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United States Patent5915019
Ginter , ; et al.June 22, 1999
Title
Systems and methods for secure transaction management and electronic rights protection
Abstract
The present invention provides systems and methods for secure transaction management and electronic rights protection. Electronic appliances such as computers equipped in accordance with the present invention help to ensure that information is accessed and used only in authorized ways, and maintain the integrity, availability, and/or confidentiality of the information. Such electronic appliances provide a distributed virtual distribution environment (VDE) that may enforce a secure chain of handling and control, for example, to control and/or meter or otherwise monitor use of electronically stored or disseminated information. Such a virtual distribution environment may be used to protect rights of various participants in electronic commerce and other electronic or electronic-facilitated transactions. Distributed and other operating systems, environments and architectures, such as, for example, those using tamper-resistant hardware-based processors, may establish security at each node. These techniques may be used to support an all-electronic information distribution, for example, utilizing the "electronic highway."
Inventors:Ginter; Karl L. (Beltsville, MD), Shear; Victor H.  (Bethesda, MD), Spahn; Francis J.  (El Cerrito, CA), Van Wie; David M.  (Sunnyvale, CA)
Assignee:InterTrust Technologies Corp. (Sunnyvale, CA)
Appl. No.:780393
Filed:January 8, 1997
Current U.S. Class:705/54 726/27 705/26 705/400 
Field of Search:380/3,4,5,21,49 395/680,683 705/26,400
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Primary Examiner: Barron, Jr.; Gilberto
Attorney, Agent or Firm:Nixon & Vanderhye P.C.
Parent Case Text


This is a divisional of application Ser. No. 08/388,107, filed Feb. 13, 1995, abandoned.
Claims

We claim:
1. A method of operating on a first secure container arrangement having a first set of controls associated therewith, said first secure container arrangement at least in part comprising a first protected content file, said method comprising the following steps performed within a virtual distribution environment including at least one electronic appliance:
using at least one control associated with said first secure container arrangement for governing, at least in part, at least one aspect of use of said first protected content file while said first protected content file is contained in said first secure container arrangement;
creating a second secure container arrangement having a second set of controls associated therewith, said second set of controls governing, at least in part, at least one aspect of use of any protected content file contained within said second secure container arrangement;
transferring at least a portion of said first protected content file to said second secure container arrangement, said portion made up of at least some of said first protected content file; and
using at least one rule to govern at least one aspect of use of said first protected content file portion while said portion is contained within said second secure container arrangement;
in which
said first secure container arrangement comprises a third secure container arrangement comprising a third set of controls and said first protected content file, and
said first secure container arrangement further comprises a fourth secure container arrangement comprising a fourth set of controls and a second protected content file.

2. A method as in claim 1 in which said step of creating a second secure container arrangement is governed, at least in part, by a first subset of controls contained within said first set of controls.

3. A method as in claim 1 in which said step of creating a second secure container arrangement includes a step of creating said second set of controls by copying said third set of controls.

4. A method as in claim 2 in which said step of creating a second secure container arrangement is governed in part by controls contained within said third set of controls.

5. A method as in claim 4 in which said second set of controls comprises controls copied from said first set of controls and controls copied from said third set of controls.

6. A method as in claim 5 in which said second set of controls further comprises controls not copied from either said first set of controls or said third set of controls.

7. A method as in claim 4 in which said step of creating a second secure container arrangement is governed in part by controls not contained within said first set of controls or said third set of controls.

8. A method of operating on a first secure container arrangement having a first set of controls associated therewith, said first secure container arrangement at least in part comprising a first protected content file, said method comprising the following steps performed within a virtual distribution environment including at least one electronic appliance:
using at least one control associated with said first secure container arrangement for governing, at least in part, at least one aspect of use of said first protected content file while said first protected content file is contained in said first secure container arrangement;
creating a second secure container arrangement having a second set of controls associated therewith said second set of controls governing, at least in part, at least one aspect of use of any protected content file contained within said second secure container arrangement;
transferring at least a portion of said first protected content file to said second secure container arrangement said portion made up of at least some of said first protected content file; and
using at least one rule to govern at least one aspect of use of said first protected content file portion while said portion is contained within said second secure container arrangement,
in which said step of creating said second secure container arrangement occurs at a first site, and said step of transferring further comprises said second secure container arrangement being transferred to a second site distinct from said first site; and
in which said first site is associated with a content distributor;
said second site is associated with a user of content; and
said user directly or indirectly initiating communication with said first site;
in which said step of said user directly or indirectly initiating communication with said first site includes a step of transmitting a third secure container arrangement to said first site, said third secure container arrangement comprising a third set of controls.

9. A method as in claim 8 in which said third set of controls comprises at least a REGISTER control.

10. A method as in claim 8 in which said third set of controls comprises at least a WANT control.

11. A method as in claim 8 in which said third set of controls comprises controls specifying content desired by said user and terms under which said user is willing to obtain said content.

12. A method as in claim 11 in which said step of creating said second secure container arrangement is governed, at least in part, by controls from said first set of controls, and controls from said third set of controls.

13. A method as in claim 12 in which said second set of controls comprises controls created through an interaction between said first set of controls and said third set of controls.

14. A method as in claim 12 in which said second set of controls comprises controls copied from said first set of controls and controls copied from said third set of controls.

15. A method as in claim 13 in which said second set of controls comprises at least some controls not found in said first set of controls and said third set of controls.

16. A method as in claim 13 in which said second set of controls includes controls governing the use by said user of said first protected content file portion.

17. A method as in claim 16 in which said second set of controls includes controls governing the price to be paid by said user for use of said first protected content file portion.

18. A method as in claim 16 in which said second set of controls includes controls governing the auditing method to be used in connection with use by said user of said first protected content file portion.

19. A method as in claim 16 in which said second set of controls includes controls specifying the clearinghouse to be used for payment by said user for use of said first protected content file portion.

20. A method as in claim 16 in which said second set of controls includes controls specifying information to be provided by said user in return for use of said first protected content file portion.

21. A method of operating on a first secure container arrangement having a first set of controls associated therewith, said first secure container arrangement at least in part comprising a first protected content file, said method comprising the following steps performed within a virtual distribution environment including at least one electronic appliance:
using at least one control associated with said first secure container arrangement for governing, at least in part, at least one aspect of use of said first protected content file while said first protected content file is contained in said first secure container arrangement;
creating a second secure container arrangement having a second set of controls associated therewith, said second set of controls governing, at least in part, at least one aspect of use of any protected content file contained within said second secure container arrangement;
transferring at least a portion of said first protected content file to said second secure container arrangement, said portion made up of at least some of said first protected content file; and
using at least one rule to govern at least one aspect of use of said first protected content file portion while said portion is contained within said second secure container arrangement,
in which said step of creating said second secure container arrangement occurs at a first site, and said step of transferring further comprises said second secure container arrangement being transferred to a second site distinct from said first site; and
in which said first site is associated with a content distributor;
said second site is associated with a user of content; and
said user directly or indirectly initiating communication with said first site;
further comprising
establishing a level of compensation required for said transferring step, and
calling a budget method to establish whether one or more budgets associated with said user are sufficient to satisfy said required compensation.

22. A method as in claim 21 further comprising
failing to perform to said step of transferring if said budget method establishes that said one or more budgets associated with said user are not sufficient to satisfy said required compensation.

23. A method as in claim 21 in which said budget method is governed by controls contained in said first set of controls.

24. A method as in claim 21 in which said budget method is governed by controls contained in said third set of controls.

25. A method as in claim 23 in which said budget method is also governed by controls contained in said third set of controls.

26. A method of operating on a first secure container arrangement having a first set of controls associated therewith, said first secure container arrangement at least in part comprising a first protected content file, said method comprising the following steps performed within a virtual distribution environment including at least one electronic appliance:
using at least one control associated with said first secure container arrangement for governing, at least in part, at least one aspect of use of said first protected content file while said first protected content file is contained in said first secure container arrangement;
creating a second secure container arrangement having a second set of controls associated therewith, said second set of controls governing, at least in part, at least one aspect of use of any protected content file contained within said second secure container arrangement;
transferring at least a portion of said first protected content file to said second secure container arrangement, said portion made up of at least some of said first protected content file; and
using at least one rule to govern at least one aspect of use of said first protected content file portion while said portion is contained within said second secure container arrangement;
in which said steps of transferring at least a portion of said first protected content file and creating said second secure container arrangement are governed at least in part by the same control or set of controls,
in which said first set of controls includes controls which determine, at least in part, the permitted uses of said first protected content file while said first protected content file is contained within said first secure container arrangement
in which said second set of controls includes controls which determine, at least in part, the permitted uses of said transferred portion of said first protected content file while said transferred portion of said first protected content file is contained within said second secure container arrangement
in which said first set of controls includes at least a second subset of controls which determine, at least in part, the controls contained in said second set of controls; and
in which said first secure container arrangement further comprises a third secure container arrangement.

27. A method as in claim 5 in which said creation of said second secure container arrangement further comprises using a template which specifies one or more of the controls contained in said second set of controls.

28. A method as in claim 6 in which said creation of said second secure container arrangement further comprises using a template which specifies one or more attributes of said second secure container arrangement.

29. A method as in claim 7 in which said creation of said second secure container arrangement further comprises using a template which specifies one or more of the controls contained in said second set of controls.

30. An electronic appliance comprising:
a memory storing a first secure container comprising a first set of rules and a first protected file;
a secure processing unit comprising:
a container creator that creates a second secure container comprising a second set of rules;
an extractor that extracts at least a first portion of said first protected file from said first secure container;
a file transfer arrangement that transfers said first portion of said first protected file from said first secure container to said second secure container, said file transfer arrangement operating under the control of said first set of rules; and
a control element that uses said second set of rules to govern at least one operation involving said first portion of said first protected file while said first portion is contained in said second secure container;
in which said container creator comprises:
means for copying at least one rule from said first set of rules; and
means for incorporating said at least one rule in said second set of rules,
further comprising means by which at least one rule from said first set of rules governs said container creator,
wherein said memory also stores a third secure container comprising a third set of rules, said first secure container being stored within said third secure container.

31. An electronic appliance as in claim 30 further comprising means by which at least one rule from said third set of rules governs said container creator.

32. An electronic appliance as in claim 31 further comprising means by which at least one rule from said third set of rules is incorporated in said second set of rules.

33. A data processing arrangement comprising at least one storing arrangement that at least temporarily stores a first secure container comprising first protected data and a first set of rules governing use of said first protected data, and at least temporarily stores a second secure container comprising second protected data different from said first protected data and a second set of rules governing use of said second protected data; and
a data transfer arrangement, coupled to at least one storing arrangement, for transferring at least a portion of said first protected data and a third set of rules governing use of said portion of said first protected data to said second secure container,
further comprising
means for creating and storing, in said at least one storing arrangement, a third secure container;
said data transfer arrangement further comprising means for transferring said portion of said first protected data and said third set of rules to said third secure container, and means for incorporating said third secure container within said second secure container.

34. A data processing arrangement as in claim 33 further comprising means for applying said third set of rules to govern at least one aspect of use of said portion of said first protected data.

35. A data processing arrangement as in claim 34 further comprising means for applying said second set of rules to govern at least one aspect of use of said portion of said first protected data.

36. A method comprising the following steps:
generating a first secure container comprising a first set of rules and a first protected file;
generating a second secure container comprising a second set of rules and a second protected file;
transferring a first portion of said first protected file to said second secure container, said transferring step governed by said first set of rules and comprising:
copying said first portion,
creating a third set of rules, and
storing said copied first portion and said third set of rules in said second secure container, and
further comprising:
storing said first secure container in a memory located at a first site, and storing said second secure container in a memory located at a second site remote from said first site; and
wherein said transferring step further comprises:
creating a third secure container comprising a fourth set of rules,
storing said third secure container at said second site,
communicating said third secure container from said second site to said first site,
storing said third secure container at said first site,
transferring said copied first portion of said first protected file from said first secure container to said third secure container,
transferring said third set of rules to said third secure container, and
communicating said third secure container containing said first portion of said first protected file and said third set of rules from said first site to said second site.

37. A method as in claim 36 in which said step of storing said copied first portion and said third set of rules in said second secure container further comprises storing said third secure container in said second secure container.

38. A method as in claim 36 in which said step of storing said copied first portion and said third set of rules in said second secure container further comprises:
removing said copied first portion from said third secure container and transferring said copied first portion to said second secure container; and
removing said third set of rules from said third secure container and transferring said third set of rules to said second secure container.

39. A method as in claim 38 in which said step of transferring said third set of rules to said second secure container further comprises creating a fourth set of rules.

40. A method as in claim 39 further comprising use of said fourth set of rules to govern at least one aspect of use of said copied first portion.

41. A method comprising performing the following steps within a virtual distribution environment comprising one or more electronic appliances and a first secure container, said first secure container comprising (a) a first control set, and (b) a second secure container comprising a second control set and first protected information:
using at least one control from said first control set or said second control set to govern at least one aspect of use of said first protected information while said first protected information is contained within said first secure container;
creating a third secure container comprising a third control set for governing at least one aspect of use of protected information contained within said third secure container;
incorporating a first portion of said first protected information in said third secure container, said first portion made up of some or all of said first protected information; and
using at least one control to govern at least one aspect of use of said first portion of said first protected information while said first portion is contained within said third secure container.

42. A method as in claim 41, in which said first secure container further includes a fourth secure container comprising a fourth control set and second protected information and further comprising the following step:
using at least one control from said first control set or said fourth control set to govern at least one aspect of use of said second protected information while said second protected information is contained within said first secure container.

43. A method as in claim 41, in which said step of creating a third secure container includes:
creating said third control set by incorporating at least one control from said first control set.

44. A method as in claim 43, in which said step of incorporating at least one control from said first control set is accomplished in a secure manner.

45. A method as in claim 41, in which said step of creating a third secure container includes:
creating said third control set by incorporating at least one control from said second control set.

46. A method as in claim 45, in which said step of incorporating at least one control from said second control set is accomplished in a secure manner.

47. A method as in claim 41, in which said step of creating a third secure container includes:
creating said third control set by incorporating at least one control not found in said first control set or said second control set.

48. A method as in claim 47 in which said step of incorporating at least one control not found in said first control set or said second control set is accomplished in a secure manner.

49. A method as in claim 41, in which said step of creating a third secure container is governed at least in part by at least one control contained within said first control set.

50. A method as in claim 41, in which said step of creating a third secure container is governed at least in part by at least one control contained within said second control set.

51. A method as in claim 41 in which said step of creating a third secure container is governed at least in part by at least one control not contained within said first control set or said second control set.

52. A method as in claim 41 in which said step of creating a third secure container occurs at a first site, and further comprising:
copying or transferring said third secure container from said first site to a second site located remotely from said first site.

53. A method as in claim 52 in which said first site is associated with a content distributor.

54. A method as in claim 53 in which said second site is associated with a user of content.

55. A method as in claim 54 further comprising the following step:
said user directly or indirectly initiating communication with said first site.

56. A method as in claim 55 in which said step of said user directly or indirectly initiating communication with said first site includes
transmitting a fourth secure container to said first site, said fourth secure container comprising a fourth control set.

57. A method as in claim 56 in which said fourth control set includes at least a REGISTER control.

58. A method as in claim 56 in which said fourth control set includes at least a WANT control.

59. A method as in claim 56 in which said fourth control set includes one or more controls specifying content desired by said user and terms under which said user is willing to obtain said content.

60. A method as in claim 56 in which said step of creating said third secure container is governed, at least in part, by at least one control from said fourth control set.

61. A method as in claim 56 in which said third control set includes one or more controls created at least in part through an interaction among said first control set, said second control set and said fourth control set.

62. A method as in claim 56 in which said third control set includes at least one control incorporated from said first control set, one control incorporated from said second control set and one control incorporated from said fourth control set.

63. A method as in claim 56 in which said third control set includes at least one control not found in said first control set, said second control set or said fourth control set.

64. A method as in claim 54 in which said third control set includes one or more controls at least in part governing the use by said user of at least a portion of said first portion of said first protected information.

65. A method as in claim 64 in which said third control set includes one or more controls at least in part governing the price to be paid by said user for use of at least a portion of said first portion of said first protected information.

66. A method as in claim 64 in which said third control set includes one or more controls at least in part governing or specifying an auditing method to be used in connection with use by said user of at least a portion of said first portion of said first protected information.

67. A method as in claim 66 wherein at least some auditing performed in accordance with said auditing method is performed at said second site.

68. A method as in claim 66 in which said third control set includes one or more controls at least in part specifying one or more allowed clearinghouses to receive payment information from said user for use of at least a portion of said first portion of said first protected information.

69. A method as in claim 66 in which said third control set includes one or more controls at least in part specifying information to be provided by said user in return for use of at least a portion of said first portion of said first protected information.

70. A method as in claim 69 further comprising the step of:
encrypting at least a portion of said information to be provided by said user.

71. A method as in claim 52 further comprising
establishing a level of compensation required for at least one of (a) said copying or transferring step, or (b) at least one aspect of use at said second site of at least a portion of said first portion of said first protected information, and
calling a budget method to establish whether one or more budgets associated with said user are sufficient to satisfy said required compensation.

72. A method as in claim 71 further comprising
blocking said copying or transferring step and/or said at least one aspect of use if said budget method establishes that said one or more budgets associated with said user are not sufficient to satisfy said required compensation.

73. A method as in claim 71 in which said budget method is governed at least in part by one or more controls contained in said first control set.

74. A method as in claim 71 in which said budget method is governed at least in part by one or more controls contained in said second control set.

75. A method as in claim 74 in which said budget method is also governed at least in part by one or more controls contained in said first control set.

76. A method as in claim 41 in which said creation of said third secure container further comprises using a template which specifies one or more of the controls contained in said third control set.

77. A method as in claim 49 in which said creation of said third secure container further comprises using a template which specifies one or more attributes of said third secure container.

78. A method as in claim 52 in which said creation of said third secure container further comprises using a template which specifies one or more of the controls contained in said third control set.

79. An electronic appliance comprising:
a memory storing:
a first secure container comprising a first rule set and first protected information, and
a second secure container comprising a second rule set, said first secure container being stored within said second secure container;
a secure processing unit comprising:
means for creating a third secure container comprising a third rule set, said means further comprising:
means for copying and/or removing at least one rule from said first rule set or said second rule set; and
means for incorporating said at least one rule in said third rule set;
means by which at least one rule from said first rule set or said second rule set governs, at least in part, said means for creating a third secure container;
means for extracting at least a first portion of said first protected information from said first secure container; and
means for copying or transferring said first portion of said first protected information from said first secure container to said third secure container;
said means for copying or transferring operating at least in part under the control of said first rule set and/or said second rule set.

80. An electronic appliance as in claim 79 further comprising means by which at least one rule from said first or second rule set is incorporated in said third rule set.

81. A data processing arrangement comprising:
a first secure container comprising first protected information and a first rule set governing use of said first protected information;
a second secure container comprising a second rule set;
means for creating and storing a third secure container; and
means for copying or transferring at least a portion of said first protected information and a third rule set governing use of said portion of said first protected information to said second secure container, said means for copying or transferring comprising:
means for incorporating said third secure container within said second secure container.

82. A data processing arrangement as in claim 81 further comprising:
means for applying at least one rule from said third rule set to at least in part govern at least one factor related to use of said portion of said first protected information.

83. A data processing arrangement as in claim 82 further comprising:
means for applying at least one rule from said second rule set to at least in part govern at least one factor related to use of said portion of said first protected information.

84. A data processing arrangement as in claim 82 in which:
said third rule set includes at least one rule from said first rule set.

85. A method comprising the following steps:
creating a first secure container comprising a first rule set and first protected information;
storing said first secure container in a first memory;
creating a second secure container comprising a second rule set;
storing said second secure container in a second memory;
copying or transferring at least a first portion of said first protected information to said second secure container, said copying or transferring step comprising:
creating a third secure container comprising a third rule set;
copying said first portion of said first protected information;
transferring said copied first portion of said first protected information to said third secure container; and
copying or transferring said copied first portion of said first protected information from said third secure container to said second secure container.

86. A method as in claim 85 wherein said steps of creating said second secure container, creating said third secure container, and copying said first portion of said first protected information, are securely performed by one or more protected processing environments.

87. A method as in claim 85 in which said copied first portion of said first protected information consists of the entirety of said first protected information.

88. A method as in claim 85 in which said copied first portion of said first protected information consists of less than the entirety of said first protected information.

89. A method as in claim 85 in which
said first memory is located at a first site,
said second memory is located at a second site remote from said first site, and
said step of copying or transferring said first portion of said first protected information to said second secure container further comprises copying or transferring said third secure container from said first site to said second site.

90. A method as in claim 85 in which
said first memory and said second memory are located at the same site.

91. A method as in claim 90 in which
said first memory comprises first addressable memory locations, and
said second memory comprises second addressable memory locations in the same address space as said first addressable memory locations.

92. A method as in claim 91 in which
said first addressable memory locations and said second addressable memory locations are located within the same physical memory device.

93. A method as in claim 85 in which
said step of copying transferring said copied first portion of said first protected information from said third secure container to said second secure container further comprises storing said third secure container in said second secure container.

94. A method as in claim 85 further comprising:
creating a fourth rule set.

95. A method as in claim 94 further comprising:
using said fourth rule set to govern at least one aspect of use of said copied first portion of said first protected information.

96. A method comprising performing the following steps within a virtual distribution environment comprising one or more electronic appliances and a first secure container, said first secure container comprising a first control set and first protected information:
using at least one control from said first control set to govern at least one aspect of use of said first protected information while said first protected information is contained within said first secure container;
creating a second secure container comprising a second control set for governing at least one aspect of use of protected information contained within said second secure container;
incorporating a first portion of said first protected information in said second secure container, said first portion made up of some or all of said first protected information;
using at least one control to govern at least one aspect of use of said first portion of said first protected information while said first portion is contained within said second secure container; and
incorporating said second secure container containing said first portion of said first protected information within a third secure container comprising a third control set.

97. An electronic appliance comprising:
a memory storing:
a first secure container comprising a first rule set and first protected information, and
a second secure container comprising a second rule set;
a secure processing unit comprising:
means for creating a third secure container comprising a third rule set, said means further comprising:
means for copying and/or removing at least one rule from said first rule set; and
means for incorporating said at least one rule in said third rule set;
means by which at least one rule from said first rule set governs, at least in part, said means for creating said third secure container;
means for extracting at least a first portion of said first protected information from said first secure container;
means for copying or transferring said first portion of said first protected information from said first secure container to said third secure container;
said means for transferring operating at least in part under the control of said first rule set and/or said third rule set; and
means for incorporating said third secure container within said second secure container.

98. A method as in claim 1 further comprising
calling a method to govern, at least in part, the creation of said second set of controls.

99. A method as in claim 1 in which said first protected content file includes attribute data.
100. A method as in claim 2 in which said first protected content file includes classification data.
101. A method as in claim 3 in which said first protected content file comprises attribute data.
Description
FIELD(S) OF THE INVENTION(S)

This invention generally relates to computer and/or electronic security.

More particularly, this invention relates to systems and techniques for secure transaction management. This invention also relates to computer-based and other electronic appliance-based technologies that help to ensure that information is accessed and/or otherwise used only in authorized ways, and maintains the integrity, availability, and/or confidentiality of such information and processes related to such use.

The invention also relates to systems and methods for protecting rights of various participants in electronic commerce and other electronic or electronically-facilitated transactions.

The invention also relates to secure chains of handling and control for both information content and information employed to regulate the use of such content and consequences of such use. It also relates to systems and techniques that manage, including meter and/or limit and/or otherwise monitor use of electronically stored and/or disseminated information. The invention particularly relates to transactions, conduct and arrangements that make use of, including consequences of use of, such systems and/or techniques.

The invention also relates to distributed and other operating systems, environments and architectures. It also generally relates to secure architectures, including, for example, tamper-resistant hardware-based processors, that can be used to establish security at each node of a distributed system.

BACKGROUND AND SUMMARY OF THE INVENTION(S)

Telecommunications, financial transactions, government processes, business operations, entertainment, and personal business productivity all now depend on electronic appliances. Millions of these electronic appliances have been electronically connected together. These interconnected electronic appliances comprise what is increasingly called the "information highway." Many businesses, academicians, and government leaders are concerned about how to protect the rights of citizens and organizations who use this information (also "electronic" or "digital") highway.

Electronic Content

Today, virtually anything that can be represented by words, numbers, graphics, or system of commands and instructions can be formatted into electronic digital information. Television, cable, satellite transmissions, and on-line services transmitted over telephone lines, compete to distribute digital information and entertainment to homes and businesses. The owners and marketers of this content include software developers, motion picture and recording companies, publishers of books, magazines, and newspapers, and information database providers. The popularization of on-line services has also enabled the individual personal computer user to participate as a content provider. It is estimated that the worldwide market for electronic information in 1992 was approximately $40 billion and is expected to grow to $200 billion by 1997, according to Microsoft Corporation. The present invention can materially enhance the revenue of content providers, lower the distribution costs and the costs for content, better support advertising and usage information gathering, and better satisfy the needs of electronic information users. These improvements can lead to a significant increase in the amount and variety of electronic information and the methods by which such information is distributed.

The inability of conventional products to be shaped to the needs of electronic information providers and users is sharply in contrast to the present invention. Despite the attention devoted by a cross-section of America's largest telecommunications, computer, entertainment and information provider companies to some of the problems addressed by the present invention, only the present invention provides commercially secure, effective solutions for configurable, general purpose electronic commerce transaction/distribution control systems.

Controlling Electronic Content

The present invention provides a new kind of "virtual distribution environment" (called "VDE" in this document) that secures, administers, and audits electronic information use. VDE also features fundamentally important capabilities for managing content that travels "across" the "information highway." These capabilities comprise a rights protection solution that serves all electronic community members. These members include content creators and distributors, financial service providers, end-users, and others. VDE is the first general purpose, configurable, transaction control/rights protection solution for users of computers, other electronic appliances, networks, and the information highway.

A fundamental problem for electronic content providers is extending their ability to control the use of proprietary information. Content providers often need to limit use to authorized activities and amounts. Participants in a business model involving, for example, provision of movies and advertising on optical discs may include actors, directors, script and other writers, musicians, studios, publishers, distributors, retailers, advertisers, credit card services, and content end-users. These participants need the ability to embody their range of agreements and requirements, including use limitations, into an "extended" agreement comprising an overall electronic business model. This extended agreement is represented by electronic content control information that can automatically enforce agreed upon rights and obligations. Under VDE, such an extended agreement may comprise an electronic contract involving all business model participants. Such an agreement may alternatively, or in addition, be made up of electronic agreements between subsets of the business model participants. Through the use of VDE, electronic commerce can function in the same way as traditional commerce--that is commercial relationships regarding products and services can be shaped through the negotiation of one or more agreements between a variety of parties.

Commercial content providers are concerned with ensuring proper compensation for the use of their electronic information. Electronic digital information, for example a CD recording, can today be copied relatively easily and inexpensively. Similarly, unauthorized copying and use of software programs deprives rightful owners of billions of dollars in annual revenue according to the International Intellectual Property Alliance. Content providers and distributors have devised a number of limited function rights protection mechanisms to protect their rights. Authorization passwords and protocols, license servers, "lock/unlock" distribution methods, and non-electronic contractual limitations imposed on users of shrink-wrapped software are a few of the more prevalent content protection schemes. In a commercial context, these efforts are inefficient and limited solutions.

Providers of "electronic currency" have also created protections for their type of content. These systems are not sufficiently adaptable, efficient, nor flexible enough to support the generalized use of electronic currency. Furthermore, they do not provide sophisticated auditing and control configuration capabilities. This means that current electronic currency tools lack the sophistication needed for many real-world financial business models. VDE provides means for anonymous currency and for "conditionally" anonymous currency, wherein currency related activities remain anonymous except under special circumstances.

VDE Control Capabilities

VDE allows the owners and distributors of electronic digital information to reliably bill for, and securely control, audit, and budget the use of, electronic information. It can reliably detect and monitor the use of commercial information products. VDE uses a wide variety of different electronic information delivery means: including, for example, digital networks, digital broadcast, and physical storage media such as optical and magnetic disks. VDE can be used by major network providers, hardware manufacturers, owners of electronic information, providers of such information, and clearinghouses that gather usage information regarding, and bill for the use of, electronic information.

VDE provides comprehensive and configurable transaction management, metering and monitoring technology. It can change how electronic information products are protected, marketed, packaged, and distributed. When used, VDE should result in higher revenues for information providers and greater user satisfaction and value. Use of VDE will normally result in lower usage costs, decreased transaction costs, more efficient access to electronic information, re-usability of rights protection and other transaction management implementations, greatly improved flexibility in the use of secured information, and greater standardization of tools and processes for electronic transaction management. VDE can be used to create an adaptable environment that fulfills the needs of electronic information owners, distributors, and users; financial clearinghouses; and usage information analyzers and resellers.

Rights and Control Information

In general, the present invention can be used to protect the rights of parties who have:

(a) proprietary or confidentiality interests in electronic information. It can, for example, help ensure that information is used only in authorized ways;

(b) financial interests resulting from the use of electronically distributed information. It can help ensure that content providers will be paid for use of distributed information; and

(c) interests in electronic credit and electronic currency storage, communication, and/or use including electronic cash, banking, and purchasing.

Protecting the rights of electronic community members involves a broad range of technologies. VDE combines these technologies in a way that creates a "distributed" electronic rights protection "environment." This environment secures and protects transactions and other processes important for rights protection. VDE, for example, provides the ability to prevent, or impede, interference with and/or observation of, important rights related transactions and processes. VDE, in its preferred embodiment, uses special purpose tamper resistant Secure Processing Units (SPUs) to help provide a high level of security for VDE processes and information storage and communication.

The rights protection problems solved by the present invention are electronic versions of basic societal issues. These issues include protecting property rights, protecting privacy rights, properly compensating people and organizations for their work and risk, protecting money and credit, and generally protecting the security of information. VDE employs a system that uses a common set of processes to manage rights issues in an efficient, trusted, and cost-effective way.

VDE can be used to protect the rights of parties who create electronic content such as, for example: records, games, movies, newspapers, electronic books and reference materials, personal electronic mail, and confidential records and communications. The invention can also be used to protect the rights of parties who provide electronic products, such as publishers and distributors; the rights of parties who provide electronic credit and currency to pay for use of products, for example, credit clearinghouses and banks; the rights to privacy of parties who use electronic content (such as consumers, business people, governments); and the privacy rights of parties described by electronic information, such as privacy rights related to information contained in a medical record, tax record, or personnel record.

In general, the present invention can protect the rights of parties who have:

(a) commercial interests in electronically distributed information--the present invention can help ensure, for example, that parties, will be paid for use of distributed information in a manner consistent with their agreement;

(b) proprietary and/or confidentiality interests in electronic information--the present invention can, for example, help ensure that data is used only in authorized ways;

(c) interests in electronic credit and electronic currency storage, communication, and/or use--this can include electronic cash, banking, and purchasing; and

(d) interests in electronic information derived, at least in part, from use of other electronic information.

VDE Functional Properties

VDE is a cost-effective and efficient rights protection solution that provides a unified, consistent system for securing and managing transaction processing. VDE can:

(a) audit and analyze the use of content,

(b) ensure that content is used only in authorized ways, and

(c) allow information regarding content usage to be used only in ways approved by content users.

In addition, VDE:

(a) is very configurable, modifiable, and re-usable;

(b) supports a wide range of useful capabilities that may be combined in different ways to accommodate most potential applications;

(c) operates on a wide variety of electronic appliances ranging from hand-held inexpensive devices to large mainframe computers;

(d) is able to ensure the various rights of a number of different parties, and a number of different rights protection schemes, simultaneously;

(e) is able to preserve the rights of parties through a series of transactions that may occur at different times and different locations;

(f) is able to flexibly accommodate different ways of securely delivering information and reporting usage; and

(g) provides for electronic analogues to "real" money and credit, including anonymous electronic cash, to pay for products and services and to support personal (including home) banking and other financial activities.

VDE economically and efficiently fulfills the rights protection needs of electronic community members. Users of VDE will not require additional rights protection systems for different information highway products and rights problems--nor will they be required to install and learn a new system for each new information highway application.

VDE provides a unified solution that allows all content creators, providers, and users to employ the same electronic rights protection solution. Under authorized circumstances, the participants can freely exchange content and associated content control sets. This means that a user of VDE may, if allowed, use the same electronic system to work with different kinds of content having different sets of content control information. The content and control information supplied by one group can be used by people who normally use content and control information supplied by a different group. VDE can allow content to be exchanged "universally" and users of an implementation of the present invention can interact electronically without fear of incompatibilities in content control, violation of rights, or the need to get, install, or learn a new content control system.

The VDE securely administers transactions that specify protection of rights. It can protect electronic rights including, for example:

(a) the property rights of authors of electronic content,

(b) the commercial rights of distributors of content,

(c) the rights of any parties who facilitated the distribution of content,

(d) the privacy rights of users of content,

(e) the privacy rights of parties portrayed by stored and/or distributed content, and

(f) any other rights regarding enforcement of electronic agreements.

VDE can enable a very broad variety of electronically enforced commercial and societal agreements. These agreements can include electronically implemented contracts, licenses, laws, regulations, and tax collection.

Contrast With Traditional Solutions

Traditional content control mechanisms often require users to purchase more electronic information than the user needs or desires. For example, infrequ