PTO/AIA/15 (07-12)
`Approved for.use throuoh 01131/2014, 0MB 0651-0032
`U.S. Patent and Trademark Ofllce. U.S. DEPARTMENT OF COMMERCE
`Under .the P•=rwork Re<IUctlon Ac1 of 1995, no oel'BOnB are renulred lo re ·-nd lo a collection of lnfoimatlon unlese II dlsnJav,: a valid 0MB control number •
`.,,
`UTIUTY
`PATENT APPLICATION
`TRANSMITTAL
`(Only for new nonprov/8/Qna/ app/lcill/ons under 37 bFR. 1.53(b))
`
`TIiie
`
`,
`
`Attorney Dooket No.
`
`6927. 1600841
`
`Flr11t Inventor
`
`Tony Fontecchio
`· System and Method for Cascading ...
`Express Mau Label No. NIA
`
`,
`
`"-
`
`APPLICATION ELEMENTS
`·Sae MPEP chapter 000 concem/ng umtty patsnt app/lcstlon contsnm.
`
`ADDRESS TO:
`
`Comml11lor,er for Patents
`P.O. Box 1450
`Alexandria VA ·22313•1450
`
`1.IX] Fee Transmittal Form,
`(PTO/SB/17 or equtvelont)
`2. □
`Applicant claims small entity statue.
`See 37 CFR 1.27.
`3.IX] Speclllcatlon.
`16
`[Tole/ Pages
`Both the dalms and ablllracl must start on e new ~e
`(For Wonnallon.on tho prefensd amngement ne MPEP § 08.01(9))
`4,IX] Drawlng(s). (35 U.S.C. 113)
`6
`[Total Sheets
`I
`5. lnvenJor's oath or Declaration.
`[Tota/ Sheets
`(lnoludlng lillbstitul8 s1111BmlHita under 31 CPR 1.44 and nlllgnm11111 ae,vlng se an·
`oslh or declarafion under 37 CFR 1.1/3/e))
`
`I
`
`a. li) Newly executed (original or copy)
`
`A copy from a prior application (37 CFR 1.63(d))
`b.
`6. IX] Appllcatlori Data Sheet. "BOG Na!G below.
`See 37 CFR 1,7B (PTOIAIA/14 or equlyal~nl)
`
`J
`l
`
`7 0 CD-ROM or CD-R.
`In dupRoaiu: large table or Computer Program (Append/II}
`. D Landscape Table on CD
`B. Nucleotide and/or Amino Acid Sequence Submlsllllon.
`(If appllcable, Items a. - c. are requ/red)
`a. D Computer Readable. Form (CRF)
`Specification Sequence Listing on:
`b.
`□ CD-ROM or CD-R (2 copies); or
`I.
`11'. □ Paper
`□ State.ments lierlfylilg Identity of above. copies
`
`c.
`
`ACCOMPANYING APPLICATION PARTS
`9. ~ Asslgnmen1 Pap.:.;.
`(cowr sheet & document(a))
`Name of Assignee
`. Management Science Associates, Inc.
`·D PowerofAttomey.
`
`(If eppHcebloJ
`
`(PTO/SJl/08 or PT0.1449)
`
`10. □ 37 CFR 3,73(c) StatemenL
`•
`/Mfen lfle111 la en sasignee}
`11. 0 English Translation Document.
`12'. 0 Information Dlsolosura statemenL
`D Coples Qf citations attached
`1~. 0 Prell~lnary Amendment.
`1 D Returri•Recelpt Postcard .
`4
`(IJPEP § 6!13} (Strould IJe speofllcaHy ftemlz9d)
`j 5. O Ce11ifled Copy of Priority Doc11msnt(s)..
`
`(Nfon,/gn prloilty It, al«lmed)
`
`18. 0 Nonpubllcatlon Request.
`.Uridar35.U.S.C.122(b)(2)(B)(Q. Applicant must attach form PTO/SB/35or
`equlvalem.
`
`·
`
`17. Oother:
`
`..
`
`'
`
`IZ! The addreaa aesoolaled wlih.Cuslomer Number: I
`
`28289
`
`I OR D Correspondim<:8 addle$ below
`
`19. CORRESPONDENCE ADDRESS
`
`·Name
`
`Address
`1..ny
`Country
`I i;rgnature ·
`I Name
`IPrintrrvcel.
`
`The Webb Law Finn
`One Gateway Center
`420 Ft. Duauesne Blvd~ Suite 1200
`I State · PA
`Pittsbure:h
`I Telephone 412-471-~SiS
`U.S.A.
`\.w.111\,\_ lL
`{et,,_ 0\-::
`'
`•.
`~ .r
`es J. Bosco, Jr.
`
`I Zip Code I 15222
`I 1:ma11
`I patents@webblaw.com
`February 17, 2016
`Keglstraaon No. I
`51,489
`
`{Attorney/Agent)
`
`I Date
`
`This collectlon of Infonnatlcn ls required by 'ST CFR 1.53(b). The lnformatJon Is required to obtain or retain a benefit by the public which le to file (and by the
`USPTO to process) an application. Conlldentlallty. la govemed by 35 u.s.c. 122 and 37 CFR 1 ;11 end 1.14. This collecllon Is estimated lo take 12 minutes lo
`complete, Includlng gathering, preparing, and aubmllllng the eompleted appllcallon form to the USPTO. Time· will very depending upon the IndMdual case. Any
`comments on Ille amount of time you require to co1111lete this form and/or suggealions foneduclng this burden; should be sent to the Chief, Informetlon Officer,
`U.S. Petenl and Trademarl( Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEEB OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Commissioner far Patents, P.O. Box 1450; Alaxandrta, VA 22313,1460..
`·
`If ,rou need 111111/stance In complellng the lblm, oa#. MJ0IJ-PT0-9199 and sslscl. option 2.
`·
`·
`·
`
`DATAVANT, INC. EXHIBIT NO. 1002
`Page 1 of 172
`
`

`

`u
`
`f'TD/SB/17 (03•13)
`Approved for use throu,h 01/31/2014, 0MB 0651.fl032
`U.S. Patent and Tndemark Olllca; U.S. DERARTMENT OF COMMERCE
`
`FEE TRANSMITTAL
`
`Appllcatlon Number
`FlllngDate
`
`Applicant asserts small entity status. See 37 CFR 1.27.
`
`D Appllcant certifies mlero entity status. See 37"C-FR 1.29,
`Form PTO/SB/!SA or B or equivalent must either be enclosed or have
`been submitted revlous ,
`·
`TOTALAMOUNTOFPAVMENT
`
`Fees e!!ld ffll
`1600
`
`Small Entity Fee ffll
`.
`40
`210
`390
`
`Micro Entity Fae 1$1
`20
`105
`195
`
`Mu1t1p1e oapendent ga1m,
`E=.ID
`FeePeld(SI
`0
`0
`
`.
`
`ln.WO
`
`undlscpunted EH 1$1
`80
`420
`?SO
`fea PaJd 1$1 -
`0
`
`"
`
`Fee Paid 1$1
`0
`
`Ton F onteoohio
`First Named lnvi:ntor
`Not yet Assigned
`E~amlner Name
`Not Yet Assi ed
`Art Unit
`($) 1600
`Practitioner Docket No. 6927 _ 1600841
`METHOD OF PAYMENT (check all that apply)
`D Check [ll Credit card D Monev Order D ·None D other (please Identify): ______________ _
`[ll Deposit Account Deposit Ac:count Number:
`23-0650
`Deposit Account Name: _______ _
`·o Charge fee(s) Indicated below, except for the flllng fee
`For the above-Identified deposit account, the Director Is hereby authorized to (check all that ap_ply):
`□ Charge fee(s) Indicated below
`[ll Charge any additional fee(s) or underpayment offee(s) ll) Credit any overpayment of fee(s)
`under 37 CFR 1.16 and 1.17
`WARNING: Information on this form may become public. Credit card lnformatlon·shi>uld not be Included on this form,Provlde credit card
`Information and authorization on PT0-2038.
`FEE CALCUIATION
`1, BASIC FILING, SEARCH,AND EXAMINATION FEES (1,1 • lindlscounted fee; S =small entltyfee;_M "micro entity fee)
`SEARCH FEES
`FILING FEES
`EXAMINATION FEES
`ill} Mill
`!!.dl
`!W
`Y.W
`Y.W
`1.W Mill
`ARJ!llcatlon Tme
`1!11..W
`_300
`360
`140•
`180
`280
`720
`600
`70
`150
`Utlllty
`90
`230
`115
`120
`460
`180
`60
`30
`Design
`45
`95
`290
`145
`380.
`190
`580
`180
`90
`Plant
`45
`540
`2,160
`1,080
`280
`600
`Reissue
`140
`300
`150
`70
`130
`260
`0
`0
`0
`0
`0
`Provisional
`65
`0
`• '111~ $140 small entliy stalus flllng fee for a utlUty appllcatlon Is fUrther reducad to $7D_for a sman entity status applicant who flies the appllcallon via EFS-Web,
`2, EKCESS CLAIM FEES
`fee pasq1pt1on
`Each dalm over 20 (Including Reissues!
`Eacl! Independent claim over_3 (Including Reissues)
`Multiple dependent claims
`J:9.tal9!1!!!! ·
`Extmealma
`.9 - --
`_.....;. __ x
`-20orHP=
`HP" highest number of total claims paid for, If greater than 20.
`Extra QaJms
`fggjfil
`lndap~ Claims
`.
`3 -
`0
`0
`x
`-3orHP=
`HP= hlgh~st number of independent claims paid for, If greater than 3.
`S, APPLICATION SIZE FEE
`If the specification and drawings exceed 100 sheets of paper (~eluding electronlcally flied sequence or computer listings under 37 CFR l,52(e)), -
`the application size fee due Is $400 ($200 for small entity} ($100 for micro entity) for each additional 50 sheets or fraction thereof. See 35 U.S.C.
`41(al(1)(G) and 37CFR 1.16(s).
`-
`Number of each addition al so or fractlpn thereof ~
`· JotaJSheets
`ExtraJheets
`--------0-
`__ 22 ____ • 100 = __ 0 __ / 50 = __ .a....,0_ (rourid up to a whole number)
`x
`4. OTHER FEE(S)
`-Non-English specification, $130 fee (rio small ar micro entity discount)
`Non-elect,onlc filing fee under 37 CFR 1.16(t) for a utlllty ap_pllcatlon, $400 fee_ ($200 small or mlr:ro entity)
`Other (e.g., late filing surcharge):
`SUBMITTED BV
`
`FeeP~d($1
`
`Fees ·ea1d 1$1
`0
`.. 0
`0
`
`Signature
`
`Sl,489
`
`Telephone 412-471-8815
`
`i>ate February 17,2016
`Name (Print/Type) •
`This collection of Information I~ required by 37 CFR 1.136. The lnf~matlon I.I required ID obialn or retain a benefit by the public which Is to file land by.the USPTO ID
`process) an application, Confldentlallty lsgovemed by35 U,S.C, 122 and 37 CFR 1.14. This collection Is estlm~ted ID lake ao minutes to complete, lncludJng
`gathering. preparing, and ,ubmlttln1 the completed application form lo the US PTO. Time will vary depending upon the Individual case, Any comments on the
`amount of time ~u require to complete this form and/or sugestlons for reducing this burden, should be •••I ID the-Chief lnformetlo• Officer, U.S. Patent and
`Trademark Office, ·u.s. Departme•t of Commeree, P.O. Box uso; Aleondrta. VA 22313-1450. DO NOT SEND FEES OR COMPLETE!) FORMS TO THIS ADDRESS, SEND-
`lO: Commlaaloner for Patents, P.O. Bo• 1450, AJ9andrla, VA 22313•1450.
`·
`.
`·
`I/you need assistance In completlflfl the form, call 1-BOO-PT0-9199 and select option 2.
`
`DATAVANT, INC. EXHIBIT NO. 1002
`Page 2 of 172
`
`

`

`PTO/AIA/15 (07-12)
`Approved for.use throuoh 01131/2014, 0MB 0651-0032
`U.S. Patent and Trademark Ofllce. U.S. DEPARTMENT OF COMMERCE
`Under .the P•=rwork Re<IUctlon Ac1 of 1995, no oel'BOnB are renulred lo re ·-nd lo a collection of lnfoimatlon unlese II dlsnJav,: a valid 0MB control number •
`.,,
`UTIUTY
`PATENT APPLICATION
`TRANSMITTAL
`(Only for new nonprov/8/Qna/ app/lcill/ons under 37 bFR. 1.53(b))
`
`TIiie
`
`,
`
`Attorney Dooket No.
`
`6927. 1600841
`
`Flr11t Inventor
`
`Tony Fontecchio
`· System and Method for Cascading ...
`Express Mau Label No. NIA
`
`,
`
`"-
`
`APPLICATION ELEMENTS
`·Sae MPEP chapter 000 concem/ng umtty patsnt app/lcstlon contsnm.
`
`ADDRESS TO:
`
`Comml11lor,er for Patents
`P.O. Box 1450
`Alexandria VA ·22313•1450
`
`1.IX] Fee Transmittal Form,
`(PTO/SB/17 or equtvelont)
`2. □
`Applicant claims small entity statue.
`See 37 CFR 1.27.
`3.IX] Speclllcatlon.
`16
`[Tole/ Pages
`Both the dalms and ablllracl must start on e new ~e
`(For Wonnallon.on tho prefensd amngement ne MPEP § 08.01(9))
`4,IX] Drawlng(s). (35 U.S.C. 113)
`6
`[Total Sheets
`I
`5. lnvenJor's oath or Declaration.
`[Tota/ Sheets
`(lnoludlng lillbstitul8 s1111BmlHita under 31 CPR 1.44 and nlllgnm11111 ae,vlng se an·
`oslh or declarafion under 37 CFR 1.1/3/e))
`
`I
`
`a. li) Newly executed (original or copy)
`
`A copy from a prior application (37 CFR 1.63(d))
`b.
`6. IX] Appllcatlori Data Sheet. "BOG Na!G below.
`See 37 CFR 1,7B (PTOIAIA/14 or equlyal~nl)
`
`J
`l
`
`7 0 CD-ROM or CD-R.
`In dupRoaiu: large table or Computer Program (Append/II}
`. D Landscape Table on CD
`B. Nucleotide and/or Amino Acid Sequence Submlsllllon.
`(If appllcable, Items a. - c. are requ/red)
`a. D Computer Readable. Form (CRF)
`Specification Sequence Listing on:
`b.
`□ CD-ROM or CD-R (2 copies); or
`I.
`11'. □ Paper
`□ State.ments lierlfylilg Identity of above. copies
`
`c.
`
`ACCOMPANYING APPLICATION PARTS
`9. ~ Asslgnmen1 Pap.:.;.
`(cowr sheet & document(a))
`Name of Assignee
`. Management Science Associates, Inc.
`·D PowerofAttomey.
`
`(If eppHcebloJ
`
`(PTO/SJl/08 or PT0.1449)
`
`10. □ 37 CFR 3,73(c) StatemenL
`•
`/Mfen lfle111 la en sasignee}
`11. 0 English Translation Document.
`12'. 0 Information Dlsolosura statemenL
`D Coples Qf citations attached
`1~. 0 Prell~lnary Amendment.
`1 D Returri•Recelpt Postcard .
`4
`(IJPEP § 6!13} (Strould IJe speofllcaHy ftemlz9d)
`j 5. O Ce11ifled Copy of Priority Doc11msnt(s)..
`
`(Nfon,/gn prloilty It, al«lmed)
`
`18. 0 Nonpubllcatlon Request.
`.Uridar35.U.S.C.122(b)(2)(B)(Q. Applicant must attach form PTO/SB/35or
`equlvalem.
`
`·
`
`17. Oother:
`
`..
`
`'
`
`IZ! The addreaa aesoolaled wlih.Cuslomer Number: I
`
`28289
`
`I OR D Correspondim<:8 addle$ below
`
`19. CORRESPONDENCE ADDRESS
`
`·Name
`
`Address
`1..ny
`Country
`I i;rgnature ·
`I Name
`IPrintrrvcel.
`
`The Webb Law Finn
`One Gateway Center
`420 Ft. Duauesne Blvd~ Suite 1200
`I State · PA
`Pittsbure:h
`I Telephone 412-471-~SiS
`U.S.A.
`\.w.111\,\_ lL
`{et,,_ 0\-::
`'
`•.
`~ .r
`es J. Bosco, Jr.
`
`I Zip Code I 15222
`I 1:ma11
`I patents@webblaw.com
`February 17, 2016
`Keglstraaon No. I
`51,489
`
`{Attorney/Agent)
`
`I Date
`
`This collectlon of Infonnatlcn ls required by 'ST CFR 1.53(b). The lnformatJon Is required to obtain or retain a benefit by the public which le to file (and by the
`USPTO to process) an application. Conlldentlallty. la govemed by 35 u.s.c. 122 and 37 CFR 1 ;11 end 1.14. This collecllon Is estimated lo take 12 minutes lo
`complete, Includlng gathering, preparing, and aubmllllng the eompleted appllcallon form to the USPTO. Time· will very depending upon the IndMdual case. Any
`comments on Ille amount of time you require to co1111lete this form and/or suggealions foneduclng this burden; should be sent to the Chief, Informetlon Officer,
`U.S. Petenl and Trademarl( Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEEB OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Commissioner far Patents, P.O. Box 1450; Alaxandrta, VA 22313,1460..
`·
`If ,rou need 111111/stance In complellng the lblm, oa#. MJ0IJ-PT0-9199 and sslscl. option 2.
`·
`·
`·
`
`DATAVANT, INC. EXHIBIT NO. 1002
`Page 3 of 172
`
`

`

`u
`
`f'TD/SB/17 (03•13)
`Approved for use throu,h 01/31/2014, 0MB 0651.fl032
`U.S. Patent and Tndemark Olllca; U.S. DERARTMENT OF COMMERCE
`
`FEE TRANSMITTAL
`
`Appllcatlon Number
`FlllngDate
`
`Applicant asserts small entity status. See 37 CFR 1.27.
`
`D Appllcant certifies mlero entity status. See 37"C-FR 1.29,
`Form PTO/SB/!SA or B or equivalent must either be enclosed or have
`been submitted revlous ,
`·
`TOTALAMOUNTOFPAVMENT
`
`Fees e!!ld ffll
`1600
`
`Small Entity Fee ffll
`.
`40
`210
`390
`
`Micro Entity Fae 1$1
`20
`105
`195
`
`Mu1t1p1e oapendent ga1m,
`E=.ID
`FeePeld(SI
`0
`0
`
`.
`
`ln.WO
`
`undlscpunted EH 1$1
`80
`420
`?SO
`fea PaJd 1$1 -
`0
`
`"
`
`Fee Paid 1$1
`0
`
`Ton F onteoohio
`First Named lnvi:ntor
`Not yet Assigned
`E~amlner Name
`Not Yet Assi ed
`Art Unit
`($) 1600
`Practitioner Docket No. 6927 _ 1600841
`METHOD OF PAYMENT (check all that apply)
`D Check [ll Credit card D Monev Order D ·None D other (please Identify): ______________ _
`[ll Deposit Account Deposit Ac:count Number:
`23-0650
`Deposit Account Name: _______ _
`·o Charge fee(s) Indicated below, except for the flllng fee
`For the above-Identified deposit account, the Director Is hereby authorized to (check all that ap_ply):
`□ Charge fee(s) Indicated below
`[ll Charge any additional fee(s) or underpayment offee(s) ll) Credit any overpayment of fee(s)
`under 37 CFR 1.16 and 1.17
`WARNING: Information on this form may become public. Credit card lnformatlon·shi>uld not be Included on this form,Provlde credit card
`Information and authorization on PT0-2038.
`FEE CALCUIATION
`1, BASIC FILING, SEARCH,AND EXAMINATION FEES (1,1 • lindlscounted fee; S =small entltyfee;_M "micro entity fee)
`SEARCH FEES
`FILING FEES
`EXAMINATION FEES
`ill} Mill
`!!.dl
`!W
`Y.W
`Y.W
`1.W Mill
`ARJ!llcatlon Tme
`1!11..W
`_300
`360
`140•
`180
`280
`720
`600
`70
`150
`Utlllty
`90
`230
`115
`120
`460
`180
`60
`30
`Design
`45
`95
`290
`145
`380.
`190
`580
`180
`90
`Plant
`45
`540
`2,160
`1,080
`280
`600
`Reissue
`140
`300
`150
`70
`130
`260
`0
`0
`0
`0
`0
`Provisional
`65
`0
`• '111~ $140 small entliy stalus flllng fee for a utlUty appllcatlon Is fUrther reducad to $7D_for a sman entity status applicant who flies the appllcallon via EFS-Web,
`2, EKCESS CLAIM FEES
`fee pasq1pt1on
`Each dalm over 20 (Including Reissues!
`Eacl! Independent claim over_3 (Including Reissues)
`Multiple dependent claims
`J:9.tal9!1!!!! ·
`Extmealma
`.9 - --
`_.....;. __ x
`-20orHP=
`HP" highest number of total claims paid for, If greater than 20.
`Extra QaJms
`fggjfil
`lndap~ Claims
`.
`3 -
`0
`0
`x
`-3orHP=
`HP= hlgh~st number of independent claims paid for, If greater than 3.
`S, APPLICATION SIZE FEE
`If the specification and drawings exceed 100 sheets of paper (~eluding electronlcally flied sequence or computer listings under 37 CFR l,52(e)), -
`the application size fee due Is $400 ($200 for small entity} ($100 for micro entity) for each additional 50 sheets or fraction thereof. See 35 U.S.C.
`41(al(1)(G) and 37CFR 1.16(s).
`-
`Number of each addition al so or fractlpn thereof ~
`· JotaJSheets
`ExtraJheets
`--------0-
`__ 22 ____ • 100 = __ 0 __ / 50 = __ .a....,0_ (rourid up to a whole number)
`x
`4. OTHER FEE(S)
`-Non-English specification, $130 fee (rio small ar micro entity discount)
`Non-elect,onlc filing fee under 37 CFR 1.16(t) for a utlllty ap_pllcatlon, $400 fee_ ($200 small or mlr:ro entity)
`Other (e.g., late filing surcharge):
`SUBMITTED BV
`
`FeeP~d($1
`
`Fees ·ea1d 1$1
`0
`.. 0
`0
`
`Signature
`
`Sl,489
`
`Telephone 412-471-8815
`
`i>ate February 17,2016
`Name (Print/Type) •
`This collection of Information I~ required by 37 CFR 1.136. The lnf~matlon I.I required ID obialn or retain a benefit by the public which Is to file land by.the USPTO ID
`process) an application, Confldentlallty lsgovemed by35 U,S.C, 122 and 37 CFR 1.14. This collection Is estlm~ted ID lake ao minutes to complete, lncludJng
`gathering. preparing, and ,ubmlttln1 the completed application form lo the US PTO. Time will vary depending upon the Individual case, Any comments on the
`amount of time ~u require to complete this form and/or sugestlons for reducing this burden, should be •••I ID the-Chief lnformetlo• Officer, U.S. Patent and
`Trademark Office, ·u.s. Departme•t of Commeree, P.O. Box uso; Aleondrta. VA 22313-1450. DO NOT SEND FEES OR COMPLETE!) FORMS TO THIS ADDRESS, SEND-
`lO: Commlaaloner for Patents, P.O. Bo• 1450, AJ9andrla, VA 22313•1450.
`·
`.
`·
`I/you need assistance In completlflfl the form, call 1-BOO-PT0-9199 and select option 2.
`
`DATAVANT, INC. EXHIBIT NO. 1002
`Page 4 of 172
`
`

`

`Attorney Docket No. 6927-1600841
`
`SYSTEM AND METHOD FOR CASCADING TOKEN GENERATION
`AND DATA DE-IDENTIFICATION
`
`CROSS REFERENCE TO RELATED APPLICATIONS
`[0001) This application is a continuation of U.S. Patent Application No. 14/29_1,805, filed
`May 30, 2014, which claimed the benefit of U.S. Provisional Application No. 61/830,345, filed on
`June 3, 2013, the entire disclosures of each of which are hereby incorporated by reference.
`
`BACKGROUND OF THE INVENTION
`
`Field of the Invention ·
`. [0002) The present invention relates generally to data de-identification and, in particular, a
`system and method for de-identifying data using cascading token generation.
`Description of Related Art
`[0003) For decades, data including personally-identifying.information has been de-identified
`through.the creation of tokens that uniquely identify an individual. This technology has been used
`in connection with consumer package goods data, television data, subscriber data, healthcare data,
`and the like.
`[0004) Traditionally, methods for creating tokens for a _specific record associated with an
`individual involved concatenating selected data elements into a string, and then encrypting that
`string to form a token. However, there are scen~ios in which concatenated substrings will yield
`less than optimal results. Adv~ces in computing power now allow for token generation to be
`complex, even across large volumes of data, providing for enhanced data security. Moreover, once
`a token is created, additional security measures are desirable to prevent reverse-engineering
`through statistical analysis attacks.
`[0005] By law, Protected Healthcare Information (PHI) cannot be freely disseminated.
`However, if properly de-identified to the point where the risk is minimal that an individual could
`be re-identified, the PHI can be disclosed by a covered entity or an entity in legal possession of
`PHI.
`
`SUMMARY OF THE INVENTION
`[0006) Generally, it is an object of the present invention to provide a system and method for de(cid:173)
`identifying data that overcomes some or all of the above-described deficiencies of the prior art.
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`[0007) According to a preferred embodiment, provided is a computer-implemented method for
`de-identifying data by creating tokens through a cascading algorithm, comprising: processing at
`least .one record comprising a plurality of data elements to identify a subset of data elements
`comprising data identifying at least one individual; generating, .with at least one processor, a first
`hash by hashing at least one first data element with at least one second data element of the subset
`of data elements; generating, with at least one processor, a second hash by hashing the first hash
`with at least one third data element of the subset of data elements; creating at least one token based
`at least partially on the second hash or a subsequent hash derived from the second-hash, wherein
`the token identifies the at least one individual; and associating at least a portion of a remainder of
`the data elements of the plurality of data elements with the at least one token.
`(0008] According to another preferred embodiment, provided is a system for de-identifying
`data, comprising: a data supplier computer comprising at least one processor and a de(cid:173)
`identification engine, the de-identification engine configured to: (i) process a data record
`· comprising a plurality of data elements, wherein a subset of data elements of the plurality of data
`elements comprises identifying information; (ii) generate a token based at least partially on a series
`
`of hashes of individual data elements of the subset of data elements, wherein a plurality of hashes
`in the series of hashes are based at least partially on a previous hash in the series of hashes;
`(iii) encrypt at least the token to generate an encrypted token; (b) a data processing entity computer
`remote from the data supplier computer, the data processing computer comprising at least one
`processor configured to: (i) receive the encrypted token and unencrypted data elements from the
`data supplier computer; (ii) decrypt the encrypted token, resulting in the token; (iii) link the token
`and unencrypted data elements with at least one other record based at least partially on the token.
`[0009] According to a further preferred embodiment, provided is a de-identification system,
`comprising: a de-identification subsystem comprising at least one computer-readable medi1¥11
`containing program instructions which, when executed by at least one remote processor at a data
`· supplier, causes the at least one remote processor to: create a token from at least one record, the
`. token created by performing at least one hash operation on at least one data element of at least one
`record, wherein the at least one data element comprises personally-identifying information;
`
`encrypt the token with a randomly-generated encryption key, forming an encrypted token; and
`
`encrypt the encrypted token and the randomly-generated encryption key with a public key, forming
`encrypted data; and a record processing subsystem comprising a server and at least one computer-
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`readable medium containing program instructions which, when executed by at least one processor,
`causes the at least one processor to: receive the encrypted data; decrypt the encrypted data with a
`private key corresponding to the public key, resulting in the randomly-generated encryption key
`and the encrypted token; and decrypt the encrypted token with the randomly-generated encryption
`key.
`[0010] According to another preferred embodiment, provided is a de-identification engine for
`de-identifying at least one record comprising a plurality of data elements, wherein a subset of the
`plurality of data elements comprise personally-identifying_ data, the de-identificati?n engine
`comprising at least one computer-readable medium containing. program instructions that, when
`executed by. at least one processor of at least one compuier, cause the at least one computer to:
`(a) generate an initial hash by hashing at least one key and a first data element of the subset of data
`elements; (b) generate a next hash by hashing a next data element of the subset of data elements
`with a previous hash value generated by hashing at least a previous data element of the subset of
`4ata elements; and ( c) repeat step· (b) for all data elements of the subset of data elements, resulting
`in a final hash value.
`[00llj These and other features and characteristics of the present invention, as well as the
`methods of operation and functions of the related elements of structures and the combination of
`parts and economies of manufacture, will become more apparent upon consideration of the
`following description and the appended claims with reference to the accompanying drawings, all
`of which form apart of this specification, wherein like reference numerals designate corresponding
`parts in.the various figures. It is to be expressly understood, however, that the drawings are for the
`purpose of illustration and 4escription only and are not intended as a definition of the limits of the
`invention. As used in the specification and the claims, the singular form of "a", "an", and "the"
`include plural referents unless the context clearly dictates otherwise.
`
`BRIEF DESCRIPTION OF THE DRAWINGS
`[0012] FIG. 1 is a schematic diagram for a system for de-identifying data according to the
`principles of the present invention;
`[0013] FIGS. 2A-2C are schematic diagrams for a cascading hash process for de-identifying
`data according to the principles of the present invention;
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`[0014) FIGS. 3A and 3B are flow diagrams for a system and method for de-identifying data
`according to the principles of the present invention; and
`[0015) FIG. 4 is a further flow diagram for a system and method for de-identifying data
`according to the princ_iples of the present invention.
`
`DESCRIPTION OF THE PREFERRED EMBODIMENTS
`[0016) For purposes ofihe description hereinafter, it is to be understood that the invention may
`assume various alternative variations and step sequences, except where expressly specified to the
`contrary. It is also to be understood that the specific devices and processes illustrated in the
`
`attached. drawings, and described in the following specification, are simply exemplary
`embodiments of the invention. Hence, specific dimensions and other physical characteristics
`
`related to the embodiments disclosed herein are not to be considered as limiting.
`{0017) As used herein, the terms "communication" and "communicate" refer to the receipt,
`transmission, or transfer of one or more signals, messages, commands, or other type of data. For
`
`one unit or device to be in communication with another unit or device means that the one unit or
`
`device is able to receive data from and/or transmit data to the other unit or· device. A
`
`communication may use a direct or indirect connection, and may be wired and/or wireless in
`
`nature. Additionally, two units or devices may be in communication with each other even though
`the data transmitted may be modified, processed, routed, etc., between the first and second unit or
`device. It will be appreciated that numerous other arrangements are possible.
`[0018)
`In a preferred and· non-limiting embodiment of the present invention,. provided is a
`system for de-identifying data that includes a de-identification engine config~ed to. hash
`
`personally identifying da~ within a data record, while at the same time passing through non(cid:173)
`
`identifying data (e.g., a refill number and/or the like). In this way, the system has the ability to
`perform · data cleansing operations (e.g.,· justification, padding, range checking, character set
`
`validation, date cleaning, zoned decimal conversion, and/or the like), data derivation (e.g., ages,
`
`combinations of fields, andior the like), and/or data translation (e.g., state abbreviations to state
`
`names, or the like). Various other formatting and normalization functions are also possible.
`{0019] To create a unique identifier for an individual (i.e., a patient, a consumer, or the like),
`the de-identification engine of the present invention may support configurable standardization and
`
`hashing of fields. By using multiple fields to create a unique identifier, the system of the present
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`invention ensures that statistical · analysis or other reverse'-engineering techniques cannot be
`perfonned on the hashed values to detennine a person's identity. For example, applying a hashing
`algorithm ( e.g., SHA-3 or other hashing algorithms) to the first name "John" will produce a secure
`token that cannot be reversed back to the name "John," but potentially allows for a statistical
`analysis operation to be p_erfonned to determine that the most frequent first name hash token
`represents the name "John." A similar analysis could be perfonned on other non-unique fields as
`well. For that reason, multiple fields are used to create a distinct (or sufficiently distinct) de(cid:173)
`identification value. For example, using a first name, last name, date of birth, and zip code may
`be considered sufficiently distinct to prevent statistical cracking.
`[0020] Referring now to FIG. 1, a system 1000 for de-identifying data is shown according to a
`preferred and non-limiting embodiment. A data supplier 103 is in communication with a raw data
`storage unit 104, which may include one qr more data storage devices. The raw data storage unit
`104 may comprise one or more data structures, such as tables, databases, and/or the like, including
`records personally identifying individuals. The data supplier 103 includes one or more computers,
`such as servers, user te~nals, processors; and/or the like, and a de-identification engine 107 that
`
`executes on one or more of the data supplier 103 computers. The de-identification engine-107 may
`include compiled program instructions capable of being executed on a data supplier 103 computer
`and configured to process data records from the raw data storage unit 104. The data supplier 103
`is also given access to a configuration file 105, a signature file, and a public key for use in the de(cid:173)
`identification process. The data supplier 103 may be one of many data suppliers. associated with
`
`a particular client 106, and multiple clients may each be associated with multiple data s~ppliers.
`It will be appreciated that other arrangements are possible.
`[0021] With continued reference to FIG. 1, a data processing entity 108 is shown in
`communication with the data supplier 103 through a network environment 112, such as the Internet
`or any direct or indirect network connection. The data processing entity· 108 is in communication
`with a de-identification data storage unit 111 and. includes one or more computers capable of ·
`executing a matching engine 109 and a token processing engine 110. The matching engine 109
`and/or token processing engine 110 may include compiled program instructions capable of being
`
`executed on a data processing entity 108 computer. The token _processing engine 110 may be
`configured to receive output from the data supplier 103 and, as explained further below, perfo_nn
`additional operations on the token or encrypted output such as, but not limited to, decrypting
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`encrypted output data and hashing the token generated by the de-identification engine 107 with a
`seed/key unique to the client 106 and/or data supplier 103 to produce a new token.
`[0022) Still referring to FIG. 1, the matching engine 109 may be configured to match tokens
`among de-identified records, received from the data supplier 103, with other records in the de(cid:173)
`identification data storage unit 111. For example, the matching engine 109 may use the tokens
`generated or output by the de-identification engine 107, or the new tokens generated or output by
`the token processing engine, to match the records received with a unique individual, and to ·link
`the record t~ that individual. The de-identification data storage unit 111 may include one or more
`data storage devices that comprise one or more dat8: structures such as tables, databases, and/or the
`like. The system 1000 is distributed such that the data supplier is in a location 115 remote from a
`location 113 of the data processing entity 108. In this way, the raw data can be de-identified.
`In a preferred and non-limiting embodiment, a cascading hash process is used to generate
`[0023]
`a de-identified token. A cascading hash process may increase token security against attacks from
`crackers· and hackers. Instead of concatenating multiple fields, adding a secret-seed, and then
`hashing to form a token, the cascading has