HWMWWWW
`WMWWWMWWWW
`USU(l6135646A
`
`United States Patent
`Kahn et at.
`
`[19]
`
`[11] Patent Number:
`
`6,135,646
`
`[451 Date of Patent:
`
`*Oct. 24, 2000
`
`3-itiftatti
`3‘)Sff:l0
`33Gt’4
`
`
`
`2fl0<Jt:'t Uopal ctal,
`5,401.81?
`lfl‘)"J7 D110 ct al.
`..
`5.596.744
`..
`tit'l097 Stctik at al.
`5,638,443
`t-‘OREIGN l’A’[‘liN'l‘ DUCUML-LN‘l‘S
`
`WE) ‘)l.t'l2583
`
`8fl9‘)I Wll’(J .
`OTI IER PUTBI JCATIONS
`
`(‘NR1 Brochure, Workshop on the Protection of Intellectual
`Property Rights In A Digital Library System. "Knowbots In
`The Real World", May 18-19, 1989.
`Kahn, Robert E. at al., "The Digital Library Projcct~—
`Volume I:
`'ll:te World of Knowbutas (Dral't)”, An Open
`Architecture for a Digital Library System and .1 Plan for Its
`Development, Mar. 1988 (49 pp) and Dec. 1987 (75 pp).
`Garrett, John R. at al., Copyright Clearance Center, "Text tn
`Screen: Copyright Issues in the Electronic: Age". pp. 1-12,
`Cnpyriglu 1989.
`Garrett, John R. r:t:1]., Copyright Clearance Cc rtter, "Toward
`a Copyright Management System for Digital l.ibrarics“. pp.
`l—'F4, Copyright 1991.
`Kahn, Robcn E., “Deposit, Registration and Rccordalinn in
`an Electronic Copyright Management System”, Hi-M Intel'-
`lectrmt Pmperry Project Pmr:€€d't'r.'g.€,
`Jan.
`I994, vol. 1.
`Issue 1, pp. ll1—J20.
`Kahn, Robcrt and Robert Wilcnsky, "l.ncaling Electronic
`Library Services and Objects: A Frank: 01‘ Reference far the
`CSJI‘R l’mjccl". Feb. 1994 and later vcrsions.
`Kahn, Robert ct al.. “A t-‘rarncwork for Distributed Digital
`Objects Scrviccs", May 13, 1995.
`Kahn, Robert, “National Information Infrastntcture Compu-
`ncnts". Serirrts Review. vol. 18, No. 1-2, 1992.
`
`(List continued on next page.)
`
`}"rt'm.t1r_y EJrrrrm'ner—Lt: Ilicn Luu
`Atrorrtqtt, Agent, or Ft'rm—Fish Sc Richardson P.C.
`|S7]
`AIlS'l‘RAC'l‘
`
`Methods of managing digital objects in a network are
`presented. Holders of rights in digital objects arc enabled to
`control terns antl condilictns under which they are acccsst.-cl
`by users in a network, or are, granted tr) others.
`
`14 Claims, 25 Drawing Sheets
`
`I54]
`
`[75]
`
`I73]
`
`SYSTEM FOR UNIQUELY AND
`l’l.*1RSISTENTLY Il)l<1N'I'II"YING, MANAGING,
`AND TRACKING DIGITAL OBJECTS
`
`Inventors: Robert E. Kahn, McLean; David K.
`Ely. Oakton. both of Va.
`
`As.-;igncc: Corporation for National Research
`Initiatives. Rcston, Va.
`
`I‘!
`
`Nctlicc:
`
`issued on :1 continued pros-
`"l‘l'|is patent
`ccutinn application filed under 37 CPR
`1.53(d), and is subject to the twenty year
`patent
`terrn provisions of 35 U.S.(_‘.
`154-(a)(2).
`
`App}. No.2 08]tit|8,|]5l]
`Filed:
`Feb. 28, 1997
`
`[63]
`
`I51 I
`I53!
`
`l53l
`
`[56]
`
`Related U.S. Application Data
`
`Continuation of application No. (13.1 142.161, Oct. 22. 1903,
`abandoned.
`
`Int. Cl.’
`US. Cl.
`
`(}tl6l~' 13100
`395r'2llt|.47; 395l2U0.49;
`"IGTIIU4
`. 395ftil6, 421.1,
`Field of Search ..
`395E077. 610, MS. 18101, 200.49. 200.47;
`38(tf4‘. '."(37r’lU4
`
`References Cited
`
`U.S. l’A'l'EN'l‘ DOCUMl_-LN'l'S
`
`..
`4.rl‘)9tl Haratv clai.
`4f)l4,57l
`..
`bl-'l99[l RDl't[.‘]'l et al.
`4,‘J37.8(i3
`Bfl‘J0tI Ryder. Sr. ct al.
`4.053.2(l9
`7.t'i.‘)01
`llccht ct al.
`.‘i.tl32,‘3J7‘)
`I‘J:'l‘J93 Waite ct al.
`5_.2.22.l.34
`Tl-‘I993 Ouan
`5,230,051
`8,-'t')‘J3 Nukui ..
`5,Z‘1‘Fl_,t)48
`8.t'l9‘J3 Reed et al.
`5,241,671
`5.2bU,9i'J(} 1l;'l993 Wyntam
`5,321,841
`(Jfl‘J‘J4 East ctal.
`5,33<.J,4[l3
`8,-'t‘J‘J4 Parker
`5,357.63(l
`t[);’l994 Oprcscu ct al.
`S.3?5,206
`l2ft9¢)-4 iluntcr Ct at.
`
`
`
`.. 3‘)5ft>1tl
`.. 3S()_-'4
`38l')t'23
`
`. 5.-ilS7.tJl
`.. 380.-'4
`395f7UU
`395t'(:t(J
`3‘J5!E:l5
`38U,u'4
`.. SOSIES7?
`39515-‘t-21.1
`.. 395t’ti0tl
`3'J5;".'I'fl[l
`
`Wu'|~:l¢l-:trI
`ft2nk:||ngL\I|
`
`
`
`tr: xallvtlne t:
`
`
`EVERNOTE EX. 1005
`
`1of45
`
`1 of 45
`
`

`

`6,135,646
`Page 2
`
`OTHER PUBLICATIONS
`
`Lyons, Patrice A., “Knowlcdge—Bascd Systems and Copy-
`right”, Serirris Revfetv. pp. 88-91, 1992.
`Kahrt, Robert E, Deposit, Registration and Rcoordation in an
`Electronic Copyright Management Systems, 18 pp (pub-
`lished Oct. 1992).
`et al., "Access to Digital Objects: A
`Dunstan, James
`Communications Law Perspective”, Annual Survey of
`American Law, NY University School of Law, 1994 Vol-
`ume, Issue 3.
`I..ago7e, Carl et al., “lmplerrtcntation Issues in an Open
`Architectural Framework for Digital Object Serviccs"', Jun.
`6, 1995—Rcvision 1.3.
`Kahn, Robert 1:2,, Deposit, Registration and Recordation in
`an Electronic Copyright Management System, Corporation
`for National Research Initiatives, Reston, VA, Aug.. 1992.
`Lyons, Patrice, Computer Programs: A Fair Use Analysis,
`Twenly—First Annual Telecommunications Policy Research
`Conference. Solomons. MD, Oct. 2-4. 1993.
`Copyright Clearance Center Ontine. Apr. 6, 1995, Danvcrs.
`MA, Press Release.
`
`EPR Electronic Commerce Technologies Press Release,
`"Breakthrough Digital Rights Protection Information Meter-
`ing/krchitecture with a Universal Digital Content and Com-
`merce Containcr", Apr. 10. 1995, Press Release. San Jose.
`CA, Internet World 95—E1’R Inc.
`Cerf et al., "A Protocol For Packet Network Intert.'on1r11uni-
`c:ttion,”,
`IEEE Transar:tic-ns 011 Communications. vol.
`Com—22, No. 5, May 1974, 111:. 637-648.
`Cerf cl al. "Issues in Packet Network Intcrcornmunication”,
`Proceedings of the IEEE, vol. 66, No. 1], Nov, E978. pp.
`1386-1408.
`Kahn, “Resource—Sharirtg Computer Communications Nel-
`works",
`l’rot:ecdings of the IEEE, vol. 60, No. 11, Nov.
`1972, pp. 13974407.
`Postel, “N(‘1-‘/I‘CP Transition Plan", USCKInfon:t1ation Sci-
`ences Institute, Nov, 1981.
`Mockapctris, "Domain l‘~Iames—Concepts and Facilities".
`itttyxffwww.ietfoiglrfc/rfcO882.mt, Nov. 1983. pp. 1-28.
`Mo-ckapctris, "Domain Nam<s—Implcmertlation and Speci-
`fication”, htrp.'.ifwnw.ietj'.argfrfcfrfc0883.re.x1., Nov., 1983,
`pp. 1-67,
`
`2 of45
`
`2 of 45
`
`

`

`U.S. Patent
`
`Oct. 24,2000
`
`Sheet 1 M25
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`6,135,646
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`U.S. Patent
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`Oct. 24, 2000
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`U.S. Patent
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`

`U.S. Patent
`
`oct. 24, 2000
`
`Sheet 5 0f 25
`
`6,135,646
`
`variable length string defined on a per country basis
`I
`
`130
`
`FIG 5
`
`130
`
`144
`
`142
`
`‘I40
`
`140
`
`- -- -HANDLE
`
`FIG 6
`
`hash code space
`
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`
`FIG 7
`
`7 of45
`
`7 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 5 0f25
`
`6,135,646
`
`1 70
`
`
`
`
` Syslern Heads Hash
`Range From Handle
`Server Directory
`
`System Obtains Handle
`
`1 72
`
`
`System Generates
`Hash Code for Handle
`
`174
`
`
`
`
`
`System Finds Domain
`Name of Handle server
`From Hash Table
`
`176
`
`1 80
`
`
`
`Handle Server
`Returns Pointer
`
`
`
`System Sends Handle
`to Handle Sewer
`
`Handle Server Has
`
`Pointer for Handle?
`
`178
`
`Handle Sent To
`
`Handle Server
`
`Flelurns
`Wrong Handle Server?
`
`"Not Responsible"
`
`
`
`
`
`Handle Server
`Returns
`“Handle
`Not Found."
`
`
`
`
`
`182
`
`184
`
`FIG. 8
`
`8of45
`
`8 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 7 of 25
`
`6,135,646
`
`60
`
`70
`
`
`
`E
`'
`
`
`
`Applicant Makes
`Object Available
`To Own System
`
`
`Applicant Places
`Obiect In a
`
`H9D05|t0f‘_~l'
`
`
`
`
`Applicant Runs Flegistralton
`
`Program and Fills Out
`
`Template
`
`Application .3. Oblecrs Handle
`Electronically Mailed to
`Registration System
`
`64
`
`Registration System Checks
`Application
`
`
`
`Object with Apptication 7
`
`
`Registration System
`Verifies Object Not
`Corrupted
`
`F-Iegtstrauon
`System Retrieves
`Object From
`
`R3i?05'1°W
`
`74
`
`
`
`RIP Created 8. Sent
`
`To Tracking System
`
`76
`
`78
`
`Tracking System Verifies Account
`
`Examiner Accesses Application
`5 Object Throuh Workstation
`
`
`
`
`
`
`
`
`Registration System Assigns
`Number 8. Sends Certificate
`To Applicant
`80
`
`
`
`Updated RIP Sent to ‘tracking System
`
`
`
`82
`
`FIG. 9
`
`9of45
`
`9 of 45
`
`

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`

`

`U.S. Patent
`
`Oct. 24,2000
`
`Sheet 9 of 25
`
`6,135,646
`
`250
`
`
`
`252
`
`254
`
`2 5 6
`
`258
`2 6 O
`
`26 2
`
`
`
`
` SendMess.age
`To EJA 8.
`Record Failure
`
`
`
`Applicant Generates
`Digital Signature for Document
`
`Applicant Makes Signature
`Document 8: Key Available to UA
`
`UA Fills Out 5. Signs Flegastratton
`Application
`
`UA Sends Message to Registration
`System VIA PEMJMIME
`
`Fiegistration System Records
`Message Fleceipt
`
`Registration System Accepts
`Applications From UA‘?
`
`V55
`
`Digital Signature Valid
`Over Message?
`
`Yes
`
`Receipt Confirmation Sent
`to UA
`
`Valid?
`Yes
`
`2 6 8
`
`270
`
`272
`
`N3
`
`274
`
`11 of45
`
`Document in PEMIMIME
`Message?
`Yes
`
`
`
`Digital Signature Valid
`Over Document?
`
` Information Entered in Registration
`System Data Base + Recorded in Log
`
`
`
`FlG. 11
`
`11 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 10 of 25
`
`6,135,646
`
`Send
`Message
`To UA
`
`2 8 0
`
`2 8 2
`
`
`
`
`
`Remove
`Entries
`In Database
`8. Record Failure
`
`
`
`278
`
`Retrieve
`
`Copy '?
`
`Over Document ?
`
`Validate
`Dig itai
`Sig nature
`
`
`
`2 76
`No
`
`235
`
`_
`Document in
`PEMIMIME Message
`
`Yes
`Document
`Publisneo '3
`
`Place Document
`
`Registration System
`Prepares Initial RIP
`& Assigns Number to Appiication
`
`In Acquisition Queue
`
`Request Sent To Tracking
`Process VIA FTP
`
`2 9 2
`
`2 9 0
`
`300
`
`Delete
`
`D09‘-'mE"‘
`F'°"f"
`ReQ'$t’3"°”
`System
`
`N3
`
`2 9 6
`
`
`
`‘
`Check ‘f D‘-‘C
`Published
`
`.
`Account Vaird?
`
`2 9 4
`N)
`
`Yes
`Sutticient Funds?
`
`No
`
`YES
`
`2 9 8
`
`3 O 2
`
`,
`Tracking System Sends
`Message to
`Registration System
`
`
`
`
`
`Tracking System Sends OK To Registration
`System 8. Places RIP in Database
`
`
`
`
`304
`
`Registration System Ptaces
`Appiication in Exarniners
`Queue
`
`
`
`FIG 12
`
`12 of45
`
`12 of 45
`
`

`

`U-S- Patent
`
`Oct. 24. 2000
`
`Sheet 11 of 25
`
`6,135,646
`
`306
`
`Examiners Views Document 8:
`
`
`Adds Name & Ctass to Appiication
`
`
`
`Examiner Approves?
`
`Yes
`
`
`
`‘Rejection’ Message
`Sent to Applicant
`
`318
`
`
`
`
`
`
`'Approved“ Message Sent
`To Registration System
`
`Flegistration System Assigns
`Registration Number
`
`Registration System Creates
`Signs & Archives Certificate
`
`Certilicate Sent Via PEM
`To UA
`
`Updated RIP Sent
`To Tracking System
`
`Coins Adds Updated FIIP
`To Database + Sends Confirmation
`To Registration System
`
`322
`
`Registration System Moves
`Appiication To Catalog Queue
`
`324
`
`Catalogs-r Creates Cataiog
`Information with Cataloging System
`
`326
`
`
`
`Cataloger Sends Confirmation
`To Registration System
`
`328
`
`
`
`Registration System Records
`"Processing Complete‘ in Log
`
`330
`
`
`
`FlG.13
`
`13 of45
`
`13 of 45
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`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 12 0|‘ 25
`
`6,135,646
`
`42
`
`Workstation
`
`
`
`Directory
`
`Handle
`Server
`
`5 9
`
`58
`
`5 6
`
`14 of45
`
` Handie
`Server
`
`Handle
`Generator
`
`
`
`Rights
`Managemen!
`System
`
`Repository
`
`FIG. 14
`
`14 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 13 of 25
`
`6,135,646
`
`User Makes Object
`Available to UA
`
`350
`
`
`
`UA sends Handle
`Fleduest to Handle
`Generator System
`
`352
`
`Handle Generator
`Fleturns Handle
`
`354
`
`HMS Accepts Requests
`From LIA‘?
` HMS Sends
`"Invalid" Message
`to UA S. Discards
`Request
`
`360
`
`362
`
`
`
`
`
`364
`
`366
`
`368
`
`HMS Stores Handle 8.
`Associated Terms
`
`HMS Sends Confirmation
`To UA
`
`
`
`FIG. 15
`
`15 of45
`
`Set cl Terms for
`Handle Already Stored?
`
`
`
`15 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 14 of 25
`
`6,135,646
`
`370
`
`UA Computes Objecrs
`Digital Signature Over
`Handle, Group 3:. Oblecr
`
`
`
`
`
`UA Signs + Sends Request
`VIA PEMIMIME To Repository
`
`3 7 2
`
`374
`
`376
`
`Repository Accepts Submissions
`From UA
`
`N3
`
`Repository
`
`Sencb
`Message Io UA
`8. Discards Request
`
`
`
`382
`
`Signature Valid Over
`Message?
`
`33
`
`Ob" HM
`
`‘?
`
`Yes
`
`UA's Signature
`Valid Over Handle
`
`Group 8. Obiecl?
`
` 3 8 4
`
`3 B 6
`
`Request Date
`
`Reasonable
`
`Repository Stores
`
`388
`
`Object & information
`
`Repository Compuies Digital
`Signature over Handle.
`Group 3. Obie-cl
`
`To UA
`
`Fleposrtory Sends
`Confirmation VIA PEM
`
`3 9 0
`
`3 9 2
`
`FIG. 16
`
`16 of45
`
`16 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 15 of 25
`
`6,135,646
`
` _
`
`LJA Verilies Flepositorys
`Digital Signal Over Handle.
`Group + Object
`
`3 94
`
`UA Stores Handle. Object
`& Repository Information
`
`UA Computes Obtect Handle
`Hash
`
`3 9 6
`
`3 9 8
`
`UA Looks Up Handle Sewer
`
`
`Responsible for Handle
`
`In Hash Table
`
`400
`
`UA Signs 3. Sends Message
`To Handle Server Via PEM
`
`402
`
`405
`
`404
`
`N3
`
`408
`
`UA Reads New
`Hash Table From
`Handle Server
`Directory
`
`Handle Server
`Sends Message
`To UA 8.
`Discards Message
`
`Handle Server
`Sends "Invalid" Message
`To UA &
`Discards Message
`
`
`
`
`
`Handle Sewer Accepts
`Messaes from UA?
`
`Yes
`
`
`
`
`
`412
`
`17 of45
`
`Handle Server Flesponsible
`For Handle?
`Ya
`
`Digital Signal Valid
`Over Message?
`
`
`
`410
`
`414
`
`416
`
`418
`
`Y6
`Handle Server Slores
`Handle Information
`
`From UAS Message
`
`
`
`
`4 2 0
`
`Handle Server Sends
`Conlirmalson lo UA
`
`FIG. 17
`
`17 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 16 of 25
`
`6,135,646
`
`F'-_---"____"_-_-__——_____-_——___-__.-_‘
`
`om
`
`
`
`_.._¢_:3w._.o>::o:29:o..s
`
`
`
`tmmo_m.m...:EE__E9n:
`
`323:0
`
`w__u_.._mI
`
`Eiam
`
`m_u:m:
`
`..w>._mw
`
`s.wmnm_mDwar.5moe.cozmzmfimm
`
`.._a.._mu__nn_<
`
`m:_._2..#
`
`EEm>m
`
`
`mm_mu___:mU_:w.w.mmm_EmS_
`
`EmE:uoaEE
`
`Eflwzm
`
`Eozmonmm
`
`Z‘
`
`u__n_:n_
`
`.admoo<
`
`:o_,.m:m_mm.n_
`
`mmmnflmc
`
`Ia.
`
`mv
`
`2._O_u_
`
`18 of45
`
`18 of 45
`
`
`
`
`
`
`
`
`
`
`
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 17 or 25
`
`6,135,646
`
`Applicant Generates
`Digital Signature
`For Document
`
`Form & Signs It
`
`Applicant Makes Signature
`and Public Key Certificate
`Chain Available To UA
`
`UA Fills Out Application
`
`4 5 0
`
`452
`
`454
`
`UA Signs 8. Sends Request To
`Fiegistration System Via
`
`PEM/MIME
`
`4 5 6
`
`Registration System Fiecords
`Request Receipt in Log
`
`Flegistration System Accepts
`Applications From UA9
`Yes
`
`462
`
`Registration
`System Sends
`Ulfiegssfiage T:
`6°C’ 5
`Failure in Log
`
`
`
`
`
`Digital Signature Valid
`Over Message
`
`Send Confirmation of
`Receipt to UA Via PEM
`
`Application information
`Valid?
`
`
`in Database 8. Log
`
`Registration Records
`Application information
`
`FIG. 19
`
`19 of45
`
`459
`
`466
`
`4 6 8
`
`470
`
`19 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 18 of 25
`
`6,135,646
`
`472
`
`482
`
`
`
`
`
`Registration System
`Computes Document Handle
`Hash
`
`
`
`
`Look Up Handle Server
`in Hash Table
`
`
`
`Registration System
`Fleloads Hash Table
`From Handle Server
`Directory
`
`Registration System Sends
`Pointer Request To
`Handle Server
`
`Handle Server Responsible
`For Handle?
`
`Ya
`
`Handle Server
`8 ends Error
`
`Message to
`Registration
`System
`
`
`
`Handle Server
`Sends Error
`
`Handle In Database’?
`
`Yes
`
`
` 488
`
`Message to
`Registration
`System
`
`Registration System
`Sends Message to UA
`
`Registration System
`Removes Information
`From Database &
`Records Failure in Log
`
`
`
`
`
`
`
`490
`
`
`
`FIG. 20
`
`20 of 45
`
`Handle Server
`Returns Pointers To
`
`Registration System
`
`
`
`
`
`Figure 21
`
`
`
`475
`
`478
`
`484
`
`492
`
`
`
`20 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 19 of 25
`
`6,135,646
`
`Figure 20
`
`4 9 8
`
`500
`
`502
`
`504
`
`506
`
`508
`
`51 0
`
`51 2
`
`Re istrafion
`Systgm Connects
`To HMS
`
`HMS Returns
`Random Value Tag
`To Registration System
`
`Registration System
`Sends information
`To RMS
`
`
`
`Pointer Indicates
`RMS Negoflamn
`Required '7
`
`No
`
`_
`Another Pointer
`E"‘5‘5?
`
`No
`
`HMS sends Error
`Message to Registration
`System
`
`0
`,
`Registration System trogs
`Error 8. Removes Application
`information from Database
`
`
`
`Signature Valid
`Over TAG?
`'
`
`.
`.
`Registration System
`Meets Terms &
`Conditions For Document
`
`HMS Connects To
`
`Repository
`
`Yes
`
`494
`
`49 o
`
`Repository Returns
`TAG To RMS
`
`
`
`RMS Sends Iritormatton
`To Repository
`
`51 4
`
`Figure 22
`
`FIG. 21
`
`21 of 45
`
`21 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 20 or 25
`
`6,135,646
`
`Digital Signature of
`RMS Valid Over Tag’?
`
`5 1 6
`
`N3
`
`5 2 4
`
`RMS Aélowed to
`
`Transfer Document
`Yes
`
`5 2 5
`
` YES
`
`Repository Sends
`
`Confirmation to RMS Registration System
`
`18
`
`_
`Repository Sends
`Error Message
`To RMS
`
`520
`
`RMS Logs Error
`8. Sends Error Message
`To Registration System
`
`
`
`Logs Error &
`Removes Information
`From Database
`
`.
`.
`Repository Discortnects
`From RMS
`
`5 2 8
`
`RMS Forwards "Retrieval
`Allowed" Message to
`Fteistration S stem
`
`RMS Disconnects From
`Registration System
`
`530
`
`5 32
`
`Repository Connects to
`Registration System and
`Transrnits Handle 8. Signed
`
`534
`
`5 36
`
`Repository Sends Confirmation
`To RMS
`
`_
`_
`Applicants Signature
`Valid Over Document?
`Y5
`
`Handle Placed in
`Acquisition Queue
`
`Figure 20. Step X
`
`538
`
`0
`
`N
`
`544
`
`FIG. 22
`
`Document Registration System
`
`22
`
`542
`
`REcords Error In
`
`
`
`Log 8. REmoves Information
`FFOITI 03135359
`
`Registration
`Sysiem sends
`Error Message to UA
`
`22 of 45
`
`22 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 21 0f 25
`
`6,135,646
`
`Eimwm®¢=u..._GI
`
`3o.um:..Q
`
`mm
`
`mica:
`
`Eimm
`
`mm.0_n_
`
`3:
`
`.__Um:O
`
`.250mu_,_.:mw
`
`was
`
`EmE>mn_
`
`Eimw
`
`mm
`
`Emimm.3.
`
`>._o__won_m.m
`
`mEm_m
`
`_cmEwam:w_2
`
`Ewummw
`
`m:_.mm:_umE
`
`_om_n_o
`
`23 of 45
`
`23 of 45
`
`
`
`
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 22 of 25
`
`6,135,646
`
`Format Se!-Up-New-Account Message
`
`706
`
`Sign and Send Message To Payment Server
`
`708
`
`Payment Server Verifies Signature
`
`
`
`
`714
`
`
`
`Invalid
`
`716
`
`
`
`Format and Send New Account Message
`
`
`
`728
`
`
`
`
`
`Stare New Account Information
`
`730
`
`
`
`FIG 24
`
`24 of 45
`
`24 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 23 of 25
`
`6,135,646
`
`Fletrieva Table "—740
`
`742
`
`746
`
`Hash Handle and Perform Tabie Lookup
`
`Send Pointer Request
`
`Handle Server Verilies Hash Range
`
`
`
`
`
` 748
`
`
` 756
`
`
`
`Use Pointers To
`
`
`
`
`Na
`
`Refresh Table
`
`755
`
`Get Object
`
`-——
`
`Send Message
`If Unsuccessful
`
`6 4
`
`76 0
`
`
`
`
`
`
`Connect to Fleposatory
`
`766
`
`
`
`Flooding
`
`
`
`/ 7 7°
`
`Request Terms & Conditions
`
`768
`
`772
`
`
`
`730
`
`FIG 25
`
`775
`
`25 of 45
`
`
`
`
`
`Veriiy Signature
`
`
`
`incorrect
`
`774
`
`
`Verify Payment
`Server Signature
`Incorrect
`
`25 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 24 of 25
`
`6,135,646
`
`
`
`
`
`Reposttow Retrieves Terms and Conditions
`
`Repository Signs and Sends Terms and Conditions
`
`792
`
`790
`
`
`Requesting System Verifies Signature
`
`794
`
`—79a
`
`Requesting System
`
`Createsfsigns/Sends
`Message
`
`
`
`
`Repository Verifies Signature
`
`802
`
`
`Repository
`Establish Connection To Payment Server
`
`
`
`
`806
`
`
`
`810
`
`Payment Server
`Returns Random-Value Tag
`
`Repository
`Forms/Signsfsencts Debit Account Message
`
`808
`
`Payment Server validates Signature
`
`Payment Sewer validates Signature
`
`81 2
`
`Payment Server Verifies Account Access Rights
`
`81 4
`
`Payment Server Verifies That Amount May Be Charged
`
`31 5
`
`
`
`
`
`Payment Server Signs and Sends Debit Message
`
`Repository Sends Object. Handle. Etc.
`
`FIG 26
`
` 820
`
`81 3
`
`26 of 45
`
`
`
`
`User Selects Terms
`
`796
`
`
`
`26 of 45
`
`

`

`U.S. Patent
`
`Oct. 24, 2000
`
`Sheet 25 of 25
`
`6,135,646
`
`
`
`
`
`Requesting System
`Connects To FIMS
`
`HMS Returns Random Value Tag
`
`-330
`
` 832
`
`HMS Sends Information
`
`RMS validates Signature
`
`3 34
`
`3 3 5
`
`Repository Verifies Payment Servers Signature
`
`838
`
`342
`
`344
`
`345
`
`848
`
`
`
`HMS fuser Dialog
`
`340
`
`RMS Connects To Repository
`
`Repository Returns Random Tag Value
`
`HMS Sends Information
`
`Repository Verifies Signature
`
`Repository Connects To Payment Sewer
`
`Payment Server Returns Random Value Tag
`
`
`
`
`
`
`
`Repository Creates. Signs. and Sends. Debit Account Message
`
`854
`
` 856
`
`
`
`858
`
`860
`
`862
`
`
`
`
`
`Payment Server validates Signature
`
`Payment Server Verifies Account Rights
`
`
`
`Payment Server Verifies Charge Amount
`
`Payment Server Sends Account Debit Message
`
`
`
`
`
`
`
`
`
`
`
`Repository Sends Object. Etc
`
`368
`
`FIG. 27
`
`“°P°s‘*°~Se“°s
`Denver Confirmation
`
`37°
`
`27 of 45
`
`27 of 45
`
`

`

`6,135,646
`
`1
`SYSTEM FOR UNIQUELY AND
`PICRSISTENTLY IDENTIFYING, lVL=\NAGIN(‘n
`AND TRACKING DIGITAL OBJECTS
`
`This is a continuation of application Ser. No. 08.t142.16l,
`filed Oct. 22. 1993, now abandoned.
`BACKGROUND
`
`5
`
`2
`third is export of internal network based information to
`paper using digital printers or facsimile machines or copying
`to separable media such as tape or DAT for external trans-
`port to others. The fourth is that digital objects may be easily
`manipulated on at Computer to produce derivative works. The
`derivative works can also be easily moved about
`in a
`computer network environment and be subject
`to further
`manipulation by other parties. Parallel and concurrent
`manipulation can generate an exponential proliferation of
`derivative works.
`Several technologies are known for handling privacy and
`authentication in a digital network environment, including
`public key cryptography, digital signatures, privacy
`enhanced mail, and notarization.
`SUMMARY OF THE INVENTION
`
`In general, in one aspect, the invention features a method
`of managing digital objects in a network, the objects are
`stored at locations accessible in the network using a storage
`technique which renders the digital objects secure against
`unauthorized access. Pointer information which associates
`each digital object identifier with a pointer indicating the
`location of the stored digital object is also stored in the
`network. For each digital object validation information is
`stored, separately front the digital object, and is sutficient to
`permit a determination whether a purported instance of a
`digital object is identical to the original. In examples of the
`invention, an authorized user may have access to the vali-
`dation information, using the digital object identifier,
`to
`determine whether a purported instance of a digital object is
`identical to the original. The validation information com-
`prises a digital signature over the digital object.
`Another general aspect of the invention concerns manag-
`ing reference information about digital objects in a network.
`The reference information is stored for each of the digital
`objects. Validation information is also store(| and is substan-
`tially smaller in size than the corresponding digital object. In
`examples of the invention, an authorized user may have
`access to the reference information using the unique iden-
`tificr. The reference irtibrrrtalion includes informatiort con-
`cerning at least one of the following: registration of rights in
`the digital object
`including performance of the object;
`accesses to and uses of digital object; the terms and condi-
`tions for use of digital objects; the ownership and transfer of
`rights to disseminate digital objects; links between different
`digital objects.
`In another general aspect ofthe invention, which concerns
`the storing of the digital objects in a network, the verification
`information is stored separately from the digital object. In
`examples of this aspect of the invention. the pointer to the
`object (versus identifier information for the object) is stored
`in multiple sewers on ‘the network. The identifiers are
`generated in a manner to distribute the pointer information
`with the unique identifier information] relatively evenly
`among the servers, using a hashing algorithm.
`Another general aspect of the invention eoncernsenabling
`users of a network to access or perform digital objects stored
`in the network. There are multiple pointer servers each of
`which accepts identiliers of a subset of the digital objects
`and returns corresponding pointers to the locations of the
`digital objects in the network. A directory server accepts
`identifiers of any of the digital objects and maintains and
`returns a table containing the locations of the pointer sewers
`which accept those identifiers.
`Another general aspect of the invention concerns applying
`for registration of rights in digital objects by submitting to
`
`28 of 45
`
`ll]
`
`15
`
`This invention relates to digital objects and associated
`rights and payments,
`By a “digital object" we broadly mean any set of
`sequences of bits or digits and an associated unique identi-
`fier which we call a “handle". A digital object may incor-
`porate information or material in which rights (e.g., copy-
`right rights) or other interests are or may be claimed. There
`may also be righh; associated with the digital object itself.
`Thus digital objects may include conventional digital rep-
`resentations of works (hooks, papers,
`images, sounds,
`software), and more broadly any digital material which is
`capable of producing desired manifestations for a computer
`user. Thus, a digital object could include programs and data
`which, though not directly a representation of the text of a
`work, enable the delivery over a network and the subsequent
`reproduction on a computer screen of selected portions of
`the text of the work. By the notion ofrights which are or may -
`be claimed in a digital object, we mean rights which exist
`under statute (cg, copyright, patent,
`trade secret,
`trademark), or as a result of private action (e.g., via secrecy,
`cooperative ventures, or negotiation).
`Rights are normally protected under the law by mecha-
`nisms that are paper-based. Patent and trademark applica-
`tions are prosecuted by exchanges of paper with the Patent
`and Trademarlt (Jtlioc. Trade secret rights are often protected
`by appropriate legends on paper, and by physically guarding
`paper copies against disclosure. Registration of claims in
`copyright is largely based on a paper system, Registration
`systems generally involve providing physical copies
`(sometimes voluminous) to the registering authority of the
`object to be registered.
`Holders of rights may get value from those rights by
`allowing others to copy, use, or perform the object covered
`by the rights in exchange for consideration (eg., a photog-
`rapher may sell copies of his photographs). In some situa-
`tions there may no need for negotiation of the terms, which
`may be simple and well understood. The working out of
`compensation may be done automatically by private clearing
`house operations, such as the Copyright Clearance Center
`(as to photocopying) or ASCAP and IIMI (in the music
`field).
`In other situations the rigltLs holders may derive value by
`granting to others exclusive rights to disseminate the object
`in exchange for a royalty (e.g., a book author grants a
`publisher the North American paperback distribution rights).
`Exclusive rights are typically subject to direct negotiation.
`It is common to provide for central registration of own-
`ership and other exclusive rights so that others may know the
`timing and terms of those rights.
`Making digital objects available on networks (t.’:.g.,
`Internet), gives rise to at
`least four specific activities of
`concern. The first is the ease of movement of digital objects
`already contained in a computer network environment
`allowing the creation of multiple copies in multiple
`machines in fractions of a second. The second is the impor-
`tation of external
`information, such as print material or
`isolated CD-ROM based material, which must
`first be
`scanned or read into the system before it can be used. Tits:
`
`50
`
`55
`
`60
`
`28 of 45
`
`

`

`6,135,646
`
`it)
`
`15
`
`30
`
`35
`
`-IU
`
`3
`a registering authority an application for registration of
`rights including the validation information and the unique
`identifier of a digital object and its properties.
`Another general aspect ofthe invention concerns enabling
`holders of rights in digital objects to control
`terms and
`conditions under which they are accessed or performed by
`users in a network. lrtformation is stored about terms and
`conditions for access to and performance of each digital
`object. The information is made available to a user in
`connection with a request for access to a digital object. The
`user is enabled to indicate assent to the terms and conditions.
`Access is permitted to the user only upon the user indicating
`assent to the terms and conditions.
`Another general aspect ofthe invention concerns enabling
`holders of rights in digital objects to control
`terms and
`conditions under which rights in the digital objects may be
`granted to others. Terms and conditions for the granting of
`rights is stored in the network. The terms and conditions are
`made available to potential rights holders upon request via
`the network. The potential rights holder and the current
`rights holder interact via the network to reach agreement on
`terms and conditions for grant of dissemination rights.
`Information identifying grants of such rights for digital
`objects on the network are stored in a recordation server on
`the network, This will generally be part of the reference *
`service.
`Another general aspect of the invention concerns main-
`taining a record of information concerning digital objects
`stored on a network. The digital objects are stored on the
`network in a manner that restricts unauthorized access to and
`transactions associated with the digital objects. A reference
`service is provided on the network, separate from the storage
`of the digital objects,
`for
`recording information about
`accesses to and transactions associated with the digital
`objects.
`Information about accesses to and transactions
`associated with the digitai objects is recorded in the refer-
`ence service. Access to the records of the reference service
`is permitted to authorized users.
`Another genera] aspect of the invention relates to man-
`aging registration of claims to rights in digital objects.
`Copies of the digital objects are stored in a repository in a
`manner that enables only authorized accesses to the digital
`objects and penn its verification that the stored digital objects
`have not been subjected to unauthorized alteration. At a
`registrar which is accessible on the network at a different
`network address from the repository, registration services
`are provided including receipt via the network of registration
`requests and delivery via the network of registration certi-
`fications. The objects are accessed at the repository via the
`network for use in providing the registration services.
`Examples of the invention include the following features.
`Owners of rights in digital objects may deposit copies of the
`digital objects in the repository, via the network. There may
`be multiple repositories. A set of servers. accessible on the
`network, are provided for the purpose of generating a unique
`handle for each digital object. The handle for a digital object
`is unique both across the network and over time. A service,
`accessible on the network,
`is provided for locating the
`handle associated with a digital object. The handle is used to
`obtain a pointer to the network location of an accessible
`copy (by “copy” we intend a broader concept
`then the
`conventional notion of copy; see other sections of this
`application for explanation) of the digital object. The handle
`is used to obtain a pointer to the network location of
`information concerning obtaining authorization to use the
`digital object. The services are provided at multiple different
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`locations on the network. The handles comprise unique
`character strings associated with the servers which generated
`them. A handle server, accessible on the network, provides
`the pointer in response to presentation ofa handle. Multiple
`servers provide the service. each starving a portion of the
`handle space. Multiple handle generation servers may gen-
`erate handles independently. lnformation concerning simple
`terms and conditions is stored in the repository. Information
`concerning non-simple terms is held in a rights management
`system (it may also contain the simpie terms and
`conditions). Each of the handles is used to obtain a pointer
`to :1 rights management system in which information con-
`cerning non—simple terms is held. Hash values are computed
`on the handles and the hash values are distributed among
`multiple handle servers, each handle server having a table
`which associates handles with pointers.
`Another general aspect of the invention features a method
`for