[MMMIHIIIIIIIII
`
`USOOS634012A
`
`United States Patent
`
`[19]
`
`[11] Patent Number:
`
`5,634,012
`
`Stefik et a].
`
`[45] Date of Patent:
`
`May 27, 1997
`
`[54]
`
`[75]
`
`SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS HAVING A FEE REPORTING
`MECHANISM
`
`Inventors: Mark J. Stefik. Woodside; Ralph C.
`Merkle. Sunnyvale; Peter L. T. Pirolli.
`El Cerrito. all of Calif.
`
`[73]
`
`Assignee: Xerox Corporation. Stamford. Conn.
`
`[21]
`
`Appl. No.2 344,773
`
`[22]
`
`Filed:
`
`Nov. 23, 1994
`
`[5 1]
`[521
`[5 8]
`
`[5 6]
`
`Int. C1.6 ...................................................... G06F 17/60
`US. Cl.
`.............................................................. 395/239
`Field of Search ......................... 364/419. 19. 401 R,
`364/408
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`
`7/1985 Chaum .................................... 235/380
`4,529,870
`4/1987 Hellman ............. 380/25
`4,658,093
`
`
`5/1990 Hershey et a1.
`.
`364/200
`4,924,378
`6/1990 Chou et a1.
`......
`380/4
`4,932,054
`
`6/1990 Robert et a1.
`380/4
`4,937,863
`
`8/1990 Ryder, Sr. et a1.
`..... 380/23
`4,953,209
`4,961,142 10/1990 Elliott et a1.
`............................ 364/408
`
`(List continued on next page.)
`FOREIGN PATENT DOCUMENTS
`
`4/1991 United Kingdom .
`2236604
`WO9220022 11/1992 WIPO .
`9301550
`1/1993 WIPO ............................. GO6F 11/34
`
`01‘HER PUBLICATIONS
`
`European Search Report for Corresponding European Appli-
`cation 953084142.
`
`U. Flasche et al.. Decentralized Processing of Documents,
`Comput. & Graphics, vol. 10. No. 2. 1986. pp. 119—131.
`R. Mori et a1. Superdistribution: The Concept and the
`Architecture. The Transactions of the IE]CE, V01. E 73. No.
`7. 1990. Tokyo. JP, pp. 1133—1146.
`
`(List continued on next page.)
`
`Primary Examiner—Donald E. McElheny. Jr.
`Attomey, Agent, or Finn—Richard B. Domingo
`
`[57]
`
`ABSTRACT
`
`A fee accounting mechanism for reporting fees associated
`with the distribution and use of digital works. Usage rights
`and fees are attached to digital works. The usage rights
`define how the digital work may be used or further distrib-
`uted. Usage fees are specified as part of a usage right. The
`digital works and their usage rights and fees are stored in
`repositories. The repositories control access to the digital
`works. Upon determination that the exercise of a usage right
`requires a fee.
`the repository generates a fee reporting
`transaction. Fee reporting is done to a credit server. The
`credit server collects the fee information and periodically
`transmits it to a billing clearinghouse.
`
`0332707
`
`9/1989 European Pat. Ofi‘.
`
`.
`
`16 Claims, 13 Drawing Sheets
`
`Creator Creates A
`Digital Work
`
`191
`
`
`
`Usage Rights Attached To
`Digital Work and
`Deposuted ln Repository 1
`
`1172
`
`Repository 2 Initiates A
`Session with Repository1
`
`103
`
`
`
`104
`
`
`Repository 2 Requesb
`Access To D'
`ital Work for
`A Stat
`
`Purpose
`
`105
`
`Repository 1 Checks Usage
`Rights of Digital Work To
`
`
`Determined if Access May
`Be Granted
`
`Access Denied
`Access Granted
`
`
`.
`Repository 1
`Terminates Session
`with Error
`
`106
`
`Reposito
`1 Transmits
`Digita Work To
`
`Repository 2
`
`
`
`Repository 1 and 2 Each
`Generate Billing
`
`
`Information And Transmit
`To Credit Server
`
`
`
`
`Petitioner Apple Inc. - EX. 1012, p. 1
`
`Petitioner Apple Inc. - Ex. 1012, p. 1
`
`

`

`5,634,012
`Page 2
`
`US. PATENT DOCUIVIENTS
`
`4,977,594 12/1990 Shear .......................................... 380/4
`5,010,571
`4/1991 Katznelson .............. 380/4
`
`5,014,234
`5/1991 Edwards, Jr.
`364/900
`
`..
`....... 380/4
`5,023,907
`6/1991 Johnson et al.
`5,047,928
`9/1991 Wiedemer ........
`364/406
`
`9/1991 Shear ................ 380/25
`5,050,213
`5,058,164 10/1991 Elmer et a1.
`.
`..... 380/50
`5,103,476
`4/1992 Waite et a1. ............ 380/4
`5/1992 Johnson et al.
`..
`5,113,519
`395/600
`
`9/1992 Gefirotin ..
`..
`..... 380/23
`5,146,499
`
`10/1992 Eisele .......
`5,159,182
`235/492
`
`235/379
`3/1993 Le Roux ..
`5,191,193
`4/1993 Wyman ................... 380/4
`5,204,897
`
`9/1993 Sprague et a1.
`5,247,575
`380/9
`3/1994 Mita .....................
`395/600
`5,291,596
`
`8/1994 Yamazaki et a1.
`...................... 345/104
`5,339,091
`5,532,920
`7/1996 Harnick et a1.
`..................... 364/419.1
`
`
`
`OTHER PUBLICATIONS
`
`Weber. R., “Metering Technologies For Digital Intellectual
`Property.” A Report to the International Federation of
`Reproduction Rights Organizations, Oct. 1994. pp. 1—29.
`Clark. 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. PE. “Data guard”, Forbes, Jun. 6, 1994. pp. 101.
`Saigh. W.K.. “Knowledge is Sacred.” Video Pocket/Page
`Reader Systems, Ltd.. 1992.
`Kahn. R.E.. “Deposit. Registration And Recordation In An
`Electronic Copyright Management System,” Corporation
`for National Research Initiatives, Virginia, Aug. 1992, pp.
`1—19.
`Hilts. P., Mutter. J.. and Taylor, 8.. “Books While U Wait.”
`Publishers Weekly. Jan. 3, 1994, pp. 48—50.
`Strattner. A.. “‘Cash register on a chip” may revolutionize
`software pricing and distribution; Wave Systems Corp.,’
`Computer Shopper. Copyright, Apr. 1994, vol. 14; No. 4; p.
`62; ISSN 0886—0556.
`O’Connor. M.A.. “New distribution option for electronic
`publishers; iOpener data encryption and metering system for
`CD—ROM use; col.” CD—ROM Professional. Copyright.
`Mar. 1994. vol. 7; No. 2; p. 134; ISSN: 1049—0833.
`
`Willett, S., “‘Metered PCs: Is your system watching you?”;
`Wave Systems beta tests new technology,’ InfoWorld. Copy-
`right. May 2. 1994, p. 84.
`Linn. R.J.. “Copyright and Information Services in the
`Context of the National Research and Education 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.
`Upthegrovc. 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. 8.8.. 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
`ProjectProceedings. Jan. 1994. vol. 1. Issue 1. pp. 121—152.
`Griswold. G.N.. “A Method for Protecting Copyright on
`Networks.” IMA Intellectual Property Project Proceedings.
`Jan. 1994. vol. 1. Issue 1. pp. 169—178.
`Nelson. T.H.. “A Publishing and Royalty Model for Net—
`worked Documents.” IMA Intellectual Property Project Pro-
`ceedings, Jan. 1994. vol. 1. Issue 1, pp. 257—259.
`Press Release From Electronic Publishing Resources. Inc.
`(EPR) entitled “National Semiconductor and EPR Partner
`for Information Metering/Data Security Cards”. dated Mar.
`4. 1994.
`
`Weber. R., “Digital Rights Management Technology”. Oct.
`1995.
`
`Petitioner Apple Inc. - EX. 1012, p. 2
`
`Petitioner Apple Inc. - Ex. 1012, p. 2
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 1 of 13
`
`5,634,012
`
`
`
`Creator Creates A
`Digital Work
`
`101
`
`Usage Rights Attached To
`Digital Work and
`Deposited In Repository1
`
`102
`
`
`
`
`103
`
`Repository 2 Initiates A
`
`
`Session With Repository 1
`
`
`
`
`Repository 2 Requests
`
`ital Work for
`Access To Dl
`
`
`A State Purpose
`
`Repository 1 Checks Usage
`Rights of Digital Work To
`Determined If Access May
`Be Granted
`
`104
`
`105
`
`
`Access Denied
`Access Granted
`
`
`Repository 1
`Repositor
`1 Transmits
`
`Terminates Session
`Digita Work To
`
`with Error
`Repository 2
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Repository 1 and 2 Each
`Generate Billing
`information And Transmit
`To Credit Server
`
`Fig. 1
`
`Petitioner Apple Inc. - EX. 1012, p. 3
`
`Petitioner Apple Inc. - Ex. 1012, p. 3
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 2 of 13
`
`5,634,012
`
`'
`Master
`l
`E Repository
`I
`204
`I
`l
`
`'i
`5
`:
`I
`I
`
`
`
`
`
`Authorization
`Repository
`
`202
`
`Rendering
`Repository
`203
`
`I
`
`Repository
`201
`
`u' """""" 1
`l
`Billing
`i
`l Clearinghouse a
`i
`303
`l
`'
`l
`I ______________ I
`
`Petitioner Apple Inc. - EX. 1012, p. 4
`
`Petitioner Apple Inc. - Ex. 1012, p. 4
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 3 of 13
`
`5,634,012
`
`
`P "me
`
`
`.
`.
`r:
`r
`
`Repository
`Prmt4133ev1ce
`
`
`
`402
`
`I ___________________________ _I
`I
`I
`I
`I
`I
`I
`I
`I
`I
`l
`I
`I
`i
`I
`I
`I
`i
`I
`I
`l
`I. __________________________ .1
`
`Repository
`404
`
`
`
`
`
`
`
`
`
`Dispiay/
`
`Execution
`Repository
`41 1
`
`
`
`
`Execution
`Engine
`413
`
`
`
`
`41 5
`
`Repository
`
`Fig. 4b
`
`Petitioner Apple Inc. - EX. 1012, p. 5
`
`Petitioner Apple Inc. - Ex. 1012, p. 5
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 4 0f 13
`
`5,634,012
`
`0
`
`20,000
`
`40,000
`
`60,000
`
`80,000
`
`
`
`0
`
`1 0,000
`
`30,000
`
`
`
`Text
`614
`
`Photo
`61 5
`
`Graphics
`616
`
`Sidebar
`617
`
`Fig. 6
`
`Petitioner Apple Inc. - EX. 1012, p. 6
`
`Petitioner Apple Inc. - Ex. 1012, p. 6
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 5 of 13
`
`5,634,012
`
`identifier
`701
`
`
`
`
`
`
`
`
`Starting Address
`702
`
`
`Length
`703
`
`700
`
`Rights Portion
`704
`
`Parent Pointer
`705
`
`Child Pointer
`706
`
`Hg. 7
`
`
`
`Fig. 8
`
`
`
`
`
`
`d-biock
`d-block
`d-block
`d-block
`925
`926
`927
`928
`
`
`(Text)
`(Photo)
`(Graphics)
`(Sidebar)
`
`
`
`
`
`Fig. 9
`
`Petitioner Apple Inc. - EX. 1012, p. 7
`
`Petitioner Apple Inc. - Ex. 1012, p. 7
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 6 of 13
`
`5,634,012
`
`1052
`
`Status
`Information
`
`Fig. 10
`
`Rig ht
`1450
`
`Transactionai
`Component
`
`1451
`
`
`Specification
`Component
`
`1452
`
`
`Co Count
`py
`1 453
`
`Control
`1457
`
`Fees/Incentives
`1454
`
`
`
`Access
`1456
`
`Fig. 14
`
`Petitioner Apple Inc. - EX. 1012, p. 8
`
`Petitioner Apple Inc. - Ex. 1012, p. 8
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 7 of 13
`
`5,634,012
`
`Identifier (Magazine)
`
`
`
`Starting Address (0)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`(PRINT.VIEW)
`
`Child Pointers
`
`
`d-block
`1102
`
`Length (100,000)
`.
`v
`_
`Rig hts Portion
`(PRINTNl EW)
`
`Parent Pointer
`
`
`
`
`Child Pointers
`
`root
`d-block
`1101
`
`identifier (Article 2)
`
`Starting Address (25,001)
`
`
`
`
`
`
`
`
`
`(PRINTNIEW)
`
`d-block
`1 105
`
`
`
`
`
`
`
`
`
`
`
`Identifier (Article 3)
`
`Identifier (Article 4)
`
`Starting Address (50,001)
`
`Starting Address (75,001)
`
`Length (25,000)
`
`Length (25,000)
`
`Rights Portion
`(VIEW)
`
`Rights Portion
`(PRINT (Fee))
`
`Child Pointers
`
`Child Pointers
`
`
`
`
`
`
`d-block
`1 1 03
`
`d-block
`1104
`
`Fig. 1 1
`
`Petitioner Apple Inc. - EX. 1012, p. 9
`
`Petitioner Apple Inc. - Ex. 1012, p. 9
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 8 of 13
`
`5,634,012
`
`Processing
`Element
`1201
`
`Processor
`
`Memory
`1 202
`
`External
`Interface
`
`1206
`
`Descriptor
`Storage
`1203
`
`Content
`
`Storage
`1204
`
`Repository Specfic
`Software
`Function/Services
`1304
`
`
` User
`interface
`
`1305
`
`
`
`
`
`Usage Transaction
`Handlers
`1303
`
`
`Core Repository
`
`Identification
`
`Services/Transaction
`
`Certificates
`
`Handfing
`
`
`1 306
`
`1 302
`
`Operating
`System
`1 301
`
`
`Fig. 13
`
`Petitioner Apple Inc. - EX. 1012, p. 10
`
`Petitioner Apple Inc. - Ex. 1012, p. 10
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 9 of 13
`
`5,634,012
`
`1501 NDigital Work Rights: = (Rights*)
`1502 ~Right := (Right-Code {Copy—Count} {Control-Spec} {Time-Spec }
`
`{Access-Spec} {Fee-Spec})
`
`1 503 ~Right-Code : = Render-Code I Transport-Code I File-Management-
`CodeI Derivative-Works— Code I Configuration-Code
`1504 ~Render-Code := [ Play : {Playerz Player-ID} I Print: {Printer: Printer-[DH
`
`1505 ~Transport-Code : = [Copy I Transfer I Loan {Remaining-Rights:
`Next-Set-of-Rights}]{(Next-Copy-Rights: Next-Set-of—Rights)}
`7506 ”VFile-Management-Code
`: 2 Backup {Back-Up-Copy-Rights:
`Next-Set-of—Rights} I Restore I Delete I Folder
`I Directory {Name: Hide-Local I Hide-Remote}
`
`1507 ~Derivative-Works-C ode :2
`
`[Extract I Embed I Edit{Process:
`
`{Partsz Hide-Local I Hide-Remote}
`
`Process-ID}] {Next-Copy-Rights :
`
`Next-Set-of Rights}
`
`7503 ~Configuration-C ode : = Install I Uninstall
`
`1 509 ~Next-Set-of—Rights := {(Add: Set-Of-Rights)} {(Delete:
`Set-Of-Rights)} {(Replace: Set—Of-Rights )}{(Keep: Set-Of-Rights )}
`
`15 70 “VC opy-Count : = (Copies:positive~integer I 0 I Unlimited)
`1511 ~Control-Spec := (Control: {Restrictable I Unrestrictable}
`
`{Unchargeable I Chargeable})
`1512 ~Time-Spec : = ({Fixed-Interval I Sliding-Interval I Meter-Time}
`
`Until: Expiration-Date)
`1513~ Fixed-Inte rval : = From: Start-Time
`
`1514~Sliding-Interval := Interval: Use- Duration
`
`1515 ~Meter-Time: = Time-Remaining: Remaining-Use
`1515~ Access-Spec : = ({SC: Security-Class} {Authorizatiom Authorization-ID*}
`{Other-Authorization: Authorization-ID*} {Ticket Ticket—ID})
`1517~Fee-Spec: = {Scheduled-Discount} Regular-Fee-Spec I Scheduled-Fee-Spec I
`
`Markup-Spec
`1513 ~Scheduled-Discount: = Scheduled-Discount: (Scheduled—Discount:
`
`I Incentive: } [Per—Use-Spec I Metered-Rate-
`1519 ~Regular-Fee-Spec 2: ({Fee:
`Spec I Best-Price-Spec I Call-For-Price-Spec]
`
`(Time-Spec Percentage)*)
`
`{Mim Money-Unit Per: Time-Spec}{Max:
`
`Money-Unit Per: Time-Spec} To: Account-ID)
`
`1 520 ~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 “v Scheduled-Fee-Spec: = (Schedule: (Time-Spec Regular-Fee-Spec)* )
`
`1525~Markup-Spec: = Markup: percentage To: Account-ID
`
`Fig. 15
`
`Petitioner Apple Inc. - EX. 1012, p. 11
`
`Petitioner Apple Inc. - Ex. 1012, p. 11
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 10 of 13
`
`5,634,012
`
`REPOSITORY-1
`
`REPOSITORY-Z
`
`1601
`
`
`
`Generate Re istration
`ldenti ier
`
`
`Public Check
`
`Key?
`
`Yes
`
`1605
`
`Decrypt Registration
`Message
`
`1606
`
`Generate Registration
`Message
`
`Transmit Registration
`Message
`
`Decrypt Performance
`Message
`
`
`
`Repository
`
`Names 0.K.?
`
`Extract Repository-1
`Identifier
`
`
`Time Accurate?
`
`
`
`Registration
`
`Identifier Same
`
`As One Sent?
`
`
`es
`
`Y
`
`1615
`
`Repository~1
`on Hotlist?
`
`No
`
`Generate Performance
`
`. Message
`
`Transmit Performance
`Message
`
`
` Nonce Same
`
`As Original?
`
`
`
`
`
`
`No
`
`Repository- 2
`Terminate Transaction
`
`
`
`
`
`
`
`
`Save Encrypted
`
`Repositor -1
`
`Re istrationl entifier
`
`9
`
`
`
`
`
`
`
`
`
`Repository- 1
`Terminate Transaction
`
`Fig. 16
`
`Petitioner Apple Inc. - EX. 1012, p. 12
`
`Petitioner Apple Inc. - Ex. 1012, p. 12
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 11 of 13
`
`5,634,012
`
`REPOSITORY-1
`
`REPOSITORY-Z
`
`1701
`
`1704
`
`
`Enc pt Second Key Using
`
`
`Public Key of Repository-2
`
`
`Exchange Message
`
`
`
`Transmit Encrypted Second
`Key To Repository-2
`
`Transmit Timestamp
`Exchange Message
`To Repository-1
`
`
`Generate Timestamp
`Message
`
`1707
`
`1708
`
`T“""““""‘*““‘"“’
`Message To Repository-2
`
`Note Current Time
`
`1705
`
`1 709
`
`1710
`
`
`1706
`
`
`
`
`
`
`
`Save Time From Repository-1
`
`1711
`
`Compare Current Time With
`Time From Repository-1
`
`1712
`
`Time
`Difference Exceed
`Tolerance?
`
`Ye
`
`s
`
`1713
`
`Terminate Transaction
`
`
`
`
`
`
`
`
`
`
`
`
`1714
`
`
`
`Compute Ad'usted
`Time De ta
`
`Fig. 17
`
`Petitioner Apple Inc. - EX. 1012, p. 13
`
`Petitioner Apple Inc. - Ex. 1012, p. 13
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 12 of 13
`
`5,634,012
`
`1803
`
`
`SERVER
`
`REQUESTER
`
`
`1801
`
`Server-Generates
`
`Requester
`Transaction Identifier
`Tests Passed
`
` Tests
`1804
`
`
`Tests Failed
`
`Right
`
`Granted?
`
`
`
`
`
`Do Not Initiate
`Transaction
`
`
`
`
`Yes
` 1802
`
`
`
`
`Yes
`
`
`
`Time
`
`Based Conditions
`Satisfied?
`
`
`NO
`
`
`
`
`
`
`No
`
`1807
`
`
`
`
`Yes
`Security And
`
`
`~ ccess Conditions
`
`Satisifed
`
`
`
`
`
`
`. Opies in Use For
`Yes- “'9“611§83§s$§“"‘
`
`
`
`
`1812
`
`Copy Count: 0?
`
`No
`
`Decrement Co y
`
`1811
`
`
`
`
`
`
`Lo
`
`
`N°
`
`
`.
`
`
`
`
`
`
`
`"0
`
`1313
`
`'
`
`.
`
`1814
`
`1315
`
`1816
`
`Yes
`
`
`
`
`
`
`11131532133 Set
`
`
`of Rights?
`
`
`N°
`
`1805
`
`Terminate Transaction
`
`N
`
`°
`
`
`Fe-e'
`
`Conditions
`
`
`Satisfied?
`
`1817
`
`
`Yes
`
`Decrement Co ies In Use For
`Right By Num er In Request
`
`
`
`Perform Usage
`Transaction Steps
`1818
`1819
`
`
`
`For Metered Use, Subtract
`
`Initiate End-Charge Financial
`
`
`Elapsed Time From Remaining
`Transactlon to Confirm Billing
`Use Time For Right
`
`
`Fig. 18
`
`Petitioner Apple Inc. - EX. 1012, p. 14
`
`Petitioner Apple Inc. - Ex. 1012, p. 14
`
`

`

`US. Patent
`
`May 27, 1997
`
`Sheet 13 of 13
`
`5,634,012
`
`SERVER
`
`(Cancel)
`Fail
`1912
`
`
` New
`Transaction Next Data
`
`
`
` Commit Report
`To Credit Server
`1m4
`
`————A
`
`
`
`
`I
`I Start
`i
`L .1 9.03 _ _
`I
`I
`
`
`Report Error
`1
`: Data
`To Credit Server
`1
`1
`1907
`
`1915
`:
`,
`.
`:Ack
`,Ack
`I
`Line
`I
`i
`I
`. ................ 4
`.....I .................................. 1 ........... 1.?91.
`
`CLIENT
`
`
`
`Wait For
`Transaction
`
`1 904
`
`r_.____...___.
`
`
`Received
`1909
`
`Commit Report
`To Credit Server
`1 91 6
`
`
`
`
`
`
`Report Error
`To Credit Sewer
`1918
`
`Acknowledge
`1 91 0
`
`Fig. 1 9
`
`Petitioner Apple Inc. - EX. 1012, p. 15
`
`Petitioner Apple Inc. - Ex. 1012, p. 15
`
`

`

`1
`SYSTEM FOR CONTROLLING THE
`DISTRIBUTION AND USE OF DIGITAL
`WORKS HAVING A FEE REPORTING
`MECHANISM
`
`RELATED APPLICATIONS
`
`This application is related to the following co-pending
`and commonly assigned U.S. patent applications:
`Ser. No. 08/344.760. entitled “System For Controlling the
`Distribution and Use of Digital Works Using Digital
`Tickets” filed Nov. 23, 1994;
`Ser. No. 08/344041. entitled “System For Controlling the
`Distribution And Use Of Digital Works Utilizing A
`Usage Rights Grammar” filed Nov. 23. 1994;
`Ser. No. 08/344042. entitled “System For Controlling the
`Distribution and Use Of Digital Wor
`” filed Nov. 23.
`1994; and
`
`10
`
`15
`
`Ser. No. 08/344776. entitled “System For Controlling the
`Distribution and Use of Composite Digital Works” filed
`Nov. 23. 1994.
`
`20
`
`FIELD OF THE INVENTION
`
`The present invention relates to the field of distribution
`and usage rights enforcement for digitally encoded works.
`
`25
`
`BACKGROUND OF THE INVENTION
`
`A fundamental issue facing the publishing and informa-
`tion industries as they consider electronic publishing is how
`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
`
`30
`
`35
`
`4O
`
`45
`
`50
`
`55
`
`65
`
`5,634,012
`
`2
`
`is detected have been employed Another scheme causes
`software to become disabled after a predetermined period of
`time has lapsed. A technique used for workstation based
`software is to require that a special hardware device must be
`present on the workstation in order for the software to run.
`e.g.. see U.S. Pat. No. 4.932.054 entitled “Method and
`Apparatus for Protecting Computer Software Utilizing
`Coded Filter Network in Conjunction with an Active Coded
`Hardware Device.” Such devices are provided with the
`software and are commonly referred to as dongles.
`Yet another scheme is to distribute software. but which
`
`requires a “key” to enable it’s use. This is employed in
`distribution schemes where “demos” of the software are
`
`provided on a medium along with the entire product. The
`demos can be freely used. but in order to use the actual
`product. the key must be purchased. These scheme do not
`hinder copying of the software once the key is initially
`purchased.
`A system for ensuring that licenses are in place for using
`licensed products is described in PCI‘ Publication WO
`93/01550 to Griswold entitled “License Management Sys—
`tem and Method.” The licensed product may be any elec—
`tronically published work but is most effective for use with
`works that are used for extended periods of time such as
`software programs. Griswold requires that the licensed prod—
`uct contain software to invoke a license check monitor at
`
`predetermined time intervals. The license check monitor
`generates request datagrams which identify the licensee. The
`request datagrams are sent to a license control system over
`an appropriate communication facility. The license control
`system then checks the datagram to determine if the data-
`gram is from a valid licensee. The license control system
`then sends a reply datagram to the license check monitor
`indicating denial or approval of usage. The license control
`system will deny usage in the event that request datagrams
`go unanswered after a predetermined period of time (which
`may indicate an unauthorized attempt to use the licensed
`product). In this system. usage is managed at a central
`location by the response datagrams. So for example if
`license fees have not been paid. access to the licensed
`product is terminated.
`It is argued by Griswold that the described system is
`advantageous because it can be implemented entirely in
`software. However. the system described by Griswold has
`limitations. An important limitation is that during the use of
`the licensed product. the user must always be coupled to an
`appropriate communication facility in order to send and
`receive datagrams. This creates a dependency on the com-
`munication facility. So if the communication facility is not
`available. the licensed product cannot be used. Moreover.
`some party must absorb the cost of communicating with the
`license server.
`
`A system for controlling the distribution of digitally
`encoded books is embodied in a system available from VPR
`Systems. LTD. of St. Louis. Mo. The VPR system is
`self-contained and is comprised of: (1) point of sale kiosks
`for storing and downloading of books. (2) personal storage
`mediums/cartridges) to which the books are downloaded.
`and (3) readers for viewing the book. In a purchase
`transaction. a purchaser will purchase a voucher card rep-
`resenting the desired book. The voucher will contain suffi-
`cient information to identify the book purchased and perhaps
`some demographic information relating to the sales trans-
`action. To download the book. the voucher and the cartridge
`are inserted into the kiosk.
`
`The VPR system may also be used as a library. In such an
`embodiment. the kiosk manages the number of “copies” that
`
`Petitioner Apple Inc. - Ex. 1012, p. 16
`
`Petitioner Apple Inc. - Ex. 1012, p. 16
`
`

`

`3
`
`5 ,634,012
`
`4
`SUMNIARY OF THE INVENTION
`
`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 distribution and protection schemes oper-
`ate in part by preventing subsequent distribution of the work.
`While this certainly prevents unauthorized distributions, it
`does so by sacrificing the potential for subsequent revenue
`bearing uses. For example. it may be desirable to allow the
`lending of a purchased work to permit exposure of the work
`to potential buyers. Another example would be to permit the
`creation of a derivative work for a fee. Yet another example
`would be to permit copying the work for a fee (essentially
`purchasing it). Thus, it would be desirable to provide flex-
`ibility in how the owner of a digital work may allow it to be
`distributed.
`
`While flexibility in distribution is a concern. the owners
`of a work want
`to make sure they are paid for such
`distributions. In U.S. Pat. No. 4,977,594 to Shear. entitled
`“Database Usage Metering and Protection System and
`Method,” a system for metering and billing for usage of
`information distributed on a CD—ROM is described. The
`system requires the addition of a billing module to the
`computer system. The billng 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.
`
`US. 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 (IPs) 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 19s
`of interest are selected by the user and are decrypted and
`stored locally. The IPs 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 IPs. The keys are changed periodically. If the central
`accounting facility has not issued a new key for a particular
`user station. the station is unable to retrieve information
`from the system when the key is changed.
`A system available from Wave Systems Corp. of
`Princeton. N.Y., provides for metering of software usage on
`a personal computer. The system is installed onto a computer
`and collects information on what software is in use. encrypts
`it and then transmits the information to a transaction center.
`From the transaction center. a bill is generated and sent to
`the user. The transaction center also maintains customer
`accounts so that licensing fees may be forwarded directly to
`the software providers. Software operating under this system
`must be modified so that usage can be accounted.
`Known techniques for billing do not provide for billing of
`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.
`
`10
`
`15
`
`20
`
`25
`
`30
`
`35
`
`45
`
`50
`
`55
`
`65
`
`In a system for the control of distribution and use of
`digital works, a fee reporting mechanism for reporting fees
`associated with such distribution and use is disclosed. The
`system includes a means for attaching usage rights to a
`digital work. The usage rights define how the digital work
`may be used or further distributed by a possessor of the
`digital work. Usage fees are specified as part of a usage
`right. The ability to report usage fees may be a condition to
`the exercise of a usage right. Further, diiferent fees may be
`assigned to different usage rights.
`The present invention enables various usage fee scenarios
`to be used. Fees may be assessed on a per use basis, on a
`metered basis or based on a predetermined schedule. Fees
`may also be discounted on a predetermined schedule, or they
`can be marked-up a predetermined percentage (e.g. as a
`distributor fee). Fee reporting may also be deferred to a later
`time, to accommodate special deals. rebates or some other
`external information not yet available.
`The present invention supports usage fees in an additive
`fashion. Usage fees may be reported for a composite digital
`work. i.e. a digital work comprised of a plurality of discrete
`digital works each having their own usage rights, and for
`distributors of digital works. Accordingly, fees to multiple
`revenue owners can be reported.
`Usage fee reporting is done to a credit server. The credit
`server collects the fee information and periodically transmits
`it to a billing clearinghouse. Alternatively, the credit server
`may have a pre-allocated credit which is decremented as
`fees are incurred. In this alternative embodiment, the credit
`server would have to be periodically reallocated with credits
`to enable further use.
`
`BRIEF DESCRIPTION OF THE DRAWINGS
`
`FIG. 1 is a flowchart illustrating a simple instantiation of
`the operation of the currently preferred embodiment of the
`present invention.
`FIG. 2 is a block diagram illustrating the various reposi-
`tory types and the repository transaction flow between them
`in the currently preferred embodiment of the present inven-
`tion
`
`FIG. 3 is a block diagram of a repository coupled with a
`credit server in the currently preferred embodiment of the
`present invention.
`FIGS. 40 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.
`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.
`
`Petitioner Apple Inc. - Ex. 1012, p. 17
`
`Petitioner Apple Inc. - Ex. 1012, p. 17
`
`

`

`5,634,012
`
`5
`
`FIG. 12 is a block diagram of the hardware components
`of a repository as are utilized in the currently preferred
`embodiment of the present invention.
`FIG. 13 is a block diagram of the functional (logical)
`components of a repository as are 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 client
`repositories. as may be performed in the currently preferred
`embodiment of the present invention.
`
`DETAILED DESCRIPTION OF THE PREFERRED
`EMBODIMENT
`
`TABLE OF CONTENTS
`
`Page No.
`OVERVIEW
`RENDERING SYSTEMS
`STRUCTURE OF DIGITAL WORKS
`ATTACHING USAGE RIGH