`
`[191
`
`[11]
`
`Patent Number:
`
`5,629,980
`
`Stefik et al.
`
`[45] Date of Patent:
`
`May 13, 1997
`
`USO05629980A
`
`Weber, R., “Digital Rights Management Technology”, Oct.
`1995.
`
`European Search Report for Corresponding European Appli-
`cation 95308420.9.
`
`(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
`
`[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
`
`Int. C1.“ ........................................................ H04L 9/00
`[51]
`[52] U.S. Cl. ...............
`............ .... 380/4
`[58] Field of Search
`.. 380/4; 235/380
`
`
`
`[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
`5/1990 Hershey et al.
`........................ 364/200
`
`(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 ............................. GO6F 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.
`
`103
`
`94
`
`Usage Rights Attached To
`
`Digital Work and
`Deposited In Repository 1
`
`
`
`Repository 2 Initiates A
`Session with Repository 1
`
`
`
`
`Repository 2 Requesu
`Actess To D
` ital work for
`A Stat
`Purpose
`
`Apple Exhibit 1013
`
`Page 00001
`
`105
`
`1 Checks Usage
`Repository
`Rights of Digital work To
`
`
`Determined If Arress May
`Be Granted
`
`Access Denied
`Access Granted
`
`
`
`
`
`Reposit
`1Transmi!s
`
` Repository 1 106
`Yerminates Session
`Digita Work To
`with Error
`Repository 2
`
`
`
`Repository 1 and 2 Each
`Generate Billing
`
`Intorrnatian And Transmit
`To Credit Server
`
`
`Apple Exhibit 1013
`Page 00001
`
`
`
`5,629,980
`Page 2
`
`U.S. PATENT DOCUIVIENTS
`
`Hilts, P., Mutter, 1., and Taylor, S., “BOOKS Whfle 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, M.A.. “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 Networkl,”
`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 PropertyProject 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, S.S., 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, 1D,, 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
`
`.
`
`.
`
`6/1990 Chou et al.
`4,932,054
`6/1990 Robert et al.
`4,937,863
`8/1990 Ryder, Sr. et al
`4,953,209
`4,961,142 10/1990 Elliott et al.
`.
`4,977,594 12/1990 Shear .........
`5,010,571
`4/1991 Katznelson .
`5,014,234
`5/1991 Edwards, Jr.
`5,023,907
`6/1991 Johnson et a1.
`5,047,928
`9/1991 VV1ede1ner ..
`5,050,213
`9/1991 Shear .. ...
`5,058,164 10/1991 Elmer et al.
`5,103,476
`4/1992 Waite et al.
`5,113,519
`5/1992 Johnson et al.
`5,146,499
`9/1992 Gefirotin
`5,159,182 10/1992 Eisele .....
`5,191,193
`3/1993 Le Roux .
`5,204,897
`4/1993 Wyman ... ...
`5,235,642
`8/1993 Wobber et a1.
`5,247,575
`9/1993 Sprague et al.
`5,260,999 11/1993 Wyman ......
`5,263,157
`ll/1993 Janis
`5,291,596
`3/1994 Mita . ..............
`5,339,091
`8/1994 Yamazaki et al.
`5,432,849
`7/1995 Johnson et al.
`.
`5,438,508
`8/1995 Wyman ......
`5,504,814
`4/1996 Miyahara
`5,530,235
`7/1996 Stefik et al.
`
`............................... .. 380/4
`380/4
`.. 380/23
`364/408
`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
`380/4
`380/9
`380/4
`......... 380/4
`. .... 395/600
`345/104
`380/4
`..... 380/4
`380/4
`............................ 235/380
`
`
`
`.
`.
`
`..
`
`OTHER PUBLICATIONS
`
`U. Flasche et al., Decentralized Processing of Documents,
`Comput. & Graphics, Vol. 10, No. 2, 1986, pp. 119-131.
`R. Mori et a1., 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 Hoifman, 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.
`
`Page 00002
`
`
`
`U.S. 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 Dr
`ital Work for
`A State Purpose
`
`
`
`
`
` Repository 1 Checks Usage
`
`Rights of Digital Work To
`Determined If Access May
`Be Granted
`
`105
`
`
`
`Access Denied
`
`
`
`Access Granted
`
`
`
`
`
`Repositor
`1 Transmits
`Digita Work To
`
`Repository 2
`
`Repository 1
`Terminates Session
`with Error
`
`
`Repository 1 and 2 Each
`Generate Billing
`Information And Transmit
`To Credit Server
`
`
`
`
`
`Fig. 1
`
`Page 00003
`
`Page 00003
`
`
`
`U.S. Patent
`
`May 13,1997
`
`Sheet 2 of 13
`
`5,629,980
`
`Master
`Repository
`204
`
`5
`.
`E
`
`Authorization
`Repository
`
`Rendering
`Repository
`
`Page 00004
`
`E
`Billing
`3
`I Ciearinghouse I
`i
`303
`E
`I
`
`II
`
`Repository
`
`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
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`I. _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ .... .1
`
`
`
`
`
`.
`Pl'II1tEf
`Repository
`402
`
`Repository
`404
`
`
`
`
`
`Page 00005
`
`
`
`Dispiayl
`
`Execution
`
`Repository
`
`41 1
`
`
`
`Execution
`Engine
`413
`
`41 5
`
`Repository
`
`Fig. 4b
`
`Page 00005
`
`
`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 4 of 13
`
`5,629,980
`
`0
`
`20,000
`
`40,000
`
`60,000
`
`80,000
`
`
`
`0
`
`10.000
`
`30,000
`
`
`
`Text
`61 4
`
`Photo
`615
`
`Graphics
`616
`
`Sidebar
`617
`
`Fig. 6
`
`Page 00006
`
`Page 00006
`
`
`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 5 of 13
`
`5,629,980
`
`
`
`700
`
`
`
`Identifier
`701
`
`Starting Address
`702
`
`Length
`703
`
`Rights Portion
`704
`
`Parent Pointer
`705
`
`Child Pointer
`706
`
`
`
`
`
`
`
`Fig. 7
`
`Top
`d-block
`820
`
`
`
`
`d-block
`823
`(Story 8)
`
`d-block
`824
`(Story C)
`
`Fig. 8
`
`
`
`
`
`
`
`
`d-block
`928
`(Sidebar)
`
`d-block
`927
`(Graphics)
`
`Fig. 9
`
`Page 00007
`
`Page 00007
`
`
`
`U.S. 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
`
`
`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 7 of 13
`
`5,629,980
`
`root
`d—block
`1101
`
` Identifier (Magazine)
`
` Starting Address (0)
`
`
`
`Length (100,000)
`.
`_
`
`Rights Portion
`(PRlNT,VlEW)
`
`
` Parent Pointer
`
`Child Pointers
`
`
`
`
`
`
`
`Identifier (Article 1)
`
`Starting Address (0)
`
`Length (25,000)
`
`Rights Portion
`(PRINT,VlEW)
`
`Child Pointers
`
`d-block
`1102
`
`
`
`
`
`
`
`
`
`
`
`
`
`Identifier (Article 2)
`
`Starting Address (25,001)
`
`Length (25,000)
`
`Rights Portion
`(PRlNT,VlEW)
`
`Parent Pointer
`
`Child Pointers
`
`d-block
`1105
`
`
`
`
`
`
`
`Page 00009
`
`
`
`
`
`
`
`Length (25,000)
`
`Ri hts Portion
`9
`(PR|NT(Fee))
`
`Parent Pointer
`
`Child Pointers
`
`d-block
`1104
`
`
`
`Fig. 1 1
`
`Length (25,000)
`
`Rights Portion
`(VIEW)
`
`Parent Pointer
`
`Child Pointers
`
`d-block
`11 O3
`
`Identifier (Article 3)
`
`Starting Address (50,001)
`
`Identifier (Article 4)
`
`Starting Address (75,001)
`
`
`
`
`
`Page 00009
`
`
`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 8 of 13
`
`5,629,980
`
`1201
`
`
`
`
`External
`Interface
`1206
`
`Processor
`
`Memory
`1202
`
`Clock
`1205
`
`Processing
`Element
`
`Descriptor
`Storage
`1203
`
`Content
`
`Storage
`1204
`
`
`
`
`
`Repository Specfic
`Software
`F-u nctionl Services
`1304
`
` User
`Interface
`1305
`
` Usage Transaction
`
`
`Handlers
`1303
`
`
`
`Co-re Repository
`Services/Transaction
`Handling
`1302
`
`
`
`Operating
`System
`1 301
`
`
`
`
`Identification
`Certificates
`1306
`
`Fig. 13
`
`Page 00010
`
`Page 00010
`
`
`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 9 of 13
`
`5,629,980
`
`1501 ~«Digita1 Work Rights: = (Rights*)
`1502 ~«Right := (Right-Code {Copy-Count} {Control-Spec} {Time-Spec I
`
`{Access-Spec} {Fee-Spec})
`
`1503 ~« Right-C ode : = Render-Code I Transport—Code I File-Management
`
`CodeI Derivative-Works» Code I Configuration-Code
`
`1504 ~«Render-Code := [ Play 2 {Playerz Player-ID} I Print: {Printer: Printer-ID}]
`
`1505 -«Transport-Code := [Copy I Transfer I Loan {Remaining-Rights:
`
`Next—Set-of-Rights}]{(Next-Copy-Rights: Next-Set-of-Rights)}
`7505 "’File-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-Remote}
`
`{Partsz Hide-Local I Hide-Remote}
`7507 '~«Derivative-Works-C ode 2:
`[Extract I Embed I Edit{Process:
`
`Process-ID}] {Next-Copy-Rights :
`
`N ext—Set-of Rights}
`7503 '\-Configuration-Code := 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 N-“C opy-Count : = (Copies:positive-integer I 0 I Unlimited)
`7577 "VC ontrol-Spec : = (Control: {Restrictable I Unrestrictable}
`
`1512 ~«Time~Spec := ({Fixed-Interval I Sliding-Interval IMeter-Time}
`
`{Unchargeable I Char-geable})
`
`Until: Expiration-Date)
`1 513 ~« Fixed-Interval := From: Start-Time
`
`7574 '\'Sliding-Interval 2 = Interval: Use-Duration
`75 7 5 '\«Meter-Time: = Time-Remaining: Remaining—Use
`1 516 ~« Access-Spec : = ({SC: Security-Class} {Authorizationz Authorization-ID*}
`
`{Other—Authorization: Authorization—ID*} {Tickett Ticket-ID})
`
`757 7 '~«Fee-Spec: = {Scheduled-Discount} Regular-Fee-Spec I Scheduled-Fee-Spec I
`
`Markup-Spec
`
`75 73 '~~Scheduled-Discount: = Scheduled-Discount: (Scheduled-Discount:
`
`(Time-Spec Percentage) *)
`7 579 ~—’Regular—Fee-Spec : = ({Fee: I Incentive: } [Per-Use—Spec I Metered-Rate-
`Spec I Best-Price-Spec I Call-For-Price-Spec]
`
`{Minz Money-Unit Per: Time-Spec}{Max:
`
`Money-Unit Per: Time-Spec} To: Account—ID)
`7520 ~'Per-Use-Spec: = Per-Use: Money-unit
`7521 ~—’Metered-Rate-Spec := Metered: Money-Unit Per: Time-Spec
`7522 '\«Best-Price-Spec : = Best-Price: Money~unit Max: Money—unit
`1523 -«Call-For-Price-Spec := Call-For -Price
`7524» Scheduled-Fee-Spec: = (Schedule: (Time-Spec Regular-Fee—Spec)* )
`
`1525 ~«Markup-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
`
`1601
`
`
`
`Generate Re istration
`
`identi ier
`
`Public Check
`
`Generate Registration
`Message
`
`Transmit Registration
`Message
`
`Key?
`
`Yes
`
`Decrypt Registration
`Message
`
`
`
`
`
`
`
`
`Save Encrypted
`Repository-1
`Registration Identifier
`
`
`
`
`
`
`
`
`Decrypt Performance
`Message
`
`Repository
`Names O.K.?
`
`
`
` Time Accurate?
`
`Extract Repository-1
`Identifier
`
`Repository-1
`on Hotlist?
`
`No
`
`Generate Performance
`Message
`
`Transmit Performance
`Message
`
`1609
`
`1610
`
`
`
`
`
`
`1617
`
`
`Nonce Same
`As Original?
`
`No
`
`Repository- 2
`Terminate Transaction
`
`
`
`
`
`Registration
`Identifier Same
`As One Sent?
`
`
`Yes
`
`
`
`
`
`
`
`
`Repository- 1
`Terminate Transaction
`
` Fig. 1 6
`
`Page 00012
`
`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
`
`Encrypt Second Key Using
`Public Key of Repository-2
`
`1 703
`
`
`To Repository-1
`
`Decrypt Second Key
`
`Generate Timestamp
`Exchange Message
`
`Transmit Timestamp
`Exchange Message
`
`1705
`
`1706
`
`
`
`
`
`Transmit Encrypted Second
`Key To Repository-2
`
`
`
`Note Current Time
`
`1709
`
`1710
`
`Generate Timestamp
`Message
`
`Transmit Timestamp
`Message To Repository-2
`
`1708
`
`
`
`
`
`Save Time From Repository-1
`
`1711
`
`Compare Current Time With
`Time From Repository~1
`
`1712
`
`
`Time
`
`Difference Exceed
`Tolerance?
`
`
`Yes
`
`
`
`
`Terminate Transaction
`
`
`
`
`
`
`
`Compute Adéusted
`Time De ta
`
`Fig. 17
`
`Page 00013
`
`Page 00013
`
`
`
`U.S. Patent
`
`May 13, 1997
`
`Sheet 12 of 13
`
`5,629,980
`
`REQUESTER
`
`1303
`
`SERVER
`
`
`
`
`
`
`Server Generates
`Transaction Identifier
`
`1804
`
`
`
`Right
`Granted?
`
`Yes
`
`Tests Passed
`
`
`
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`
`
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` 1302
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`
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`Satisfied?
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`-ccess Conditions
`
`
`
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`
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`- Count For RigL’?
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`
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`
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`of Rights?
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`
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`
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`Page00014
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`Page 00014
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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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`SERVER
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`191 2
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`191 3
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`1910
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`Fig. 1 9
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`Page00015
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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-
`ernrnent 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 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.
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`2
`
`A system for ensuring that licenses are in place for using
`licensed products is described in PCT Publication W0
`93/01550 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 datagrarns are sent to a license control system over
`an appropriate communication facility. The license control
`system then checks the datagram to determine if the data-
`gram is from a valid licensee. The license control system
`then sends a reply datagram to the license check monitor
`indicating denial or approval of usage. The license control
`system will deny usage in the event that request datagrams
`go unanswered after a predetermined period of time (which
`may indicate an unauthorized attempt to use the licensed
`product). In this system, usage is managed at a central
`location by the response datagrarns. So for example if
`license fees have not been paid, access to the licensed
`product is terminated.
`It is argued by Griswold that the described system is
`advantageous because it can be implemented entirely in
`software. However, the system described by Griswold has
`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 datagrarns. 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 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
`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 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 (1Ps) 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 1Ps
`of interest are selected by the user and are decrypted and
`stored locally. The P5 may be printed, displayed or even
`copied to other storage medias. The charges for the selected
`]P’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 fonn, 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 atiached 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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`5,629,980
`
`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 perfonned 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 client
`