A brief summary of copyright and patent law as it applies to software

By Mark Brehob
IANAL (I am not a lawyer)

Introduction

In our modern world it is important for any professional to understand how the legal system intersects with their own field. Doctors need to be aware of malpractice, factory owners need to understand OSHA rules and computer scientists and engineers need to understand patent law and copyright law. (In addition members of these professions should understand employment law but other than where that touches on copyright and patent law we will ignore it.)

Certainly most larger companies have lawyers on staff for this sort of thing. However they tend to only get involved when something goes terribly wrong, or someone brings the issue to their attention. Knowing the basics of intellectual property law makes it likely that you can prevent former case. Further, because the field is so new, our government tends to consider and make changes at a rapid rate. As a professional in the field you have a responsibility to form and express an opinion on what bills are good and which are bad.

Because we are in the United States, this document focuses on the laws and rules of the US. The basic ideas tend to apply in most other nations, but don't count on it. Also, because of the nature of the web, some of the links in this document may be broken as you read this. Sorry, they were there when I wrote it!


Chapter 1: The very basics of Intellectual Property

    In this chapter a very brief introduction to Intellectual Property (IP) laws is provided. Links are provided to give context or additional details.

  1. The basis of intellectual property laws
  2. The right of the congress to make laws comes from the constitution. Most of these laws fall under the "elastic clause" (Article 1, Section 8, clause 18). But the intellectual properties laws, at least in part, fall under Article 1, Section 8, clause 8 which give congress the right to pass laws that

    ...promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries;

    The key things here are the reason such laws are to be created (to promote the progress of Science and the useful arts) and the limited time such rights are to be held. MSNBC as a nice write-up of the historical issues (but also see this discussion of the article).

  3. The three basic types of Intellectual Property
  4. There are three basic types of Intellectual Property (IP). The first is the patent. Patents gives a person the rights to a discovery or invention they have created. Basically, this is the right to ``...exclude others from commercial exploitation of the invention, the patent holder is the only one who may make, use, or sell the invention. Others may do so only with the authorization of the patent holder.''[1]. Patents protect an invention or discovery.

    A second type of IP is copyright. Copyright basically gives the creator of a work (such as a book, a play, or a dance) certain rights over that work. These include the right to reproduce, copy, display or perform the work. It also include the right to make a new work based on the old work (called a derivative work.) Copyright protects a work but (usually) not the ideas found in that work.

    A third type of IP is the trademark. ``Trademark law governs the use of a device (including a word, phrase, symbol, product shape, or logo) by a manufacturer or merchant to identify its goods and to distinguish those goods from those made or sold by another. Service marks, which are used on services rather than goods, are also governed by `Trademark law.' '' [2]. Trademarks (we will use the work trademark to include service marks) are generally used to protect the good name of a company, service or product and to prevent confusion in the market place.

    There are other types of IP. For example, there are moral rights which include the right of an author to be attributed for their work, even if they sold the copyright. But the three described above cover the vast majority of cases.

  5. More on Patents
  6. As you might guess, there are restrictions as to what can and cannot be patented and what the rights are of the person who owns the patent. In general for a patent to be issued, the thing to be patented must meet three criteria: it must be novel, useful, and non-obvious. Further it must be a patent on something the US Patent Office (USPO) considers a ``process, machine, manufacture, or composition of matter.'' Bitlaw has a fine summary of these requirements as does U of M. Also, Jeffrey Ulman has written an interesting commentary on them with respect to software patents. At the current time a patent lasts for 20 years from when the patent application is submitted.

  7. Copyright and fair use
  8. One very important issue in copyright law is that of ``fair use.'' This is the idea that in some cases it is perfectly fine to use a work without the permission of the owner of the work. To quote Title 17, Chapter 1, Sec 107 of the United States code:

    ...the fair use of a copyrighted work, including such use by reproduction in copies or phonorecords or by any other means specified by that section, for purposes such as criticism, comment, news reporting, teaching (including multiple copies for classroom use), scholarship, or research, is not an infringement of copyright. In determining whether the use made of a work in any particular case is a fair use the factors to be considered shall include -
    1. the purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purposes;
    2. the nature of the copyrighted work;
    3. the amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
    4. the effect of the use upon the potential market for or value of the copyrighted work.
    The fact that a work is unpublished shall not itself bar a finding of fair use if such finding is made upon consideration of all the above factors.

    In general this means that quoting a small portion of a work is usually acceptable. Notice that what constitutes a ``small portion'' and a ``work'' can be very hard to figure out. In fact all of these ``tests'' are difficult. What if I write a negative review for Time magazine of a book of poems, and quote one four-line poem as evidence of how bad the whole book is? Well, the judge could rule that the poem, and not the book, is the actual work. Thus, on the 3rd point I may be in trouble even though I only quoted a very small portion of the book. And if I was paid for my review and it was published in Time magazine it is clearly of commercial nature. If my negative review likely harmed sales of the book then the 4th test might also be against me. Would a court conclude it wasn't fair use? Maybe. My point is that fair use is a very fuzzy concept.

Chapter 2: Software, the `Net and IP

Given the basic overview of IP from Chapter 1, the legal issues involved in Software and the Internet now have some context.

  1. The 'Net and copyright laws
  2. The Internet is all about moving information from place to place. As you might guess, this makes copyright holders quite nervous. Consider a copyrighted book. A 400 page paperback might sell for $7.00 or so. If a `hoodlum' desired to they could go get the book from the library and photocopy it. But odds are they won't as it would cost them more than the book itself. And the net result probably will be of lower quality then the actual book. But even if our hoodlum does make this copy, the publisher isn't too worried because the vast majority of people won't do this. But imagine instead you scanned the book in, turned it into HTML, and put it on your web page. Now everyone can get to it. This might seriously hurt the sales of the book.

    Obviously there is a large barrier to the above happening: the book needs to be scanned in and converted to a useful format. Given scanner errors and other issues, not to mention the raw time needed to scan in each page, this is still unlikely. However, in the digital age the publisher often does all of the work for our hypothetical hoodlum. Many books are now available in digital format, and certainly music (on CDs) have been available in digital format for quite some time. The net result is that copyright holders find their rights violated, and potentially lose significant amounts of revenue. This is the heart of the case against the music-sharing company Napster. Napster allowed people to freely share music, including copyrighted music ripped from CDs.

    While music has become the classic example of the Internet's impact on copyright holders, there are certainly other cases. Software piracy, that is the illegal copying of software, is quite common. Microsoft claims that 40% of all software is pirated. Warez, that is cracked software, can be found all over the Internet with a bit of looking. The same is apparently true of movies and other media.

    OK, hopefully I've established that A) the Internet makes mass copying easier then it would otherwise be and B) people are actually doing this. But so what? Well, the net effect is that copyright owners are trying to find ways to reduce the illegal copying. One way this is done is to encrypt their content so that only those purchasing access to the content can use it. The other method being used is to change and/or add laws that make copyright violations much harsher. For example the ``No Electronic Theft'' Act (called the NET act) amends the code so that someone who copies more than $1000.00 worth of material in a 180 day period could be sent to jail for 5 years on a first offense.

    The Digital Millennium Copyright Act (DMCA) of 1998 signalled a significant change in the copyright law. The DMCA has a number of important provisions (as well as some very obscure ones...)

    The largest issue with the DCMA is that of fair use. If a document is only available in an encrypted form, how can a person exercise their fair use rights? For example, say a professor of film wanted to take compare two movies, and to do so wanted to show small parts of both movies to her students. From a copyright viewpoint she could copy those short clips to a class website and have then view the clips on-line. That would fall under fair use. But owning or using the software needed to make such copies would be illegal under the DCMA. In fact a court has argued that prohibiting such fair use is not a flaw in the DCMA (pdf file). This judgment is under appeal.

    The case mentioned above raises two very important issues.

    Of course there are counter arguments to both of these (see the appeal link above).

  3. Copyright and non-standard licensing
  4. Other issue involving copyright and the computer world are ``shrink-wrap'' licenses, ``click-through'' licenses. Consider when you buy a piece of software. There may be a license inside of that box (Thus found after you open the shrink-wrap) or on the CD (found when the program starts to install and it shows you the license and asks you to agree to it). Odds are very good that you don't actually get around to reading all of the fine print. But is this license valid? After all, in the vast majority of cases you don't even get to read the license until after you have purchased the software. The answer appears to be yes. There are exceptions. For example, the license must be available and agreed to otherwise it is invalid.

    But this opens itself up to abuse for a huge number of reasons. One good example is that the company could include a time bomb which deletes the software whenever an upgrade comes out. Or even, as in the shrink-wrap case above, makes it so that the software can do nothing or even delete your hard drive, and you can't sue for false advertising or for harm done. But why would anyone agree to such a license? Well, first of all, few people read or understand them. Secondly, if you need the software (say you are a contractor and your boss requires your reports be in Microsoft Word) you really don't have a real choice. Finally, lets say you buy a new computer and get MS-windows shipped with it. You decide you don't want to agree to their license. The way their license reads now, you have to return the whole computer, probably with you footing the bill for shipping. Basically you are being required to agree to a license you don't get to see ahead of time, that you probably won't understand when you do get it, and that can say whatever the vendor wants it to say. At least if you want to buy a computer from Dell or Gateway... (Yes, I know you can by Linux boxes from them now...)

  5. GPL software
  6. Another interesting licensing issue involves the Gnu Public License (GPL). What the GPL does is allow people to modify the program however they like, but if they redistribute it, they must include the source code, include the right of whoever gets the program to freely redistribute it, and must license the whole thing under the GPL. The idea is that software should be free. Many important programs, including the complier gcc/g++, the operating system Linux, and the web server Apache. The details of the philosophy behind GPLed software can be found on the GNU site.

    It should be noted that ``open source software'' and GPLed software are different. Open source requires that the source code is freely available, but doesn't' necessarily require that any changes you make to the program be freely available.

    Microsoft has attacked [1, 2, 3, 4] GPLed code and the Open Source movement. Their primary issue seems to be with the ``viral'' nature of the GPL. That is, if you use GPLed code, you have to GPL your code. This seems a bit odd, because if that same code were owned by someone else, you couldn't use it without their permission in any case.

    Of course the free software movement people have responded [1,2, 3].

  7. More to come....
  8. MPAA v. 2600 - Brief of Amici Curiae in Support of Appellants and Reversal of the Judgment Below
    The Right to Read - GNU Project - Free Software Foundation (FSF)
    The Online Enforcer
    Slashdot | Nupedia and Project Gutenberg Directors Answer
    Intellectual Property in Cyberspace -- Liability
    Library of Basic IP resources
    About Patents: Introduction to Understanding Patents
    Against Intellectual Property
    5 Va. J.L. & Tech 11 - Facilitating Collaborative Software Development: The Enforceability of Mass-Market Public Software Licenses

    moral rights