Trusted and Secure Techniques for Item Delivery and Execution

• US 20100325698A1
• Filed: 10/29/2007
• Published: 12/23/2010
• Est. Priority Date: 02/13/1995
• Status: Active Grant

• Current Assignee: David M. Van Wie, Francis J. Spahn, Karl L. Ginter, Robert P. Weber, Victor H. Shear
• Original Assignee: David M. Van Wie, Francis J. Spahn, Karl L. Ginter, Robert P. Weber, Victor H. Shear
• Inventors: Ginter, Karl L., Weber, Robert P., Spahn, Francis J., Shear, Victor H., Van Wie, David M.
• Granted Patent: US 8,443,198 B2
• Time in Patent Office: Days
• US Class Current: 726/4
• CPC Class Codes: G06F 12/1408 by using cryptography for digital transmission H04L9/00
• CPC Class Codes: G06F 21/109 by using specially-adapted hardware at the client
• CPC Class Codes: G06F 21/16 Program or content traceability, e.g. by watermarking
• CPC Class Codes: G06F 21/31 User authentication
• CPC Class Codes: G06F 21/32 using biometric data, e.g. fingerprints, iris scans or voiceprints
• CPC Class Codes: G06F 21/33 using certificates
• CPC Class Codes: 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
• CPC Class Codes: G06F 21/86 Secure or tamper-resistant housings
• CPC Class Codes: G06F 2211/007 Encryption, En-/decode, En-/decipher, En-/decypher, Scramble, (De-)compress
• CPC Class Codes: G06F 2221/2101 Auditing as a secondary aspect
• CPC Class Codes: G06F 2221/2115 Third party
• CPC Class Codes: G06F 2221/2135 Metering
• CPC Class Codes: G06F 2221/2151 Time stamp
• CPC Class Codes: G06Q 20/02 involving a neutral party, e.g. certification authority, notary or trusted third party [TTP]
• CPC Class Codes: G06Q 20/023 the neutral party being a clearing house
• CPC Class Codes: G06Q 20/04 Payment circuits
• CPC Class Codes: G06Q 20/10 specially adapted for electronic funds transfer [EFT] systems; specially adapted for home banking systems
• CPC Class Codes: G06Q 20/12 specially adapted for electronic shopping systems
• CPC Class Codes: G06Q 20/123 Shopping for digital content
• CPC Class Codes: G06Q 20/1235 with control of digital rights management [DRM]
• CPC Class Codes: G06Q 20/24 : Credit schemes, i.e. "pay after"
• CPC Class Codes: G06Q 20/389 : Keeping log of transactions for guaranteeing non-repudiation of a transaction
• CPC Class Codes: G06Q 20/401 : Transaction verification
• CPC Class Codes: G06T 1/0021 : Image watermarking
• CPC Class Codes: G07F 9/026 : for alarm, monitoring and auditing in vending machines or means for indication, e.g. when empty
• CPC Class Codes: H04L 2209/56 : Financial cryptography, e.g. electronic payment or e-cash
• CPC Class Codes: H04L 2209/60 : Digital content management, e.g. content distribution
• CPC Class Codes: H04L 2209/805 : Lightweight hardware, e.g. radio-frequency identification [RFID] or sensor
• CPC Class Codes: H04L 2463/101 : applying security measures for digital rights management data processing systems or methods, specially adapted for commerce, e.g. marketing, shopping, billing, auctions or e-commerce G06Q30/00
• CPC Class Codes: H04L 2463/102 : applying security measure for e-commerce data processing systems or methods, specially adapted for e-commerce G06Q30/00
• CPC Class Codes: H04L 2463/103 : applying security measure for protecting copy right protecting software against unauthorised usage in a vending or licensing environment, e.g. protection the software providers copyright G06F21/10; data processing systems or methods, specially adapted for payment schemes, architectures or protocols G06Q20/00; secrecy systems or subscription systems H04N7/16
• CPC Class Codes: H04L 63/08 : for authentication of entities cryptographic mechanisms or cryptographic arrangements for entity authentication H04L9/32
• CPC Class Codes: H04L 63/20 : for managing network security; network security policies in general filtering policies H04L63/0227
• CPC Class Codes: H04L 9/3231 : Biological data, e.g. fingerprint, voice or retina network architectures or network communication protocols for supporting authentication of entities using biometrical features in a packet data network H04L63/0861
• CPC Class Codes: 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
• CPC Class Codes: H04N 21/2347 : involving video stream encryption
• CPC Class Codes: H04N 21/235 : Processing of additional data, e.g. scrambling of additional data or processing content descriptors
• CPC Class Codes: H04N 21/2362 : Generation or processing of Service Information [SI]
• CPC Class Codes: 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
• CPC Class Codes: 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
• CPC Class Codes: H04N 21/2547 : Third Party Billing, e.g. billing of advertiser
• CPC Class Codes: 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
• CPC Class Codes: H04N 21/4143 : embedded in a Personal Computer [PC]
• CPC Class Codes: H04N 21/4345 : Extraction or processing of SI, e.g. extracting service information from an MPEG stream
• CPC Class Codes: H04N 21/435 : Processing of additional data, e.g. decrypting of additional data, reconstructing software from modules extracted from the transport stream
• CPC Class Codes: H04N 21/4405 : involving video stream decryption
• CPC Class Codes: 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
• CPC Class Codes: H04N 21/443 : OS processes, e.g. booting an STB, implementing a Java virtual machine in an STB or power management in an STB
• CPC Class Codes: 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
• CPC Class Codes: H04N 21/4753 : for user identification, e.g. by entering a PIN or password cryptographic authentication protocols H04L9/32; networks authentication protocols H04L63/08
• CPC Class Codes: H04N 21/6581 : Reference data, e.g. a movie identifier for ordering a movie or a product identifier in a home shopping application
• CPC Class Codes: 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
• CPC Class Codes: H04N 21/835 : Generation of protective data, e.g. certificates protecting software against unauthorised usage in a vending or licensing environment G06F21/10
• CPC Class Codes: H04N 21/83555 : using a structured language for describing usage rules of the content, e.g. REL
• CPC Class Codes: 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
• CPC Class Codes: H04N 7/162 : Authorising the user terminal, e.g. by paying; Registering the use of a subscription channel, e.g. billing
• CPC Class Codes: H04N 7/17309 : Transmission or handling of upstream communications

Abstract

Documents and other items can be delivered electronically from sender to recipient with a level of trustedness approaching or exceeding that provided by a personal document courier. A trusted electronic go-between can validate, witness and/or archive transactions while, in some cases, actively participating in or directing the transaction. Printed or imaged documents can be marked using handwritten signature images, seal images, electronic fingerprinting, watermarking, and/or steganography. Electronic commercial transactions and transmissions take place in a reliable, “trusted” virtual distribution environment that provides significant efficiency and cost savings benefits to users in addition to providing an extremely high degree of confidence and trustedness. The systems and techniques have many uses including but not limited to secure document delivery, execution of legal documents, and electronic data interchange (EDI).

Claims

1. A method for securely sending an item represented in digital form, the method comprising the steps of:

authenticating a sending person'"'"'s identity, the sending person desiring to send the item to an intended recipient;

securely associating one or more controls with a secure digital object containing the item, the one or more controls specifying one or more permissions and/or restrictions relating to use of the item; and

sending the secure digital object and the one or more controls to the intended recipient.

2. The method of claim 1, further comprising the step of enforcing the one or more controls using a protected processing environment at an electronic appliance associated with the intended recipient.

3. The method of claim 2, wherein the protected processing environment includes a secure processing unit.

4. The method of claim 1, wherein a protected processing environment located at a site associated with the sending person is used in said step of authenticating.

5. The method of claim 1, wherein the authenticating step includes the use of a password.

6. The method of claim 1, wherein the authenticating step includes one or more techniques selected from the group consisting of:

biometric sensing, voice print identity verification, identification card analysis, and pattern recognition of a photographic image of the sending person.

7. The method of claim 1, further comprising the step of determining, based on said authenticating step, whether sufficient basis exists for assurance of the sending person'"'"'s identity.

8. The method of claim 1, further comprising the step of:

registering the intended recipient of the secure digital object.

9. The method of claim 8, further comprising the step of:

contacting the intended recipient prior to sending the one or more controls.

10. The method of claim 8, further comprising the step of supporting an electronic negotiation process between the sending person and the intended recipient.

11. The method of claim 10, wherein the negotiation process includes agreement between the sending person and the intended recipient regarding appropriate controls that shall apply to the sending step.

12. The method of claim 1, further comprising the step of determining whether one or more controls are needed from the intended recipient in order to proceed with the sending step.

13. The method of claim 12, further comprising the step of obtaining one or more controls from the intended recipient.

14. The method of claim 1, further comprising the step of receiving input from the sending person regarding one or more sending options selected from the group consisting of:

signature options, seal options, privacy/use options, and item destruction options.

15. The method of claim 1, further comprising the step of receiving input from the sending person regarding one or more delivery options selected from the group consisting of:

receipt options, integrity guarantee options, privacy options, recipient authentication options, and delivery type options.

16. The method of claim 1, further comprising the step of receiving input from the sending person regarding one or more contract execution options selected from the group consisting of:

send offer, send acceptance, propose modification, add comments, negotiate, execute contract, and degree and/or type of non-repudiation evidence required.

17. The method of claim 14, further comprising the step of receiving additional input from the sending person regarding one or more delivery options selected from the group consisting of:

receipt options, integrity guarantee options, privacy options, recipient authentication options, and delivery type options.

18. The method of claim 14, in which the input is used, at least in part, to generate at least some of the one or more controls.

19. The method of claim 17, in which the input and the additional input are used, at least in part, to generate at least some of the one or more controls.

20. The method of claim 1, further comprising the step of receiving input from the sending person regarding one or more teleconferencing options.

21. The method of claim 1, further comprising the step of receiving input from the sending person regarding one or more trusted go-between options selected from the group consisting of:

contract settlement options, audit options, archival options, notary options, negotiations, length of time to store records, item inaccessibility to go-between options, and payment options.

22. The method of claim 1, wherein the item is of a type or a hybrid of multiple types selected from a group consisting of:

pictures, other graphical information, voice, music, other sound information, video, film, other moving image sequences, multimedia, and video games.

23. The method of claim 1, wherein the item is an executable computer program or other code.

24. The method of claim 1, wherein the one or more controls include, at least in part, delivery options selected by the sending person and authentication requirements applicable to the intended recipient.

25. The method of claim 1, wherein the one or more controls include information specifying, at least in part, what use, if any, is to be made of a third party electronic go-between, and what the third party electronic go-between is authorized to do and/or is restricted from doing.

26. The method of claim 1, wherein the one or more controls include, at least in part, document flow requirements selected from a group consisting of:

direct, pass-through, and round robin.

27. The method of claim 1, wherein the one or more controls include applicable payment methods.

28. The method of claim 1, wherein the one or more controls include one or more restrictions concerning uses selected from a group consisting of:

item modification, item redistribution, item privacy, and item handling.

29. The method of claim 1, further comprising the step of electronically storing audit information received from the intended recipient.

30. The method of claim 1, further comprising the step of generating electronic audit information.

31. The method of claim 1, wherein the steps are carried out on a personal computer.

32. The method of claim 1, wherein the steps are carried out on a network of interconnected computers.

33. The method of claim 1, further comprising the step of generating an electronic receipt.

34. The method of claim 33, wherein the electronic receipt includes one or more types of information selected from a group consisting of:

item and/or transaction number, name of a recipient to whom the item was delivered, name of a company at which a recipient is employed, date and/or time of delivery, name of a person who read or used the item, date and/or time the item was opened, and a public key of a trusted third party that issued a digital certificate attesting to an identity of a recipient.

35. The method of claim 1, wherein the one or more controls include one or more controls selected from a group consisting of:

modification controls, distribution controls, controls specifying collections of authorized persons and/or organizations, and controls specifying limits on handlings or interactions.

36. A computer-readable medium comprising program code, the program code being operable, when executed by an electronic appliance, to cause the electronic appliance to perform steps comprising:

authenticating a sending person'"'"'s identity, the sending person desiring to send an item represented in digital form to an intended recipient;

securely associating one or more controls with a secure digital object containing the item, the one or more controls specifying one or more permissions and/or restrictions relating to use of the item; and

sending the secure digital object and the one or more controls to the intended recipient.

37. The computer-readable medium of claim 36, in which the program code includes program code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform an authenticating technique selected from the group consisting of:

password protection, biometric sensing, voice print identity verification, identification card analysis, and pattern recognition of a photographic image of the sending person.

38. The computer-readable medium of claim 36, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of determining whether one or more controls are needed from the intended recipient in order to proceed with sending the secure digital object.

39. The computer-readable medium of claim 38, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of obtaining one or more controls from the intended recipient.

40. The computer-readable medium of claim 36, wherein at least some of the one or more controls specify, at least in part, what use, if any, is to be made of a third party electronic go-between, and what the third party electronic go-between is authorized to do and/or is restricted from doing.

41. The computer-readable medium of claim 36, wherein at least some of the one or more controls specify applicable payment methods.

42. The computer-readable medium of claim 36, wherein at least some of the one or more controls specify, at least in part, restrictions concerning uses of the item selected from a group consisting of:

item modification, item redistribution, item privacy, and item handling.

43. The computer-readable medium of claim 36, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of electronically storing audit information received from the intended recipient.

44. The computer-readable medium of claim 36, in which the electronic appliance comprises a personal computer.

45. The computer-readable medium of claim 36, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of generating an electronic receipt, wherein the electronic receipt includes one or more types of information selected from a group consisting of:

item and/or transaction number, name of a recipient to whom the item was delivered, name of a company at which a recipient is employed, date and/or time of delivery, name of a person who read or used the item, date and/or time the item was opened, and a public key of a trusted third party that issued a digital certificate attesting to a recipient'"'"'s identity.

46. A trusted computer system for securely sending an item represented in digital form, the system comprising:

means for authenticating a sending person'"'"'s identity, the sending person desiring to send the item to an intended recipient;

means for securely associating one or more controls with a secure digital object containing the item, the one or more controls specifying one or more permissions and/or restrictions relating to use of the item; and

means for sending the secure digital object and the one or more controls to the intended recipient.

47. The system of claim 46, further comprising means for enforcing the one or more controls, the means for enforcing comprising a protected processing environment including a secure processing unit.

48. The system of claim 46, in which the means for authenticating comprises a protected processing environment.

49. The system of claim 46, in which the means for authenticating includes means for performing one or more techniques selected from the group consisting of:

password protection, biometric sensing, voice print identity verification, identification card analysis, and pattern recognition of a photographic image the sending person.

50. The system of claim 46, further comprising means for determining whether one or more controls are needed from the intended recipient in order to proceed with sending the secure digital object.

51. The system of claim 50, further comprising means for obtaining one or more controls from the intended recipient.

52. The system of claim 46, wherein at least some of the one or more controls include restrictions based at least in part on preferences specified by the intended recipient.

53. The system of claim 46, wherein the one or more controls include information specifying what use, if any, is to be made of a third party electronic go-between, and what the third party electronic go-between is authorized to do and/or is restricted from doing.

54. The system of claim 46, wherein at least some of the one or more controls include restrictions concerning uses of the item selected from a group consisting of:

item modification, item redistribution, item privacy, and item handling.

55. A method for securely receiving an item represented in digital form from a sender, the method comprising the steps of:

receiving a secure digital object containing the item;

receiving one or more controls governing interactions with the secure digital object, wherein the one or more controls are received independently from the secure digital object; and

allowing access to the item by a receiving person according to the one or more controls.

56. The method of claim 55, further comprising the step of authenticating the sender.

57. The method of claim 55, further comprising the step of storing the secure digital object locally.

58. The method of claim 55, further comprising the step of electronically storing audit information relating to the receiving person, the audit information including information selected from a group consisting of:

name of the receiving person, time of receipt, date of receipt, and public key information.

59. The method of claim 55, further comprising the step of sending a return receipt to the sender.

60. The method of claim 59, wherein the return receipt includes information selected from a group consisting of:

the receiving person'"'"'s name, time and/or date of receipt, and public key information.

61. The method of claim 55, further comprising the step of sending a return receipt to a trusted computer system.

62. The method of claim 61, in which the trusted computer system is identified by the one or more controls.

63. The method of claim 55, in which at least some of the one or more controls are received from a permissioning agent.

64. The method of claim 63, further comprising the step of requesting one or more controls from the permissioning agent.

65. The method of claim 64, wherein the permissioning agent distributes the one or more requested controls based on information regarding the receiving person.

66. The method of claim 65, wherein the information regarding the receiving person is financial information.

67. The method of claim 65, further comprising the step of sending a return receipt to the sender, wherein the return receipt includes information selected from a group consisting of:

the receiving person'"'"'s name, time and/or date of receipt, and public key information.

68. The method of claim 64, further comprising the step of authenticating the receiving person.

69. The method of claim 64, further comprising the step of embedding receipt-related information into a digital representation of the item.

70. The method of claim 64, further comprising the step of processing a payment according to the one or more controls.

71. The method of claim 55, further comprising the steps of:

initiating a computer application for interacting with the item; and

releasing the item to the computer application according to the one or more controls.

72. The method of claim 55, further comprising the step of printing the item in accordance with the one or more controls.

73. The method of claim 55, further comprising the step of redistributing the item in accordance with the one or more controls.

74. The method of claim 73, further comprising the step of embedding information into the digital representation of the item prior to the redistributing step.

75. The method of claim 73, further comprising the step of sending audit information to the sender in connection with the redistributing step.

76. The method of claim 55, further comprising the step of authenticating at least part of the secure digital object.

77. The method of claim 76, wherein the step of authenticating at least part of the secure digital object includes authenticating the item.

78. The method of claim 55, wherein the one or more controls include one or more controls selected from a group consisting of:

modification controls, distribution controls, controls specifying collections of authorized persons and/or organizations, and controls specifying limits on handlings or interactions.

79. A computer-readable medium comprising program code, the program code being operable, when executed by an electronic appliance, to cause the electronic appliance to perform steps comprising:

receiving a secure digital object containing a digital representation of an item;

receiving one or more controls governing interactions with the secure digital object, wherein the one or more controls are received independently from the secure digital object; and

allowing access to the item by a receiving person according to the one or more controls.

80. The computer-readable medium of claim 79, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of storing audit information relating to the receiving person, the audit information including information selected from a group consisting of:

the receiving person'"'"'s name, time and/or date of receipt, and public key information.

81. The computer-readable medium of claim 79, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of requesting at least some of the one or more controls from a permissioning agent.

82. The computer-readable medium of claim 81, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of sending a return receipt to the sender, wherein the return receipt includes information selected from a group consisting of:

the receiving person'"'"'s name, time and/or date of receipt, and public key information.

83. The computer-readable medium of claim 81, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of authenticating the receiving person.

84. The computer-readable medium of claim 79, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of processing a payment according to the one or more controls.

85. The computer-readable medium of claim 79, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of redistributing the item in accordance with the one or more controls.

86. The computer-readable medium of claim 85, further comprising computer code that is operable, when executed by the electronic appliance, to cause the electronic appliance to perform the step of sending audit information to the sender in connection with redistributing the item.

87. A system for securely receiving an item represented in digital form from a sender, the system comprising:

means for receiving a secure digital object containing the item;

means for receiving one or more controls governing interactions with the secure digital object, wherein the one or more controls are received independently from the secure digital object; and

means for allowing access to the item by a receiving person according to the one or more controls.

88. The system of claim 87, further comprising means for electronically storing audit information relating to the receiving person, the audit information including information selected from a group consisting of:

the receiving person'"'"'s name, time and/or date of receipt, and public key information.

89. The system of claim 87, further comprising means for requesting at least some of the one or more controls from a permissioning agent.

90. The system of claim 89, further comprising means for sending a return receipt to the sender, wherein the return receipt includes information selected from a group consisting of:

the receiving person'"'"'s name, time and/or date of receipt, and public key information.

91. The system of claim 89, further comprising means for authenticating the receiving person.

92. The system of claim 87, further comprising means for embedding receipt-related information into a digital representation of the item.

93. The system of claim 87, further comprising:

means for initiating a computer application for interacting with the item; and

means for releasing the item to the computer application according to the one or more controls.

94. The system of claim 87, further comprising means for printing the item in accordance with the one or more controls.

95. The system of claim 87, further comprising means for redistributing the item in accordance with the one or more controls.

96. The system of claim 95, further comprising means for embedding information into the item prior to redistributing the item.

97. A method for securely redistributing, from a sender to an intended recipient, an item represented in digital form, the method comprising the steps of:

receiving a secure digital object containing the item;

receiving one or more controls governing interaction with the secure digital object, wherein the one or more controls are received independently from the secure digital object; and

redistributing the secure digital object to the intended recipient according to the one or more controls.

98. The method of claim 97, further comprising the step of electronically storing audit information relating to the intended recipient, the audit information including information selected from a group consisting of:

the intended recipient'"'"'s name, time and/or date of redistribution, and public key information.

99. The method of claim 98, further comprising the step of receiving a return receipt from the intended recipient, the return receipt including at least some of the audit information.

100. The method of claim 97, further comprising the step of sending a return receipt to a trusted computer system identified by the one or more controls.

101. The method of claim 97, wherein at least some of the one or more controls are received from a permissioning agent.

102. The method of claim 97, further comprising the step of embedding information into the item prior to performing the redistributing step.

103. The method of claim 97, further comprising the step of sending audit information to at least one previous provider of the secure digital object in connection with the step of redistributing.

104. The method of claim 97, further comprising the step of authenticating at least part of the secure digital object prior to performing the redistributing step.

105. The method of claim 97, where in the one or more controls include one or more controls selected from a group consisting of:

modification controls, distribution controls, controls identifying collections of authorized persons and/or organizations, and controls specifying limits on handlings or interactions.