1111111111111111111111111111
`
`US005634012A
`[11] Patent Number: (cid:9)
`[45] Date of Patent: (cid:9)
`
`5,634,012
`May 27, 1997
`
`United States Patent [19]
`Stefik et al. (cid:9)
`
`[54]
`
`SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS HAVING A FEE REPORTING
`MECHANISM
`
`[75] Inventors: Mark J. Stefik. Woodside; Ralph C.
`Merkle, Sunnyvale; Peter L. T. PiroIli,
`El Cerrito, all of Calif.
`
`[73] Assignee: Xerox Corporation, Stamford. Conn.
`
`4/1991 United Kingdom .
`2236604
`W09220022 11/1992 WIPO .
`9301550
`1/1993 WIPO (cid:9)
`
`
`
`GO6F 11/34
`
`OTHER PUBLICATIONS
`
`European Search Report for Corresponding European Appli-
`cation 95308414.2.
`U. Flasche et al.. Decentralized Processing of Documents,
`Comput. & Graphics, vol. 10. No. 2, 1986, pp. 119-131.
`R. Mori et al., Superdistribution: The Concept and the
`Architecture, The Transactions of the IEICE, vol. E 73. No.
`7. 1990. Tokyo, JP, pp. 1133-1146.
`
`[21] Appl. No.: 344,773
`
`[22] Filed: (cid:9)
`
`Nov. 23, 1994
`
`[51] hit. C1.6 (cid:9)
`[52] U.S. Cl. (cid:9)
`[58] (cid:9) Field of Search (cid:9)
`
`(List continued on next page.)
`
` GO6F 17/60
` 395/239
` 364/419, 19, 401 R,
`364/408
`
`Primary Framiner—Donald E. McElheny. Jr.
`Attorney, Agent, or Finn—Richard B. Domingo
`ABSTRACT
`
`[57] (cid:9)
`
`[56] (cid:9)
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`7/1985 Charon (cid:9)
`4,529,870
`4/1987 Hellman (cid:9)
`4,658,093
`5/1990 Hershey et al. (cid:9)
`4,924,378
`6/1990 Chou et al. (cid:9)
`4,932.054
`6/1990 Robert et a1. (cid:9)
`4,937,863
`8/1990 Ryder, Sr. et al. (cid:9)
`4,953,209
`
`4,961,142 10/1990 (cid:9) Elliott et al. (cid:9)
`
`
`
`
`
`
`
`
`
`235/380
`380/25
`364/200
`380/4
`380/4
`380/23
`364/408
`
`(List continued on next page.)
`
`FOREIGN PATENT DOCUMENTS
`
`0332707 9/1989 European Pat. Off. .
`
`A fee accounting mechanism for reporting fees associated
`with the distribution and use of digital works. Usage rights
`and fees are attached to digital works. The usage rights
`define how the digital work may be used or further distrib-
`uted. Usage fees are specified as part of a usage right. The
`digital works and their usage rights and fees are stored in
`repositories. The repositories control access to the digital
`works. Upon determination that the exercise of a usage right
`requires a fee, the repository generates a fee reporting
`transaction. Fee reporting is done to a credit server. The
`credit server collects the fee information and periodically
`transmits it to a billing clearinghouse.
`
`16 Claims, 13 Drawing Sheets
`
`101
`
`102
`
`Creclr,Liv,etTA
`
`Usage Rights Attached To
`Digital Work and
`Deposited In Repository 1
`
`Repository 2 Initiates A
`Session With Repository 1
`
`104
`I /
`Repository 2 Requests (cid:9)
`Access To Digital Work for Ir
`A Stated Purpose
`
`Repository 1 Checks Usage
`Rights of Digital Work To
`Determined If Access May
`Be Granted
`
`105
`
`Acc
`
`Denied
`
`Access Granted
`
`Repository 1
`Terminates Session
`with Error
`
`„.-107
`
`Repository
`Digital
`Work To
`Iepositoryr 2°
`
`(-108
`
`Repository 1 and 2 Each
`Generate Billing
`Information And Transmit
`To Credit Server
`
`GOOG 1002
`CBM of U.S. Patent 7,774,280
`Page 1
`
`(cid:9)
`(cid:9)
`(cid:9)
`

`

`5,634,012
`Page 2
`
`U.S. PATENT DOCUMENTS
`
`4,977,594 12/1990 Shear (cid:9)
`5,010,571 4/1991 Katznelson (cid:9)
`5,014,234 5/1991 Edwards, Jr. (cid:9)
`5,023,907 6/1991 Johnson et al. (cid:9)
`5,047,928 9/1991 Wiedemer (cid:9)
`5,050,213 9/1991 Shear (cid:9)
`5,058,164 10/1991 Elmer et al. (cid:9)
`5,103,476 4/1992 Waite et al. (cid:9)
`5,113,519 5/1992 Johnson et al. (cid:9)
`5,146,499 9/1992 Geffrotin (cid:9)
`5,159,182 10/1992 Eisele (cid:9)
`5,191,193 3/1993 Le Roux (cid:9)
`5,204,897 4/1993 Wyman (cid:9)
`5,247,575 9/1993 Sprague et al. (cid:9)
`5.291,596 3/1994 Mita (cid:9)
`5,339,091 8/1994 Yamazaki et al. (cid:9)
`5,532,920 7/1996 Hartrick et al. (cid:9)
`
` 380/4
` 380/4
` 364/900
` 380/4
` 364/406
` 380/25
` 380/50
` 380/4
` 395/600
` 380/23
` 235/492
` 235/379
` 380/4
` 380/9
` 395/600
` 345/104
` 364/419.1
`
`OTHER PUBLICATIONS
`
`Weber, R., "Metering Technologies For Digital Intellectual
`Property," A Report to the International Federation of
`Reproduction Rights Organizations, Oct. 1994, pp. 1-29.
`Clark, P.C. and Hoffman, L.J., "Bits: A Smartcard 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, pp. 101.
`Saigh, W.K., "Knowledge is Sacred," Video Pocket/Page
`Reader Systems, Ltd., 1992.
`Kahn, R.E.. "Deposit, Registration And Recordation In An
`Electronic Copyright Management System," Corporation
`for National Research Initiatives, Virginia, Aug. 1992, pp.
`1-19.
`Hilts. P., Mutter, J., and Taylor, S., "Books While U Wait,"
`Publishers Weekly, Jan. 3, 1994, pp. 48-50.
`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 0886-0556.
`O'Connor, M.A., "New distribution option for electronic
`publishers; iOpener data encryption and metering system for
`CD—ROM use; col." CD—ROM Professional. Copyright.
`Mar. 1994. vol. 7; No. 2; p. 134; ISSN: 1049-0833.
`
`Willett, S., "'Metered PCs: Is your system watching you?";
`Wave Systems beta tests new technology,' InfoWorld, Copy-
`right, May 2, 1994, p. 84.
`Linn, R.J.. "Copyright and Information Services in the
`Context of the National Research and Education Networkl."
`IMA Intellectual Property Pmject Proceedings, Jan. 1994,
`vol. 1, Issue 1, pp. 9-20.
`erritt, Jr., H.H., "Permissions Headers and Contract Law,"
`IMA Intellectual Property Project Proceedings, Jan. 1994,
`vol. 1, Issue 1, pp. 27-48.
`Upthegrove, L., and Roberts, R., "Intellectual Property
`Header Descriptors: A Dynamic Approach." IMA Intellec-
`tual Property Project Proceedings. Jan. 1994, vol. 1, Issue
`1, pp. 63-66.
`Sirbu, M.A., "Internet Billing Service Design and Prototype
`Implementation." IMA Intellectual Property Project Pro-
`ceedings, Jan. 1994, vol. 1, Issue 1. pp. 67-80.
`Sinunel. S.S., and Godard, I., "Metering and Licensing of
`Resources: Kala's General Purpose Approach," IMA Intel-
`lectual Property Project Proceedings, Jan. 1994, vol. 1,
`Issue 1, pp. 81-110.
`Kahn, R.E., "Deposit. Registration and Recordation in an
`Electronic Copyright Management System," IMA Intellec-
`tual Property Project Proceedings, Jan. 1994. vol. 1, Issue
`1, pp. 111-120.
`Tygar, J.D., and Bennet, Y., "Dyad: A System for Using
`Physically Secure Coprocessors," IMA Intellectual Property
`Project Proceedings, Jan. 1994, vol. 1. Issue 1, pp. 121-152.
`Griswold, G.N.. "A Method for Protecting Copyright on
`Networks," IMA Intellectual Property Project Proceedings,
`Jan. 1994. vol. 1, Issue 1, pp. 169-178.
`Nelson, T.H., "A Publishing and Royalty Model for Net-
`worked Documents." IMA Intellectual Property Project Pro-
`ceedings, Jan. 1994, vol. 1, Issue 1, pp. 257-259.
`Press Release From Electronic Publishing Resources, Inc.
`(EPR) entitled "National Semiconductor and EPR Partner
`for Information Metering/Data Security Cards", dated Mar.
`4, 1994.
`Weber. R., "Digital Rights Management Technology", Oct.
`1995.
`
`GOOG 1002
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`

`

`U.S. Patent (cid:9)
`
`May 27, 1997
`
`Sheet 1 of 13 (cid:9)
`
`5,634,012
`
`Creator Creates A
`Digital Work
`
`Usage Rights Attached To
`Digital Work and
`Deposited In Repository 1
`
`Repository 2 Initiates A
`Session With Repository 1
`
`Repository 2 Requests
`Access To Digital Work for
`A Stated Purpose
`
`101
`
`102
`
`103
`
`104
`
`Repository 1 Checks Usage
`Rights of Digital Work To
`Determined If Access May
`Be Granted
`
`105
`
`Access Denied
`
`Access Granted
`
`107
`
`Repository 1
`Terminates Session
`with Error
`
`106
`
`Repository 1 Transmits
`Digital Work To
`Repository 2
`
`108
`
`Repository 1 and 2 Each
`Generate Billing
`Information And Transmit
`To Credit Server
`
`Fig. I
`
`GOOG 1002
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`

`

`U.S. Patent (cid:9)
`
`May 27, 1997 (cid:9)
`
`Sheet 2 of 13 (cid:9)
`
`5,634,012
`
`Master
`Repository
`204
`
`205
`
`205
`
`205
`
`Authorization
`Repository
`202
`
`Repository
`201
`
`-4 (cid:9)
`
`Rendering
`Repository
`203
`
`Fig. 2
`
`302
`
`Repository
`201
`
`Credit
`Server
`301
`
`304
`
`...
`
`........ 0.
`
`'V
`
`Billing
`Clearinghouse
`303
`
`Fig. 3
`
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`

`

`U.S. Patent (cid:9)
`
`May 27, 1997 (cid:9)
`
`Sheet 3 of 13 (cid:9)
`
`5,634,012
`
`1
`
`Printer
`Repository
`402
`
`Print Device
`403
`
`L
`
`Repository
`404
`
`Fig. 4a
`
`Credit
`Server
`414
`
`Display/
`Execution
`Repository
`411
`
`401
`
`410
`
`Display
`Engine
`412
`
`Execution
`Engine
`413
`
`Repository
`415
`
`Fig. 4b
`
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`U.S. Patent (cid:9)
`
`May 27, 1997 (cid:9)
`
`Sheet 4 of 13 (cid:9)
`
`5,634,012
`
`0
`
`20,000 (cid:9)
`
`40,000 (cid:9)
`
`60,000 (cid:9)
`
`80,000
`
`10,000 (cid:9)
`
`30,000 (cid:9)
`
`50,000 (cid:9)
`
`70,000 (cid:9)
`
`90,000
`
`1
`
`Story A
`510
`
`Ad
`511
`
`Story 8
`512
`
`Story C
`513
`
`Fig. 5
`
`0
`
`1,500
`
`10,000
`
`30,000
`
`25,000
`
`Text
`614
`
`Photo
`615
`
`Graphics
`616
`
`Sidebar
`617
`
`Fig. 6
`
`GOOG 1002
`CBM of U.S. Patent 7,774,280
`Page 6
`
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`

`

`U.S. Patent (cid:9)
`
`May 27, 1997
`
`Sheet 5 of 13 (cid:9)
`
`5,634,012
`
`Identifier
`701
`
`Starting Address
`702
`Length
`703
`
`Rights Portion
`704
`Parent Pointer
`705
`Child Pointer
`706
`
`700
`
`Child Pointer
`706
`
`Fig. 7
`
`Top
`d-block
`820
`
`d-block
`821
`(Story A)
`
`d-block
`822
`(Ad)
`
`d-block
`823
`(Story B)
`
`d-block
`824
`(Story C)
`
`Fig. 8
`
`d-block
`821
`(Story A)
`
`d-block
`925
`(Text)
`
`d-block
`926
`(Photo)
`
`d-block
`927
`(Graphics)
`
`d-block
`928
`(Sidebar)
`
`Fig. 9
`
`GOOG 1002
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`

`

`U.S. Patent (cid:9)
`
`May 27, 1997 (cid:9)
`
`Sheet 6 of 13 (cid:9)
`
`5,634,012
`
`Right
`Code
`1050
`
`Status
`Information
`1052
`
`Fig.10
`
`Transactional
`Component
`1451
`
`Copy Count
`1453
`
`Time
`1455
`
`Control
`1457
`
`Fees/Incentives
`1454
`
`Access
`1456
`
`Fig.14
`
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`U.S. Patent (cid:9)
`
`May 27, 1997
`
`Sheet 7 of 13 (cid:9)
`
`5,634,012
`
`Identifier (Magazine)
`
`Starting Address (0)
`
`Length (100,000)
`
`Rights Portion
`(PRINT,VIEW)
`
`Parent Pointer
`
`Child Pointers
`
`root
`d-block
`1101
`
`Identifier (Article 1)
`
`Starting Address (0)
`
`Length (25,000)
`
`Rights Portion
`(PRINT,VIEW)
`
`Parent Pointer
`
`Child Pointers
`
`d-block
`1102
`
`Identifier (Article 2)
`
`Starting Address (25,001)
`
`Length (25,000)
`
`Rights Portion
`(PRINT,VIEW)
`
`Parent Pointer
`
`Child Pointers
`
`d-block
`1105
`
`Identifier (Article 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
`
`d-block
`1103
`
`Rights Portion
`(PRINT (Fee))
`
`Parent Pointer
`
`Child Pointers
`
`d-block
`1104
`
`Fig.11
`
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`Page 9
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`

`U.S. Patent
`
`May 27, 1997 (cid:9)
`
`Sheet 8 of 13
`
`5,634,012
`
`1200
`
`Processing
`Element
`1201
`
`Processor
`Memory
`1202
`
`< (cid:9) External
`Interface
`1206
`
`it
`
`1
`
`, , ,, — 1207
`°(
`
`Descriptor
`Storage
`1203
`
`Content
`Storage
`1204
`
`Fig.12
`
`User
`Interface
`1305
`
`Repository Specfic
`Software
`Function/Services
`1304
`
`Usage Transaction
`Handlers
`1303
`
`Core Repository
`Services/Transaction
`Handling
`1302
`
`Operating
`System
`1301
`
`Fig.13
`
`Identification
`Certificates
`1306
`
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`

`U.S. Patent (cid:9)
`
`May 27, 1997 (cid:9)
`
`Sheet 9 of 13 (cid:9)
`
`5,634,012
`
`1501—Digital Work Rights: = (Rights*)
`1502 —Right := (Right-Code {Copy-Count} {Control-Spec} {Time-Spec }
`{Access-Spec} {Fee-Spec})
`1503—Right-Code : = Render-Code I Transport-Code I File-Management-
`Codel Derivative-Works- Code I Configuration-Code
`1504—Render-Code: = [ Play : {Player: Player-ID} I Print: {Printer: Printer-ID}]
`1505—Transport-Code := [Copy Transfer I Loan {Remaining-Rights:
`Next-Set-of-Rights}]{(Next-Copy-Rights: Next-Set-of-Rights)}
`1506---File-Management-Code : = Backup {Back-Up-Copy-Rights:
`Next-Set-of-Rights} I Restore I Delete I Folder
`I Directory {Name: Hide-Local I Hide-Remote}
`{Parts: Hide-Local I Hide-Remote}
`1507—Derivative-Works-Code := [Extract I Embed I Edit{Process:
`Process-ID}] {Next-Copy-Rights :
`Next-Set-of Rights}
`150$---Configuration-Code : = Install Uninstall
`1509 -----Next-Set-of-Rights = {(Add: Set-Of-Rights)} {(Delete:
`Set-Of-Rights)} {(Replace: Set-Of-Rights )}{(Keep: Set-Of-Rights )}
`1510---Copy-Count : = (Copies:positive-integer I 0 I Unlimited)
`1511---Control-Spec := (Control: {Restrictable j Unrestrictable}
`{Unchargeable I Chargeable})
`1512 —Time-Spec := ({Fixed-Interval I Sliding-Interval I Meter-Time}
`Until: Expiration-Date)
`/513--Fixed-Interval : = From: Start-Time
`: = Interval: Use-Duration
`1515--Meter-Time:= Time-Remaining: Remaining-Use
`1516-- Access-Spec : = ({SC: Security-Class} {Authorization: Authorization-ID*}
`{Other-Authorization: Authorization-ID*} {Ticket: Ticket-ID})
`1517-Fee-Spec: = {Scheduled-Discount} Regular-Fee-Spec I Scheduled-Fee-Spec I
`Markup-Spec
`1518--Scheduled-Discount: = Scheduled-Discount: (Scheduled-Discount:
`(Time-Spec Percentage)*)
`1519 ----Regular-Fee-Spec : = ({Fee: I Incentive: } [Per-Use-Spec Metered-Rate-
`Spec I Best-Price-Spec I Call-For-Price-Spec]
`{Min: Money-Unit Per: Time-Spec}{Max:
`Money-Unit Per: Time-Spec} To: Account-ID)
`1520 -----Per-Use-Spec: = Per-Use: Money-unit
`1521---Metered-Rate-Spec := Metered: Money-Unit Per: Time-Spec
`1522—Best-Price-Spec := Best-Price: Money-unit Max: Money-unit
`1523,—Call-For-Price-Spec := Call-For -Price
`1524-- Scheduled-Fee-Spec: = (Schedule: (Time-Spec Regular-Fee-Spec)* )
`1525-----Markup-Spec:= Markup: percentage To: Account-ID
`Fig.15
`
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`U.S. Patent (cid:9)
`
`May 27, 1997 (cid:9)
`
`Sheet 10 of 13 (cid:9)
`
`5,634,012
`
`REPOSITORY-1
`
`7.--1601
`
`Generate Registration
`Identifier
`
`7.--1602
`
`Generate Registration
`Message
`
`REPOSITORY-2
`
`Have
`Public Check
`Key?
`
`Yes (cid:9)
`
`1605
`
`7-1603
`
`Decrypt Registration
`Message
`
`7-1606
`
`Save Encrypted
`Repository-1
`Registration Identifier
`7.-1607
`
`Extract Repository-1
`Identifier
`
`Yes
`
`Generate Performance
`Message
`
`Transmit Performance
`Message
`
`1617
`
`Yes
`
`Nonce Same
`As Original?
`
`No
`
`Decrypt Performance
`Message
`
`Repository
`Names O.K.?
`
`Yes
`V
`
`No
`
`Time Accurate?
`
`1612
`
`1613
`
`1614
`
`Yes
`
`1615
`
`Transmit Nonce
`
`Fig.1 6
`
`End
`
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`

`U.S. Patent (cid:9)
`
`May 27, 1997
`
`Sheet 11 of 13 (cid:9)
`
`5,634,012
`
`REPOSITORY-1
`
`REPOSITORY-2
`
`7-- 1701
`
`7-- 1704
`
`Create a Session Key Pair
`7 — 1702
`
`Encrypt Second Key Using
`Public Key of Repository-2
`7 — 1 703
`
`Transmit Encrypted Second
`Key To Repository-2
`
`7-1707
`
`Generate Timestamp
`Message
`
`7 — 1708
`
`Transmit Timestamp
`Message To Repository-2
`
`Decrypt Second Key
`7 — 170 5
`
`Generate Timestamp
`Exchange Message
`
`1706
`
`Transmit Timestamp
`Exchange Message
`To Repository-1
`
`7-- 1 709
`
`Note Current Time
`7 — 1710
`
`Save Time From Repository-1
`
`Compare Current Time With
`Time From Repository-1
`
`1712
`
`No
`
`Time
`Difference Exceed
`Tolerance?
`
`Yes 7-- 1713
`
`Terminate Transaction
`
`1 714
`
`Compute Adjusted
`Time Delta
`
`Fig.17
`
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`

`U.S. Patent (cid:9)
`REQUESTER
`
`May 27, 1997 (cid:9)
`
`1801
`
`Tests Passed
`
`Sheet 12 of 13 (cid:9)
`
`5,634,012
`
`1803---\
`
`SERVER
`
`Server Generates
`Transaction Identifier
`
`Tests Failed
`Iv (cid:9) 7-- 1802
`
`Yes
`
`1804
`
`No
`
`1806
`
`Yes
`
`Time
`Based Conditions
`Satisfied?
`
`Do Not Initiate
`Transaction
`
`1807
`
`Yes
`
`1808
`
`Copy Count= 0?
`
`1810---\
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`Decrement Copy
`Count For Right
`
`1811
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`No
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`1812
`
`Yes
`
`All Copies
`Loaned Out?
`
`Determine Set Of
`Remaining Rights
`
`z--1813
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`1815
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`Fee
`Conditions
`Satisfied?
`
`1816-
`
`Perform Usage
`Transaction Steps
`
`1819
`
`Initiate End-Charge Financial
`Transaction to Confirm Billing
`
`Fig.18
`
`z-1817
`
`Decrement Copies In Use For
`Right By Number In Request
`4,
`For Metered Use, Subtract
`Elapsed Time From Remaining
`Use Time For Right
`
`-1818
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`U.S. Patent (cid:9)
`
`SERVER
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`May 27, 1997 (cid:9)
`
`Sheet 13 of 13 (cid:9)
`
`5,634,012
`
`(Cancel)
`Fail
`1912
`
`New
`Transaction
`1902
`
`Send
`Next Data
`1906
`
`More
`Data
`4
`
`Wait For Ack
`1908
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`No
`More
`Data
`
`Commit Report
`To Credit Server
`1914
`
`Done
`1916
`
`Data
`1907
`
`Ack
`
`Report Error
`To Credit Server
`1915
`
`Ack
`
`Line
`1901
`
`Start
`1903
`
`CLIENT
`
`Wait For
`Transaction
`1904
`
`"—I
`
`No
`More
`Data
`
`Commit Report
`To Credit Server
`1916
`
`Report Error
`To Credit Server
`1918
`
`(cid:9) Done
`1919
`
`Wait For
`Data
`1905
`
`Data
`Received
`1909
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`More
`Data
`
`(Cancel)
`Fail
`1913
`
`Acknowledge
`1910
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`Fig.1 9
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`5.634,012
`
`1
`SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS HAVING A FEE REPORTING
`MECHANISM
`
`RELATED APPLICATIONS
`
`5
`
`This application is related to the following co-pending
`and commonly assigned U.S. patent applications:
`Ser. No. 08/344.760, entitled "System For Controlling the 10
`Distribution and Use of Digital Works Using Digital
`Tickets" filed Nov. 23, 1994:
`Ser. No. 08/344.041, entitled "System For Controlling the
`Distribution And Use Of Digital Works Utilizing A
`Usage Rights Grammar" filed Nov. 23, 1994; (cid:9)
`Ser. No. 08/344,042. entitled "System For Controlling the
`Distribution and Use Of Digital Works" filed Nov. 23,
`1994; and
`Ser. No. 08/344,776. entitled "System For Controlling the
`Distribution and Use of Composite Digital Works" filed 20
`Nov. 23. 1994.
`
`15
`
`FIELD OF THE INVENTION
`The present invention relates to the field of distribution
`and usage rights enforcement for digitally encoded works.
`
`25
`
`BACKGROUND OF THE INVENTION
`A fundamental issue facing the publishing and informa-
`tion industries as they consider electronic publishing is how 30
`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 35
`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, e.g. the sale of an audio CD at a retail outlet. Any
`unaccounted distribution of a work results in an unpaid 40
`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 transmission of digital works over networks is com-
`45
`monplace. 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 50
`commercial networks such as CompuSery and Prodigy
`allow for the posting and retrieving of digital information.
`Information services such as Dialog and LEXIS/NEXIS
`provide databases of current information on a wide variety
`of topics. Another factor which will exacerbate the situation 55
`is the development and expansion of the National Informa-
`tion Infrastructure (the NH). It is anticipated that, as the NII
`grows, the transmission of digital works over networks will
`increase many times over. It would be desirable to utilize the
`NII for distribution of digital works without the fear of 60
`widespread unauthorized copying.
`The most straightforward 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, 65
`copy protection schemes which limit the number of copies
`that can be made or which corrupt the output when copying
`
`2
`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
`software 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 Network in 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.
`A system for ensuring that licenses are in place for using
`licensed products is described in PCT Publication WO
`93/01550 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. Griswold requires 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 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 datagrams. 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
`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 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, Mo. The VPR system is
`self-contained and is comprised 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 rep-
`resenting the desired book. The voucher will contain suffi-
`cient information to identify the book purchased 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 "copies" that
`
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`5,634,012
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`10
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`15
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`20
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`25
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`30
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`5
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`3
`may be checked out at one time. Further, 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. (cid:9)
`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 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
`distributions. In U.S. 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 periodically 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
`a central billing facility where the data is read and a user bill
`generated.
`U.S. Pat. No. 5,247,575, 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 (Ts) are provided at the user site, via high and/or
`low density storage media and/or by broadcast transmission.
`Some of the Ws may be of no interest to the user. The Ts
`of interest are selected by the user and are decrypted and
`stored locally. The Ts may be printed, displayed or even
`copied to other storage medias. The charges for the selected
`lP'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 decrypt
`the IPs. 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 60
`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 65
`distribution system where the means for billing is always
`transported with the work.
`
`35
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`40
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`45
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`50
`
`55
`
`4
`SUMMARY OF THE INVENTION
`In a system for the control of distribution and use of
`digital works, a fee reporting mechanism for reporting fees
`associated with such distribution and use is disclosed. The
`system includes a means for attaching usage rights to a
`digital work. The usage rights define how the digital work
`may be used or further distributed by a possessor of the
`digital work. Usage fees are specified as part of a usage
`right. The ability to report usage fees may be a condition to
`the exercise of a usage right. Further, different fees may be
`assigned to different usage rights.
`The present invention enables various usage fee scenarios
`to be used. Fees may be assessed on a per use basis, on a
`metered basis or based on a predetermined schedule. Fees
`may also be discounted on a predetermined schedule, or they
`can be marked-up a predetermined percentage (e.g. as a
`distributor fee). Fee reporting may also be deferred to a later
`time, to accommodate special deals, rebates or some other
`external information not yet available.
`The present invention supports usage fees in an additive
`fashion. Usage fees may be reported for a composite digital
`work, i.e. a digital work comprised of a plurality of discrete
`digital works each having their own usage rights, and for
`distributors of digital works. Accordingly, fees to multiple
`revenue owners can be reported.
`Usage fee reporting is done to a credit server. The credit
`server collects the fee information and periodically transmits
`it to a billing clearinghouse. Alternatively, the credit server
`may have a pre-allocated credit which is decremented as
`fees are incurred. In this alternative embodiment, the credit
`server would have to be periodically reallocated with credits
`to enable further use.
`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 embodiment of the present inven-
`tion.
`FIG. 3 is a block diagram of a repository coupled with a
`credit server in the currently 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 currently preferred embodiment of the present inven-
`tion.
`FIG. 7 illustrates the components of a description block of
`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 utilised in the currently pre-
`ferred embodiment of the present invention.
`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.
`
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`5,634,012
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`6
`
`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
`
`5
`
`10
`
`15
`
`5
`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 utilised in the currently
`preferred embodiment of the present invention.
`FIG. 14 is diagram illustrating the basic components of a
`usage right in the currently 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
`delivery, hotlist checking and performance testing as per-
`formed in a registration transaction as may be performed in
`the currently 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