow upon attempted use of the instances of software associated with each tag on the user device. The user device's supervising

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-10program verifies the continuation message for authenticity and if authentic, performs the action in the continuation message.

According to this embodiment of the guardian center, the supervising program identifier is generated a first time that the supervising program is invoked, based on a rarely duplicated number. Preferably, the rarely duplicated number is a very precise clock value occurring when the supervising program is first invoked in the machine. Alternatively, the rarely duplicated number is provided by a guardian center. Alternatively or in combination, the number may depend on the values of some memory locations.

According to another system of the invention, the system also includes an untagged instance of software used on the user device. In this system, the supervising program detects the use of the untagged instance of software and performs a fingerprinting process on the untagged instance of software and stores fingerprints resulting from the fingerprinting process on the user device. The user device's supervising program further performs a fingerprinting process on a tagged instance of software used on the device and stores the fingerprints resulting from the fingerprinting process in a fingerprint table on the user device. The supervising program stores locations from which the fingerprints are computed. The fingerprints may be based on contents of the instance of software. Alternatively,The fingerprints are based on known sequences of behavior of the instance of software.

According to an embodiment of the guardian center in this system, the guardian center includes a fingerprint data structure and a verification program. The guardian center periodically communicates with the user device via a call-up procedure to receive all fingerprints from the user device for an instance of software used on the user device. The verification program compares every fingerprint received from the user device against the fingerprint data structure to determine if an instance of software used on the user device is an infringing instance of software. If the verification program detects more than a specified number of matches between fingerprints in the guardian center's fingerprint data structure and fingerprints received from the user device, the verification program specifies a punitive action to be performed, and the verification program returns a continuation message to the

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-11user device. The continuation message indicates the punitive action to be performed on the user device.

The software vendor transmits a copy of an infringing instance of software to the guardian center and the guardian center computes fingerprints on the copy of the infringing instance of software and incorporates and stores the fingerprints into the fingerprint data structure on the guardian center.

According to one aspect of this system, the fingerprint matching process is general location fingerprint matching. For speed, the fingerprint matching uses an inverted guardian center fingerprint table.

The punitive action can specify that the user device be disabled for a specified length of time, or can specify that the instance of software associated with the fingerprint that was matched to a fingeiprint in the fingerprint data structure of the guardian center should be disabled for a specified length of time. The punitive action depends on at least one of a combination of the history of the behavior of the user device, the history of the behavior of a particular user on the user device, and the collection of software present on the user device.

Another embodiment of the invention provides a tag table data structure encoded on a user device's readable medium, such as a computer readable medium. The tag table data structure includes at least one tag that is uniquely associated with one instance of software and includes at least one field associated with the tag in the tag table, and includes at least one field indicating a usage status associated with the tag associated with the instance of software. The at least one field may also indicate use statistics for the one instance of software associated with the tag. The tag table may also include a tag table header that uniquely identifies the tag table. The tag table header can includes information concerning user device use statistics and can include a continuation message as well. That tag table is used to store information concerning the ability of instances of software to be used on user devices.

Apparatus and methods of the invention includes a software vendor comprising a software production mechanism creating instances of software each having at least one of a name and software content. Each instance of software is usable only in conjunction with a tag that is unique to that instance of software. The

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-12tag is preferably a unique unforgeable collection of information concerning the instance of software with which the tag is associated and includes at least one of the name of the software, a unique number of the instance of software and hash function value on portions of content of the software, an identifier of the supervising program associated with a user device upon which the instance of software is to be used, or a list of fingerprints of portions of the instance the software with which the tag is associated.

According to certain embodiments of the invention, the software vendor may include an infringing software detection mechanism that detects software that is infringing on the vendor's rights and that transfers a copy of the infringing software to a guardian center so that usage supervision can be implemented to detect attempted use of an instance of the infringing software on a user device.

According to another aspect of this embodiment, the guardian center can invalidate any tag associated with an instance of the infringing software and can send a punitive action to any user device detected by the guardian center to have used the instance of infringing software.

Another embodiment of the invention is a user device that includes an input port that receives an instance of software and receives a tag uniquely associated with that instance of software and also receives a request to use the instance of software.

A processor included in the user device executes a supervising program. The supervising program detects the request to use the instance of software and verifies the authenticity of the tag associated with the instance of software before allowing use of the instance of software by the user device. The supervising program also verifies the authenticity of the tag and stores the tag in a tag table and maintains the instance of software if the tag is authentic and rejects the instance of software if the tag associated with the software is not authentic.

According to one aspect of the user device, the supervising program computes a hash function value on the instance of software and compares the computed value with a hash function value in the tag to determine whether the tag is authentic and is properly associated with the instance of software. The tag is

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-13preferably digitally signed and the supervising program verifies the authenticity of the tag by verifying a digital signature of the tag.

Within the user device, the tag table is a data structure stored in storage on the user device and contains at least one tag that is uniquely associated with an instance of software and includes at least one field associated with the tag in the tag table, the at least one field indicating a usage status for the instance of software associated with the tag. The supervising program periodically or otherwise determines that a call-up procedure is required as defined by a call-up policy and the supervising program performs the call-up procedure to update the usage status of tags stored in the tag table.

The supervising program can also verify that each data file used by tagged software is produced by a legitimate instance of software.

During performance of the call-up procedure, the supervising program securely transmits the tag table from the user device via an interconnection mechanism coupled to the user device and awaits reception of a continuation message returned to the user device, the continuation message indicating actions to be performed for each tag in the tag table. Also during the performance of the call-up procedure, the supervising program securely transmits a tag table header from the user device via an interconnection mechanism coupled to the user derice and awaits reception of a continuation message returned to the user device that indicates an action to be performed for each tag in the tag table.

Another embodiment of the invention allows control over the use of * untagged software. A user device according to this embodiment includes an untagged instance of software used on the user device. The supervising program detects the untagged instance of software and performs a fingerprinting process on the untagged instance of software and stores fingerprints resulting from the fingerprinting process in a fingerprint table on the user device. The supervising program periodically or otherwise determines that a call-up procedure is required as defined by a call-up policy and the supervising program performs the call-up procedure to update the usage status of untagged instances of software stored on the

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-14user device. Thus, the control of untagged software may take place regardless of the existence or the control of tagged software.

When performing the call-up procedure, the supervising program transmits a portion of the fingerprint table from the user device via an interconnection mechanism coupled to the user device and awaits reception of a continuation message returned to the user device that indicates actions to be performed for each untagged instance of software stored on the user device.

According to another embodiment of the invention, a guardian center is provided that comprises a tagged software database and a verification program executing on a processor in the guardian center. The guardian center periodically executes a call-up procedure to receive, via an interconnection mechanism, tags for instances of software. The verification program examines each tag received against the tagged software database maintained on the guardian center to ensure that the tags are in compliance with at least one usage supervision policy. The verification program transmits a continuation message via the interconnection mechanism indicating actions to follow upon attempted use of the instances of software associated with each tag received by the guardian center during the call-up procedure.

According to aspects of this embodiment, the usage supervision policy may be associated with each instance of software with which at least one tag is associated. Also, the usage supervision policy may be associated with a user device with which the guardian center communicates to receive tags. The usage supervision policy may also be associated with an individual user of the user device with which the guardian center communicates to receive tags.

The guardian center maintains a tag data structure in the tagged software database for each tag associated with each instance of software on each user device and receives newly created tags associated with instances of software from a tag server and further receives tags associated with instances of software used on a user device in a tag table transmitted from the user device. Each tag data structure includes at least one of a tag of an instance of software, a name of the instance of software, a unique number of the instance of software, a hash function value on the

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-15instance of software, a usage supervision policy associated with the instance of software, and a collection of references to call-up records associated with the tag associated with the said instance of software.

Each call-up record in the collection of call-up records represents information concerning one call-up procedure and includes at least one of a call-up time, a header of a tag table transferred to the guardian center during the call-up procedure, a last call-up time indicating a time stamp of a former call-up procedure, a hash function value of the tag table transferred to the guardian center during the call-up procedure, and the action to follow on the user device contained in the continuation message associated with the call-up procedure.

A variation of the guardian center according to this invention includes a fingerprint data structure and a processor executing a verification program. The verification program periodically executes a call-up procedure with a user device to receive, via an interconnection mechanism, fingerprints for instances of software used on the user device. The verification program examines each fingerprint received against the fingerprint data structure to determine if an untagged instance of software used on a user device is an infringing instance of software, and if so, the verification program prepares a punitive action to be executed on the user device.

In one embodiment, all vendor software is fingerprinted and infringements of one vendor's software upon another vendor's software are detected based on general location fingerprint checking. If the verification program detects a sufficient number of matches between a fingerprint in the fingerprint data structure and a fingerprint within the fingerprints received, the verification program specifies punitive action to be performed, and the verification program transmits a continuation message, the continuation message indicating a punitive action to be performed on a receiver of the continuation message. The sufficient number of matches may be equal to one, or greater than one, or may be computed as a weighted sum of matches where the weight of each match depends on a fingerprint that matches

According to other aspects of this embodiment, punitive action can specify disablement of the receiver, or that the instance of software associated with the

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-16fingerprint that was matched to a fingerprint in the fingerprint data structure should be disabled.

In another variation, in the guardian center, the verification program receives, via the interconnection mechanism, a copy of an infringing instance of software and computes fingerprints on the copy of the untagged infringing instance of software and incorporates and stores the fingerprints in the fingerprint data structure.

Embodiments of the invention also encompass a tag server that accepts a copy of specific vendor software and produces a plurality of tags, one tag per instance of the software, with each tag uniquely identifying an instance of software with which it is associated. Each tag preferably comprises at least one of the name of the software associated with the tag, a unique number of the instance of software associated with the tag, and hash function values computed on portions of the instance of software associated with the tag. A digital signature mechanism may be used to digitally sign the tags and to securely transmit the tags to an intended receiver, such as a user device or guardian center or to the software vendor.

Methods encompassed by the invention include a method for supervising usage of software. The method includes the steps of creating an instance of software and creating a tag that is uniquely associated with the instance of software; The method then distributes the instance of software and securely distributes the tag to a user device and receives the instance of software and the associated tag at the user device. The method then detects an attempt to use the instance of the software on the user device and determines if the attempt to use the instance of the software is allowable by determining a status of the tag that is associated with the instance of software to be used.

In the method, tag creation includes steps of assigning a unique number to the instance of software and computing a first hash function value on portions of the content of the instance of software. Then computing a second hash function value for the instance of software, the second hash function value combining the name of the software, the unique number of the instance of software, and the first hash function value. Next, the method includes the step of computing a tag that is

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-17uniquely associated with the instance of software, the tag including the name of the software, the unique number of the instance of software and the second hash value.

The step of computing a tag may create a digitally signed tag by applying a digital signature function to the second hash function value to produce a signature and including the signature in the tag.

The step of distributing the tag to a user device may include the step of securely distributing the tag to a software vendor and user device using a public key encryption technique.

The step of receiving the instance of software can include the step of obtaining the instance of software at the user device. And the step of receiving the tag at a user device can include the steps of securely obtaining the tag associated with the instance of software at the user device and determining if the tag associated with the instance of software is signed, and if so, verifying a signature on a hash function value in the tag and if the signature on the hash function value is verified, installing the software on the user device, and if the tag associated with the instance of software is not signed, installing the instance of software on the user device.

The step of detecting an attempt to use the instance of the software on the user device can include the steps of invoking a supervising program on the user device to intercept a user request for use of the instance of software. The step of determining if the attempt to use the instance ofthe software is allowable can also include the steps of determining if a call-up procedure is needed based on a call-up policy and if so performing a call-up procedure to verify the authenticity and to determine the usage supervision policy of the tag associated with the instance of software. Also included are the steps of updating tag information in the user device based upon an outcome of the call-up procedure an examining status information associated with the tag to determine if use of the instance of software associated with the tag is allowed.

The step of performing a call-up procedure includes the step of transmitting a tag table storing the tag associated with the instance of software from the user device and awaiting reception of a continuation message returned to the user device that indicates an action to be performed for each tag in the tag table. The user device

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-18may continue processing local requests for execution while waiting for the continuation message.

The method embodiments can also including the step of verifying that the continuation message is directed towards a specific device and that the event history corresponds to the event history at this device.

In the method embodiments, the step of performing a call-up procedure can include the steps of receiving a tag table including the tag associated with the instance of software and examining each tag received in the tag table against a tagged software database to ensure that tags in the tag table are in compliance with at least one usage supervision policy. Also included is the step of transmitting a continuation message indicating an action to follow at the user device upon detecting an attempted use of the instances of software associated with each tag.

In the method embodiments, the continuation message can include a supervising program identifier of the supervising program to which the continuation message is to be sent, as well as the time when the continuation message was prepared, as well as an encoding of the tag table header that accompanied the call-up from the device.

A method for supervising use of software is also provided as part ofthe invention and includes the steps of detecting use.ofan untagged instance of software on a user device and then creating and storing fingerprints associated with the untagged instance of software on the user device. The method continues by detecting an attempt to use the untagged instance of the software on the user device and determining if the attempt to use the instance of the software is valid by comparing the fingerprints associated with the untagged instance of software with a fingerprint data structure of infringing fingeiprints and disabling use of the untagged instance of software if a fingerprint match is found.

The above method can also include the steps of detecting use of a tagged instance of software on a user device and creating and storing fingerprints associated with the tagged instance of software on the user device. The step of detecting an attempt to use the tagged instance of the software on the user device is also included, as is the step of determining if the attempt to use the instance of the software is valid

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-1910 by comparing the fingerprints associated with the tagged instance of software with a fingerprint data structure of infringing fingerprints and disabling use of the tagged instance of software if a fingerprint match is found.

The method may be supplemented by the steps of detecting, by a software vendor, an instance of infringing software and submitting a copy of the instance of infringing software to a guardian center. Also included are the steps of computing fingerprints at the guardian center on the infringing instance of software and incorporating and storing the fingerprints in a fingerprint data structure. This supplemental method may also be an alternative embodiment on its own regardless of the existence of tagged software.

Another embodiment of the invention includes a method for uniquely identifying instances of software comprising the steps of obtaining an instance of software, assigning a name to the instance of software, and assigning a unique number to the instance of software. The unique number can be different from any unique number assigned to another instance of the same software. This method also includes the steps of computing a hash function value on portions of the instance of software and computing a second hash function value on a concatenation of the name of the instance software, the number of the instance software, and the first computed hash function value to produce an unsigned hash function value unique to that instance of software. The method continues with the steps of signing the unsigned hash function value using a key to produce a signed hash function value for the instance of software and creating a tag associated with the instance of software that uniquely identifies that instance of software, the tag including the signed hash value of the instance of software, the name of the instance of software, the unique number of the instance of software, and the unsigned hash value of the instance software.

According to this embodiment, the steps of obtaining the instance of software and assigning a name to the software are performed by a software vendor and the steps of assigning a unique number to the instance of software, computing the first and second hash function values, signing the second hash value, and creating the tag are performed by a tag server.

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-20The invention also includes embodiments related to a computer readable medium encoded with instructions that when read and executed on a processor perform the steps of detecting a request to use an instance of software and determining if a tag corresponding to the instance of software has an associated status that allows the instance of software to be used and periodically performing a call-up procedure to validate the authenticity of the tag and to ensure that the instance of software corresponding to the tag is used in accordance with an usage supervision policy.

The invention also includes embodiments directed to a propagated signal transmitted via a carrier over a communications medium. One such signal carries an encoded tag table data structure which includes at least one tag that is uniquely associated with one instance of software and includes at least one field associated with the tag in the tag table, the at least one field indicating a use control status for the one instance of software associated with the tag.

Another such signal carries an encoded continuation message, the continuation message containing an indication of actions to be performed at a receiver of the propagated signal when an attempt to use an instance of software associated with the actions is detected at the receiver.

Another method is provided by the invention for ensuring that a software program hasn't been altered. This method embodiment includes the steps of computing an unaliasable hash function value on the contents of the software program and comparing the result of the unaliasable hash function with a result of a previously held hash value to determine if the results are the same, thus indicating if a software program has been altered. In one version of this method, the operating system computes the unaliasable hash function value and the software program is the supervising program.

Also provided by the invention is a method for ensuring that data has not been altered by means of computing an unaliasable hash function value on the contents of that data and comparing the said value with a previously computed hash function value. The supervising program preferably computes the unaliasable hash function value and the data used by the supervising program in this method.

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-21General Summary of Operation of Above Embodiments of the Invention:

Before the detailed description of the embodiments noted above are given, the following summary of the general high-level operation of various embodiments of the invention is provided to aid the reader in understanding certain complexities in portions of the invention's embodiments.

As noted in the above described embodiments, each instance of vendor's specific software is accompanied by a unique unforgeable tag. All software instances of the same specific software, however, are identical and un-encrypted, each consisting of a copy of the specific software and, possibly, including the name of the software. For example, an instance of the specific application program software Spread will include the program code for a spreadsheet application as well as the name Spread. Since no specialized hardware devices are required for the invention, instances of arbitrary kinds of software can be used together on a common device or on different devices.

A software vendor produces instances (copies) of some specific software and sending one instance of that software to a tag server, together with a request for a certain number of tags for instances of that software. The tag server produces the requested number of different unique tags. Each unique tag will be associated by the vendor with one instance of the software and will serve to uniquely identify the instance of software with which it is associated. A user device receives_and attempts to use an instance of the vendor's software and securely receives the tag uniquely associated with that instance of software.

The user device includes the supervising program running on that device, which verifies the authenticity of the associated tag and stores the tag in a tag table and stores the instance of software on a storage device or allows use of the software instance, only if the tag is authentic. The supervising program rejects an instance of software if the tag associated with the instance is not authentic. Every tag in the tag table has a status such as usable or removed or pay-per-use, associated with it by the supervising program. The supervising program detects commands to the device to use the said instance of software and verifies that the status currently

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-22associated with the tag associated with that instance of software, permits use of that instance.

Securely sending or receiving data or an object containing data means that the data or the object are sent or received in a manner that does not allow the data or the data contained in the object to be altered by or revealed to anyone other than the authorized sender or receiver. For example, a tag may be securely sent from a vendor to a user device over a network by use of the TETS ISPEC or NETSCAPE SSL or any other protocol for secure communication, or the tag may be handed over by the vendor to the user on a diskette placed in a tamper-proof sealed envelope.

Secure communication is employed in the invention just to protect sensitive information from being divulged to eavesdroppers and is not part of the invention's protection mechanisms proper. Any standard protocol for secure communication between parties will serve this purpose.

As noted in the embodiments above, the tag created by the tag server for an instance of vendor software includes the name of that software, a unique identifying number for that instance of software, hereinafter referred to as the instance number, a hash function value on some portions of the instance of software, and a hash function value combining all the previous data. The instance numbers employed in the present invention can be integers or any sequences of any symbols, the said sequencesserving as unique identifiers. Optionally, the tag server may digitally sign the last mentioned hash function value, and include the signature in the tag.

Tags which include a signature will hereinafter be referred to as signed tags. Tags which do not include a signature will be referred to as unsigned tags. When preparing an unsigned tag for an instance INST_SW of software SW, the tag server selects the unique identifying number for the instance from a secret sparse set of numbers, hereinafter referred to as the secret sparse set, associated with the software SW. Numbers in the secret sparse set may, for example, be produced by a physical process.

To determine whether a tag associated with an instance INST of software is authentic, the supervising program of the device on which INST is to be installed or used, extracts the instance number NUM_INST of INST and the name NAME_SW

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-23of S W from the tag. The supervising program computes a hash function value on some specified portions of the contents of the software instance INST. The supervising program then computes a hash function value combining the instance number NUMJENST, the name NAME_SW, and the previously computed hash function value. The supervising program compares the hash function values it computed with hash function values found in the tag. It must also verify any digital signature which is a component of a signed tag. The authenticity of an unsigned tag is further checked by the supervising program before allowing the first or some subsequent use of the associated instance of software by securely sending the tag to the tag server or to a guardian center described next, for authentication of the tag.

As indicated above, the system also includes a guardian center which includes a tagged software database and a verification program. The guardian center periodically communicates with the user device via a call-up procedure to receive all tags from the user device for each instance of software installed on the user device.

The verification program examines each tag received from the user device against the tagged software database to ensure that the tags are in compliance with at least one usage supervision policy. The verification program returns a continuation message to the user device which indicates an action to follow upon attempted access to the instances of software associated with each tag on the user device.

The usage supervision policy can be associated with individual instances of software to which at least one tag is associated, or can be associated with the entire user device with which the guardian center communicates, or can be associated with an individual user of the user device with which the guardian center communicates.

The guardian center maintains a tag data structure in the tagged software database for each tag for each instance of software on each user device. Each tag data structure can include a tag of an instance of software, a name of the instance of software, a unique number of the instance of software, a hash value on the instance of software, a policy associated with the instance of software, and a series of call-up records associated with the instance of software. Each call-up record in the series of call-up records represents information concerning one call-up procedure and includes a call-up time, a header of a tag table transferred to the guardian center

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-24during the call-up procedure, the last call-up time indicating a time stamp of a former call-up procedure, a hash of the tag table transferred to the guardian center during the call-up procedure, and the action to follow on the user device contained in the continuation message associated with the call-up procedure. Using these mechanisms, the guardian center can track usage statistics of instance of software for such activities as paying per use of an instance.

According to another aspect of the invention, an untagged instance of software may be installed on the user device. The protection program detects the untagged instance of software and performs a fingerprint process on the untagged instance of software and stores fingerprints resulting from the fingerprint process in a fingerprint table on the user device. The guardian center, according to this aspect, includes a fingerprint database. The guardian center periodically communicates with the user device via a call-up procedure to receive all fingerprints from the user device for each untagged instance of software installed on the user device. The verification program examines each fingerprint received from the user device against the fingerprint database to determine if an untagged instance of software is an infringing instance of software. In this manner, the invention can detect the use of modified software that is an illegal copy.

If the verification program detects a match between a fingerprint in the fingerprint database and a fingerprint within all fingerprints received from the user device, the verification program specifies punitive action to be performed, and the verification program returns a continuation message to the user device. In this case, the continuation message indicates the punitive action to be performed on the user device. As such, a user device can be disabled, for example, if caught using untagged infringing software.

Alternatively, the punitive action may specify that the untagged instance of software associated with the fingerprint that was matched to a fingerprint in the fingerprint database should be disabled.

To obtain fingerprints at the guardian center, the software vendor transmits a 30 copy of an untagged infringing instance of software to the guardian center and the

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-25guardian center computes fingerprints on the copy of the untagged infringing instance of software and stores the fingerprints in the fingerprint database.

Another embodiment of the invention provides a tag table data structure encoded on a computer readable medium. The tag table data structure includes at least one tag that is uniquely identified with one instance of software and includes at least one field associated with the tag in the tag table. The field indicates a usage supervision status for the one instance of software identified with the tag and may also indicate use statistics for the one instance of software identified with the tag.

The tag table data structure may also include a tag table header that uniquely identifies the tag table and that uniquely associates the tag table with one user device. The tag table header includes information concerning user device use statistics and includes a continuation message. The continuation message indicates punitive action and usage supervision status for an instance of software associated with a tag.

A software vendor is provided as an aspect of the invention and includes a software development mechanism that creates instances of software having a name and having software content. Each instance of software is executable only in conjunction with a tag that is unique to that instance of software. The tag is a unique unforgeable collection of information concerning the instance of software to which the tag is associated and includes the name of the software, a unique number of the instance of software and a hash of the content of the software. The software vendor also includes an infringing software detection mechanism that detects an infringing instance of software that is infringing intellectual property rights. The software vendor transfers the infringing instance of software to a guardian center so that usage supervision can be implemented to detect attempted uses of the infringing instance of software.

In an alternative embodiment of this invention, a software vendor is provided which produces at least one instance of software incorporating a device identifier inside a test. The test will be an if statement in a typical programming language.

The test comprises the comparison of the incorporated identifier with the identifier of the device upon which the software instance is to be used. If the incorporated

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-26identifier equals the device identifier then the software instance can be used normally, otherwise punitive action is taken by the supervising program on the device. For added protection, a digital signature of the hash of the software instance (including the incorporated identifier) is sent, a second test determines whether the digital signature is authentic, and a third test determines whether the signed value is the same as the hash of the software instance. If not, punitive action is taken by the supervising program in the device.

As noted above in the embodiment construction section, a user device is provided and includes an input that receives an instance of software and securely receives a tag uniquely associated with that instance of software and receives an attempt from a user of the user device to access the instance of software. A processor in the user device executes a protection program. The protection program detects the attempt to access the instance of software and verifies the authenticity of the tag associated with the instance of software before allowing access to the instance of software by the user of the user device. The protection program determines that a call-up procedure is required as defined by a call-up policy and the protection program performs the call-up procedure to update the status of tags stored in the tag table. During the call-up procedure, the protection program securely transmits the tag table from the userdevice~via an interconnection mechanism coupled to the user device and awaits reception of a continuation message returned to the user device that indicates an action to be performed for each tag in the tag table. In this manner, the user device does not need to be concerned with setting an usage supervision policy, but rather, merely maintains a policy that is centralized to all devices.

For untagged instances of software installed on the user device, the protection program detects the untagged instance of software and performs a fingerprint process on the untagged instance of software and stores fingerprints resulting from the fingerprint process in a fingerprint table on the user device. For untagged software, during the call-up procedure, the protection program transmits the fingerprint table from the user device via an interconnection mechanism coupled to the user device and awaits reception of a continuation message returned to the

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-27user device that indicates an action to be performed for each untagged instance of software stored on the user device.

For untagged software, the verification program in the guardian center periodically executes a call-up procedure to receive, via an interconnection mechanism,, fingerprints for untagged instances of software. The verification program examines each fingerprint received against the fingerprint database to determine if an untagged instance of software is an infringing instance of software, and if so, the verification program prepares punitive action for the user device. If the verification program detects a match between a fingerprint in the fingerprint database and a fingerprint within the fingerprints received, the verification program specifies punitive action to be performed, and the verification program transmits a continuation message to the user device. The continuation message indicates the punitive action to be performed on a receiving user device of the continuation message.

Another embodiment of the invention provides an authentication server that accepts instances of software and produces a plurality of tags, one tag per instance of software. Each tag uniquely identifies the instance of software to which it is associated and each tag includes encoded information concerning the name of the instance of software associated with the tag, a unique number of the instance of software associated with the tag, and a hash value computed on the mstance_of software associated with the tag.

In the method for controlling access to software, a step of creating an instance of software is performed. A tag is then created that is uniquely associated with the instance of software. The instance of software and the tag are then distributed to a user device. The method then detects an attempt to access the instance of the software on the user device and determines if the attempt to access the instance of the software is valid by determining a status of the tag that is associated with the instance of software to be accessed.

To create the tags, the method assigns a unique number to the instance of software and computes a first hash value on the content of the instance of software.

A second hash value is computed for the instance of software. The second hash

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-28value includes a name of the software, the unique number of the instance of software, the content of the instance of software, and the first hash value. Finally, the method computes a tag that is uniquely associated with the instance of software. The tag includes the name of the software, the unique number of the instance of software and the second hash value.

The step of computing a tag can create a digitally signed tag by applying a digital key signature function of the second hash value to produce a signature hash value and including the signature hash value in the tag. This allows secure distribution of the tag. A public key encryption technique can be used to securely distributing the tag to a software vendor and user device.

The software may be distributed by obtaining the instance of software at the user device and securely obtaining the tag associated with the instance of software at the user device. The user device can determine if the tag associated with the instance of software is signed, and if so, can verify a signature hash value in the tag and if the signature hash value is verified, the user device can install the software.

To detect an attempt to access the instance of the software on the user device the method of the invention includes the steps of invoking a protection program on the user device to intercept a user request for access to the instance of software. To determine if the attempt to access the instance of the software is valid, the method determines if a call-up procedure is needed based on a call-up policy. The method performs a call-up procedure to verify the authenticity and to determine the use policy of the tag associated with the instance of software and updates tag information in the user device based upon an outcome of the call-up procedure. Status information associated with the tag is examined at the user device to determine if access to the instance of software associated with the tag is valid. In this manner, protection to software is provided.

During the call-up procedure, a tag table storing the tag associated with the instance of software is transmitted from the user device and the user device awaits reception of a continuation message returned to the user device that indicates an action to be performed for each tag in the tag table.

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-29The guardian center receives the tag table including the tag associated with the instance of software and examines each tag received in the tag table against a tagged software database to ensure that tags in the tag table are in compliance with at least one usage supervision policy. The guardian center transmits a continuation message indicating an action to follow at the user device upon detecting an attempted access to the instances of software associated with each tag.