lIIl|IIIlIIIIIIII
`
`USOt]5629930A
`
`United States Patent
`
`[191
`
`[11] Patent Number:
`
`5,629,980
`
`Stefik et al.
`
`[45] Date of Patent:
`
`May 13, 1997
`
`[S4] SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS
`
`[7S]
`
`Inventors: Mark J. Stefik. Woodside; Michalene
`M. Casey. Morgan Hill, both of Calif.
`
`Weber. 12.. “Digital Rights Management Technology”. Oct.
`1995.
`
`European Search Report for Corresponding European Appli-
`cation 95308420.‘).
`
`[73] Asmmee:
`
`Xerox Corporation. Stamford. Conn.
`
`(List continued on next page.)
`
`Primary .E'xarm'ner—SalvatoI\‘= Cangialosi
`Artomey, Agent, or FErm—RJ'cha.rd B. Domingo
`
`I571
`
`MSTRACT
`
`A system for controlling use and distribution of digital
`works. In the present invention. the owner of a digital work
`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 rights 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
`exercised. 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 oontainsing the
`cdt
`_ di
`'
`an
`t A
`‘:.‘;°‘-;*".:;‘.**..s .3313; ;s.:;’::“;..°
`.ed
`5‘.
`.
`.
`.
`59°
`3.
`’°P°51f°“e5 (_°-_3- °°PY“‘3- b‘1“'°“’1“8 °T ‘T3-"5f°’3 15 “Ff
`out using a digital work transport protocol. Access to digital
`works for the purposes of replay by a digital work playback
`device (eg. printing. displaying or executing) is carried out
`using a digital work playback protocol.
`
`31 Claims, 13 Drawing Sheets
`
`[21] APPL N0-2 344942
`[22] Filed:
`No“ 23’ 1994
`
`.........-. HML 9:00
`..............
`Int. Cl.5
`[511
`[S2] U.S. Cl. .................................................................. 380M
`[53] Field of Search
`380.-"4; 235.9330
`
`[56]
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`
`380:4
`235850
`33035
`36mm
`
`
`
`‘H1966 Janis
`3,263,158
`"#1935 Chaum
`4.-‘5i29,3?|3
`4"1937 Ham“
`4' 53393
`4‘g24’378 mggfl Hershey C1 31' "
`(List continued on next page.)
`F REI N PMENT D
`ENT
`OCU-M
`0
`G
`S
`033270?
`{H1989 European Pat. Off. .
`mm mm was
`wosezcmz 1111992 wrso.
`9301550
`H1993 wnao
`OTHER PUBLICATIONS
`
`GUEF III34
`
`Press Release From Electronic Publishing Resources. Inc.
`(EPR) entitled “National Semiconductor and EPR Partner
`for Information Metering,-‘Data Security Cards”, dated Mar.
`4. 1994.
`
`I‘
`
`‘F
`
`1152
`
`7093
`-”
`
`Cnllif Cfiillvfl
`
`
`
`Iglfll Wet‘: and
`mag IT-talus nlttatllrd To
`mpwtedtn llunoflltwy I
`
`J lull:-‘ulna
`Roper‘-to
`fireman Pin Ilupeiilnry I
`
` lueeesit zona-
`
`
`1~‘.lnsTnm’ '
`lWII‘I“k‘?D1'
`Aim Pm-pas!
`
`*9-
`
`I Chucks Ling:
`III Dolile
`I3‘
`I'll‘-erls To
`Riolnl
`Dlllrmllled Lioness May
`Be Gunlnet
`
`
`
`
`
`
`on
`no
`1
`'
`11'
`'
`
`‘Ian-min’:’tnssr:uinn
`I’FI?"ihI Wn:":‘[‘1:|m"5
`I-vii!-Iirrnr
`tpomoryz
`
`
`
`in Writer! 1 Inn 2 Earl-
`filmrau Iilllng
`mlnnnnttan Andtranunit
`to Bulirsnrt-II‘
`
`1
`1
`
`SAMSUNG-1005
`SAMSUNG—1005
`
`

`
`5,629,980
`Page 2
`
`U.S. PKIENF DOCUMENTS
`
`Hi1ts_.P., Mutter. .1., and Taylor. 3., “BOOKS While UWaiL”
`Publishers Weekly, Jan. 3. 1994. pp. 43-50.
`Strattner. 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 0386-0556.
`
`O’Conne.r. M.A.. “New distribution option for electronic
`pub1.ishers;iOpener data encryption andmetering system for
`CD—ROM use; Colllmn.” CD—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,” Infoworld, Copy—
`right. May 2. 1994. p. 84.
`Linn. RJ.. “Copyright and Information Services in the
`Context of the National Research and. Education Networ
`."
`IMA lnreliecnral Property Project Proceedings. Inn. 1994.
`vol. 1. Issue 1. pp. 9-20.
`erritt, in. 11.11.. “Permissions Headers and Contract Law.“
`IMA intellectual Property Project Proceedings, Jan. 1994.
`vol. 1. Issue 1. pp. 2748.
`Upthegrove. L. and Roberts. 11.. "Intellectual Property
`Header Descriptors: A Dynamic Approach." IMA 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 Intellectual Property Project Pro-
`ceedings, Jan. 1994., V0.1. 1. Issue 1. pp. 67-30.
`Sinlmfll. S.S.. and Godard, 1.. "Metering and licensing of
`Resources: Kala's General Purpose Approach." IMA Intel-
`lecruoi Property Project Proceedings, Jan. 1994. vol. 1,
`Issue 1. pp. 81-110.
`Kehn. R.E., “Deposit. Registration and Reoardation in an
`Electronic Copyright Management System." 1111:‘! 1nI'ell£c-
`ma! Property Project Proceedings, Jan. 1994. vol. 1, Issue
`1. pp. 111-120.
`Tygar.
`.l.D.. and Bonnet. Y.. “Dyad: A System for Using
`Physically Secure Coprooessors." [MA Intellectual Property
`ProjecrProceed1'ngs, Jan. 1994. vol. 1, Issue 1. pp. 121-152.
`Griswold, G.N.._ “A Method for Protecting Copyright on
`Networks," IMA Intellectual Property Projecr Proceedings,
`Jan. 1994, vol. 1, Issue 1. pp. 169-178.
`Nelson. T.1I., "A Publishing and Royalty Model for Net-
`worked Documents." [MA intellectual Property Project Pro-
`ceedings. Jan. 1994, vol. 1. Issue 1. 1313. 257-259.
`
`2
`
`611990 Chouet a1.
`4,932,054
`611990 Robert et :11.
`4,937,863
`{H1990 Ryder, Sr. et a1.
`4,953,209
`4,961,142 1011990 Elliottet al.
`..
`4,9';'7.594 12.0990 Shear
`5,010,571
`4/1991 Katznelson
`5,014,234
`5!1991 Edwards .11‘.
`S,0Q3,9D‘1'
`611991 Johnson et al.
`5,04'r',%8
`911991 Viftetletner
`5,050.2I3
`911991 Shear
`5,058,164 1011991 Blrneret a1.
`5,103,476
`4.0992 Waileetel.
`5,113,519
`511.992 Johnson et :31. ..
`5,146,499
`911992 Geflfrotin
`5,159,182
`l0!l99’2 Eisele ........
`5,191,193
`311993 L.eRonx
`5,204,-B97
`411993 Wymen
`5,235,642
`831993 Wobber et ti].
`5247575
`911993 Spruglie et al.
`5,260,999 1111993 Wytoan
`5,263,157
`11ll993 Janis ..
`5,291,596
`311994 Mita
`5,339,091
`1111994 Yamazalci et 1:].
`5,432,849
`7.11995 Johnsonetel.
`5,438,503
`811995 Wyman .........
`5,504,814
`4.11996 M.iyah:u'a ......
`5,53-0,235
`"H1996 Stefil: et al.
`
`.......
`.
`
`33014
`38014
`...... 380.14
`23511380
`
`OTHER PUBLICATIONS
`
`U. Flasche et a1._. Decentralized Processing of Documents.
`Camper. «iv. Graphics, vol. 10. No. 2. 1986, pp. 119-131.
`R. Mari et al., Superdistribution: The Concept and the
`Architecture. The Transactions qf the IEICE, vol. E 73. No.
`7, 1990, Tokyo, JP, pp. 1133-1146.
`Weber, R.. "Metering Technologies For Digital Intellectual
`Property." A Report to the International Federation of
`Reproduction Rights Organizations, Oct. 1994. pp. 1-29.
`Clarlt. EC. and Hoffman, L.J.. “Bits: A Sn:I.artca.rd Protected
`Operating System.“ Corrzntunicatians of the ACM, Nov.
`1994, vol. 37. No. 11. pp. 66-70. and 94.
`Ross. P.E.. "Data guard", Forbes, Jun. 6. 1994, p. 101.
`Saigh, W.K., "Knowledge is Sacred." Video Pocket/Page
`Reader Systems, Lrd., 1992.
`Kahn, R.E.. "Deposit, Registration and Recordation In All
`Electronic Copyright Management System,” Corporation
`for National Research initiatives. Virginia. Aug. 1992. pp.
`1-19.
`
`.....
`
`38014
`38014
`.. 380323
`'. 3541403
`
`..
`
`.....
`...
`
`.
`.
`
`..
`
`
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 1 of 13
`
`5,629,980
`
`1'01
`
`
`
`Creator Creates A
`Dig ital Work
`
`
`
`
`_
`Usage Rights Attached To
`Digital Work and
`Deposited In Repository 1
`
`102
`
`
`
` Repository 2 Initiates A
`Session with Repository 1
`
` Repository 2 Requests
`Access To Digital Work for
`A State Purpose
`
`103
`
`104
`
`
` Repository 1 Checks Usage
`
`Rights of Digital Work To
`Determined If Access May
`
`Be Granted
`
`105
`
`
`
`Access Denied
`
`Access Granted
`
`
`
`
`1 Transmits
`Repositor
`Digita Work To
`Repository 2
`
`
`
`Repository 1
`Terminates Session
`with Error
`
`
`
`
`Repository‘! and 2 Each
`Generate Billing
`Information And Transmit
`
`To Credit Server
`
`
`
`
`
`Fig. 1
`
`3
`
`

`
`U.S. Patent
`
`may 13,1997
`
`Sheet 2 of 13
`
`5,629,980
`
`-
`Master
`I
`I Repository
`
`1
`5
`:
`
`Authorization
`Repository
`202
`
`Repository
`
`"I
`E
`Billing
`I
`I Clearinghouse .
`I
`303
`I
`
`4
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 3 of 13
`
`5,629,980
`
`I """"""""""""""""" " " '1
`I
`I
`I
`I
`I
`I
`|
`|
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I. _ _ _ _ _ _ _ — _ _ _ _ — — — — — — — — — u — — — — -I
`
`_
`Printer
`Repository
`
`402
`
`
`
`
`
`Repository
`404
`
`
`
`
`Fig. 4a
`
`F 410
`I‘ """"""""""""""""""""""""" "g
`'
`I
`'
`I
`'
`I
`'
`I
`:
`I
`I
`:
`I
`I
`
`| I
`
`I
`I
`'
`:
`I
`
`Execution
`Engine
`413
`
`Repository
`41 5
`
`5
`
`
`
`Display!
`Execution
`
`Repository
`
`
`
`.
`Scredn
`ewe’
`
`:
`.
`1
`-
`I
`I
`
`

`
`U.S. 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
`
`
`
`
`
`
`
`III1III
`
`Fig. 7
`
`Identifier
`T01
`
`Sta rting Address
`702
`
`Length
`703
`
`Rights Portion
`704
`
`Parent Pointer
`705
`
`Child Pointer
`706
`
`
`
`
`
`
`
`
`
`Top
`d—block
`820
`
`
`
`Fig. 8
`
`(Sidebar)
`
`d-block
`928
`
`Fig. 9
`
`7
`
`

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

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 7 of 13
`
`5,629,980
`
`Identifier (Magazine)
`
`Starting Address (0)
`
`Length (100,000)
`_
`_
`Rug hts Portion
`(PRINTNIEW)
`
`Parent Pointer
`
`Child Pointers
`
`root
`d-block
`1 101
`
`
`
`
`
`P1
`
`
`
`identifier (Article 2)
`
`Starting Address (25,001)
`
`Length (25,000)
`
`Rights Portion
`(PRINTNIEW)
`
`Child Pointers
`
`d-block
`1105
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`cl-block
`1 1 02
`
`Ri hts Portion
`9
`(VIEW)
`
`Identifier (Article 4)
`
`Starting Address (75,001)
`
`Length (25,000)
`
`Rights Portion
`(PRINT(Fea))
`
`Child Pointers
`
`Child Pointers
`
`d-block
`1103
`
`d—b|ock
`1104
`
`Fig. 1 1
`
`9
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 8 of 13
`
`5,629,980
`
`Processing
`Element
`1201
`
`Processor
`Memory
`1202
`
`Descfiptor
`Storage
`1203
`
`
`
`
`Repository Specfic
`Software
`Functioniservices
`1304
`
`Usage Transaction
`Handlers
`1303
`
`Identification
`
`Certificates
`1 306
`
`
`
`
`Core Repository
`Services!Transaction
`Handfing
`1 302
`
`
`
`Operating
`System
`1 301
`
`Fig. 13
`
`10
`10
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 9 of 13
`
`5,629,980
`
`1501 --Digital Work Rights: = (Rights*J
`7502 *'~—-Right i= [Right-Code {Copy-Count} {Control-Spec} {Time-Spec }
`{Access-Spec} {Fee-Spec}J
`
`I503--wflight-C ode := Render-Code | Transport-Code I File-Management-
`
`Cudei, Derivative-Works— Code | Configuration-C ode
`
`150-4 v-—-Render-Code := [ Play: {Player Player-ID} | Print: {Printer: Printer-I.D}]
`
`1'505 ---Transport-Code := {Copy I Transfer | Luau {Remaining-Rights:
`
`Next-Set.-of-Right5}]{[Next-C opy-Rights: Next-Set-of-Rights)}
`7505*‘-‘File-Management-C ode
`:2 Backup {Back-Up-Copy-Rights:
`
`Next-Set-of-Rights} | Restore I Delete I Folder
`
`I Directory (Name: Hide-Local | Hide-Remote}
`
`{Parts: Hide-Local I Hide-Remote}
`‘I507--«Derivative-Works-Code :=
`[Extract | Embed I Edit{P1-ocess:
`Process-ID}] {N ext-Copy-Rights :
`
`Next-Set~of Rights}
`1503 fivconfiguratiun-Code : = Install I Uninstall
`1509 ----Next-Set-of-Rights : = {(Add: Set-Of~Rights)} {(De1ete'.
`
`Set-Of-Rights}} {{Replace: Set-Of-Rights }}{{Keep: Set-Of—Rights J}
`1579"--Copy-C aunt : = (Copieapositive-integer I 0 I Unlimited)
`15” "--«Control-Spec := (Control: Illestrictable I Unrestrictable}
`
`‘I512 '--—Time-Spec := {{Fixed-Interval I Sliding-Interval |Meter-Time}
`
`{Unchargeahle | Chargeab1e}]
`
`Until: Expiration-Date)
`‘I513---— Fixed-Interval := From: Start-Time
`
`7574“-Sliding-Interval : = Interval: Use-Duration
`15 ’ 5 "*--'Meter-Tin1e:= Time-Remaining: Remaining-Use
`‘I515 —-—- Access—Spec := [{SC: Security-Class} {Autl-mrization: Authol-izat'1on—[D“}
`{Other-Authorization: Authorization-ID*} {Ticket Ticket-IUD
`1517'*-—'Fee-Spec: = {Scheduled-Discount} Regular-Fee-Spec | Scheduled-Fee-Spec |
`
`Markup-Spec
`75 73 '*-Scheduled-Disc ount: = Scheduled-Discount: (Scheduled-Discount:
`
`| Incentive: } [Per-Use-Spec I Metered-Rate-
`1519*-«Regular-Fee-Spec : = ({Fee:
`Spec I Best-Price-Spec | Call-For—Price-Spec]
`
`(Time-Spec Perce-ntage)*}
`
`{Milt Money-Unit Per: Time-Spec}-{Max:
`
`Money-Unit Per: Time-Spec} To: Account-ID)
`
`1520 -——Per-Use~Spec: = Per~Uae: Money-unit
`1531 H-'Metered-Rate-Spec := Metered: Money-Unit Per: Time-Spec
`T522 '-—Best-Price-Spec : = Best-Price: Money-unit Max: Money-unit
`7523"--Call-For-Price-Spec := Cail-For -Price
`7524"-- Scheduled-Fee-Spec: = (Schedule: {Time-Spec Regular-Fee-Spec)‘ )
`
`1525 -—-Markup-Spec: = Markup: percentage To: Account-ID
`
`Fig. 15
`
`11
`11
`
`

`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 10 of 13
`
`5,629,980
`
`REPOSITORY-1
`
`REPOSITORY-2
`
`1601
`
` Generate Re istration
`Identi ier
`
`
`
`
`
` Registration
`essage
`
`Decryfi
`
`Generate Registration
`Message
`
`Transmit Registration
`Message
`
`
`
`
`Decrypt Performance
`Message
`
`Save Encrypted
`Repositor -1
`Registration! entifier
`
`Extract Re pository-1
`identifier
`
`
`
`
`
`
`Repository
`Names 0.K.?
`
`
`
`
`
`
`Time Accurate?
`
`Repository-1
`on Hotiist?
`
`No
`
`Generate Performance
`
`Message
`
`Transmit Performance
`Message
`
`
`
`Registration
`Identifier Same
`As One Sent?
`
`
`
`es
`'’
`ms
`
`
`
`Nance Same
`
`As Original?
`
`
`
`
`
`No
`
`Repository 2
`Terminate Transaction
`
`
`
`l3epository- 1
`Terminate Transaction
`
`Fig. 1 6
`
`12
`12
`
`

`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 11 of 13
`
`5,629,980
`
`REPOSITORY-1
`
`REPOSITORY-2
`
`1701
`
`1704
`
`Create a Session Key Pair
`
`Decrypt Second Key
`
`Encrypt Second Key Using
`Public Key of Repository-2
`
`Generate Timestamp
`Exchange Message
`
`
`
`
`
`
`
`
`
`
`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
`
`Save Time From Repository-1
`
`1711'
`
`1705
`
`1706
`
`1709
`
`‘I710
`
`
`
`
`
`
`Transmit Encrypted Second
`Key To Reposito ry-2
`
` Transmit Timestamp
`
`Exchange Message
`To Repository-1
`
`Generate Timestamp
`Message
`
`1 707
`
`1703
`
`
`
`Transmit Timestarnp
`Message To Repository-2
`
`-
`"me current “me
`
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 12 of 13
`
`5,629,980
`
`RE uesren
`
`1803
`
`senvsn
`
`
`
`Sewer Generates
`Transaction Identifier
`
` Requester
`Tests
`
`Tests Passed
`
`1804
`
`
`
`Tests Failed
`
`
`
`
`
`Right
`Granted?
`
`Yes
`
`1802
`
`
`
`
`
`
`
`Time
`Based Conditions
`Satisfied?
`
`
`Do Not initiate
`Transaction
`
`
`
`Performs General
`
`
`
`
`
`
`Security And
`- ccess C_o_ndition
`
`
`
`opies in Use For
`Decrement Cofiy
`Right > Copy Count
`Count For Rig t
`
`
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`
`
`1813
`
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`eter_m§ne et 0
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`
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`Remaining Set
`
`of Rights?
`
`1811
`
`
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`"32: svtgifiged
`
`
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`pies
`Loaned Out?
`
`
`
`
`
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`
` 1817
`
`Decrernent Co ies In Use For
`RightBy Num er In Request
`1818
`
`For Metered Use. Subtract
`Eia psed Time From Remaining
`Use Time For Right
`
`
`
`
`
`
`Conditions
`Satisfied?
`
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`
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`Transaction Steps
`
`1815
`
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`
`
`
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`
`
`
`Initiate End-Charge Financial
`Transaction to Confirm Billing
`
`Fig. 18
`
`14
`14
`
`

`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 13 of 13
`
`5,629,980
`
`SERVER
`
`(Cancel)
`Fail
`1912
`
`
`
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`Transaction
`1902
`
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`
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`1904
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`1914
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`
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`To Credit Server
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`1909
`
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`
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`1916
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`To Credit Server
`1918
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`Done
`1919
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`Fig. 19
`
`15
`15
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`

`
`1
`SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS
`
`FIELD OF THE INVENI'ION
`
`The present invention relates to the field of distribution
`and usage rights enforcement for digitally encoded works.
`
`BACKGROUND OF THE INV'EN'I‘ION
`
`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
`unaccounted distribution of a work results in an unpaid
`royalty (e.g. copying the audio recording CD to another
`digital medium.)
`The ease in which electronically published works can be
`“perfectly” reproduced and distributed is a major concern.
`The u-ansmission of digital works over networks is oom-
`ruonplace. 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 infot‘.ma-
`tion. Computer bulletin boards found on the Internet and
`commercial networks such as Compusenr and Prodigy
`allow for the posting and retrieving of digital information.
`Information services such as Dialog and LEX]3lNlEiXIS
`provide databases of current information 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 N11). It is anticipated that, as the NI]
`grows. the transmission 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 suaightfonvard way to curb unaccounted dis-
`tribution is to prevent 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 can be made or which corrupt the output when copying
`is detected have been employed. Another scheme causes
`software to become disabled after apredeterrnined period of
`time has lapsed. A technique used for wortkstation based
`sofiware is to require that a special hardware device must be
`present on the workstation in order for the software to run.
`e.g., see U.S. Pat. No. 4.932.054 entitled “Method and
`Apparatus for Protecting Computer Software Utilizing
`Coded Filter Netwca-kin Conjunction with an Active Coded
`Hardware Device." Such devices are provided with the
`software and are commonly referred to as dongles.
`Yet another scheme is to distribute software, but which
`requires a “key” to enable it‘s use. This is employed in
`distribution schemes where "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 actual
`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 described in PCT Publication W0
`93:'T}l55{} 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 titne such as
`software programs. Griswoldrequires that the licensed prod-
`uct contain softwarc to invoke a license check monitor at
`predetermined time intervals. The license check monitor
`generates request datagrarus which identify the Licensee. The
`request datagrartts 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 datagrams
`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 datagrarns. So for example if
`license fees have not been paid. access to the licensed
`product is terminated.
`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
`lirtlitalions. An important limitation is that during the use of
`the licensed product. the user must always be coupled to an
`appropriate cornmunication facility in order to send and
`receive datagrams. This creates a dependency on the com-
`munication facility. So if the communication 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, M0. The VPR system is
`self-contained and is compdsed of: (1) 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 Icp~
`resenting the desired book. The voucher will contain sui'fi—
`cient information to identify the boolrpurcha.-sod and perhaps
`some demographic information relating to the sales trans-
`action. To download the book. the voucher and the cartridge
`are inserted into the kiosk.
`
`The VPR system may also be used as a library. In such an
`embodiment. the kiosk manages the number of “coples" that
`may be checked out at one time. Finther. 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
`owners reader.
`
`The foregoing disuibulion and protection schemes oper-
`ate in part by preventing subsequent distribution of the work.
`While this certainly prevents unauthorized distributions. it
`does so by sauificing 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 permit 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 owners
`of a work want to make sure they are paid for such
`
`30
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`16
`16
`
`

`
`5,629,980
`
`3
`distributions. In US. Pat. No. 4.977.594 to Shear, entitled
`“Database Usage Metering and Protection System and
`Method." at system for metering and billing for usage of
`inforrnation 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 pmicdically com-
`municate billing data to a central billing facility. whereupon
`the user may be billed. Second. billing may occur by
`disconnecting the billing module and the user sending it to
`acentral billing facility where the datais read and a userbill
`generated.
`U.S. Pat. No. $247,575, Sprague et al.. entitled ‘Infor-
`mation Distribution System". describes 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 andfor
`low density storage media andlor by broadcast commission
`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 E5 may be printed. displayed or even
`copied to other storage medias. The charges for the selected
`IP's are acctnuulated within a user apparatus and periodi-
`cally reported by telephone to a central accounting facility.
`The central accounting facility also issues keys to decrypt
`t:be [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 retrieve 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 software 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 from
`the CD~ROM described 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 dish-ibution of digital
`works is disclosed. A digital work is any written. aural.
`graphical or video based work including computer programs
`that has been translated 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. Conoeptually, a right
`in the usage rights grammar is a label attached to a prede-
`termined behavior and conditions to exercising the right. For
`exaruple, a COPY right denotes that a copy of the digital
`work may be made. A condition to exercising the right is the
`
`20
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`
`4
`
`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 b0ANed. Conditions may also
`include requirements that fees he paid.
`A repository is comprised of a storage means for storing
`a digital work and its attached usage rights. an external
`interfacefor receiving and transmitting data, aprooessor and
`a clock. Arepositorry has two primary operating modes. a
`server mode and a requester mode. When operating in a
`server mode, the repository is responding to requests to
`access digital works. When opumtlng 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 (eg. a right to make 2 copies). If conditions
`associated viith the night are satisfied. the copy can he 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
`transatiions. The repository transactions 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 (c.g. 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 transactions with an external
`repository containing the desired digital work.
`BRIEF DESCRIPTION OF THE DRAWINGS
`
`FIG. 1 is a flowchart 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 embodirnent of the present inven-
`tion.
`
`FIG. 3 is a block diagram of arepository coupled with a
`credit server in the currently preferred embodiment of the
`present invention.
`FIGS. do and 4b are examples of rendering systems as
`may be utilized in the crrrrently 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 2: contents file layout for an individual
`digital work of the digital Work of FIG. 5 as may be utilized
`in the currently preferred embodiment of the present inven-
`tion.
`
`FIG. 7 illustrates the components of a description 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. 10 illustrates a layout for the rights portion of a
`description block as may be utilized in the currently pre-
`ferred embodiment of the present invention.
`
`17
`17
`
`

`
`5,629,980
`
`5
`FIG. 11 is a description tree wherein certain d-blocks have
`PRINT 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 ulilizedin the currently
`preferred embodiment of the present invention.
`FIG. 14 is diagram illustrating the basic components of a
`usage right in the currently prefured embodiment of the
`present invention.
`FIG. 15 lists the usage righm grammar of the currently
`preferred embodiment of the present invention.
`FIG. 16 is a flowchart illustrating the steps of certificate
`delivery, hotlist checking and performance testing as per-
`formed in a registration transaction as may be performed in
`the cunently 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 registration
`transaction has successfully completed the steps described in
`FIG. 16.
`
`FIG. 18 is a flowchart illustrating the basic flow for a
`usage transaction. including the common opening and clos-
`ing step. as may he performed in the ctnxently 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 DESCRJPTION OF THE PREFERRED
`EMBODIMENT
`
`TABLE OF CONTENTS
`
`OVERVIEW
`RENDERING SYSTEMS
`STRUCTURE OF DIGIDAL WORKS
`KITACHING USAGE RIGHTS TO A DIGITAL WORK
`Resolving Conflicting Rights
`REPCISITORIES
`Repository Sectn-ity 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 TRANSACHONS
`Message Transmission
`Session Initiation Transactions
`Billing Transaction
`Usage Transaction
`Transmission Protocol
`
`The Copy Transaction
`The Transfer Transaction
`The Loan Transaction
`
`‘The Play Transaction
`
`I5
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`18
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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
`
`OVERVIEW
`
`A system for controlling use and