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Repository with security class and method for use thereof
No:
7209902
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Numero de solicitud:
11088936
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Fecha archivado:
2005-03-25
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Fecha emision:
2007-04-24
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Tipo:
B2
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Demandas:
45
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Hojas de dibujos:
13
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Resumen:
A trusted system having at least one repository for controlling use of digital works in accordance with usage rights associated with the digital works. The system comprises means for receiving a request to access a digital work in accordance with usage rights associated with the digital work, the usage rights specifying a manner of access and indicating a security class, means for determining a security level of a repository controlling the requested access, and means for granting the request and permitting exercise of the manner of access specified in the usage rights associated with the digital work in accordance with the usage rights if the security level of the repository corresponds to the security class specified in the usage rights associated with the digital work. The security class indicates a security level of a repository that can access the digital work, and the usage rights are expressed with a grammar. In addition, an authorization object is used for identification of the repository, the physical integrity of the repository is secured, and digital works are accessed only through a transmission transaction protocol.
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Clases de Estados Unidos:
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Inventores:
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Examinador principal:
Abdi Kambiz
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Agentes:
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Cesionarios:
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Demandas:
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What is claimed is:
1. In a system having a server and at least one repository, a method for accessing digital works in accordance with usage rights associated with the digital works, the method
comprising: receiving by a server a request from a repository to access a digital work in accordance with usage rights associated with the digital work, the usage rights specifying a manner of access and indicating a security class of the repository, and
identifying the repository as a repository authorized for the requested access; determining by the server a security level of the repository; and if the security level of the repository corresponds to the security class specified in the usage rights
associated with the digital work, granting by the server the request and permitting exercise of the manner of access specified in the usage rights associated with the digital work in accordance with the usage rights, wherein the security class indicates
a security level of the repository and the usage rights are expressed with a grammar including one or more symbols selected from a set of predetermined symbols to define respective valid sequences of symbols to indicate the manner of access, and the
security class, an authorization object is used for identification of the repository, the physical integrity of the repository is secured, the repository and the server communicate with a transmission transaction protocol, network connectivity between
the server and the repository is with the transmission transaction protocol, the granting step includes permitting the repository to access the digital work only through the transmission transaction protocol, and the transmission transaction protocol
provides no time at which a communication connection between the repository and the server can be broken in a manner which will permit unauthorized use of the digital work by the repository.
2. A method as recited in claim 1, wherein the usage rights further specify a digital ticket that must be possessed as a condition for granting the request and permitting exercise of the manner of access specified in the usage rights associated
with the digital work.
3. A method as recited in claim 1, wherein the usage rights further specify an access specification indicating the security class.
4. A method as recited in claim 1, wherein the security level indicated by the security class is a minimum security level of the repository that can exercise the manner of access specified in the usage rights.
5. A method as recited in claim 1, wherein the manner of access is copying the digital work to the repository.
6. A method as recited in claim 1, wherein the manner of access is rendering the digital work with the repository.
7. A method as recited in claim 1, wherein digital works cannot be stored on removable storage.
8. A method as recited in claim 1, wherein the digital work is a software program and the manner of access is executing the software program.
9. A method as recited in claim 8, wherein the executing step comprises running the computer program in a dedicated address space and preventing access to any memory containing system code or other digital works.
10. A method as recited in claim 1, further comprising: detecting any attempts at tampering with the repository; and if a level of attempts at tampering with the repository exceeds a predetermined threshold, causing the repository to save only
document description records and destroying any digital identifiers of documents.
11. A method as recited in claim 10, wherein the predetermined threshold defines a number of attempts at tampering and wherein the level is a number of attempts at tampering.
12. A method as recited in claim 10, further comprising modifying any certificates of authenticity to indicate that the security of the repository has been compromised.
13. A method as recited in claim 10, further comprising erasing the contents of designated documents if the level of attempts at tampering with the repository exceed the predetermined threshold.
14. A method as recited in claim 10, further comprising the repository communicating attempts at tampering to another device.
15. A method as recited in claim 10, further comprising activating an alarm when tampering is detected.
16. A method as recited in claim 1, further comprising maintaining communications with a remote security systems.
17. A method as recited in claim 16, wherein the communications comprise at least one of reporting transactions and reporting attempts to circumvent security of the repository.
18. A method as recited in claim 1, further comprising a user interface for permitting a user to communicate with the repository.
19. A method as recited in claim 18, wherein the user interface and the repository are embedded on the same device.
20. A method as recited in claim 1, further comprising recording the history of transactions with the repository.
21. A method as recited in claim 1, wherein the repository is password protected.
22. A method as recited in claim 1, further comprising preventing setting of a clock of the repository without authorization.
23. A method as recited in claim 1, wherein the digital work is a bond or a stock certificate.
24. A system having at least one repository accessing digital works in accordance with usage rights associated with the digital works, the system comprising: means for receiving a request from a repository to access a digital work in accordance
with usage rights associated with the digital work, the usage rights specifying a manner of access and indicating a security class of the repository, and identifying the repository as a repository authorized for the requested access; means for
determining a security level of the repository; and means for granting the request and permitting exercise of the manner of access specified in the usage rights associated with the digital work in accordance with the usage rights if the security level
of the repository corresponds to the security class specified in the usage rights associated with the digital work, wherein the security class indicates a security level of the repository and the usage rights are expressed with a grammar including one or
more symbols selected from a set of predetermined symbols to define respective valid sequences of symbols to indicate the manner of access, and the security class, an authorization object is used for identification of the repository, the physical
integrity of the repository is secured, communications with the repository are with a transmission transaction protocol, network connectivity with the repository is with the transmission transaction protocol, the repository is permitted access to the
digital work only through the transmission transaction protocol, and the transmission transaction protocol provides no time at which a communication connection can be broken in a manner which will permit unauthorized use of the digital work by the
repository.
25. A system as recited in claim 24, wherein the usage rights further specify a digital ticket that must be possessed as a condition for granting the request and permitting exercise of the manner of access specified in the usage rights
associated with the digital work.
26. A system as recited in claim 24, wherein the usage rights further specify an access specification indicating the security class.
27. A system as recited in claim 24, wherein the security level indicated by the security class is a minimum security level of the repository that can exercise the manner of access specified in the usage rights.
28. A system as recited in claim 24, wherein the manner of access is copying the digital work to the repository.
29. A system as recited in claim 24, wherein the manner of access is rendering the digital work with the repository.
30. A system as recited in claim 24, wherein the digital work is a software program and the manner of access is executing the software program by means for executing.
31. A system as recited in claim 30, wherein the means for executing comprises means for running the computer program in a dedicated address space and means for preventing access to any memory containing system code or other digital works.
32. A system as recited in claim 24, wherein digital works cannot be stored on removable storage.
33. A system as recited in claim 24, further comprising: means for detecting any attempts at tampering with the repository; and means for causing the repository to save only document description records and destroying any digital identifiers
of documents if a level of attempts at tampering with the repository exceeds a predetermined threshold.
34. A system as recited in claim 33, wherein the predetermined threshold defines a number of attempts at tampering and wherein the level is a number of attempts at tampering.
35. A system as recited in claim 33, further comprising means for modifying any certificates of authenticity to indicate that the security of the repository has been compromised.
36. A system as recited in claim 33, further comprising means for erasing the contents of designated documents if the level of attempts at tampering with the repository exceed the predetermined threshold.
37. A system as recited in claim 33, wherein the repository comprises means for communicating attempts at tampering to another device.
38. A system as recited in claim 33, further comprising means for activating an alarm when tampering is detected.
39. A system as recited in claim 24, further comprising means for maintaining communications with a remote security system.
40. A system as recited in claim 39, wherein the means for maintaining communications comprises at least one of means for reporting transactions and means for reporting attempts to circumvent security of the repository.
41. A system as recited in claim 24, further comprising user interface means for allowing a user to communicate with the repository.
42. A system as recited in claim 41, wherein the user interface means and the repository are embedded in the same device.
43. A system as recited in claim 24, further comprising means for recording the history of transactions with the repository.
44. A system as recited in claim 24, further comprising means for password protecting the repository.
45. A system as recited in claim 24, further comprising means for preventing setting of a clock of the repository without authorization.
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Description:
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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 information 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 industries 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 commonplace. One such widely used network is the Internet. The Internet is a
widespread network facility by which computer users in many universities, corporations and government entities communicate and trade ideas and information. 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 Information Infrastructure (the NII). It is anticipated that, as the NII grows, the transmission of digital works over networks will increase many times over. It would be desirable to utilize the NII for
distribution of digital works without the fear of widespread unauthorized copying.
The most straightforward way to curb unaccounted distribution is to prevent unauthorized copying and transmission. 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.
A system for ensuring that licenses are in place for using licensed products is described in PCT Publication WO 93/01550 to Griswold entitled "License Management System and Method." The licensed product may be any electronically 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 product 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
datagram 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 communication 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 representing the desired book. The voucher will
contain sufficient information to identify the book purchased and perhaps some demographic information relating to the sales transaction. 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 distribution and protection schemes operate 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 flexibility 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 billing module may operate in a number of different ways. First, it may periodically
communicate 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 "Information Distribution System", describes an information distribution 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 IPs 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 periodically 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.
SUMMARY OF THE INVENTION
A trusted system having at least one repository for controlling use of digital works in accordance with usage rights associated with the digital works. The system comprises means for receiving a request to access a digital work in accordance
with usage rights associated with the digital work, the usage rights specifying a manner of access and indicating a security class, means for determining a security level of a repository controlling the requested access, and means for granting the
request and permitting exercise of the manner of access specified in the usage rights associated with the digital work in accordance with the usage rights if the security level of the repository corresponds to the security class specified in the usage
rights associated with the digital work. The security class indicates a security level of a repository that can access the digital work, and the usage rights are expressed with a grammar. In addition, an authorization object is used for identification
of the repository, the physical integrity of the repository is secured, and digital works are accessed only through a transmission transaction protocol.
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 repository types and the repository transaction flow between them in the currently preferred embodiment of the present invention.
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 invention.
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 corresponding 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 preferred 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.
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 performed 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 closing 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-US-00001 TABLE OF CONTENTS Page No. OVERVIEW 15 RENDERING SYSTEMS 19 STRUCTURE OF DIGITAL WORKS 21 ATTACHING USAGE RIGHTS TO A DIGITAL WORK 26 Resolving Conflicting Rights 27 REPOSITORIES 28 Repository Security Classes 35 Repository User
Interface 37 CREDIT SERVERS 38 USAGE RIGHTS LANGUAGE 40 Copy Count Specification 48 Control Specification 48 Time Specification 49 Security Class and Authorization Specification 51 Usage Fees and Incentives Specification 54 Examples of Sets of Usage
Rights 58 REPOSITORY TRANSACTIONS 61 Message Transmission 62 Session Initiation Transactions 63 Billing Transactions 69 Usage Transactions 71 Transmission Protocol 76 The Copy Transaction 80 The Transfer Transaction 81 The Loan Transaction 82 The Play
Transaction 85 The Print Transaction 86 The Backup Transaction 88 The Restore Transaction 89 The Delete Transaction 91 The Directory Transaction 91 The Folder Transaction 92 The Extract Transaction 93 The Embed Transaction 94 The Edit Transaction 95 The
Authorization Transaction 97 The Install Transaction 99 The Uninstall Transaction 101 DISTRIBUTION AND USE SCENARIOS 103 APPENDIX A GLOSSARY 120
Overview
A system for controlling use and distribution of digital works is disclosed. The present invention is directed to supporting commercial transactions involving digital works. The transition to digital works profoundly and fundamentally changes
how creativity and commerce can work. It changes the cost of transporting or storing works because digital property is almost "massless." Digital property can be transported at electronic speeds and requires almost no warehousing. Keeping an unlimited
supply of virtual copies on hand requires essentially no more space than keeping one copy on hand. The digital medium also lowers the costs of alteration, reuse and billing.
There is a market for digital works because creators are strongly motivated to reuse portions of digital works from others rather than creating their own completely. This is because it is usually so much easier to use an existing stock photo or
music clip than to create a new one from scratch.
Herein the terms "digital work", "work" and "content" refer to any work that has been reduced to a digital representation. This would include any audio, video, text, or multimedia work and any accompanying interpreter (e.g. software) that may be
required for recreating the work. The term composite work refers to a digital work comprised of a collection of other digital works. The term "usage rights" or "rights" is a term which refers to rights granted to a recipient of a digital work.
Generally, these rights define how a digital work can be used and if it can be further distributed. Each usage right may have one or more specified conditions which must be satisfied before the right may be exercised. Appendix 1 provides a Glossary of
the terms used herein.
A key feature of the present invention is that usage rights are permanently "attached" to the digital work. Copies made of a digital work will also have usage rights attached. Thus, the usage rights and any associated fees assigned by a creator
and subsequent distributor will always remain with a digital work.
The enforcement elements of the present invention are embodied in repositories. Among other things, repositories are used to store digital works, control access to digital works, bill for access to digital works and maintain the security and
integrity of the system.
The combination of attached usage rights and repositories enable distinct advantages over prior systems. As noted in the prior art, payment of fees are primarily for the initial access. In such approaches, once a work has been read,
computational control over that copy is gone. Metaphorically, "the content genie is out of the bottle and no more fees can be billed." In contrast, the present invention never separates the fee descriptions from the work. Thus, the digital work genie
only moves from one trusted bottle (repository) to another, and all uses of copies are potentially controlled and billable.
FIG. 1 is a high level flowchart omitting various details but which demonstrates the basic operation of the present invention. Referring to FIG. 1, a creator creates a digital work, step 101. The creator will then determine appropriate usage
rights and fees, attach them to the digital work, and store them in Repository 1, step 102. The determination of appropriate usage rights and fees will depend on various economic factors. The digital work remains securely in Repository 1 until a
request for access is received. The request for access begins with a session initiation by another repository. Here a Repository 2 initiates a session with Repository 1, step 103. As will be described in greater detail below, this session initiation
includes steps which helps to insure that the respective repositories are trustworthy. Assuming that a session can be established, Repository 2 may then request access to the Digital Work for a stated purpose, step 104. The purpose may be, for example;
to print the digital work or to obtain a copy of the digital work. The purpose will correspond to a specific usage right. In any event, Repository 1 checks the usage rights associated with the digital work to determine if the access to the digital work
may be granted, step 105. The check of the usage rights essentially involves a determination of whether a right associated with the access request has been attached to the digital work and if all conditions associated with the right are satisfied. If
the access is denied, repository 1 terminates the session with an error message, step 106. If access is granted, repository 1 transmits the digital work to repository 2, step 107. Once the digital work has been transmitted to repository 2, repository 1
and 2 each generate billing information for the access which is transmitted to a credit server, step 108. Such double billing reporting is done to insure against attempts to circumvent the billing process.
FIG. 2 illustrates the basic interactions between repository types in the present invention. As will become apparent from FIG. 2, the various repository types will serve different functions. It is fundamental that repositories will share a core
set of functionality which will enable secure and trusted communications. Referring to FIG. 2, a repository 201 represents the general instance of a repository. The repository 201 has two modes of operation; a server mode and a requester mode. When in
the server mode, the repository will be receiving and processing access requests to digital works. When in the requester mode, the repository will be initiating requests to access digital works. Repository 201 is general in the sense that it's primary
purpose is as an exchange medium for digital works. During the course of operation, the repository 201 may communicate with a plurality of other repositories, namely authorization repository 202, rendering repository 203 and master repository 204.
Communication between repositories occurs utilizing a repository transaction protocol 205.
Communication with an authorization repository 202 may occur when a digital work being accessed has a condition requiring an authorization. Conceptually, an authorization is a digital certificate such that possession of the certificate is
required to gain access to the digital work. An authorization is itself a digital work that can be moved between repositories and subjected to fees and usage rights conditions. An authorization may be required by both repositories involved in an access
to a digital work.
Communication with a rendering repository 203 occurs in connection with the rendering of a digital work. As will be described in greater detail below, a rendering repository is coupled with a rendering device (e.g. a printer device) to comprise
a rendering system.
Communication with a master repository 205 occurs in connection with obtaining an identification certificate. Identification certificates are the means by which a repository is identified as "trustworthy". The use of identification certificates
is described below with respect to the registration transaction.
FIG. 3 illustrates the repository 201 coupled to a credit server 301. The credit server 301 is a device which accumulates billing information for the repository 201. The credit server 301 communicates with repository 201 via billing
transactions 302 to record billing transactions. Billing transactions are reported to a billing clearinghouse 303 by the credit server 301 on a periodic basis. The credit server 301 communicates to the billing clearinghouse 303 via clearinghouse
transactions 304. The clearinghouse transactions 304 enable a secure and encrypted transmission of information to the billing clearinghouse 303.
Rendering Systems
A rendering system is generally defined as a system comprising a repository and a rendering device which can render a digital work into its desired form. Examples of a rendering system may be a computer system, a digital audio system, or a
printer. A rendering system has the same security features as a repository. The coupling of a rendering repository with the rendering device may occur in a manner suitable for the type of rendering device.
FIG. 4a illustrates a printer as an example of a rendering system. Referring to FIG. 4, printer system 401 has contained therein a printer repository 402 and a print device 403. It should be noted that the the dashed line defining printer
system 401 defines a secure system boundary. Communications within the boundary is assumed to be secure. Depending on the security level, the boundary also represents a barrier intended to provide physical integrity. The printer repository 402 is an
instantiation of the rendering repository 205 of FIG. 2. The printer repository 402 will in some instances contain an ephemeral copy of a digital work which remains until it is printed out by the print engine 403. In other instances, the printer
repository 402 may contain digital works such as fonts, which will remain and can be billed based on use. This design assures that all communication lines between printers and printing devices are encrypted, unless they are within a physically secure
boundary. This design feature eliminates a potential "fault" point through which the digital work could be improperly obtained. The printer device 403 represents the printer components used to create the printed output.
Also illustrated in FIG. 4a is the repository 404. The repository 404 is coupled to the printer repository 402. The repository 404 represents an external repository which contains digital works.
FIG. 4b is an example of a computer system as a rendering system. A computer system may constitute a "multi-function" device since it may execute digital works (e.g. software programs) and display digital works (e.g. a digitized photograph).
Logically, each rendering device can be viewed as having it's own repository, although only one physical repository is needed. Referring to FIG. 4b, a computer system 410 has contained therein a display/execution repository 411. The display/execution
repository 411 is coupled to display device, 412 and execution device 413. The dashed box surrounding the computer system 410 represents a security boundary within which communications are assumed to be secure. The display/execution repository 411 is
further coupled to a credit server 414 to report any fees to be billed for access to a digital work and a repository 415 for accessing digital works stored therein.
Structure of Digital Works
Usage rights are attached directly to digital works. Thus, it is important to understand-the structure of a digital work. The structure of a digital work, in particular composite digital works, may be naturally organized into an acyclic
structure such as a hierarchy. For example, a magazine has various articles and photographs which may have been created and are owned by different persons. Each of the articles and photographs may represent a node in a hierarchical structure.
Consequently, controls, i.e. usage rights, may be placed on each node by the creator. By enabling control and fee billing to be associated with each node, a creator of a work can be assured that the rights and fees are not circumvented.
In the currently preferred embodiment, the file information for a digital work is divided into two files: a "contents" file and a "description tree" file. From the perspective of a repository, the "contents" file is a stream of addressable bytes
whose format depends completely on the interpreter used to play, display or print the digital work. The description tree file makes it possible to examine the rights and fees for a work without reference to the content of the digital work. It should be
noted that the term description tree as used herein refers to any type of acyclic structure used to represent the relationship between the various components of a digital work.
FIG. 5 illustrates the layout of a contents file. Referring to FIG. 5, a digital work 509 is comprised of story A 510, advertisement 511, story B 512 and story C 513. It is assumed that the digital work is stored starting at a relative address
of 0. Each of the parts of the digital work are stored linearly so that story A 510 is stored at approximately addresses 0 30,000, advertisement 511 at addresses 30,001 40,000, story B 512 at addresses 40,001 60,000 and story C 513 at addresses 60,001
85K. The detail of story A 510 is illustrated in FIG. 6. Referring to FIG. 6, the story A 510 is further broken down to show text 614 stored at address 0 1500, soldier photo 615 at addresses 1501 10,000, graphics 616 stored at addresses 10,001 25,000
and sidebar 617 stored address 25,001 30,000. Note that the data in the contents file may be compressed (for saving storage) or encrypted (for security).
From FIGS. 5 and 6 it is readily observed that a digital work can be represented by its component parts as a hierarchy. The description tree for a digital work is comprised of a set of related descriptor blocks (d-blocks). The contents of each
d-block is described with respect to FIG. 7. Referring to FIG. 7, a d-block 700 includes an identifier 701 which is a unique identifier for the work in the repository, a starting address 702 providing the start address of the first byte of the work, a
length 703 giving the number of bytes in the work, a rights portion 704 wherein the granted usage rights and their status data are maintained, a parent pointer 705 for pointing to a parent d-block and child pointers 706 for pointing to the child d-blocks
In the currently preferred embodiment, the identifier 701 has two parts. The first part is a unique number assigned to the repository upon manufacture. The second part is a unique number assigned to the work upon creation. The rights portion 704 will
contain a data structure, such as a look-up table, wherein the various information associated with a right is maintained. The information required by the respective usage rights is described in more detail below. D-blocks form a strict hierarchy. The
top d-block of a work has no parent; all other d-blocks have one parent. The relationship of usage rights between parent and child d-blocks and how conflicts are resolved is described below.
A special type of d-block is a "shell" d-block. A shell d-block adds no new content beyond the content of its parts. A shell d-block is used to add rights and fee information, typically by distributors of digital works.
FIG. 8 illustrates a description tree for the digital work of FIG. 5. Referring to FIG. 8, a top d-block 820 for the digital work points to the various stories and advertisements contained therein. Here, the top d-block 820 points to d-block
821 (representing story A. 510), d-block 822 (representing the advertisement 511), d-block 823 (representing story B 512) and and d-block 824 (representing story C 513).
The portion of the description tree for Story A 510 is illustrated in FIG. 9. D-block 925 represents text 614, d-block 926 represents photo 615, d-block 927 represents graphics 616 by and d-block 928 represents sidebar 617.
The rights portion 704 of a descriptor block is further illustrated in FIG. 10. FIG. 10 illustrates a structure which is repeated in the rights portion 704 for each right. Referring to FIG. 10, each right will have a right code field 1001 and
status information field 1002. The right code field 1001 will contain a unique code assigned to a right. The status information field 1002 will contain information relating to the state of a right and the digital work. Such information is indicated
below in Table 1. The rights as stored in the rights portion 304 may typically be in numerical order based on the right code.
The approach for representing digital works by separating description data from content assumes that parts of a file are contiguous but takes no position on the actual representation of content. In particular, it is neutral to the question of
whether content representation may take an object oriented approach. It would be natural to represent content as objects. In principle, it may be convenient to have content objects that include the billing structure and rights information that is
represented in the d-blocks. Such variations in the design of the representation are possible and are
TABLE-US-00002 TABLE 1 DIGITAL WORK STATE INFORMATION Property Value Use Copies-in- Number A counter of the number of copies of a Use work that are in use. Incremented when another copy is used; decremented when use is completed. Loan-Period
Time-Units Indicator of the maximum number of time-units that a document can be loaned out Loaner-Copy Boolean Indicator that the current work is a loaned out copy of an authorized digital work. Remaining- Time-Units Indicator of the remaining time of
use Time on a metered document right. Document- String A string containing various identifying Descr information about a document. The exact format of this is not specified, but it can include information such as a publisher name, author name, ISBN
number, and so on. Revenue- RO-Descr A handle identifying a revenue owner Owner for a digital work. This is used for reporting usage fees. Publication- Date-Descr The date that the digital work was Date published. History-list History-Rec A list of
events recording the repostories and dates for operations that copy, transfer, backup, or restore a digital work.
viable alternatives but may introduce processing overhead, e.g. the interpretation of the objects.
Digital works are stored in a repository as part of a hierarchical file system. Folders (also termed directories and sub-directories) contain the digital works as well as other folders. Digital works and folders in a folder are ordered in
alphabetical order. The digital works are typed to reflect how the files are used. Usage rights can be attached to folders so that the folder itself is treated as a digital work. Access to the folder would then be handled in the same fashion as any
other digital work As will be described in more detail below, the contents of the folder are subject to their own rights. Moreover, file management rights may be attached to the folder which define how folder contents can be managed.
Attaching Usage Rights to a Digital Work
It is fundamental to the present invention that the usage rights are treated as part of the digital work. As the digital work is distributed, the scope of the granted usage rights will remain the same or may be narrowed. For example, when a
digital work is transferred from a document server to a repository, the usage rights may include the right to loan a copy for a predetermined period of time (called the original rights). When the repository loans out a copy of the digital work, the
usage rights in the loaner copy (called the next set of rights) could be set to prohibit any further rights to loan out the copy. The basic idea is that one cannot grant more rights than they-have.
The attachment of usage rights into a digital work may occur in a variety of ways. If the usage rights will be the same for an entire digital work, they could be attached when the digital work is processed for deposit in the digital work server. In the case of a digital work having different usage rights for the various components, this can be done as the digital work is being created. An authoring tool or digital work assembling tool could be utilized which provides for an automated process of
attaching the usage rights.
As will be described below, when a digital work is copied, transferred or loaned, a "next set of rights" can be specified. The"next set of rights" will be attached to the digital work as it is transported.
Resolving Conflicting Rights
Because each part of a digital work may have its own usage rights, there will be instances where the rights of a "contained part" are different from its parent or container part. As a result, conflict rules must be established to dictate when
and how a right may be exercised. The hierarchical structure of a digital work facilitates the enforcement of such rules. A "strict" rule would be as follows: a right for a part in a digital work is sanctioned if and only if it is sanctioned for the
part, for ancestor d-blocks containing the part and for all descendent d-blocks. By sanctioned, it is meant that (1) each of the respective parts must have the right, and (2) any conditions for exercising the right are satisfied.
It also possible to implement the present invention using a more lenient rule. In the more lenient rule, access to the part may be enabled to the descendent parts which have the right, but access is denied to the descendents which do not.
Example of applying both the strict rule and lenient is illustrated with reference to FIG. 11. Referring to FIG. 11, a root d-block 1101 has child d-blocks 1102 1105. In this case, root d-block represents a magazine, and each of the child
d-blocks 1102 1105 represent articles in the magazine. Suppose that a request is made to PRINT the digital work represented by root d-block 1101 wherein the strict rule is followed. The rights for the root d-block 1101 and child d-blocks 1102 1105 are
then examined. Root d-block 1101 and child d-blocks 1102 and 1105 have been granted PRINT rights. Child d-block 1103 has not been granted PRINT rights and child d-block 1104 has PRINT rights conditioned on payment of a usage fee.
Under the strict rule the PRINT right cannot be exercised because the child d-block does not have the PRINT right. Under the lenient rule, the result would be different. The digital works represented by child d-blocks 1102 and 1105 could be
printed and the digital work represented by d-block 1104 could be printed so long as the usage fee is paid. Only the digital work represented by d-block 1103 could not be printed. This same result would be accomplished under the strict rule if the
requests were directed to each of the individual digital works.
The present invention supports various combinations of allowing and disallowing access. Moreover, as will be described below, the usage rights grammar permits the owner of a digital work to specify if constraints may be imposed on the work by a
container part. The manner in which digital works may be sanctioned because of usage rights conflicts would be implementation specific and would depend on the nature of the digital works.
Repositories
Many of the powerful functions of repositories--such as their ability to "loan" digital works or automatically handle the commercial reuse of digital works--are possible because they are trusted systems. The systems are trusted because they are
able to take responsibility for fairly and reliably carrying out the commercial transactions. That the systems can be responsible ("able to respond") is fundamentally an issue of integrity. The integrity of repositories has three parts: physical
integrity, communications integrity, and behavioral integrity.
Physical integrity refers to the integrity of the physical devices themselves. Physical integrity applies both to the repositories and to the protected digital works. Thus, the higher security classes of repositories themselves may have sensors
that detect when tampering is attempted on their secure cases. In addition to protection of the repository itself, the repository design protects access to the content of digital works. In contrast with the design of conventional magnetic and optical
devices--such as floppy disks, CD-ROMs, and videotapes--repositories never allow non-trusted systems to access the works directly. A maker of generic computer systems cannot guarantee that their platform will not be used to make unauthorized copies.
The manufacturer provides generic capabilities for reading and writing information, and the general nature of the functionality of the general computing device depends on it. Thus, a copy program can copy arbitrary data. This copying issue is not
limited to general purpose computers. It also arises for the unauthorized duplication of entertainment "software" such as video and audio recordings by magnetic recorders. Again, the functionality of the recorders depends on their ability to copy and
they have no means to check whether a copy is authorized. In contrast, repositories prevent access to the raw data by general devices and can test explicit rights and conditions before copying or otherwise granting access. Information is only accessed
by protocol between trusted repositories.
Communications integrity refers to the integrity of the communications channels between repositories. Roughly speaking, communications integrity means that repositories cannot be easily fooled by "telling them lies." Integrity in this case
refers to the property that repositories will only communicate with other devices that are able to present proof that they are certified repositories, and furthermore, that the repositories monitor the communications to detect "impostors" and malicious
or accidental interference. Thus the security measures involving encryption, exchange of digital certificates, and nonces described below are all security measures aimed at reliable communication in a world known to contain active adversaries.
Behavioral integrity refers to the integrity in what repositories do. What repositories do is determined by the software that they execute. The integrity of the software is generally assured only by knowledge of its source. Restated, a user
will trust software purchased at a reputable computer store but not trust software obtained off a random (insecure) server on a network. Behavioral integrity is maintained by requiring that repository software be certified and be distributed with proof
of such certification, i.e. a digital certificate. The purpose of the certificate is to authenticate that the software has been tested by an authorized organization, which attests that the software does what it is supposed to do and that it does not
compromise the behavioral integrity of a repository. If the digital certificate cannot be found in the digital work or the master repository which generated the certificate is not known to the repository receiving the software, then the software cannot
be installed.
In the description of FIG. 2, it was indicated that repositories come in various forms. All repositories provide a core set of services for the transmission of digital works. The manner in which digital works are exchanged is the basis for all
transaction between repositories. The various repository types differ in the ultimate functions that they perform. Repositories may be devices themselves, or they may be incorporated into other systems. An example is the rendering repository 205 of
FIG. 2.
A repository will have associated with it a repository identifier. Typically, the repository identifier would be a unique number assigned to the repository at the time of manufacture. Each repository will also be classified as being in a
particular security class. Certain communications and transactions may be conditioned on a repository being in a particular security class. The various security classes are described in greater detail below.
As a prerequisite to operation, a repository will require possession of an identification certificate. Identification certificates are encrypted to prevent forgery and are issued by a Master repository. A master repository plays the role of an
authorization agent to enable repositories to receive digital works. Identification certificates must be updated on a periodic basis. Identification certificates are described in greater detail below with respect to the registration transaction.
A repository has both a hardware and functional embodiment. The functional embodiment is typically software executing on the hardware embodiment. Alternatively, the functional embodiment may be embedded in the hardware embodiment such as an
Application Specific Integrated Circuit (ASIC) chip.
The hardware embodiment of a repository will be enclosed in a secure housing which if compromised, may cause the repository to be disabled. The basic components of the hardware embodiment of a repository are described with reference to FIG. 12.
Referring to FIG. 12, a repository is comprised of a processing means 1200, storage system 1207, clock 1205 and external interface 1206. The processing means 1200 is comprised of a processor element 1201 and processor memory 1202. The processing means
1201 provides controller, repository transaction and usage rights transaction functions for the repository. Various functions in the operation of the repository such as decryption and/or decompression of digital works and transaction messages are also
performed by the processing means 1200. The processor element 1201 may be a microprocessor or other suitable computing component. The processor memory 1202 would typically be further comprised of Read Only Memories (ROM) and Random Access Memories
(RAM). Such memories would contain the software instructions utilized by the processor element 1201 in performing the functions of the repository.
The storage system 1207 is further comprised of descriptor storage 1203 and content storage 1204. The description tree storage 1203 will store the description tree for the digital work and the content storage will store the associated content.
The description tree storage 1203 and content storage 1204 need not be of the same type of storage medium, nor are they necessarily on the same physical device. So for example, the descriptor storage 1203 may be stored on a solid state storage (for
rapid retrieval of the description tree information), while the content storage 1204 may be on a high capacity storage such as an optical disk.
The clock 1205 is used to time-stamp various time based conditions for usage rights or for metering usage fees which may be associated with the digital works. The clock 1205 will have an uninterruptable power supply, e.g. a battery, in order to
maintain the integrity of the time-stamps. The external interface means 1206 provides for the signal connection to other repositories and to a credit server. The external interface means 1206 provides for the exchange of signals via such standard
interfaces such as RS-232 or Personal Computer Manufacturers Card Industry Association (PCMCIA) standards, or FDDI. The external interface means 1206 may also provide network connectivity.
The functional embodiment of a repository is described with reference to FIG. 13. Referring to FIG. 13, the functional embodiment is comprised of an operating system 1301, core repository services 1302, usage transaction handlers 1303,
repository specific functions, 1304 and a user interface 1305. The operating system 1301 is specific to the repository and would typically depend on the type of processor being used. The operating system 1301 would also provide the basic services for
controlling and interfacing between the basic components of the repository.
The core repository services 1302 comprise a set of functions required by each and every repository. The core repository services 1302 include the session initiation transactions which are defined in greater detail below. This set of services
also includes a generic ticket agent which is used to "punch" a digital ticket and a generic authorization server for processing authorization specifications. Digital tickets and authorizations are specific mechanisms for controlling the distribution
and use of digital works and are described and more detail below. Note that coupled to the core repository services are a plurality of identification certificates 1306. The identification certificates 1306 are required to enable the use of the
repository.
The usage transactions handler 1303 comprise functionality for processing access requests to digital works and for billing fees based on access. The usage transactions supported will be different for each repository type. For example, it may
not be necessary for some repositories to handle access requests for digital works.
The repository specific functionality 1304 comprises functionality that is unique to a repository. For example, the master repository has special functionality for issuing digital certificates and maintaining encryption keys. The repository
specific functionality 1304 would include the user interface implementation for the repository.
Repository Security Classes
For some digital works the losses caused by any individual instance of unauthorized copying is insignificant and the chief economic concern lies in assuring the convenience of access and low-overhead billing. In such cases, simple and
inexpensive handheld repositories and network-based workstations may be suitable repositories, even though the measures and guarantees of security are modest.
At the other extreme, some digital works such as a digital copy of a first run movie or a bearer bond or stock certificate would be of very high value so that it is prudent to employ caution and fairly elaborate security measures to ensure that
they are not copied or forged. A repository suitable for holding such a digital work could have elaborate measures for ensuring physical integrity and for verifying authorization before use.
By arranging a universal protocol, all kinds of repositories can communicate with each other in principle. However, creators of some works will want to specify that their works will only be transferred to repositories whose level of security is
high enough. For this reason, document repositories have a ranking system for classes and levels of security. The security classes in the currently preferred embodiment are described in Table 2.
TABLE-US-00003 TABLE 2 REPOSITORY SECURITY LEVELS Level Description of Security 0 Open system. Document transmission is unencrypted. No digital certificate is required for identification. The security of the system depends mostly on user
honesty, since only modest knowledge may be needed to circumvent the security measures. The repository has no provisions for preventing unauthorized programs from running and accessing or copying files. The system does not prevent the use of removable
storage and does not encrypt stored files. 1 Minimal security. Like the previous class except that stored files are minimally encrypted, including ones on removable storage. 2 Basic security. Like the previous class except that special tools and
knowledge are required to compromise the programming, the contents of the repository, or the state of the clock. All digital communications are encrypted. A digital certificate is provided as identification. Medium level encryption is used.
Repository identification number is unforgeable. 3 General security. Like the previous class plus the requirement of special tools are needed to compromise the physical integrity of the repository and that modest encryption is used on all
transmissions. Password protection is required to use the local user interface. The digital clock system cannot be reset without authorization. No works would be stored on removable storage. When executing works as programs, it runs them in their own
address space and does not give them direct access to any file storage or other memory containing system code or works. They can access works only through the transmission transaction protocol. 4 Like the previous class except that high level
encryption is used on all communications. Sensors are used to record attempts at physical and electronic tampering. After such tampering, the repository will not perform other transactions until it has reported such tampering to a designated server. 5
Like the previous class except that if the physical or digital attempts at tampering exceed some preset thresholds that threaten the physical integrity of the repository or the integrity of digital and cryptographic barriers, then the repository will
save only document description records of history but will erase or destroy any digital identifiers that could be misused if released to an unscrupulous party. It also modifies any certificates of authenticity to indicate that the physical system has
been compromised. It also erases the contents of designated documents. 6 Like the previous class except that the repository will attempt wireless communication to report tampering and will employ noisy alarms. 10 This would correspond to a very high
level of security. This server would maintain constant communications to remote security systems reporting transactions, sensor readings, and attempts to circumvent security.
The characterization of security levels described in Table 2 is not intended to be fixed. More important is the idea of having different security levels for different repositories. It is anticipated that new security classes and requirements
will evolve according to social situations and changes in technology.
Repository User Interface
A user interface is broadly defined as the mechanism by which a user interacts with a repository in order to invoke transactions to gain access to a digital work, or exercise usage rights. As described above, a repository may be embodied in
various forms. The user interface for a repository will differ depending on the particular embodiment. The user interface may be a graphical user interface having icons representing the digital works and the various transactions that may be performed.
The user interface may be a generated dialog in which a user is prompted for information.
The user interface itself need not be part of the repository. As a repository may be embedded in some other device, the user interface may merely be a part of the device in which the repository is embedded. For example, the repository could be
embedded in a "card" that is inserted into an available slot in a computer system. The user interface may be combination of a display, keyboard, cursor control device and software executing on the computer system.
At a minimum, the user interface must permit a user to input information such as access requests and alpha numeric data and provide feedback as to transaction status. The user interface will then cause the repository to initiate the suitable
transactions to service the request. Other facets of a particular user interface will depend on the functionality that a repository will provide.
Credit Servers
In the present invention, fees may be associated with the exercise of a right. The requirement for payment of fees is described with each version of a usage right in the usage rights language. The recording and reporting of such fees is
performed by the credit server. One of the capabilities enabled by associating fees with rights is the possibility of supporting a wide range of charging models. The simplest model, used by conventional software, is that there is a single fee at the
time of purchase, after which the purchaser obtains unlimited rights to use the work as often and for as long as he or she wants. Alternative models, include metered use and variable fees. A single work can have different fees for different uses. For
example, viewing a photograph on a display could have different fees than making a hardcopy or including it in a newly created work. A key to these alternative charging models is to have a low overhead means of establishing fees and accounting for
credit on these transactions.
A credit server is a computational system that reliably authorizes and records these transactions so that fees are billed and paid. The credit server reports fees to a billing clearinghouse. The billing clearinghouse manages the financial
transactions as they occur. As a result, bills may be generated and accounts reconciled. Preferably, the credit server would store the fee transactions and periodically communicate via a network with billing clearinghouse for reconciliation. In such
an embodiment, communications with the billing clearinghouse would be encrypted for integrity and security reasons. In another embodiment, the credit server acts as a "debit card" where transactions occur in "real-time" against a user account.
A credit server is comprised of memory, a processing means, a clock, and interface means for coupling to a repository and a financial institution (e.g. a modem). The credit server will also need to have security and authentication functionality. These elements are essentially the same elements as those of a repository. Thus, a single device can be both a repository and a credit server, provided that it has the appropriate processing elements for carrying out the corresponding functions and
protocols. Typically, however, a credit server would be a card-sized system in the possession of the owner of the credit. The credit server is coupled to a repository and would interact via financial transactions as described below. Interactions with
a financial institution may occur via protocols established by the financial institutions themselves.
In the currently preferred embodiment credit servers associated with both the server and the repository report the financial transaction to the billing clearinghouse. For example, when a digital work is copied by one repository to another for a
fee, credit servers coupled to each of the repositories will report the transaction to the billing clearinghouse. This is desirable in that it insures that a transaction will be accounted for in the event of some break in the communication between a
credit server and the billing clearinghouse. However, some implementations may embody only a single credit server reporting the transaction to minimize transaction processing at the risk of losing some transactions.
Usage Rights Language
The present invention uses statements in a high level "usage rights language" to define rights associated with digital works and their parts. Usage rights statements are interpreted by repositories and are used to determine what transactions can
be successfully carried out for a digital work and also to determine parameters for those transactions. For example, sentences in the language determine whether a given digital work can be copied, when and how it can be used, and what fees (if any) are
to be charged for that use. Once the usage rights statements are generated, they are encoded in a suitable form for accessing during the processing of transactions.
Defining usage rights in terms of a language in combination with the hierarchical representation of a digital work enables the support of a wide variety of distribution and fee schemes. An example is the ability to attach multiple versions of a
right to a work. So a creator may attach a PRINT right to make 5 copies for $10.00 and a PRINT right to make unlimited copies for $100.00. A purchaser may then choose which option best fits his needs. Another example is that rights and fees are
additive. So in the case of a composite work, the rights and fees of each of the components works is used in determining the rights and fees for the work as a whole. Other features and benefits of the usage rights language will become apparent in the
description of distribution and use scenarios provided below.
The basic contents of a right are illustrated in FIG. 14. Referring to FIG. 14, a right 1450 has a transactional component 1451 and a specifications component 1452. A right 1450 has a label (e.g. COPY or PRINT) which indicate the use or
distribution privileges that are embodied by the right. The transactional component 1451 corresponds to a particular way in which a digital work may be used or distributed. The transactional component 1451 is typically embodied in software instructions
in a repository which implement the use or distribution privileges for the right. The specifications components 1452 are used to specify conditions which must be satisfied prior to the right being exercised or to designate various transaction related
parameters. In the currently preferred embodiment, these specifications include copy count 1453, Fees and Incentives 1454, Time 1455, Access and Security 1456 and Control 1457. Each of these specifications will be described in greater detail below with
respect to the language grammar elements.
The usage rights language is based on the grammar described below. A grammar is a convenient means for defining valid sequence of symbols for a language. In describing the grammar the notation "[a|b|c]" is used to indicate distinct choices
among alternatives. In this example, a sentence can have either an "a", "b" or "c". It must include exactly one of them. The braces { } are used to indicate optional items. Note that brackets, bars and braces are used to describe the language of
usage rights sentences but do not appear in actual sentences in the language.
In contrast, parentheses are part of the usage rights language. Parentheses are used to group items together in lists. The notation (x*) is used to indicate a variable length list, that is, a list containing one or more items of type x. The
notation (x)* is used to indicate a variable number of lists containing x.
Keywords in the grammar are words followed by colons. Keywords are a common and very special case in the language. They are often used to indicate a single value, typically an identifier. In many cases, the keyword and the parameter are
entirely optional. When a keyword is given, it often takes a single identifier as its value. In some cases, the keyword takes a list of identifiers.
In the usage rights language, time is specified in an hours:minutes:seconds (or hh:mm:ss) representation. Time zone indicators, e.g. PDT for Pacific Daylight Time, may also be specified. Dates are represented as year/ month/day (or
YYYY/MMM/DD). Note that these time and date representations may specify moments in time or units of time Money units are specified in terms of dollars.
Finally, in the usage rights language, various "things" will need to interact with each other. For example, an instance of a usage right may specify a bank account, a digital ticket, etc. Such things need to be identified and are specified
herein using the suffix "-ID."
The Usage Rights Grammar is listed in it's entirety in FIG. 15 and is described below.
Grammar element 1501 "Digital Work Rights:=(Rights*)" define the digital work rights as a set of rights. The set of rights attached to a digital work define how that digital work may be transferred, used, performed or played. A set of rights
will attach to the entire digital work and in the case of compound digital works, each of the components of the digital work. The usage rights of components of a digital may be different.
Grammar element 1502 "Right:=(Right-Code {Copy-Count}{Control-Spec}{Time-Spec}{Access-Spec}{Fee-Spec})" enumerates the content of a right. Each usage right must specify a right code. Each right may also optionally specify conditions which must
be satisfied before the right can be exercised. These conditions are copy count, control, time, access and fee conditions. In the currently preferred embodiment, for the optional elements, the following defaults apply: copy count equals 1, no time
limit on the use of the right, no access tests or a security level required to use the right and no fee is required. These conditions will each be described in greater detail below.
It is important to note that a digital work may have multiple versions of a right, each having the same right code. The multiple version would provide alternative conditions and fees for accessing the digital work.
Grammar element 1503 "Right-Code:=Render-Code|Transport-Code|File-Management-Code|Derivative-W- orks-Code Configuration-Code" distinguishes each of the specific rights into a particular right type (although each right is identified by distinct
right codes). In this way, the grammar provides a catalog of possible rights that can be associated with parts of digital works. In the following, rights are divided into categories for convenience in describing them.
Grammar element 1504 "Render-Code:=[Play: {Player: Player-ID}|Print: {Printer: Printer-ID}]" lists a category of rights all involving the making of ephemeral, transitory, or non-digital copies of the digital work. After use the copies are
erased. Play A process of rendering or performing a digital work on some processor. This includes such things as playing digital movies, playing digital music, playing a video game, running a computer program, or displaying a document on a display.
Print To render the work in a medium that is not further protected by usage rights, such as printing on paper.
Grammar element 1505 "Transport-Code:=[Copy|Transfer|Loan {Remaining-Rights: Next-Set-of-Rights}]{(Next-Copy-Rights: Next-Set of Rights)}" lists a category of rights involving the making of persistent, usable copies of the digital work on other
repositories. The optional Next-Copy-Rights determine the rights on the work after it is transported. If this is not specified, then the rights on the transported copy are the same as on the original. The optional Remaining-Rights specify the rights
that remain with a digital work when it is loaned out. If this is not specified, then the default is that no rights can be exercised when it is loaned out. Copy Make a new copy of a work Transfer Moving a work from one repository to another. Loan
Temporarily loaning a copy to another repository for a specified period of time.
Grammar element 1506 "File-Management-Code:=Backup {Back-Up-Copy-Rights: Next-Set-of Rights}|Restore|Delete|Folder|Directory {Name: Hide-Local|Hide-Remote}{Parts: Hide-Local|Hide-Remote}" lists a category of rights involving operations for file
management, such as the making of backup copies to protect the copy owner against catastrophic equipment failure.
Many software licenses and also copyright law give a copy owner the right to make backup copies to protect against catastrophic failure of equipment. However, the making of uncontrolled backup copies is inherently at odds with the ability to
control usage, since an uncontrolled backup copy can be kept and then restored even after the authorized copy was sold.
The File management rights enable the making and restoring of backup copies in a way that respects usage rights, honoring the requirements of both the copy owner and the rights grantor and revenue owner. Backup copies of work descriptions
(including usage rights and fee data) can be sent under appropriate protocol and usage rights control to other document repositories of sufficiently high security. Further rights permit organization of digital works into folders which themselves are
treated as digital works and whose contents may be "hidden" from a party seeking to determine the contents of a repository. Backup To make a backup copy of a digital work as protection against media failure. Restore To restore a backup copy of a
digital work. Delete To delete or erase a copy of a digital work. Folder To create and name folders, and to move files and folders between folders. Directory To hide a folder or it's contents.
Grammar element 1507 "Derivative-Works-Code: [Extract|Embed|Edit {Process: Process-ID}]{Next-Copy-Rights: Next-Set-of Rights}" lists a category of rights involving the use of a digital work to create new works. Extract To remove a portion of a
work, for the purposes of creating a new work. Embed To include a work in an existing work. Edit To alter a digital work by copying, selecting and modifying portions of an existing digital work.
Grammar element 1508 "Configuration-Code:=Install|Uninstall" lists a category of rights for installing and uninstalling software on a repository (typically a rendering repository.) This would typically occur for the installation of a new type of
player within the rendering repository. Install: To install new software on a repository. Uninstall: To remove existing software from a repository.
Grammar element 1509 "Next-Set-of-Rights:={(Add: Set-Of-Rights)} {(Delete: Set-Of-Rights)}{(Replace: Set-Of-Rights)}{(Keep: Set-Of-Rights)}" defines how rights are carried forward for a copy of a digital work. If the Next-Copy-Rights is not
specified, the rights for the next copy are the same as those of the current copy. Otherwise, the set of rights for the next copy can be specified. Versions of rights after Add: are added to the current set of rights. Rights after Delete: are deleted
from the current set of rights. If only right codes are listed after Delete: , then all versions of rights with those codes are deleted. Versions of rights after Replace: subsume all versions of rights of the same type in the current set of rights.
If Remaining-Rights is not specified, then there are no rights for the original after all Loan copies are loaned out. If Remaining-Rights is specified, then the Keep: token can be used to simplify the expression of what rights to keep behind. A
list of right codes following keep means that all of the versions of those listed rights are kept in the remaining copy. This specification can be overridden by subsequent Delete: or Replace: specifications.
Copy Count Specification
For various transactions, it may be desirable to provide some limit as to the number of "copies" of the work which may be exercised simultaneously for the right. For example, it may be desirable to limit the number of copies of a digital work
that may be l | |
