A Method for Protecting Copyright on Networks
by Gary N. Griswold
ABSTRACT
This solution to copyright protection uses software envelopes which
authenticate each access by communicating with an authorization server on a
wide area network. It decrypts the information for display, print, or copying
when the authorization is approved. This method is specifically suited to
controlling information which has been delivered to customer machines over a
wide area network.
MOTIVATION
Many celebrate the freer environment of electronic networks: the ease of data
modification, copying, and multiple use usher in a relaxed attitude toward
copyright. They believe that copyright holders must accept the less controlled
environment of electronic networks. However, they are ignoring the property
rights granted to authors and publishers in article 1, section 8, item 8 of the
U.S. Constitution. The decision to place intellectual property on electronic
networks is the prerogative of rights holders.
Because publishers do not share this relaxed vision of copyright, the current
providers of electronic services are delivering information which does not
require extraordinary protection, for example: open discussions, such as
USENET; perishable information, such as news services; and government
information, such as patent databases. However, any new system which wishes to
leverage its content from the trillions of dollars in intellectual property
already existing in the world, must address the property owner's concerns of
property protection, or risk losing their cooperation.
Mr. Timothy King, Vice President of Corporate Development at John Wiley and
Sons, has identified the following key concerns.
- Will the integrity of information be preserved?
- Will attribution for all information be ensured?
- Will the quality of the content and form of information be maintained? Will
creators and copyright holders be able to control the use of their work and to
receive compensation for that use?[1]
The legal problem must be solved. The High Performance Computing and
Communications Act of 1991 (HPCC) specifically requires that the National
Research and Education Network (NREN) include a means to protect copyright:
(c) NETWORK CHARACTERISTICS. -- The Network shall -- ...
(5) be designed and operated so as to ensure the
continued application of laws that provide network and
information resources security measures, including those
that protect copyright and other intellectual property
rights, and those that control access to data bases and
protect national security;
(6) have accounting mechanisms which allow users or
groups of users to be charged for their usage of
copyrighted materials available over the Network and,
where appropriate and technically feasible, for their
usage of the Network;[2]
To date, the problem remains unresolved. In his December 8th, 1992 presentation
to Congress on the NREN, Dr. Allen Bromley, Director of the Office of Science
and Technology Policy, had the following to say about the current status of
copyright protection.
The technical mechanism appropriate to protect copyright
of material distributed over the network is as yet unclear.
... Because consensus has not been reached in this complex
area, implementation of technical measures on the Network
has not yet been scheduled.[3]
There are an abundance of applications which require a solution to this problem
if they are to be performed legally and without negative implications for
publishers. Libraries, which are currently using FAX for inter-library loan,
are looking forward to delivering the journals over the NREN. Likewise, the
Colorado Alliance of Research Libraries (CARL) Uncover Project and Engineering
Information's Article Express are looking forward to NREN delivery. The CUPID
project (Consortium of University Publishing and Information Distribution) is
planning a distributed network architecture that will permit university presses
to establish servers containing their copyrighted products in electronic form.
These university press servers will be used for distributed publishing on the
Internet. Libraries have made extensive progress in putting bibliographic
information on-line, and look forward to implementing digital libraries in
which they deliver copyrighted information. Also, information retrieval
systems, such as Wide-Area Information Service (WAIS), deliver the query result
to the machine of the customer. At present, such systems are not being used for
the delivery of information that requires protection. One can also conceive of
additional applications which could appear once adequate copyright protection
were available. For example, news could be delivered by broadcast over the
NREN, but only received by subscribers. Means to filter the information to
subscriber requirements would also be part of such a system. Journal
subscriptions could be delivered electronically. That is, each month a copy of
the latest journals could be file transferred to the machines of each
subscriber. Also, an electronic retail service could be provided so that
customers could search by author, title, and subject indexes and request
electronic delivery of titles they wished to purchase.
BACKGROUND
Many solutions to this problem have been suggested. The following is a
discussion of some of the more important.
Many have suggested a simple system: A library charges for each transmitted
article and pays the publisher or the Copyright Clearance Center a royalty for
each copy. This method is being used effectively by CARL (Colorado Alliance of
Research Libraries) for FAXed journal articles.[4] However,
as we move to the electronic distribution of information, the ease with which
information can be repeatedly distributed, for no fee after the first
distribution, threatens the prudence of using this approach on computer
networks.
Digital signature use of public key encryption has been suggested as a means to
protect copyright. A hashing algorithm is used to create a unique number from
the content of a document. This number is encrypted with the private key of the
originator. The receiver of such a document can obtain the public key of the
assumed source of the document from a central key facility.[5] However, while this important technology verifies the
source and content of the document, it does nothing to prevent the creation or
use of copies.
Public key encryption has also been suggested as a way to encrypt information.
By using the public key of the receiver, only the receiver can decrypt it with
their private key. However, while this is mathematically very secure, nothing
prevents people from distributing encrypted information along with their
private keys. The elegant security of public key encryption prevents anyone
from identifying the source of the offending private key and copyright
infringement.
John H. Ryder and Susanna Smith describe a simple solution for the electronic
dissemination of software. Before the customer receives the copyrighted
software product in working form, he or she is presented with a number of
screens of text which display a license agreement. The customer must follow
certain steps on the keyboard to signify that they agree to the terms of the
license agreement.[6] However, while this method makes
certain the customer understands their licensing rights, it does nothing to
insure that the customer lives up to those obligations.
Martin E. Hellman describes a means to limit access and bill usage of software,
video games, video disks, and videotapes. This is accomplished via an encrypted
authorization code, which contains information related to an identification of
the computer, a product, a number of uses requested, and a random or
non-repeating number. When entered into the customer's base unit, the
authorization code permits use of the specified software product for the
specified time.[7]
Victor H. Shear describes a system and method to meter the usage of distributed
databases, such as CD-ROM. This method describes a hardware module which must
be part of the computer used to access the distributed database. This module
retains records of the intellectual property viewed. Once the module becomes
full, it must be removed and delivered to someone who will charge for the usage
and set the module back to zero.[8]
Hellman's and Shear's methods both require hardware modules, which must be
constructed into the customer's computer, in order to control access. These
methods will not be practical until a very large number of computers contain
these modules. Hardware manufacturers will be hesitant to include these modules
in the design of their computers until there is sufficient demand for these
specific systems.
TECHNOLOGY
A solution to the copyright protection problem is described in the following
section. Patent applications have been filed on the pivotal aspects of the
innovation.[9,10,11]
Description of the Innovation
Our approach is as follows: copyrighted information is transmitted in an
encrypted form, and is transmitted in a software "envelope". The copyrighted
information and the software envelope together comprise an executable program
which can decrypt the copyrighted information and present it to the user. The
capabilities of the envelope intentionally limit the user's access to the
copyrighted information to those capabilities which are appropriate under
copyright law for the specific kind of copyrighted information contained. For
database information, the software envelope should enable the user to search
indexes and display text. For CAD information, the software envelope should
permit the display of the information and permit the user to manipulate
attributes of the display. For video information, the software envelope should
display the video. For audio information, the software envelope should display
the audio information. For text, the software envelope should display and turn
pages. For hypertext information, the software envelope should allow the user
to thread through the information. These are only some of the ways these
software envelopes can control different kinds of copyrighted information.
Finally, the software envelope uses a method to check for authorization to
access and to track the usage of the software envelope and copyrighted
information over the same telecommunication network used to transmit them to
the user. The tracking method works as follows. Automatic messages are sent
between the software envelope and a central authorizing site. Each time a
customer starts to use a copyrighted work, a message is automatically sent from
the work. Also, at a regular interval, additional messages are sent. Sent at
regular intervals, they are a measure of use. When the messages arrive at the
central authorizing server they are verified. A reply is sent back, which is an
authorization to continue or a denial of authorization. If no valid message
returns, a denial is assumed by the software envelope. Whenever a denial is
received or assumed, the use of the software or copyrighted information product
is discontinued. The diagram in Figure 1 illustrates this method of tracking
copyrighted information.
Benefits of the Innovation
The system of authorization and usage measurement capabilities described above
can be used to license information products in a variety of ways to suit a
variety of information licensing policies. It can be used to enforce site
licenses by preventing off-site access and limiting the number of concurrent
uses. It can be used to limit duration of use, analogous to returning a book to
a library, by disabling use of an information product after a period of time.
It can be used to implement an electronic subscription by providing an unending
duration of use of the product on one machine. It can also be used to meter and
charge for each use of the information.
The software envelope would provide the user with the ability to view the
information product, but it would not provide any way to edit or extract from
it. This is needed, because otherwise the displayed information could be used
as a source from which to create a new copy which is not subject to this
copyright protection scheme. Second, it would insure the authenticity of the
information products, by preventing the automatic creation of altered copies.
Third, it would interfere with plagiarism, which has become an increasing
problem because of the abundance of easily copyable electronic information.
Fourth, it would prevent the automated generation of derivative works.
Other Licensing Requirements
So far, we have only discussed controlling licenses for viewing information,
but the same method can be used to control licensed printing. While the
rightsholder may choose to give the customer a license to view and to print,
they could require an additional expense for the action of printing. In this
case, the authorization request would indicate that printing is requested and
the reply would indicate whether the customer is licensed. The act of printing
would be recorded for the purpose of charging. In some computer operating
system environments, insuring the security of the document will require the
installation of a special print server, which is capable of decrypting while
printing.
This system permits unlimited copying on the network, and yet limits the use of
those copies to licensed customers. However, a customer may need to take an
electronic copy of a document onto a machine which is not connected to the
Internet. For machines which contain internally readable serial numbers or
firmware private keys, we can license and control the act of making copies.
Each copy made will contain the internal identifiers of the machine on which it
is to run. It will still be encrypted, and requires a similar software envelope
for presentation. Instead of checking for further authorization over the
network, the software envelope checks that it is running on the machine to
which it is licensed.
Network Infrastructure
This method assumes the existence of a network used in the delivery of
electronic information. This network should also be capable of sending
connectionless datagrams. Analog telephone is both too slow for sending large
amounts of data, and would require an explicit telephone call with each use of
an information product. Integrated Services Digital Network (ISDN) telephone,
because of its minimum 64 K bps speed, would be much more suitable for the
transmission of information products. Also, the authorization datagrams which
this method requires could be sent over the signaling channel without placing a
call. Similarly, on the Internet, the authorization datagrams can be most
efficiently transmitted and processed as User Datagram Protocol (UDP)
datagrams. Digital Cellular would also be a very suitable network.
DEMONSTRATION PROTOTYPE
Capabilities
At this time, we have a demonstration version of our technology running on the
Internet. The system consists of three main programs: 1) a license
authorization program called "authorize"; 2) a program for creating protected
files called "product"; 3) and a program for viewing the protected files called
"read". The authorization server runs on one machine on the Internet in Albany
NY, and will control access to any documents created using the "product"
program. Copies of "product" and "read" are available upon request.
Limitations
While the above prototype has many capabilities, it has many limitations which
make it less than a commercial product. While it does register the creation of
new protected products, authorizes access, tracks usage, and permits customers
to register upon receiving a denial, it does not include a customer billing
module or a publisher payment module. While the software envelope provides the
essential features needed to display the decrypted information, it lacks the
user interface quality one would expect in a commercial product. Finally, the
viewer program is written to run on Sparcstations. Versions are not yet
available for other computers. Despite all of the above limitations, the
Demonstration Prototype performs an important service by demonstrating how
licenses can be managed over the Internet.
COMMERCIAL PROTOTYPE
We will be able to proceed with this step as soon as the necessary funding is
available. This system should be limited in the number of products sold and the
number of customers serviced in order to facilitate revision of the system as
we learn from its use. However, this system should provide the full scope of
functionality required in a commercial version. That is, it should manage
licenses for viewing, printing and node-locked copying, and it should maintain
a full database about its customers and publishers, which should be used to
bill customers and pay publishers. The system should provide a higher quality
presentation program which is available on a wide variety of platforms. Such a
viewer could be developed by InfoLogic, but it would be more efficient to have
the developers of an existing viewer integrate InfoLogic's license control
mechanism into their viewer. Finally, the license server will be redundantly
implemented to guarantee 100% uptime.
APPLICATIONS
There are a variety of applications for which the described method of copyright
license management would be very useful. These include: electronic retailing,
inter-library loan, library circulation, and distributed information services.
The following is a description of how each of these applications could function
using the copyright protection mechanisms described in this report.
Electronic Retailing
Publishers and printers have automated their methods of production so that
typeset copies of books or journals exist in electronic forms, such as Standard
Graphics Markup Language (SGML) or Postscript. From these electronic copies,
the pages are printed. These same electronic forms are a useful source for
electronic distribution. In addition, scanned copies of older books are a
source of electronic distribution.
After printing their books and journals, the publisher could license the
electronic sources to the electronic retailer. The only task the publisher
needs to perform is signing the license agreement. There is no need for a
second tier of distribution. The electronic retailer could offer to pay for
each copy delivered to the customer. Considering the absence of printing,
inventory, warehousing, and returns, the publisher could earn a considerably
larger margin than they receive on paper copies. Considering the absence of
two-tier distribution in this model, the electronic retailer could sell the
copies for less than the cost of paper copies.
Those currently connected to the Internet include most universities; most
national laboratories; most private research laboratories doing government
work, or collaborating with universities; and a growing number of smaller
organizations, especially technical. As a result of this profile, it appears
that PSP/STM (Professional Scholarly Publishing and Scientific, Technical and
Medical) are the publishing segments where the demand will occur first.
To begin using the system, the customer would request a copy of the electronic
retailer's client program over the network. The client program could be
delivered free, or for a nominal charge. The first time the customer used this
client program, they would be asked to enter identifying information. This
program would enable them to browse through the title, author, and subject
catalog of books and journals in the electronic retail server. They could
request any book, whereupon they would be required to enter charging
information, such as a credit card number. The book or journal would be
delivered to them electronically.
For universities and organizations the system would permit the site licensing
of the information, while at the same time permitting the licensing to
individuals or licensing by the duration of time used. People would be able to
share electronic documents freely, and all accesses to a site licensed document
within the site would be permitted. However, if someone off the licensed site
were to receive a copy, they would be denied access when they attempted to
access it.
Inter-library Loan and Document Delivery
Inter-library loan and document delivery services are very similar, except that
one is a library service and the other commercial; one usually pays copyright
royalties while the other usually does not. Using this copyright management
method they become even more similar.
When a document is requested for delivery, it is located, scanned into a
computer, and immediately converted to an encrypted file. The protected file
can be transferred to the requester's machine and a licensing entry permitting
one concurrent use of the document can be made at the same time. Once received,
the document can be freely accessed by the requester on the machine to which
the document was sent. Should the requester pass the document along to others,
they will not be able to access the document until they have secured a license
to the document. At the same time that they receive a denial of access from the
license server, they will be given the opportunity to enter charging
information on the screen which will permit them to access the information.
On a periodic basis, the license management system will generate administrative
reports which detail the following: 1) library charges for documents delivered;
2) library receipts for documents provided; 3) copyright royalties for
documents provided; 4) copyright royalties for additional licensees added to
previously delivered documents. These documents could be the basis for payments
between libraries and the Copyright Clearance Center.
Library Circulation
A possible use of this technology is for each library to maintain a license
server to manage the copies of books and periodicals which have been checked
out from their library in electronic form. In addition to the technology
previously described, the digital library card catalog must contain a record of
the number of copies owned and number of copies borrowed for each item in the
electronic card catalog. Such a system would work as follows.
Each time someone wishes to check out an electronic copy of a book or
periodical, the current "number owned" by the library and the current "number
checked out" from the library would need to be looked up to be certain that a
copy is available.
When a book or article is checked out from the library, a licensing entry for
the user would be entered into the license database. A termination date, such
as two weeks, would be entered in the license to represent the borrowing
period. The card catalog's record of the number of copies checked out from the
library would need to be updated to indicate that the copy has been removed
from the library.
When the two-week borrowing period of the book or periodical terminates, the
copyrighted work would cease to be accessible by the library patron, even
though the copy still exists on his or her computer. On a nightly basis, the
library's system could look in the licensing database for copies which have
terminated on that day and decrease the "number of copies checked out" shown on
the electronic card catalog. This action is analogous to returning the book or
periodical to the library shelf.
Advantages of Standardization
If this technology were consistently implemented by libraries and electronic
retail services, it would be possible for the holder of a copy checked out from
the library to purchase the same item from a retail service. The customer would
use the software envelope of a retail service to try to access the library copy
of the document. Upon getting a denial of access, they would fill out the
charging information requested on their screen by the electronic retailer. Once
this step was completed, they would be purchasing a copy of the book or
periodical.
Distributed Information Services
Currently, providers of on-line services fill their large computers with
quantities of information and charge the customers for the use of the
infrastructure needed to access that information. Using the methods in this
paper, much more efficient information services are possible. For example, one
could provide a bibliographic information retrieval service at no cost, since
money would be made on the sale of information.
Before using this system, the customer would need to provide certain charging
information, such as corporate purchase orders, or credit card numbers. The
customer would search the on-line bibliographic database for documents on
particular topics. Once documents are selected by the user, the documents or
abstracts of the documents could be delivered to the user by file transfer.
Access to the information could be measured in a variety of ways. By default,
it may make sense to charge the customer for the time each document is
accessed. Time would be measured in intervals, such as every 15 minutes. In
addition, the customer could be charged for printing out a copy of the
documents. Finally, the customer could be given the opportunity to purchase
permanent electronic copies that they may store and view at any time without
further charge. The license servers can be apprised of these events by
automatic messages, sent between the software envelopes and the license
server.
CONCLUSION
One of the side effects of these methods of distribution is to lower the amount
of infrastructure needed to deliver information, because most of the
information access occurs on the customer's own computer. Lowering the cost can
in turn lower price and thus increase profit. Any lowering of price of the
currently expensive electronic information is apt to increase demand. We need
to build into our selling systems a positive feedback loop which would lower
costs of operation, to lower prices, and increase demand. Increased demand
would lower the per unit production costs, which increases demand even more. At
the same time, we must retain and even increase the use of peer review and
editorial filtering to insure the availability of the highest quality
information. This technology facilitates the lowering of operational costs,
while providing a mechanism to compensate for the time and effort that went
into production.
NOTES
1. Tim King, "Critical Issues for Providers of Network
Accessible Information", EDUCOM; Summer 1991, Page 82.
2. High Performance Computing and Communications Act of
1991 (HPCC), Section 15 USC 55112 (c).
3. Dr. Allen Bromley, Director of the Office of Science
and Technology Policy, "The National Research and Education Network Program: A
Report to Congress", December 1992, Page 2.
4. CARL Systems, Inc., Uncover and Uncover2--the Article
Access and Delivery Solution, unpublished article, 1992.
5. Public-Key Cryptography Standards, RSA Data Security, Inc., June 1991.
6. John H. Ryder and Susanna R. Smith, "Self-verifying
Receipt and Acceptance System for Electronically Delivered Data Objects",
United States Patent 4,953,209; August 28, 1990.
7. ?
8. Victor H. Shear, "Database Usage Metering and
Protection System and Method", United States Patent 4,977,594, December
11, 1990.
9. Gary N. Griswold, "License management system for
information products located at user site periodically requesting usage
authorization via communication network", Application for International PCT
patent, 1992.
10. Gary N. Griswold, "System and method for protecting
and licensing information products on an electronic network", Application
for United States Patent, 1992.
11. Gary N. Griswold, "System and method for protecting
and licensing software on an electronic network", Application for United
States Patent, 1991.
BIOGRAPHY
Gary Griswold is President of InfoLogic Software, Inc., a consulting firm which
develops software in technical applications including: Very Large Scale
Integrated (VLSI), CAD, Image Recognition, Computer Aided Software Engineering
(CASE), Manufacturing Automation, and Management Information Systems. Recently,
his primary technical interest has been copyright protection for networked
information. He holds an M.S. (Union College, Schenectady, NY) and a B.S.
(University of Washington, Seattle).
Gary Griswold
InfoLogic
1223 Peoples Avenue
Troy, NY 12180
Tel: (518) 276-4840
FAX: (518) 276-4841
e-mail: gary@infologic.com
