United States Patent
`
`[191
`
`[11] Patent Number:
`
`5,629,980
`
`Stefik et a1.
`
`[45] Date of Patent:
`
`May 13, 1997
`
`US005629980A
`
`[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.
`
`[21] Appl. No.: 344,042
`
`[22] Filed:
`
`Nov. 23, 1994
`
`[51]
`Int. Cl.6 ........................................................ H04L 9/00
`[52] US. Cl. ............................... 380/4
`
`
`.. 380/4; 235/380
`[58] Field of Search
`
`[56]
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`
`3,263,158
`4,529,870
`4,658,093
`4,924,378
`
`7/1966 Janis ............................................ 380/4
`.. 235/380
`7/1985 Chaum
`
`4/1987 Hellman .........
`380/25
`
`........................ 364/200
`5/1990 Hershey et al.
`
`(List continued on next page.)
`FOREIGN PATENT DOCUMENTS
`
`9/1989 European Pat. Off. .
`0332707
`4/1991 United Kingdom .
`2236604
`WO9220022 11/1992 WIPO .
`9301550
`1/1993 WIPO ............................. GOGF 11/34
`
`OTHER PUBLICATIONS
`
`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.
`
`European Search Report for Corresponding European Appli-
`cation 953084209.
`
`(List continued on next page.)
`
`Primary Examiner—Salvatore Cangialosi
`Attorney, Agent, or Firm—Richard B. Domingo
`
`[57]
`
`ABSTRACT
`
`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. A reposi-
`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 a digital work playback
`device (e.g. printing, displaying or executing) is carried out
`using a digital work playback protocol.
`
`31 Claims, 13 Drawing Sheets
`
`Usage Rights Attached To
`
`Digital Work and
`Deposited In Repository 1
`
`
`Repository 2 Initiates A
`Session with Repository 1
`
`103
`
`94
`
`Repository 2 Requesu
`Actess To D
` ital Work for
`
`A Stat
`Purpose
`
`
`105
`Repository 1 Checks Usage
`Rights of Digital Work To
`
`
`Determined if Acres: May
`Be Granted
`
`
`Access Denied
`Acres Granted
`
`
`
`1 Transmit:
`Reposit
`
` Repository 1 ”6
`l’erminites Session
`
`
`Digita Work To
`with Error
`Repository 2
`
`
`Repository 1 and 2 Each
`Generate Billing
`
`
`Information And Transmit
`To Credit Server
`
`
`Apple Exhibit 1013
`
`Page 00001
`
`Apple Exhibit 1013
` Page 00001
`
`

`

`5,629,980
`Page 2
`
`U.S. PATENT DOCUIVIENTS
`
`6/1990 Chou et al.
`................................. 380/4
`4,932,054
`6/1990 Robert et a1.
`..... 380/4
`4,937,863
`
`.. 380/23
`8/1990 Ryder, Sr. et a1
`4,953,209
`
`.
`364/408
`4,961,142 10/1990 Elliott et al.
`4,977,594 12/1990 Shear .........
`380/4
`
`..... 380/4
`5,010,571
`4/1991 Katznelson .
`
`. 364/900
`5,014,234
`5/1991 Edwards, Jr.
`
`6/1991 Johnson et a1.
`.
`..... 380/4
`5,023,907
`. 364/406
`9/1991 Wedemer ..
`5,047,928
`
`9/1991 Shear ............ 380/25
`5,050,213
`5,058,164 10/1991 Elmer et a1.
`380/50
`
`4/1992 Waite et a1.
`..... 380/4
`5,103,476
`5/1992 Johnson et a1.
`.
`. 395/600
`5,113,519
`
`....... 380/23
`5,146,499
`9/1992 Gefirofin
`5,159,182 10/1992 Eisele .......... 235/492
`
`..... 235/379
`3/1993 Le Roux .
`5,191,193
`
`4/1993 Wyman ........... 380/4
`5,204,897
`
`8/1993 Wobber et a1.
`.
`..... 380/4
`5,235,642
`9/1993 Spmgue et a1.
`.
`..... 380/9
`5,247,575
`
`5,260,999 11/1993 Wyman ......
`380/4
`......... 380/4
`5,263,157
`11/1993 Janis
`5,291,596
`3/1994 Mita .................... 395/600
`5,339,091
`8/1994 Yamazaki et a1.
`..
`345/104
`5,432,849
`7/1995 Johnson et a1.
`.
`..... 380/4
`5,438,508
`8/1995 Wyman ........... 380/4
`5,504,814
`4/1996 Miyahara
`..... 380/4
`5,530,235
`7/1996 Stefik et al.
`............................ 235/380
`
`
`
`
`OTHER PUBLICATIONS
`
`U. Flasche et al., Decentralized Processing of Documents,
`Comput. & Graphics, V01. 10, No. 2, 1986, pp. 119—131.
`R. Mori et al., Superdisuibution: The Concept and the
`Architecture. The Transactions of 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.
`Clark, RC. and Hofiman, L.J., “Bits: A Smartcard Protected
`Operating System,” Communications 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, 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, R, Mutter, 1., and Taylor, S., “BOOKS While UWait,”
`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’Conner, MA. “New distribution option for electronic
`publishers; iOpener data encryption and metering system for
`CD—ROM use; Column.” CD—ROM Professional, Copy-
`right, 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,” Info World, Copy-
`right, May 2, 1994, p. 84.
`Linn, R.J., “Copyright and Information Services in the
`Context of the National Research and Education Network1 ,”
`IMA Intellectual Property Project 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.
`Simmel, SS, and Godard, 1., “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.
`
`Page 00002
`
`Page 00002
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 1 of 13
`
`5,629,980
`
`101
`Creator Creates A
`Digital Work
`
`
`
`
`
`
`
`Usage Rights Attached To
`Digital Work and
`Deposited In Repository 1
`
`102
`
`Repository 2 Initiates A
`Session With Repository 1
`
`103
`
`
`
`104
`
`
`
`
`Repository 2 Requests
`Access To DI
`ital Work for
`A State Purpose
`
`
`
`105
`
`Be Granted
`
`
` Repository 1 Checks Usage
`
`Rights of Dig itai Work To
`DeterminedgIf Access May
`
`
`
`Access Denied
`
`Access Granted
`
`
`
`
`
`1 Transmits
`Repositor
`Repository 1
`Terminates Session
`Dig ita Work To
`
`Repository 2
`with Error
`
`
`
`
`Fig. 1
`
`
`
`Repository 1 and 2 Each
`Generate Billing
`Information And Transmit
`
`
`To Credit Server
`
`
`Page 00003
`
`Page 00003
`
`

`

`US. Patent
`
`May 13,1997
`
`Sheet 2 of 13
`
`5,629,980
`
`Master
`Repository
`204
`
`5
`.
`E
`
`Rendering
`Repository
`
`Authorization
`Reposnory
`
`Repository
`
`Page 00004
`
`i
`Billing
`:
`: Ciearinghouse :
`i
`303
`E
`l
`
`II
`
`Page 00004
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 3 of 13
`
`5,629,980
`
`
`_
`
`Printer
`Repository
`402
`
`I """"""""""""""""" “I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I. __________________________ .l
`
`
`
`Repository
`404
`
`
`
`
`
`
`
`Display/
`
`Execution
`
`
`Repository
`
`41 1
`
`
`Execution
`Engine
`
`
`413
`
`41 5
`
`Repository
`
`Fig. 4b
`
`Page 00005
`
`Page 00005
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 4 of 13
`
`5,629,980
`
`0
`
`20,000
`
`40,000
`
`60,000
`
`80,000
`
`
`
`0
`
`10,000
`
`30,000
`
`
`
`Text
`61 4
`
`Photo
`615
`
`Graphics
`616
`
`Sidebar
`617
`
`Fig. 6
`
`Page 00006
`
`Page 00006
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 5 of 13
`
`5,629,980
`
`Page 00007
`
`
`
`
`
`
`
`
`Identifier
`701
`
`Starting Address
`702
`
`Length
`703
`
`Rights Portion
`704
`
`Parent Pointer
`705
`
`Child Pointer
`706
`
`700
`
`
`
`
`
`
`
`
`'H
`
`g. 7
`
`Ch'ld
`
`'
`
`Top
`d-block
`
`
`820
`
`
`
`
`
`
` d-block
`d-block
`824
`823
`
`(Story 8)
`(Story C)
`
`
`Fig. 8
`
`
`
`
`
`d-biock
`d-block
`927
`928
`
`
`(Graphics)
`(Sidebar)
`
`
`
`
`Fig. 9
`
`Page 00007
`
`

`

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

`

`US. Patent
`
`May 13, 1997
`
`Sheet 7 of 13
`
`5,629,980
`
`Identifier (Magazine)
`
`Starting Address (0)
`
`
`
`
`
`
`
`
`Length (100,000)
`‘
`_
`RI hts Portion
`(PRINT,V|EW)
`
`Parent Pointer
`
`Child Pointers
`
`
`
`
`
`
`
`
`
`
`
`
`
`Identifier (Article 1)
`
`Starting Address (0)
`
`
`
`Length (25,000)
`
`Rights Portion
`(PRINTNIEW)
`
`Child Pointers
`
`d-block
`1102
`
`
`
`
`
`
`
`
`
`
`
`root
`d-block
`1101
`
`d-block
`1105
`
`
`
`
`
`
`Identifier (Article 3)
`
`Starting Address (50,001)
`
`Identifier (Article 4)
`
`Starting Address (75,001)
`
`
`
`
`
`
`
`Length (25.000)
`
`Rights Portion
`(VIEW)
`
`Parent Pointer
`
`Child Pointers
`
`d-block
`11 03
`
`Length (25,000)
`
`Ri hts Portion
`9
`(PRINT(Fee))
`
`Parent Pointer
`
`Child Pointers
`
`d-block
`1104
`
`
`
`
`
`
`
`Fig. 1 1
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Page 00009
`
`Page 00009
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 8 of 13
`
`5,629,980
`
`Clock
`1205
`
`Processing
`Element
`1201
`
`Processor
`Memory
`
`
`
`External
`Interface
`1206
`
`
`1202
`1204
`
`Descriptor
`Storage
`1203
`
`Content
`Storage
`
`Repository Specfic
`Software
`Fu nction/ Services
`1304
`
`
` User
`Interface
`
`
`1305
`
`
`
` Usage Transaction
`
`
`Handlers
`1303
`
`
`Core Repository
`-
`-
`-
`
`
`Services/Transaction
`ldceerlrttliiliiaailgsn
`
`
`1 306
`Handling
`
`
`1302
`
`
`Operating
`System
`
`1 301
`
`Fig. 13
`
`Page 00010
`
`Page 00010
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 9 of 13
`
`5,629,980
`
`1501 ~vDigital Work Rights: = (Rights*)
`1502 ~Right := (Right-Code {Copy-Count} {Control-Spec} {Time-Spec I
`
`{Access-Spec} {Fee-Spec})
`
`1503 ~ Right-C ode : = Render-Code | Transport-Code | File-Management-
`
`CodeI Derivative-Works— Code I Configuration-Code
`
`1504 ~Render-Code := [ Play : {Playerz Player-ID} I Print: {Printer: Printer-IBM
`
`1505 ~Transport-Code 1: [Copy | Transfer I Loan {Remaining-Rights:
`
`Next—Set-of-Rights}]{(Next-Copy-Rights: Next-Set-of-Rights)}
`1506 ”VFile-Management-C ode 2: Backup {Back-Up-Copy—Rights:
`
`Next-Set-of—Rights} I Restore I Delete I Folder
`
`I Directory {Name: Hide-Local I Hide~RemoteI
`
`{Partsz Hide-Local I Hide-Remote}
`7507 ~Derivative-Works-C ode 2:
`[Extract I Embed I EditIProcess:
`
`Process-ID}] {Next-Copy-Rights :
`
`N ext-Set-of Rights}
`1508 ~Configuration-Code 2: Install I Uninstall
`1509 ~Next-Set-of-Rights := {(Add: Set-Of—Rights)} {(Delete:
`
`Set-Of-Rights)} {(Replace: Set-Of—Rights )}{(Keep: Set—Of—Rights )}
`7570 NC opy-Count : = (Copies:positive-integer I 0 I Unlimited)
`15" "VC ontrol-Spec : = (Control: {Restrictable I Unrestrictable}
`
`1512 ~Time-Spec := ({Fixed-Interval I Sliding-Interval IMeter-Time}
`
`{Unchargeable I ChargeableI)
`
`Until: Expiration-Date)
`1 513 ~ Fixed-Interval := From: Start-Time
`
`7514 ~Sliding-Interval 2 = Interval: Use-Duration
`1515 ~Meter-Time: = Time-Remaining: Remaining—Use
`1 516 ~ Access-Spec : = ({SC: Security-Class} {Authorizationz Authorization-ID*}
`
`{Other-Authorization: Authorization—ID*} {Ticket Ticket-ID})
`
`1517MFee-Spec: = {Scheduled-Discount} Regular-Fee-Spec | Scheduled-Fee-Spec I
`
`Markup-Spec
`
`1518 ~Scheduled-Discountz = Scheduled-Discount: (Scheduled-Discount:
`
`(Time~Spec Percentage) *)
`1 519 ~Regular-Fee-Spec : = ({Fee: I Incentive: } [Per-Use-Spec | Metered-Rate-
`Spec I Best-Price-Spec I Call-For-Price-Specl
`
`{Mim Money-Unit Per: Time-SpecHMax:
`
`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: 2 (Schedule: (Time-Spec Regular-Fee-Spec)* )
`
`1525 ~Markup-Spec: = Markup: percentage To: Account-ID
`
`Fig. 15
`
`Page 00011
`
`Page 00011
`
`

`

`US. Patent
`
`May 13,1997
`
`Sheet 10 of 13
`
`5,629,980
`
`REPOSITORY-1
`
`REPOSITORY-Z
`
`Generate Registration
`Message
`
`
`
`Transmit Registration
`Message
`
`Decrypt Performance
`Message
`
`Public Check
`
`Key?
`
`Yes
`
`
`
`Decrypt Registration
`Message
`
`Save Encrypted
`Repository-1
`
`Registration Identifier
`
`
`Extract Repository-1
`Identifier
`
`1601
`
`
`Generate Re istration
`identi ier
`
`
`
`
`
`
`
`
`
`
`
`
`
`Time Accurate?
`
`
`
`Repository
`Names O.K.?
`
`
`Repository-1
`on Hotlist?
`
`No
`
`Generate Performance
`Message
`
`
`
` Registration
`Identifier Same
`
`As One Sent?
`
`Transmit Performance
`
`Message
`
`
`
`
`Terminate Transaction
`
`
`Yes
`
`
`
`
`
` Nonce Same
`As Original?
`
`Repository- 1
`Terminate Transaction
`
`No
`
`Repository- 2
`
`Fig. 1 6
`
`Page 00012
`
`Page 00012
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 11 of 13
`
`5,629,980
`
`REPOSITORY-1
`
`REPOSITORY-Z
`
`
`
`
`
`
`
`Create a Session Key Pair
`
`1701
`
`1702
`
`Encrypt Second Key Using
`Public Key of Repository-2
`
`Generate Timestamp
`Exchange Message
`
`1 703
`
`Transmit Encrypted Second
`Key To Repository-2
`
`Transmit Timestamp
`Exchange Message
`
`Generate Timestamp
`Message
`
`1708
`
`Transmit Timestam p
`Message To Repository-2
`
`_
`Note Current Time
`
`1704
`
`
`
`1705
`
`1706
`
`1709
`
`1710
`
`
`Decrypt Second Key
`
`
`
`To Repository-1
`
`
`
`
`
`
`
`Save Time From Repository-1
`
`1711
`
`Compare Current Time With
`Time From Repository-1
`
`1712
`
`
`Time
`
`Difference Exceed
`Tolerance?
`
`
`Yes
`
`
`Terminate Transaction
`
`
`
`
`
`
`Compute Adfl'usted
`Time De ta
`
`
`
`Fig. 17
`
`Page 00013
`
`Page 00013
`
`

`

`US. Patent
`
`May 13, 1997
`
`Sheet 12 of 13
`
`5,629,980
`
`
`SERVER
`1303
`REQUESTER
`
`
`
`Server Generates
`
`
`Requester
`Transaction Identifier
`
`
`
`Performs General
`
`Tests Tests Passed
`
`
`1804
`
`
`Tests Failed
`
`
`
` 1802
`Yes
`Right
`
`Granted?
`
`
`
`
`Do Not Initiate
`Transaction
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`Time
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`Remaining Rights
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`Transaction Steps
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`of Rights?
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`Right By Num er In Request
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`For Metered Use, Subtract
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`Elapsed Time From Remaining
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`Use Time For Right
`Fig. 18
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`Initiate End-Charge Financial
`Transaction to Confirm Billing
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`U.S. Patent
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`May 13, 1997
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`Sheet 13 of 13
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`5,629,980
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`1
`SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS
`
`FIELD OF THE INVENTION
`
`The present invention relates to the field of distribution
`and usage rights enforcement for digitally encoded works.
`
`BACKGROUND OF THE INVENTION
`
`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, e.g. 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 transmission of digital works over networks is com-
`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
`commercial networks such as CompuSerV 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
`is the development and expansion of the National Informa—
`tion Infrastructure (the N11). It is anticipated that, as the N11
`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 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,
`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 US. 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.
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`
`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, M0. 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 voricher 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
`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.
`
`The foregoing distributionand 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
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`5,629,980
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`3
`distributions. In US. Pat No. 4,977,594 to Shear, entitled
`“Database Usage Metering and Protection System and
`Method,” a system for metering and billing for usage of
`information distributed on a CD-ROM is described The
`system requires the addition of a billing module to the
`computer system The billing module may operate in a
`number of different ways. First, it may 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 (lPs) are provided at the user site, via high and/or
`low density storage media and/or by broadcast transmission.
`Some of the IPs may be of no interest to the user. The lPs
`of interest are selected by the user and are decrypted and
`stored locally. The ES may be printed, displayed or even
`copied to other storage medias. The charges for the selected
`IP’s are accumulated within a user apparatus and periodi-
`cally reported by telephone to a central accounting facility.
`The central accounting facility also issues keys to decrypt
`the ES. 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 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 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 usage rights for the work define how it may be used and
`distributed. Digital works and their usage rights are stored in
`a secure repository. Digital works may only be accessed by
`other secure repositories.
`Usage rights for a digital work are embodied in a flexible
`and extensible usage rights grammar. Conceptually, a right
`in the usage rights grammar is a label attached to a prede-
`termined behavior and conditions to exercising the right. For
`example, a COPY right denotes that a copy of the digital
`work may be made. A condition to exercising the right is the
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`requester must pass certain security criteria. Conditions may
`also be attached to limit the right itself. For example, a
`LOAN right may be defined so as to limit the duration of
`which a work may be LOANed. 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
`interface for receiving and transmitting data, a processor and
`a clock. A repository 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 operating 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 work is 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
`to the set of usage rights in the copy are atrached to the copy
`of the digital work.
`Repositories communicate 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
`rendering system is comprised 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 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 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 utilized in the currently pre—
`ferred embodiment of the present invention.
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`5
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`5,629,980
`
`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 utilized 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 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 be performed in the currently 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 clien