IIIMIIIIIIIIIIII
`
`US'U'U'5629930A
`
`United States Patent
`
`[191
`
`[11] Patent Number:
`
`5,629,980
`
`Stefik et al.
`
`145] Date of Patent:
`
`May 13, 1997
`
`Weber. R.. "Digital Rights Management Technology”. Oct.
`1995.
`
`European Search Report for Conesponding European Appli-
`cation 953084203.
`
`(List continued on next page.)
`
`Primary .E:arm'ner—Sa1vatoIe Cangialosi
`Axioms}; Agent, or F':'rm—Richa.rd B. Domingo
`
`[57]
`
`ABSTRACT
`
`A system for controlling use and clistribulion 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 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
`exercised. Digital works are stored in a repository. Arcposi-
`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
`repositories (e.g. copying. borrowing or transfer) is carried
`out using a digital work transport protocol. Access to digital
`works for the purposes of replay by :1 digital work playback
`device (eg. printing. displaying or executing) is carried out
`using a digital work playback protocol.
`
`31 Claims, 13 Drawing Sheets
`
`[54] SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS
`
`[75]
`
`Inventors: Mark J. Stefik. Woodside; Michalene
`M. Casey. Morgan Hill, both of Calif;
`
`[73] Assignee: Xerox Corporation. Stamford. Conn.
`
`[2]] Appl. No.: 344,042
`
`[22] Filed:
`
`Nov. 23, 19913
`
`........... HML N00
`..............
`Int. CL6
`[51]
`[52] US. Cl. .................................................................. 380M
`[53] Field of Search
`380M; 235.3330
`
`[56]
`
`References Cited
`
`U.S. Pfi£]'E.N'I' DOCUMENTS
`
`3,263,158
`4,529,870
`4.658.093
`4,924,378
`
`‘H1966 Janis
`7.31935 Chaum . . . . .
`4./1987 Hellman
`50990 Hersheyetal.
`
`....Hm...
`
`..
`
`
`
`380.34
`2351380
`... 330125
`364J200
`
`(List confinued on next page.)
`
`FOREIGN PATENT DOCUMENTS
`
`{H1989 European Pat. Off. _
`033270’!
`‘H1991 United Kingdom.
`2236603
`WOEEZCIIHZ lU199Q WIPO .
`9301550
`H1993 WIFO ............................. GUGF ll/34
`
`UTHER PUBLICATIONS
`
`Press Release From Eleccronic Publishing Resources. Inc.
`(EPR) entitled “National Semiconductor and EPR Partner
`for Information Metering,-‘Data Security Cards”. dated Mar.
`4. 1994.
`
`Outer cmmau
`
`I‘
`
`It
`--
`
`.
`h
`nvpwtedtn auoofllmry I
`”“°t‘.$:'i‘u'§§'.‘A'i“ '°
`
`
`
`Ropes‘-to
`1 lull:-‘nun
`SI-Juan Wn Iluooiilery I
`
`1'52
`
`I
`
`Bu
`lefloiitnry 2
`I
`art {or
`Muss Ta
`Aim Purpeil
`
` *9‘
`
`
`III Dollie
`I Cltlfii USIQI
`liver! In
`Riollll
`D‘
`
`
`
`Dlllrmlllnd Incest I-lay
`Bu Granted
`
`
`
`
`he
`he
`.
`Rep
`3!
`11'
`'IS
`3‘ in w..'i"r’..""
`
`Tlfmlglfifih Elihu
`,
`wan Emu
`uposhoryz
`
`
`fluwtilonl 1 and 2 Each
`firlnrlu Billing
`automation and ‘transmit
`to Oldirsnrvut
`
` T Exhibit 1005
`Page 00001
`
`
`Page 00001
`
`Apple Exhibit 1005
`
`

`
`5,629,980
`Page 2
`
`Hilts, P.. Mutter. 1., 1mdTaylor_. 3., “BOOKS While Uwait."
`Publishers Weekly Jan. 3, 1994. pp. 43-50.
`Strattner, .51.. “Cash register on a chip may revolutionize
`software pricing and distribution; Wave Systems Corp,"
`Computer Shopper: Copyright. Apr. 1994, vol. 14; No. 4:13.
`62; ISSN 0336-0556.
`
`O’Conncr. M.A.. “New distribution option for electronic
`pub1.ishers;iOpener data encryption andtnetering system for
`CD—ROM use; Colllmn.” C.‘D—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,“ tnfowortd. Copy-
`right. Mny 2. 1994, p. 34.
`Linn. R..l.. "Copyright and Information Services in the
`Context of the National Research and. Education Networ
`."
`{MA Inreifectuoi Properly Project Proceedings; Ian. 1994.
`vol. 1. Issue 1. pp. 9-20.
`enitt, .11.. 11.11.. “Penniss.ions Headers and Contract Law.”
`IMA Intellectual Property Project Proceedings. Jan. 1994..
`vol. 1. Issue 1. pp. 2748.
`Upthegrove. L.. and Roberts. 12.. “Intellectual Property
`Header Descriptors: A Dynamic Approach.” MM In:etter.--
`tual Property Project Proceedings, Jan. 1994. vol. 1, Issue
`1, pp. 63-66.
`Sirbu. M.A.. "Inte1:11et Billing Service Design and Prototype
`Implementation." [MA Intellectual Property Project Pro-
`ceedings, Jan. 1994. VOL 1. Issue 1. pp. 67-80.
`Simmfll. 35.. and Godard, I.. “Metering and Licensing of
`Resources: Kala‘.-3 General Purpose Approach." IMA Intel-
`Iectuoi Prqoerry Project Proceedings, Jan. 1994. vol. 1,
`Issue 1. pp. 81-110.
`Kahn, R.E., “Deposit. Registration and Reccxrdation in an
`Electronic Copyright Management System." {MA Intellec-
`mo! Property Project Proceeofings, Jan. 1994. vol. 1, Issue
`1. pp. 111-120.
`Tfifgar. 1.13.. and Bonnet. Y.. “Dyed: A System for Using
`Physically Secure Coprooessors." [MA Intellectual Property
`Project Proceedings, Jan. 1994. vol. 1. Issue 1. pp. 121-152.
`Griswold. G.N.. “A Method for Protecting Copyxight on
`Networks." {MA Inteiiecntal Property Project Proceedings.
`Jan. 1994. vol. 1. Issue 1. pp. 169-173.
`Nelson. T.}I.. "A Publishing and Royalty Model for Net-
`worked Documents." IMA Intellectual Property Project Pro-
`ceedings, Jan. 1994. Vol. 1. Issue 1. 1313. 257-259.
`
`Page 00002
`
`U.S. PA'I'l1NT DOCUMENTS
`
`.....
`
`
`
`.
`.
`
`.
`
`.
`
`..
`
`33014
`33014
`3s0r23
`.. 36421103
`..
`
`38014
`3641900
`380!!!
`. 36-M106
`. 380125
`
`38034
`3951500
`- 330123
`2351492
`2351379
`350:4
`33014
`3309
`
`611990 Chouetal.
`4,932,054
`
`6.-‘I990
`4,937,353
`311990 Ryder,Sr.eta1.
`4,953,209
`4,951,142 1011990 El1io11etnl....
`4,9')'7.S94 1211990 Shear .........
`5,010,571
`-1-/1991 Katznelson ........
`5,014,234
`531991 Edwards. .11:
`.....
`5,093,913”
`611991 Iohnsou at al. ..
`5,041,923
`941991 Vfiedemer
`5,050.21}
`911991 Shear
`5,058,164 IOJ199l Blrneretal
`5,103,476
`4/I992 Waiteetal.
`5,113,519
`511992 Johnsonetal. ._
`5,145,499
`911992 Geflfrolin ..........
`5,159,132 1011992 Eiseie ...........
`5.191393
`311993 I..eRoux
`5204,39?
`411993 Wyman.
`5,235,642
`1111993 Wolaberetnl.
`5247575
`911993 Sprnglteetal.
`5,260,999 1111993 Wymnn
`5,263,151
`1111993 Janis ..
`3951600
`5,291,596
`SII994 Mila
`345/104
`5,339,091
`811.994 Yamnzalci et 91.
`. 33014
`5,432,849
`‘H1995 Jolinsonet al. ....
`380.-‘4
`5,438,508
`B11995 Wyman
`...... 380.14
`5,504,314
`411996 Miyahaxa .. .
`5530.235 V1996 Stefik et al.
`............................ 235880
`
`OTHER PUBLICATIONS
`
`U. Flasche et al._. Decentralized Processing of Documents.
`Camput. & Grophicx, vol. 10. No. 2. 1986. pp. 119-131.
`R. Mari e! 111., Superdistfibufion: The Concept and the
`Architecture. The Transactions of the IEICE, vol. 13 '13. No.
`'1'. 1990, Tokyo, JP, pp. 1133-1146".
`Weber, R.. "Metering Technologies For Digital Intellectual
`P.ropetty." A Report to the Interrtotionoi Federation of
`Repracfiacrion Rights Organizofions, Oct. 1994. pp. 1-29.
`Clark. EC. and Hoifinnn. LJ.. "Bits: A Smartcard Protected
`Operating System." Communications of the ACM, Nov.
`1994, vol. 37. No. 11. pp. 66-70.. and 94.
`Ross. P.E.. "D9111 guard”. Forbes, Jun. 6. 1994, p. 101,
`Saigh, W.K.. “Knowledge is Sacred." Video Poclcet/Page
`Reader Systems, Ltd, 1992.
`Kahn, R.E.. "Deposit, Registration and Recordnlion In An
`Electronic Copyright Management System,” Corporation
`for National Research initiatives. Virginia. Aug. 1992. pp.
`1-19.
`
`
`Page 00002
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 1 of 13
`
`5,629,980
`
`10'!
`
`
`
`Creator Creates A
`Digital Work
`
`
`
`_
`Usage Rights Attached To
`Digital Work and
`Deposited In Repository 1
`
`
`
` Repository 2 Initiates A
`Session With Repository 1
`
`103
`
`
`Repository 2 Requests
`Access To Digital Work for
`A State Purpose
`
`104
`
`
`
`
` Repository 1 Checks Usage
`
`Rights of Digital Work To
`
`Determined If Access May
`Be Granted
`
`105
`
`102
`
`
`
`Access Denied
`
`Access Granted
`
`
`
`
`1 Transmits
`Repositor
`Digita Work To
`Repository 2
`
`
`
`Repository 1
`Terminates Session
`with Error
`
`
`
`Page 00003
`
`
`Repository‘! and 2 Each
`Generate Billing
`Information And Transmit
`
`To Credit Server
`
`
`
`
`
`Fig. 1
`
`
`Page 00003
`
`

`
`U.S. Patent
`
`may 13,1997
`
`Sheet 2 of 13
`
`5,629,980
`
`-
`Master
`I
`I Repository
`
`1
`5
`:
`
`Authorization
`Repository
`202
`
`Repository
`
`1
`-
`E
`Billing
`I
`I Clearinghouse .
`I
`303
`I
`
`I
`
`Page 00004
`
`
`Page 00004
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 3 of 13
`
`5,629,980
`
`I ““““““““““““““““ " '” ‘I
`I
`I
`I
`I
`I
`I
`I
`.
`I
`1
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`In. _ — — — . _ _ _ _ _ _ _ _ _ , _ _ _ _ _ _ _ _ _ _ _ .1
`
`
`
`
`
`.
`Printer
`Repository
`402
`
`
`
`Repository
`404
`
`
`
`
`Page 00005
`
`
`
`Dis play!
`
`Execution
`
`Repository
`
`41 ‘I
`
`
`
`Execution
`
`Engine
`413
`
`41 5
`
`Repository
`
`
`Page 00005
`
`

`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 4 of 13
`
`5,629,980
`
`0
`
`20.000
`
`40.000
`
`60.000
`
`80,000
`
`
`
`Fig. 5
`
`0
`
`10,000
`
`30,000
`
` Text
`
`614
`
`Photo
`615
`
`Graphics
`616
`
`Sidebar
`61?
`
`Fig. 6
`
`1
`
`Page 00006
`
`
`Page 00006
`
`

`
`US. Patent
`
`May 13, 1997
`
`Sheet 5 of 13
`
`5,629,980
`
`700
`
`
`
`
`
`
`
`IIIIII
`
`Identifier
`701
`
`Sta rting Address
`702
`
`Length
`703
`
`Rights Portion
`704
`
`Parent Pointer
`705
`
`Child Pointer
`706
`
`
`
`
`
`
`
`
`
`Child Pointer
`706
`
`Fig. 7
`
`Top
`d-block
`820
`
`
`
`Fig. 8
`
`
`
`d-biock
`928
`(Sidebar)
`
`Fig. 9
`
`1
`
`Page 00007
`
`
`Page 00007
`
`

`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 6 of 13
`
`5,629,980
`
`1052
`
`Status
`Information
`
`Fig. 10
`
`Transactional
`Component
`1451
`
`Specification
`Component
`1452
`
`Copy Count
`1453
`
`Control
`1457
`
`
`
`
`Feesilncentives
`1454
`
`
`
`1456
`
`Fig. 14
`
`Page 00008
`
`
`Page 00008
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 7 of 13
`
`5,629,980
`
`Identifier (Magazine)
`
`Starting Address (0)
`
`Length (100,000)
`4
`_
`Rig hts Portion
`(PRINTNIEW)
`
`Parent Pointer
`
`Child Pointers
`
`root
`d-block
`1 101
`
`P1
`
`
`
`
`
`
`
`
`
`
`Rights Portion
`
`d-block
`1 1 02
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`identifier (Article 2)
`
`Starting Address (25,001)
`
`Length (25,000)
`
`Rights Portion
`(PRINTNIEW)
`
`Parent Pointer
`
`Child Pointers
`
`d-block
`1105
`
`Page 00009
`
`
`
`
`
`Identifier (Article 4)
`
`Starting Address (75,001)
`
`Length (25,000)
`
`Rights Portion
`(PRIN1'(I=ea))
`
`Ri hts Portion
`9
`(VIEW)
`
`Child Pointers
`
`cl-block
`1103
`
`
`
`Fig. 1 1
`
`Child Pointers
`
`d—b|ock
`1104
`
`
`
`
`Page 00009
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 3 of 13
`
`5,629,980
`
`Processing
`Element
`1201
`
`Processor
`Memory
`1202
`
`Descfiptor
`Storage
`1203
`
`
`
`
`Repository Specfic
`Software
`Functioniservices
`1304
`
`Usage Transaction
`Handlers
`1303
`
`Page 00010
`
`Identification
`
`Certificates
`1 306
`
`
`
`
`Core Repository
`Servicesflransaction
`Handfing
`1 302
`
`
`
`Operating
`System
`1 301
`
`Fig. 13
`
`
`Page 00010
`
`

`
`U.S. Patent
`
`May 13,1997
`
`Sheet 9 of 13
`
`5,629,980
`
`1501 --Digital Work Rights: = (Rights*J
`7502 *'~—-Right := [Right-Code {Copy-Count} {Control-Spec} {Time-Spec }
`{Access-Spec} {Fee-Spec}J
`
`1503 --w Right-C ode := Render-Code | Transport-Code I File-Management-
`
`Codei, Derivative-Wo1'ka— Code I Configuration-C ode
`
`1504 v-—-Render-Code := [ Play: {Player Player-ID} | Print: {Printer: Printer-I.D}]
`
`1'505 ---Transporle Code := {Copy I Transfer | Loan {Remaining-Rights:
`
`Next-Set-of-Right5}]{[Next~C opy-Rights: Next-Set-of-Rights)}
`7505*‘-‘File-Management-C ode 1: Backup {Back-Up-Copy-Rights:
`
`Next-Set-of-Rights} I Restore I Delete I Folder
`
`I Directory {Name: Hide-Local I Hide-Remote}
`
`IParts: Hide-Local I I-Iide-Remote}
`‘I507--«Derivative-Works-C ode :=
`[Extract | Embed I Edit{P1-ocess:
`Process-[DI] {N ext-Copy-Rights :
`
`Next-Set~of Rights}
`7503 '~—-ConfiguratioI1-Code : = Install I Uoinstall
`1509 ----Next-Set-ofi Rights := {(Add: Set-Of~Rights)} {(De1ete'.
`
`Set-Of-Rights}} {{Replace: Set-Of-Rights }}{{Keep: Set-Of—Rights }}
`‘$70’:--Copy-C ount : = (Copieapoeitive-integer I 0 I Unlimited)
`7571 "--«Control-Spec := (Control: Iflestrictable I Unrestrictable}
`
`‘I512 '--Time-Spec := {{Fixed-Interval I Sliding-Interval I Meter-Time}
`
`{Unt:hargeah1e | Chargeah1e}]
`
`Until: Expiration-Date)
`1513 -*--' Fixed-Interval := From: Start-Time
`
`1514“:-Sliding-Interval : = Interval: Use-Duration
`15 ’ 5 "*--'Meter-Time: = Time-Remaining: Remaining-Use
`1516 ~—— Access~Spec := («[801 Security-Class} {Authorizatiom Authol-izat'1on—lD*}
`{Other-Authorization: Authorization-ID*} {Ticket Ticket-TDD
`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
`1'5I9--Regular-Fee-Spec := ({Fee:
`Spec I Best-Price-Spec | Call-For-Price-Spec]
`
`(Time-Spec Percentage)*}
`
`{Min: Money-Unit Per: Time-Spec}-IMax:
`
`Money-Unit Per: Time-Spec} To: Account-ID)
`
`‘I520 --——Pe r-Use-Spec: = Per~Uee: Money-unit
`1521 "--'Metered-Rate-Spec := Metered: Money-Unit Per: Time-Spec
`T522 '-~vBest-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 -~——Ma1-kup-Spec: = Markup: percentage To: Account-ID
`
`Fig. 15
`
`_|
`
`Page 00011
`
`
`Page 00011
`
`

`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 10 of 13
`
`5,629,980
`
`REPOSITORY-1
`
`REPOSITORY-2
`
`‘I601
`
` Generate Re istration
`
`Iclenti Ier
`
`
`
`Message
`
`Decryfi Registration
`essage
`
`
`
`
`
`
`Transmit Registration
`Message
`
`Decrypt Performance
`Message
`
`
`Save Encrypted
`Repositor -1
`
`Registration! entifier
`
` Extract Re pository-1
`Identifier
`
`
`
`No
`
`Names 0.K.?
`
`
`
` Repository-1
`on Hotlist?
`
`No
`
`Generate Performance
`
`Message
`
`Transmit Performance
`Message
`
`
`
`
`
`
` Registration
`Identifier Same
`As One Sent?
`
`
`
`
`Time Accurate?
`
`
`es
`"'
`ms
`
`
`
` Nance Same
`As Original?
`
`
`
`
`
`No
`
`Repository 2
`Terminate Transaction
`
`Page 00012
`
`
`
`Repository- 1
`Terminate Transaction
`
`Fig. 1 6
`
`
`Page 00012
`
`

`
`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
`
`Page 00013
`
`Save Time From Repository-1
`
`1711
`
`1705
`
`1706
`
`1709
`
`‘I710
`
`
`
`
`
`
`Transmit Encrypted Second
`Key To Repository-2
`
` Transmit Timestamp
`
`Exchange Message
`To Repository-1
`
`1 707
`
`1708
`
`Generate Timestamp
`Message
`
`Transmit Timestarnp
`messageroneposnory-2
`
`
`
`-
`
`
`
`
`Page 00013
`
`

`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 12 of 13
`
`5,629,980
`
`REQUESTER
`
`1803
`
`SERVER
`
`
`
`Server Generates
`Transaction Identifier
`
`Performs General
`
` Requester
`Tests
`
`Tests Passed
`
`1804
`
`
`
`Tests Failed
`
`
`
`
`
`Right
`Granted?
`
`Yes
`
`1802
`
`
`
`
`
`
`
`Time
`Based Conditions
`Satisfied?
`
`
`Do Not initiate
`Transaction
`
`
`
`
`
`
`
`
`Security And
`- ccess Condition
`
`
`
`opies in use For
`Decremerit Cofiy
`Right > Copy Count
`
`Count For Rig t
`
`Of Request?
`
`
`1813
`
`o
`'
`f
`eter_rn§ne Set 0
`Remaining Rights
`
` Right In
`Remaining Set
`of Rights?
`
`1811
`
`
`
`
`
`‘-°‘"‘
`R.
`'95: svtggfiged
`
`
`All Co '
`pies
`Loaned Out?
`
`Terminate Transaction
`
`
`
`Fee
`Conditions
`
`Satisfied‘!
`
`1817
`
`Decrerrierit Co ies In Use For
`RightBy Num er In Request
`
`1,818
`
`For Metered Use. Subtract
`Eia psed Time From Remaining
`Use Time For Right
`
`Fig. 18
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`Page 00014
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`
`
`
`
`
`1815
`
`1816
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`Yes
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`Perfom-1 usage
`Transaction Steps
`
`
`
`Initiate End-Charge Financial
`Transaction to Confirm Billing
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`Page 00014
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`

`
`US. Patent
`
`May'13,1997
`
`Sheet 13 of 13
`
`5,629,980
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`SERVER
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`(Cancel)
`Faii
`1912
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`
`
`
`
`New
`Transaction
`1902
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`
`
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`To Credit Server
`1m4
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`————4
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`To Credit Server
`1915
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`1916
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`191 8
`
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`1919
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`Page 00015
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`
`Page 00015
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`

`
`1
`SYSTEM FOR CONTROLLING THE
`DBTRIBUTION AND USE OF DIGITAL
`WORKS
`
`FIELD OF THE INVENTION
`
`The present invention relates to the field of d.istn'bution
`and usage rights enforcement for digitally encoded works.
`
`BACKGROUND OF THE INVE‘-vI'l"IClN
`
`A fundamental issue facing the publishing and infot:ma~
`tion industries as they consider electronic publishing is how
`to prevent the unauthorized and unaccounted distribution or
`usage of elelstronically 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-
`nies receive royalties for each accounted for delivery of the
`materials. eg. the sale of an audio CI} at a retail outlet. Any
`unaccounted distribution of a work results in an unpaid
`royalty (c.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-
`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 comrnnnicate and trade ideas and informa-
`tion. Computer bnIleti.n boards found on the Internet and
`commercial networks such as Compuserv and Prodigy
`allow for the posting and retrieving of digital information.
`Information services such as Dialog and LEXISINEXIS
`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 In.t'1'asn'uct;ure (the N11). It is anticipated that, as the N1]
`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 suaightforward way to curb unaccounted dis-
`tribution is to prevent unauthorized copying and transmis-
`sion. For existing matuials 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 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. 4.932354 entitled “Method and
`Apparatus for Protecting Computer Sofiware 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 where "demos" of the software are
`provided on a medium along with the entire product. The
`demos can be freely used. but in ordm to use the acuial
`product, the key must be purchased. These scheme do not
`hinder copying of the software once the key is initially
`purchased.
`
`30
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`45
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`50
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`65
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`5,629,980
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`2
`
`A system for ensuring that licenses are in place for using
`licensed products is described in PCT Publication W0
`93:"0155{l to Griswold entitled “License Management Sys-
`tem and Method.“ The licensed product may be any elec-
`tronically published worlt but is most effective for use with
`works that are used for extended periods of time such as
`sofiware programs. Griswoldrcquires that the licensed prod-
`uct contain softwarc to invoke a license check monitor at
`predetermined time intervals. The license cheek monitor
`generates request datagrarns which identify the Licensee. The
`request datagra.rn.s are sent to a license control System over
`an appropriate communication tacility. 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 periodof 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
`liruilatlons. An izulportanl Iitnitation is that during the use of
`the licensed product. the user must always be coupled to an
`appropriate comrnunication facility in order to send and
`receive datagrams. This creates a dependency on the com-
`munication facility. So if the coturnunication 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 distt1'bution of digitally
`encoded books is embodied in a system available from VPR
`Systems. LTD. of St. Louis. Me. The VPR system is
`self-contained and is comprised of: (1) point of sale kiosks
`for storing and downloading of books. (2) personal storage
`medituns (cartridges) to which the books. are downloaded.
`and (3) readers for viewing the book. In a purchase
`transaction. at pin-chaser will purchase a voucher card rep-
`resenting the desired book. The voucher will contain suffin
`cient information to identify the hookpurchased 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 “copiea" that
`may be checked out at one time. Further. the copy of the
`book is erased from the users ca.'ru'idge after a certain
`checkout time has expired However. individuals cannot
`loan books because the cartridges may only be used with the
`owners reader.
`
`The foregoing disuihtltion and protection schemes oper-
`ate in part by preventing subsequent distribution of the work.
`While this certainly prevents unauthorized disuibutions. 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
`
`Page 00016
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`Page 00016
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`

`
`3,629,980
`
`3
`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
`infonrnation 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 ptniodically com-
`tnnnicate 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
`acentrsl billing facility Where the dalais read and a userbill
`generated.
`U.S. Pat. No. 5.247.575, Sprague et aL. entitled ‘Infor-
`mation Distribution System“. describes an information dis-
`n-ibution system which provides and charges only for user
`selected information. A plurallty of encrypted information
`packages (IPs) are provided at the user site. via high andior
`low density storage media andlor by broadcast transmission.
`Some of the E3 may be of no interest to the user. The E5
`of interest are selected by the user and are decrypted and
`stored Iomlly. The PS may be printed. displayed or even
`copied to other storage medias. The charges for the selected
`IP's are acctnnulated within a user apparatus and periodi-
`cally reported by telephone to a central amounting facility.
`The central accounting facility also issues keys to decrypt
`the Pa. The lceys 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 dranged.
`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 inforzmalion 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
`‘tire 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 INVENHON
`
`A system for controlling use and distribution 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 suita.bl.e- 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
`inthe usage rights grammarisalabcl attached toaprede-
`tennined 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
`
`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 be 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. A repository has two primary operating modes. at
`server mode and a requester mode. When operating in a
`server mode, the repository is responding no requests to
`access digital works. When Opomling in requester mode, the
`repository is requesting access to a digital work.
`Generally. a repository 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 (e.g. a right to make 2 copies). If conditions
`associated with the right are satisfied. the copy can be made.
`Before transporting the digital work. any specified changes
`lo the set of usage rights in the copy are attached to the copy
`of the digital work.
`Repositories cornrnttnlcate utilizing a set of repository
`transactions. 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
`rende.ri.ng system is cornpnised of at least a rendering reposi-
`tory and. a rendering device (e.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 n-snsactions 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 diagatn illustrating the various reposi—
`tory types and the repository transaction flow between them
`in the currently preferred embodiment of the present inven-
`rion.
`
`FIG. 3 is a block diagram of arepository coupled with a
`credit server in the currently preferred embodiment of the
`present invention.
`FIGS. 4:: and 4b are examples of rendering systems as
`may be ufilized 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 2: contents file layout for an individual
`digital work of the digital work of FIG. 5 as may be utilized
`in the cturently preferred embodiment of the present inven-
`tion.
`
`20
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`35
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`60
`
`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.
`
`‘W
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`Page00017
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`Page 00017
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`

`
`5
`
`5.629.980
`
`FIG. 11 is a description tree wherein certain d—hlocks have
`PRINT usage rights and is used to illustrate "strict" and
`"‘1enient" 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 ftrnctional (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 currently prefmred 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-
`tomred in a registration transaction as may be performed in
`the can-ently preferred embodiment of the present invention.
`FIG. 17 is s 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 regisnarion
`transaction has successfully ccnrrpleted the steps described in
`FIG. 16.
`
`FIG. 18 is a flowchart i.llu5trat:ing the basic flow for a
`usage transaction. including the oommon opening and clos-
`ing step. as may he performed in the currently preferred
`ernhodiment 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 DESCRIPTION OF THE PREFERRED
`EMBODIMENT
`
`TABLE OF CON’I'EN'l'S
`
`OVERVIEW
`RENDERING SYSTEMS
`STRUCTURE OF DIGITAL WORKS
`
`KITACBIEINTG USAGE RIGHTS TO A DIGITAL WORK
`Resolving Conflicting Rights
`REPDSITORJES
`Repository Secrn-ity Classes
`Repository User Interface
`CREDIT SERVERS
`USAGE RIGHTS LANGUAGE
`Copy Count Specification
`Control Specification
`Time Specification
`Security Class and Authorzization Specification
`Usage Fees and Incentives Specification
`Examples of Sets of Usage Rights
`REPOSITORY TRANSACHONS
`Message Transmission
`Session Initiation Transactions
`Billing T