llIlIIIlIIIIIIlI
`
`USUUS629930A
`
`United States Patent
`
`[191
`
`{11]
`
`Patent Number:
`
`5,629,930
`
`Stefik et a1.
`
`[45] Date of Patent:
`
`May 13, 1997
`
`[S4] SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS
`
`[75]
`
`Inventors: Mark J. Stefik. Woodside; Michalene
`M. Casey. Meagan Hill, both of Calif.
`
`Weber. R.. “Digital Rights Management Technology”. Oct.
`1995.
`
`European Search Report for Conesponding European Appli-
`cation 95308420.9.
`
`[73] Assignee: Xerox Corporation. Stamford. Conn.
`
`(LEI continued on next page.)
`
`[le APPL No; 344342
`[22] Filed:
`Nov. 23’ 1994
`
`........... H041. won
`................
`Int. 01.5
`[51}
`[52] us. Cl. .................................................................. 380M
`[58] Field of Search
`380M; 2353330
`
`[56]
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`
`3,263,158
`133332
`'
`'
`4324578
`
`7f1966 Janis ____ 380:4
`
`7:13;; giant!!! -----
`Ziiggg
`
`4
`man
`
`5(1990 Hank” ‘1 a].
`"
`36mm
`(List continued on next page.)
`F REI N PATENT D
`ENT
`OCUM
`0
`G
`S
`0332707
`931939 5W3”, P31— Off- -
`“@22st
`411991
`united Kingdom ‘
`9220022
`1111992 WIPO .
`9301550
`1,1993 WIFO
`
`(3051: [”34
`
`UPI-[ER PUBLICATIONS
`
`Press Release From Electronic Publishing Resources. Inc.
`(EPR) entitled “National Semiconductor and EPR Partner
`for Information Meterinngata Security Cards”, dated Mar.
`4. 1994.
`
`Pn'mary Examiner—Salvatore. Cangialosi
`Attorney. Agent, or Firm—Richard B. Domingo
`
`[57]
`
`ABSTRACT
`
`A system for controlling use and disuibulion of digital
`works. In the present invention. the owner of a digital th'k
`attaches usage rights to that work. Usage rights are granted
`by the “owner" of a digital work to “buyers" of the digital
`work. The usage tights define how a digital work may be
`used and further distributed by the buyer. Each right has
`associated with it certain Optional specifications which out-
`line the conditions and fees upon which the right may be
`extecised. Digital works are stored in a repository. Areposi-
`tory will process each request to access a digital work by
`examining the corresponding usage rights. Digital work
`playback devices, coupled to the repository containing the
`work. are used to play. display or print the work. Access to
`digital works for the purposes of transporting between
`.
`.
`,
`.
`.
`.
`l"313"~"51t‘-‘1'1‘°-S (e.g. ‘30ng leTOng 01' transfer) is earned
`out using a digital worktrauslaort protocol. Access to digital
`works for the purposes of replay by a digital work playback
`devioe (e.g- printing. displaying or executing) is carried out
`using a digital work playback protocol.
`
`31 Claims, 13 Drawing Sheets
`
`Cl'ujar out-u
`o-Jinl Work
`
`[at
`
`u
`Helm lune-rd To
`
`whim Wat‘s and
`Maudie summery l
`
`Ems-w J lummn
`5mm! Pin Reposition! ‘
`
`1102
`
`W?
`-’
`
`
` I: it 2m in
`Mafiaw'
`IWu‘rant
`
`ASH! Put-ml
`
`{w
`
`an penile
`I Chucks Ling:
`0‘
`i'll'orl: To
`Right:
`
`DIE-milled Ilene” Ml!
`BI Granted
`
`
`
`
`
`1
`he
`I:
`termimsgmnn
`within-mt
`
`
`Mani!
`itanimils
`it.- Worth
`D‘
`
`1mm:
`
`
`(pf-lot
`flu Writer! 1 Ind 2 Each
`filmfle Billing
`lnlnllllltlarl Mlnnlmit
`to mains-nu
`
`1
`1
`
`SAMSUNG-1005
`SAMSUNG—1005
`
`

`

`5,629,980
`Page 2
`
`U.S. PATENT DOCUMENTS
`
`............. 38014
`330“
`
`.. 380123
`1 3641408
`
`.....
`...
`
`..
`
`.
`.
`
`..
`
`...
`
`
`
`611990 Chonel 31.
`4,932,054
`611990 Robert et a1.
`4,937,863
`8!1990 Ryder, Sr. et 21.
`4,953,209
`4,961,142 1011990 Elliottet al.
`..
`4,977.594 12(1990 Shear
`5,010,571
`4/1991 Kaunelson
`5,014,234
`51'1991 Edwards 11'.
`S,0Q3,9D‘1
`611991 Johnson et al.
`5,04?,%8
`911991 “fiedemer
`51150213
`911991 Shear
`5,058,164 1011991 Elmeret a].
`5,103,476 M1992 Waiteetnl.
`5,113,519
`511992 Johnson et a].
`5,146,499
`911992 Geflfrolin
`5,159,182
`1010992 Eisele ........
`5,191,193
`3.0993 LeRonx
`5,204,:39'1rI
`41'1993 Wyman
`5,235,642
`81’1993 Wohber et a].
`5247575
`911993 Sprngue et a].
`5,260,999 1111993 Wyman
`5,263,151I
`1111993 Janis ..
`5,291,596
`311994 Min ..................
`5,339,091
`311994 Yamazalci et 111.
`..... 33914
`5,432,849
`7:19-95 1611636621 91.
`
`38014
`5,435503
`3:199: Wyman .........
`...... 380.14
`5,504,314
`419996 ijahaxa ......
`
`711996 Stefik eta].- 2351680
`5530235
`
`.......
`.
`
`OTHER PU'BIJCATIONS
`
`U. Flasche et 111., Decentralized Processing of Documents.
`Camper. (iv. Graphics, vol. 10. No. 2. 1986, pp. 119—131.
`R. Mori et al., Superdistribution: The Concept and the
`Architecture. The Transactions of the [RICE vol. E '13. No.
`7, 1990. Tokyo, JP, pp. 1133—1146.
`Weber, R.. "Metering Technologies For Digital Intelleemfl
`Hopetty." A Report to the Interactions! Federation of
`Reproduction Rights Organizations, Oct. 1994. pp. 1—29.
`Clark. EC. and Holfinan, L.J.. “Bits: A Smartoard Protected
`Operating System.“ Communications of the ACM, Nov.
`1994, vol. 37. No. 11. pp. 66—70. and 94.
`Ross. RE. "Data guard", Forbes, Jun. 6. 1994, p. 101.
`Saigh, W.K., "Knowledge is Sacred," Video Pocket/Pogo
`Reader Systems, Ltd, 1992.
`Kahn. RE... “Deposit, Registration and Recordation In An
`Electronic Copyright Management System,” Corporation
`for National Research [nitz'otiven Virginia. Aug. 1992. pp.
`1—19.
`
`Hilts,P., Mutter. 1., and Taylor. 3., “BOOKS While UWait.”
`Publishers Weekly Jan. 3. 1994. pp. 43—50.
`Straitner, A.. “Cash register on a chip may revolutionize
`software pricing and distribution; Wave Systems Corp,"
`Computer Shopper: Copyright. Apr. 1994, vol. 14; No. 4: p.
`62; ISSN 0336—0556.
`
`O’Connor, MA. “New distn'bution option for electronic
`publishers; iOpener data encryption andmetering system for
`CD—ROM use; Column.” (TD—ROM Professional, Copy-
`right. Mar. 1994, vol. 7: No. 2; p. 134; ISSN: 1049—0333.
`Willett, S._. “Metered PCs: Is your system watching you?;
`Wave Systems beta tests new technology," [nfoWoroi Copy—
`right. May 2. 1994. p. 84.
`Linn. RJ.. “Coth and Information Smices in the
`Context of the National Research and. Education Networ
`."
`[MA Intellectual Property Project Proceedings. Inn. 1994.
`vol. 1. Issue 1. pp. 9—20.
`enitt, in. 11.11.. “Pmnissions Headers and Contract Law.“
`[MA Intellectual Property Project Proceedings, Jan. 1994.
`vol. 1. Issue 1. pp. 27—48.
`Upthegrmre. L. and Roberts. R.. “Intellectual Property
`Header Descriptors: A Dynamic Approach." [MA Intellec-
`tual Property Project Proceedings, Jan. 1994. vol. 1, Issue
`1, pp. 63—66.
`Sirbo. M.A.. “Internet Billing Service Design and Prototype
`Implementation." [MA [ntellectnol Property Project Pro-
`ceedings, Jan. 1994. vol. 1. Issue 1. pp. 67—80.
`Simmol. 8.5.. and Godard, L. “Meteting and Licensing of
`Resources: Kala's General Purpose Approach.“ [MA Intel'-
`[ectuol Property Project Proceedings, Jan. 1994. vol. 1,
`Issue 1. pp. 81—110.
`Kehn. 12.19., “Deposit. Registration and Reorn'dation in an
`Electronic Copyright Management System.“ [MA [ntellec—
`nta! Property Project Proceedings, Jan. 1994. vol. 1, Issue
`1._ pp. 111—120.
`Tygar. 1.13.. and Bennet. Y1. ‘Dyad: A System for Using
`Physically Secure Comoessors." [MA Intellectual Property
`ijectProceedt‘ngs, Jan. 1994. vol. 1, Issue 1, pp. 121—152.
`Griswold, G.N.._ “A Method for Protecting Copyright on
`Networks," [MA Intellectual Property Project Proceedings,
`Jan. 1994, vol. 1, Issue 1. pp. 169—178.
`Nelson. T.1I., “A Publishing and Royalty Model for Net-
`Wm‘ked Documents." [MA Intellectual Property Project Pro-
`ceedings, Jan. 1994. vol. 1. Issue 1. pp, 257—259.
`
`2
`
`

`

`US. Patent
`
`May 13,1997
`
`Sheet 1 of 13
`
`5,629,980
`
`101
`Creator Creates A
`Dig ital Work
`
`.
`Usage Rights Attached To
`Digital Wark and
`Deposited In Repository 1
`
`102
`
`103
`
`Repository 2 Initiates A
`
`Session With Repository 1
`
`
`
`
`
`
`
`
`Repository 2 Requests
`AccessTo Digital Work for
`
`
`A State Purpose
`
`104
`
`
`
` Repository 1 Checks Usage
`
`Rights of Digitai Work To
`DeterminedIf Access May
`
`Be Granted
`
`
`
`Access Denied
`Access Granted
`
`105
`
`
`
`Repository 1
`Terminates Session
`
`with Error
`
`
`Repositorr 1 Transmits
`Di
`ita Work To
`Repository 2
`
`
`
`
`
`
`Repository‘l and 2 Each
`Generate Billing
`Information And Transmit
`
`
`To Credit Server
`
`
`Fig. 1
`
`3
`
`

`

`US. Patent
`
`May 13,1997
`
`Sheet 2 of 13
`
`5,629,980
`
`'
`Master
`}
`E Repository
`
`1
`5
`:
`
`y
`
`Rendering
`Repository
`203
`
`Authorization
`Repository
`202
`
`Repository
`
`i
`5
`Billing
`:
`: Clearinghouse .
`i
`303
`E
`
`4
`
`

`

`US. Patent
`
`May 13,1997
`
`Sheet 3 of 13
`
`5,629,980
`
`
`,
`
`
`PrintEr
`Repository
`
`
`402
`
`I """"""""""""""" '1
`I
`I
`l
`I
`l
`I
`I
`I
`I
`I
`I
`I
`I
`l
`l
`I
`I
`|
`I
`I
`I. __________________________ .l
`
`
`
`Repository
`404
`
`
`
`Fig. 4a
`
`F410
`
`Display!
`Execution
`
`
`Repositury
`
`411
`
`Execution
`Engine
`413
`
`
`
`41 5
`
`I. _______________________________________
`I
`i
`'
`l
`I
`i
`I
`l
`I
`l
`:
`I
`I
`:
`I
`l
`l
`|
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`:
`I
`I
`1
`I
`I
`'
`i
`I
`I
`I
`
`.
`SCredIt
`3%“
`
`Repository
`
`5
`
`

`

`US. Patent.
`
`May 13, 1997
`
`Sheet 4 of 13
`
`5,629,980
`
`0
`
`20,000
`
`40.000
`
`60.000
`
`80,000
`
`
`
`0
`
`10,000
`
`30,000
`
`
`
`Text
`614
`
`Photo
`615
`
`Graphics
`616
`
`Sidebar
`61?
`
`Fig. 6
`
`6
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 5 of 13
`
`5,629,980
`
`
`
`
`
`700
`
`
`
`
`
`u--.--—
`
`Fig. 7
`
`
`
`
`
`
`
`
`
`Identifier
`T01
`
`Sta rting Address
`702
`
`Length
`703
`
`Rights Portion
`704
`
`Parent Pointer
`705
`
`Child Pointer
`706
`
`Top
`d-bI0ck
`820
`
`
`
`Fig. 8
`
`(Sidebar)
`
`d-block
`928
`
`Fig. 9
`
`7
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 6 of 13
`
`5,629,980
`
`1052
`
`Status
`Information
`
`Fig. 10
`
`
`
`Transactional
`Component
`1451
`
`Specification
`Component
`1452
`
`
`
`
`Copy Count
`1 453
`
`Control
`1457
`
`Feesilncentives
`1454
`
`
`
`1456
`
`Fig. 14
`
`8
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 7 of 13
`
`5,629,980
`
`Identifier (Magazine)
`
`Starting Address (0)
`
`Length (100,000)
`.
`_
`ng hts Portion
`(PRINTNIEW)
`
`Parent Pointer
`
`Child Pointers
`
`root
`d-block
`1 101
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`i_l
`
`Rights Portion
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` Child Pointers
`
`d-biock
`1 1 02
`
`d-block
`1105
`
`Identifier (Articie 3)
`
`Identifier (Article 4)
`
`Starting Address (50.001)
`
`Starting Address (75.001)
`
`Length (25,000)
`
`Length (25,000)
`
`Rights Portion
`(VIEW)
`
`Parent Pointer
`
`Child Pointers
`
`Rights Portion
`(PRINT (Feed)
`
`d-block
`1103
`
`d—block
`1104
`
`Fig. 1 1
`
`9
`
`

`

`US. Patent
`
`May 13,1997
`
`Sheet 3 of 13
`
`5,629,980
`
`Processing
`Element
`1201
`
`Processor
`Memory
`1202
`
`External
`Interface
`1206
`
`1203
`
`Descfiptor
`Storage
`
`Repository Specfic
`Software
`Functiona'Services
`1304
`
`
` User
`Interface
`
`1305
`
`
`
`
`
`Usage Transaction
`Handlers
`1303
`
`
`Core Repository
`
`Serviceszransaction
`Identification
`
`
`Handling
`Cerglgggtes
`
`
`1 302
`
`Operating
`System
`1 301
`
`
`Fig. 13
`
`10
`10
`
`

`

`US. Patent
`
`May 13,1997
`
`Sheet 9 of 13
`
`5,629,980
`
`1501 -Digital Work Rights: = (Rights*)
`1502 “-Right 2: I‘Right-Code {Copy-Count} {Control-Spec} {Time-Spec }
`{Access-Spec} {Fee-Spec})
`
`ISOBwRight-C ode := Render-Code | Transport-Code I File-Management
`
`CodeI Derivative-Works— Code | Configuration-C ode
`
`1504 MRender-Code := [ Play: {Player Player-ID} | Print: {Printer Printer-[DI]
`
`1505 wTransporb-Code := {Copy l Transfer | Loan {Remaining-Rights:
`
`Next-Set-of-Rights}]{[1%beany-Rights: Next-Set-of—Rights)}
`ISOSMFHe-Management-C ode
`:2 Backup {Back-Up—Copy-Rights:
`
`Next-Set-of-Rights} | Restore I Delete I Folder
`
`| Directory (Name: Hide-Local | Hide-Remote}
`
`{Partsz Hide-Local l Hide~Remote}
`1507W’Derivative-Works-C ode :=
`[Extract | Embed I EditIProcess:
`Process-{DH {N ext-Copy-Rights :
`
`Next-Set~of Rights}
`1503 r*—-~Confignration-Code : = Install I Uninstall
`1509 wNext-Set-of-Rights : = {(Add: Set-OflR'LghtSJ} {(Delete:
`
`Set-Of-Rightsfl {{Replace: Set-Of-Rights JHIKeep: Set-Of‘Rights J}
`1570~Copy-Count : = (Copies:positive—integer I 0 | Unlimited)
`1511 MControl-Spec ;= (Control: {Restrictable I Unrestrictable}
`
`1512 MTime-Spec := {{Fixed-Interval I Sliding-Interval | Meter-Time}
`
`{Unchargeahle | Chargeahle})
`
`Until: Expiration-Date)
`1513M Fixed-Interval := From: Start-Time
`
`7574~511ding-Interval : = Interval: Use-Duration
`15 i 5 WMeter-Time: = Time-Remaining: Remaining-Use
`1515 ~—— Access—Spec := [{SC: Security-Class} {Authorization-1: Authorization-[13“I
`{Other-Authorization: Authorization-113*} {Ticket Ticket-IUD
`1 517~Fee-Spec: = {Scheduled-Discount} Regular-Fee-Spec | Scheduled-Fee-Spec |
`
`Markup-Spec
`1513~Schedu1ed-Discount: = Scheduled-Discount: (Scheduled-Discount:
`
`| Incentive: } [Per-Uee-Spec I Metered-Rate-
`1519~Regular-Fee-Spec : = ({Fee:
`Spec I Best-Price-Spec | Call-For—Price-Spec]
`
`(Time-Spec Percentage?)
`
`{Minz Money~Unit Per: Time-SpecHMax:
`
`Money-Unit Per: Time-Spec} To: Account-ID)
`
`1520 hPer-Usefipec: = Per~Uee: Money-unit
`1531 WMetered-Rate-Spec := Metered: Money-Unit Per: Time-Spec
`1522 MBest-Price-Spec : = Best-Price: Money-unit Max: Money-unit
`1523MCall-For-Price-Spec := Gail-For -Price
`524““ Scheduled-Fee-Spec: 2 (Schedule: {Time-Spec Regular-Fee-Spec)‘ )
`
`1525 wMarkup-Spec: = Markup: percentage To: Account-ID
`
`Fig. 15
`
`11
`11
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 10 of 13
`
`5,629,980
`
`REPOSITORY-‘i
`
`REPOSITORY-Z
`
`1601
`
` Generate Re istration
`
`Identi ier
`
`
`
`
`
`
`Generate Registration
`Message
`
`Transmit Registration
`Message
`
`Decrypt Performance
`Message
`
`
`
`essage
`Registration
`Decryfi
`
`
`
`
`
`Save Encrypted
`Repositor -1
`
`Registration! entifier
`
`
`Extract Re pository-‘i
`identifier
`
`
`
`
`
`Repository
`Names 0.K.?
`
`
`Repository-1
`on Hotiist?
`
`
`Time Accurate?
`
`
`
` Registration
`
`Identifier Same
`
`As One Sent?
`
`
`es
`Y
`1615
`
`Nance Same
`
`
`As Original?
`
`
`
`
`No
`
`Generate Performance
`
`Message
`
`Transmit Performance
`
`Message
`
`No
`
`Repository- 2
`Terminate Transaction
`
`
`
`
`
`
`Repository- 1
`Terminate Transaction
`
`
`
`Fig. 1 6
`
`
`
`12
`12
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 11 of 13
`
`5,629,980
`
`REPOSITORY-1
`
`REPOSITORY-Z
`
`Create a Session Key Pair
`
`Decrypt Second Key
`
`1701
`
`1702
`
`Encrypt Second Key Using
`Public Key of Repository-2
`
`Generate Timestamp
`Exchange Message
`
`1703
`
`Transmit Encrypted Second
`Key To Reposito ry-Z
`
`Exchange Message
`To Repository-1
`
`1704
`
`
`
`1705
`
`1706
`
`1709
`
`1710
`
`
`
`
`
`
`
`
`
`
`
` Transmit Timestamp
`
`
`
`
`
`
`
`
`
`
`Generate Timestamp
`Message
`
`1 707
`
`1703
`
`Transmit Timestarnp
`Message To RepositOry-z
`
`.
`Note Current Tune
`
`
`Save Time From Repository—1
`
`1711'
`
`Compare Current Time With
`Time From Repository-1
`
`1712
`
`
`Time
`
`Difference Exceed
`Tolerance?
`
`
`
`Yes
`
`Terminate Transaction
`
`
`
`
`Compute Ad'usted
`Time De ta
`
`Fig. 17
`
`13
`13
`
`

`

`US. Patent
`
`May 13,1997
`
`Sheet 12 of13
`
`5,629,980
`
`
`
`SERVER
`1803
`RE UESTER
`
`Server Generates
`
` Requester
`Transaction identifier
`Performs General
`Tests
`
`Tests Passed
`
`1804
`
`
`Tests Failed
`
`
`
`
`1302
`Yes
`Right
`
`
`Granted?
`
`
`
`
`Time
`Based Conditions
`Satisfied?
`
`Do Not initiate
`Transaction
`
`1807
`
`
`
`
`
`Yes
`
`
`Security And
`
`' ccess Condition
`Satisifed
`
`Copy Count: 0?
`
`No
`
`
`
`,
`Determine Set Of
`Remaining Rights
`
`
`
`opies in Use For
`Decrement Cogy
`Right > Copy Count
`Count For Rig t
`
`Of Request?
`
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`1811
`1813
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`
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`Loan
`.
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`All Copies
`.
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`Loaned Out?
`R192: $53?“
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` Right In
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`Remaining Set
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`of Rights?
`
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`Fee
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`Conditions
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`1815
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`1315
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`1319
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`Satisfied?
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`Terminate Transaction
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`1817
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`Perforrn Usage
`Transaction Steps
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`Decrement Co ies In Use.l For
`
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`Right By Num er In Request
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`1818
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`For Metered Use. Subtract
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`Eia psed Time From Remaining
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`Use Time For Right
`Fig. 18
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`14
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`Initiate find-Charge Financial
`Transaction to Confirm Billing
`
`

`

`US. Patent
`
`May'13,1997
`
`Sheet 13 of 13
`
`5,629,980
`
`SERVER
`
`
`
`
`(Cancel)
`Fail
`1912
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`New
`Transaction
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`1902
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`Commit Report
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`To Credit Server
`1914
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`- — — - -'
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`I IIII I
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`Report Error
`To Credit Server
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`191 5
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`.
`Una
`1901
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`[Adi
`I
`I
`i
`I
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`I
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`CLIENT
`I
`:
`1
`l
`i
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`1
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`Transaction
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`To Credit Server
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`Acknowledge
`1910
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`Report Error
`To Credit Server
`1918
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`Done
`1919
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`Fig. 19
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`15
`15
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`

`

`1
`SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS
`
`FIELD OF THE INVENTION
`
`The present invention relates to the field of distribution
`and usage rights enforcement for digitally encoded works.
`
`BACKGROUND OF THE WON
`
`A fundamental issue facing the publishing and informa-
`tion industries as they consider electronic publishing is how
`to prevent the unauthorized and unaccounted distribution or
`usage of electronically published materials. Electronically
`published materials are typically distributed in a digital form
`and recreated on a computer based system having the
`capability to recreate the materials. Audio and video
`recordings. software. books and multimedia works are all
`being electronically published. Companies in these indus-
`tries receive royalties for each accounted for delivery of the
`materials. eg. the sale of an audio CD at a retail outlet. Any
`Unaocounted distribution of a work results in an unpaid
`royalty (eg. copying the audio remrding CD to another
`digital medium.)
`The ease in which electronically published works can be
`“perfectly” reproduced and distributed is a major concern.
`”the transmission of digital works over networks is com-
`rnonplace. One such widely used network is the Internet.
`The Internet is a widespread network facility by which
`computer users in many universities. corporations and gov-
`ernment entities communicate and trade ideas and informa-
`tion. Computer bulletin boards found on the Internet and
`commercial networks such as CompuServ and Prodigy
`allow for the posting and retrieving of digital information.
`Infornration services such as Dialog and LEXJSINEXIS
`provide databases of current infonnation on a wide variety
`of topics. Another factor which will exacerbate the situation
`is the development and expansion of the National Informa-
`tion Infrastructure (the NH). It is anticipated that. as the N1]
`grows. the n-ansnrission of digital works over networks will
`increase many times over. It would be desirable to utilize the
`N11 for distribution of digital works without the fear of
`widespread unauthorized copying.
`The most shaightt‘onvard way to curb unaccounted dis-
`tribution is to {revent unauthorized copying and transmis-
`sion. For existing materials that are distributed in digital
`form. various safeguards are used. In the case of software.
`copy protection schemes which limit the number of copies
`that am he made or which corrupt the output when cepying
`is detected have been employed. Another scheme causes
`software to become disabled after a predetermined period of
`time has lapsed. A technique used for workstation based
`sofiware is to require that a special hardware device must be
`pesent on the workstation in order for the software to run.
`eg, see U.S. Pat. No. 4.932.054 entitled ‘Method and
`Apparatus for Protecting Computer Software Utilizing
`Coded Filter Networkin Conjunction with an Active Coded
`Hardware Device." Such devices are provided with the
`software and are commonly referred to as dougles.
`Yet another- scheme is to distribute software, but which
`requires a “key" to enable it‘s use. This is employed in
`distribution schemes whore "demos” of the software are
`
`provided on a medium along with the entire product. The
`demos can be freely used. but in order to use the neural
`product, the key must be purchased. These Scheme do not
`hinder copying of the softWare once the key is initially
`purchased
`
`5,629,980
`
`2
`
`A system for ensuring that licenses are in place for using
`licensed products is desm'bed in PCT Publication W0
`93f0155l} to Griswold entitled “License Management Sys-
`tem and Method.” The licensed product may be any elec-
`tronically published work but is most effective for use with
`Works that are used for extended periods of time such as
`software programs. Griswoldrequires that the licensed prod-
`uct contain software to invoke a license check monitor at
`predetermined time intervals. The license check monitor
`generates request datagrams which identify the licensee. The
`request datagrams are sent to a license control system over
`an appropriate communication facility. The license control
`system then checks the datagram to determine if the data-
`gram is from a valid licensee. The license control system
`then sends a reply datagram to the license check monitor
`indicating denial or approval of usage. The license control
`system will deny usage in the event that request datagrarns
`go unanswered after a predetermined period of time (which
`may indicate an unauthorized attempt to use the licensed
`product). In this system. usage is managed at a central
`location by the response datagrams. So for example if
`license fees have not been paid. access to the licensed
`product is laminated.
`It is argued by Griswold that the described system is
`advantageous because it can be implemented entirely in
`software. However. the system described by Griswold has
`limitations. An important limitation is that during the use of
`the licensed product. the user must always be coupled to an
`appropriate communication facility in order to send and
`receive datagtams. This treates a dependency on the com-
`munication facility. So if the connnunication facility is not
`available, the licensed product cannot be used. Moreover.
`some party must absorb the cost of communicating with the
`license server.
`
`A system for controlling the distribution of digitally
`encoded books is embodied in a system available from VPR
`Systems. LTD. of St. Louis, Mo. The VP‘R system is
`self-contained and is comprised of: (I) point of sale kiosks
`for storing and downloading of books. (2) personal storage
`mediums (cartridges) to which the books are downloaded.
`and (3} readers for viewing the book. In a purchase
`transaction. a purchaser will purchase a voucher card rcp~
`resenting the desired book The voucher will contain suffi«
`cient infomation to identify the bookpurcbased and perhaps
`some demographic information relating to the sales bans-
`action. To download the book. the voucher and the cartridge
`are inserted into the kiosk.
`
`The V'PR system may also be used as a library. In such an
`embodiment. the kiosk manages the number of “copies" that
`may be checked out at one time. Ftn'ther. the copy of the
`book is erased from the users cartridge after a certain
`check—out time has expired. However.
`individuals cannot
`loan books because the cartridges may only be used with the
`owuers reader.
`
`The foregoing distribution and protection schemes oper-
`ate in part by preventing subsequent distribution of the work.
`While this certainly prevents unauthorized distributions. it
`does so by sacrificing the potential for subsequent revenue
`bearing uses. For example. it may be desirable to allow the
`lending of a purchased work to permit exposure of the work
`to potential buyers. Another example would be to pemrit the
`creation of a derivative work for a fee. Yet another example
`would be to permit copying the work for a fee (essentially
`purchasing it). Thus. it would be desirable to provide flex-
`ibility in how the owner of a digital work may allow it to be
`distributed.
`
`While flexibility in distribution is a concern. the runners
`of a work want to make sure they are paid for such
`
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`

`

`5,629,980
`
`3
`distributions. In US. Pat. No. 4.977.594 to Shear, entitled
`“Database Usage Metering and Protection System and
`Method." a system for metering and billing for usage of
`information distributed on a CD-ROM is described The
`system requires the addition of a billing module to the
`computer system. The billing module may Operate in a
`number of different ways. First. it may pmiodically com-
`municate billing data to a central billing facility. whereupon
`the user may be billed. Second. billng may occur by
`disconnecting the billing module and the user sending it to
`decode] billing facility where the datais read. and a userbill
`generated.
`U.S. Pat. No. 5247575, Sprague et al.. entitled "infor-
`mation Distribution System“. desruibcs an information dis-
`tribution system which provides and charges only for user
`selected information A plurality of encrypted information
`packages (IPs) are provided at the user site, via high antitru-
`low density storage media andlor by broadcast transmission.
`Some of the LIPS may be of no interest to the user. The E5
`of interest are selected by the user and are decrypted and
`stored locally. The [PS may be printed. displayed or even
`copied to other storage medias. The charges for the selected
`IP's are accumulated within a user apparatus and periodi-
`cally reported by telephone to a central accounting facility.
`The central accounting facility also issues keys to deuypt
`the [Pa The keys are changed periodically. If the central
`accounting facility has not issued a new key for a particular
`user station, the station is unable to ren-ieve information
`from the system when the key is changed.
`A system available from Wave Systems Corp. of
`Princeton. N.Y.. provides for metering of software usage on
`a personal computer. The system is installed onto a computer
`and collects information on what software is in use. encrypts
`it and then transmits the information to a transaction center.
`From the transaction center, a bill is generated and sent to
`the user. The transaction center also maintains customer
`accounts so that licensing fees may be forwarded directly to
`the sofMar-e providers. Software operating under this system
`must be modified so that usage can be accounted.
`Known techniques for billing do not provide for billing of
`copies made of the work. For example, if data is copied item
`the CDROM desa'ibed in Shear. any subsequent use of the
`copy of the information cannot be metered or billed. In other
`Words. the means for billing runs with the media rather than
`the underlying work.
`It would be desirable to have a
`distribution system where the means for billing is always
`transported with the work.
`
`SUMMARY OF THE INVENTION
`
`A system for controlling use and disu-r‘bution of digital
`marks is disclosed A digital work is any mitten. aural.
`graphical or video based work including computer programs
`that has been hanslatcd to or created in a digital form, and
`which can be recreated using suitable rendering means such
`as software programs. The present invention allows the
`owner of a digital work to attach usage rights to the work.
`The usagerights for the work define how it may be used and
`distributed. Digital works and their usage rights are stored in
`a secure repository. Digital works may only be accessed by
`other secure repositories.
`Usage rights for a digital work are embodied in a flexible
`and extensible usage rights grammar. Conceptually, a right
`in the usage rights grammar is a label attached to a prede-
`termined behavior and conditions to exercising the right. For
`example, a COPY right denotes that a copy of the digital
`work may be made. A condition to exercising the right is the
`
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`requester must pass certain security criteria. Conditions may
`also be attached to limit the right itself. For example, a
`LOAN right may be defined so as to limit the duration of
`which a work may be IDANed. Conditions may also
`include requirements that fees be paid.
`A repository is comprised of a storage means for storing
`a digital work and its attached usage rights. an external
`interfaccfor receiving and transmitting data, aprooessor and
`a clock. Arepository has two primary operating modes. in
`server mode and a requester mode. When operating in a
`server mode, the repository is responding to requests to
`acceSs digital works. When operating in requester mode. the
`repository is requesting access to a digital work.
`Generally, arepository will process each request to access
`a digital work by examining the work's usage rights. For
`example. in a request to make a copy of a digital work, the
`digital workis examined to see if rights have been granted
`which would allow copies to be given out. If such a right has
`been granted. then conditions to exercise of the right are
`checked (tag. a right to make 2 copies). If conditions
`associated with the night are satisfied the copy can be made.
`Before transporting the digital work. any specified changes
`to the set of usage rights in the copy are attached to the copy
`of the digital work.
`Repositories communicate utilizing a set of repository
`transatuions. The repository tr'ansactions embody a set of
`protocols for establishing secure sessions connections
`between repositories, and for processing access requests to
`the digital works.
`Digital Works are recreated on rendering systems. A
`rendering system is comprised of at least a rendering reposi-
`tory and. a rendering device (tag. a printer, display or audio
`system) Rendering systems are internally secure. Access to
`digital works not contained within the rendering repository
`is accomplished via repository n-ansactions with an external
`repository containing the desired digital work.
`BRIEF DESCRIPTION OF THE DRAWINGS
`
`FIG. 1 is a flourchart illustrating a simple instantiation of
`the operation of the currently preferred embodiment of the
`present invention.
`FIG. 2 is a block diagram illustrating the various reposi-
`tory types and the repository transaction flow between them
`in the currently preferred embodiment of the present inven-
`tion.
`
`FIG. 3 is a block diagram of arepository coupled with a
`credit server in the cunently preferred embodiment of the
`present invention.
`FIGS. 4a and 4b are examples of rendering systems as
`may be utilized in the currently preferred embodiment of the
`present invention.
`FIG. 5 illustrates a contents file layout for a digital work
`as may be utilized in the currently preferred embodiment of
`the present invention.
`FIG. 6 illustrates a contents file layout for an individual
`digital work of the digital Work of FIG. 5 as may be utilized
`in the cmrently preferred embodiment of the mesont inven—
`tion.
`
`FIG. 7 illustrates the components of a desaiption blockof
`the currently preferred embodiment of the present invention.
`FIG. 8 illustrates a description tree for the contents file
`layout of the digital work illustrated in FIG. 5.
`FIG. 9 illustrates a portion of a description tree corre-
`sponding to the individual digital work illustrated in FIG. 6.
`FIG. Ill illustrates a layout for the rights portion of a
`description block as may be utilized in the currently pre-
`ferred embodiment of the patient invention.
`
`17
`17
`
`

`

`5,629,980
`
`5
`FIG. 11 is a description tree wherein certain d-blocks have
`PRJNI' usage rights and is used to illustrate “strict” and
`"lenient” rules for resolving usage rights conflicts.
`FIG. 12 is a block diagram of the hardware components
`of a repository as are utilized in the currently preferred
`embodiment of the present invention.
`FIG. 13 is a block diagram of the functional (logical)
`components of a repository as are utilizedin the currently
`preferred embodiment of the present invention.
`FIG. 14 is diagram illustrating the basic components of a
`usage right in the ctn'rently preferred embodiment of the
`present invention.
`FIG. 15 lists the usage rights grammar of the currently
`preferred embodiment of the present invention
`FIG. 16 is a flowchart illustrating the steps of certificate
`delivory, hotlist checking and performance testing as per-
`tonned in a registration transaction as may be performed in
`the wrrently preferred embodiment of the present invention.
`FIG. 17 is a flowchart illustrating the steps of session
`information exchange and clock synchronization as may be
`performed in the currently preferred embodiment of the
`present invention. after each repository in the regisuation
`transaction has successfully completed the steps described in
`FIG. 16.
`
`FIG. 18 is a flowdrart illustrating the basic flow for a
`usage transaction. including the common opening and clos-
`ing step. as may be performed in the eminently preferred
`embodiment of the present invention.
`FIG. 19 is a state diagram of server and client repositories
`in accordance with a transport protocol followed when
`moving a digital work from the server to the client
`repositories, as may be performed in the currently preferred
`embodiment of the present invention.
`
`DETAILED DESCRJI'TION OF THE PREFERRED
`EMBODIMENT
`
`TABLE OF CONTENTS
`
`OVERVIEW
`RENDERB‘IG SYSTEMS
`STRUCTURE OF DIGITAL WORKS
`KI'I‘ACBING USAGE RIGHTS TO A DIGITAL WORK
`Resolving Conflicting Rights
`REPOSII‘ORIES
`Repository Security Classes
`Repository User Interface
`CREDIT SERVERS
`USAGE RIGHTS LANGUAGE
`Copy Count Specification
`Control Specification
`Time Specification
`Security Class and Authorization Specification
`Usage Fees and Incentives Specification
`Examples of Sets of Usage Rights
`REPOSITORY TRANSACTIONS
`Message Transmission
`Session Initiation Transactions
`Billing Transaction
`Usage Transaction
`Transmission Protocol
`
`The Copy Transaction
`The Transfer Transaction
`The Loan Transaction
`
`The Play Transaction
`
`it)
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`The Print Transaction
`
`The Backup Transaction
`The Restore Transaction
`The Delete Transaction
`
`The Directory Transaction
`The Folder Transaction
`The Extract Transaction
`The Embed Transaction
`The Edit Transaction
`The Authorization Transaction
`The Install Transaction
`The Uninstall Transaction
`DISTRIBUTION AND USE SCENARIOS
`APPENDIX A GLOSSARY
`
`OV