* Added Dan changes and improved formatting
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		|  | @ -11,6 +11,7 @@ | ||||||
| % FILTER_PDF: \input{generate-pdf-file} | % FILTER_PDF: \input{generate-pdf-file} | ||||||
| % FILTER_HTML: \input{generate-html-file} | % FILTER_HTML: \input{generate-html-file} | ||||||
| \input{one-inch-margins} | \input{one-inch-margins} | ||||||
|  | \usepackage{enumerate} | ||||||
| 
 | 
 | ||||||
| %\setlength\parskip{0.7em} | %\setlength\parskip{0.7em} | ||||||
| %\setlength\parindent{0pt} | %\setlength\parindent{0pt} | ||||||
|  | @ -598,12 +599,12 @@ creation of this vibrant commercial and non-commercial Free Software | ||||||
| economy. | economy. | ||||||
| 
 | 
 | ||||||
| %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%% | %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%% | ||||||
| \chapter{Copying, Modifying and Redistributing} | \chapter{Running Software And Verbatim Copying} | ||||||
| 
 | 
 | ||||||
| This chapter begins the deep discussion of the details of the terms of | This chapter begins the deep discussion of the details of the terms of | ||||||
| GPL\@.  In this chapter, we consider the core terms: GPL \S\S 0--3.  These | GPL\@.  In this chapter, we consider the first two sections: GPL \S\S | ||||||
| are the sections of the GPL that fundamentally define the legal details of | 0--2.  These are the straightforward sections of the GPL that define the | ||||||
| how software freedom is respected. | simplest rights that the user receives. | ||||||
| 
 | 
 | ||||||
| \section{GPL \S 0: Freedom to Run} | \section{GPL \S 0: Freedom to Run} | ||||||
| \label{GPLs0} | \label{GPLs0} | ||||||
|  | @ -712,6 +713,340 @@ provide the warranty protection that the GPL disclaims as an additional | ||||||
| service for a fee.  (See Section~\ref{Business Models} for more discussion | service for a fee.  (See Section~\ref{Business Models} for more discussion | ||||||
| on making a profit from Free Software redistribution.) | on making a profit from Free Software redistribution.) | ||||||
| 
 | 
 | ||||||
|  | %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%% | ||||||
|  | 
 | ||||||
|  | \chapter{Derivative Works: Statute and Case Law} | ||||||
|  | 
 | ||||||
|  | We digress for this chapter from our discussion of GPL's exact text to | ||||||
|  | consider the matter of derivative works --- a concept that we must | ||||||
|  | understand fully before considering \SS 2--3 of GPL\@.  GPL, and Free | ||||||
|  | Software licensing in general, relies critically on the concept of | ||||||
|  | ``derivative work'' since software that is ``independent,'' (i.e., not | ||||||
|  | ``derivative'') of free software need not abide by the terms of the | ||||||
|  | applicable Free Software license.  As much is required by \S 106 of the | ||||||
|  | Copyright Act, 17 U.S.C. \S 106 (2002), and admitted by Free Software | ||||||
|  | licenses, such as the GPL, which (as we have seen) states in \S 0 that ``a | ||||||
|  | 'work based on the Program' means either the Program or any derivative | ||||||
|  | work under copyright law.'' It is being a derivative work of Free Software | ||||||
|  | that triggers the necessity to comply with the terms of the Free Software | ||||||
|  | license under which the original work is distributed. Therefore, one is | ||||||
|  | left to ask, just what is a ``derivative work?'' The answer to that | ||||||
|  | question differs depending on which court is being asked. | ||||||
|  | 
 | ||||||
|  | The analysis in this chapter sets forth the differing definitions of | ||||||
|  | derivative work by Circuit. The broadest and most established definition | ||||||
|  | of derivative work for software is the abstraction, filtration, and | ||||||
|  | comparison test (``the AFC test'') as created and developed by the Second | ||||||
|  | Circuit. Some Circuits, including the Ninth Circuit and the First Circuit, | ||||||
|  | have either adopted narrower versions of the AFC test or have expressly | ||||||
|  | rejected the AFC test in favor of a narrower standard. Further, several | ||||||
|  | other Circuits have yet to adopt any definition of derivative work for | ||||||
|  | software. | ||||||
|  | 
 | ||||||
|  | As an introductory matter, it is important to note that literal copying of | ||||||
|  | a significant portion of source code is not always sufficient to establish | ||||||
|  | that a second work is a derivative work of an original | ||||||
|  | program. Conversely, a second work can be a derivative work of an original | ||||||
|  | program even though absolutely no copying of the literal source code of | ||||||
|  | the original program has been made. This is the case because copyright | ||||||
|  | protection does not always extend to all portions of a program’s code, | ||||||
|  | while, at the same time, it can extend beyond the literal code of a | ||||||
|  | program to its non-literal aspects, such as its architecture, structure, | ||||||
|  | sequence, organization, operational modules, and computer-user interface. | ||||||
|  | 
 | ||||||
|  | \section{The Copyright Act} | ||||||
|  | 
 | ||||||
|  | The copyright act is of little, if any, help in determining the definition | ||||||
|  | of a derivative work of software. However, the applicable provisions do | ||||||
|  | provide some, albeit quite cursory, guidance. Section 101 of the Copyright | ||||||
|  | Act sets forth the following definitions: | ||||||
|  | 
 | ||||||
|  | A ``computer program'' is a set of statements or instructions to be used | ||||||
|  | directly or indirectly in a computer in order to bring about a certain | ||||||
|  | result. | ||||||
|  | 
 | ||||||
|  | A ``derivative work'' is a work based upon one or more preexisting works, | ||||||
|  | such as a translation, musical arrangement, dramatization, | ||||||
|  | fictionalization, motion picture version, sound recording, art | ||||||
|  | reproduction, abridgment, condensation, or any other form in which a work | ||||||
|  | may be recast, transformed, or adapted. A work consisting of editorial | ||||||
|  | revisions, annotations, elaborations, or other modifications which, as a | ||||||
|  | whole, represent an original work of authorship, is a ``derivative work''. | ||||||
|  | 
 | ||||||
|  | These are the only provisions in the Copyright Act relevant to the | ||||||
|  | determination of what constitutes a derivative work of a computer | ||||||
|  | program. Another provision of the Copyright Act that is also relevant to | ||||||
|  | the definition of derivative work is \S 102(b), which reads as follows: | ||||||
|  | 
 | ||||||
|  | \begin{quotation} | ||||||
|  | In no case does copyright protection for an original work of authorship | ||||||
|  | extend to any idea, procedure, process, system, method of operation, | ||||||
|  | concept, principle, or discovery, regardless of the form in which it is | ||||||
|  | described, explained, illustrated, or embodied in such work. | ||||||
|  | \end{quotation} | ||||||
|  | 
 | ||||||
|  | Therefore, before a court can ask whether one program is a derivative work | ||||||
|  | of another program, it must be careful not to extend copyright protection | ||||||
|  | to any ideas, procedures, processes, systems, methods of operation, | ||||||
|  | concepts, principles, or discoveries contained in the original program. It | ||||||
|  | is the implementation of this requirement to ``strip out'' unprotectable | ||||||
|  | elements that serves as the most frequent issue over which courts | ||||||
|  | disagree. | ||||||
|  | 
 | ||||||
|  | \section{Abstraction, Filtration, Comparison Test} | ||||||
|  | 
 | ||||||
|  | As mentioned above, the AFC test for determining whether a computer | ||||||
|  | program is a derivative work of an earlier program was created by the | ||||||
|  | Second Circuit and has since been adopted in the Fifth, Tenth, and | ||||||
|  | Eleventh Circuits. Computer Associates Intl., Inc. v. Altai, Inc., 982 | ||||||
|  | F.2d 693 (2nd Cir. 1992); Engineering Dynamics, Inc. v. Structural | ||||||
|  | Software, Inc., 26 F.3d 1335 (5th Cir. 1994); Kepner-Tregoe, | ||||||
|  | Inc. v. Leadership Software, Inc., 12 F.3d 527 (5th Cir. 1994); Gates | ||||||
|  | Rubber Co. v. Bando Chem. Indust., Ltd., 9 F.3d 823 (10th Cir. 1993); | ||||||
|  | Mitel, Inc. v. Iqtel, Inc., 124 F.3d 1366 (10th Cir. 1997); 5 Bateman | ||||||
|  | v. Mnemonics,Inc., 79 F.3d 1532 (11th Cir. 1996); and, Mitek Holdings, | ||||||
|  | Inc. v. Arce Engineering Co., Inc., 89 F.3d 1548 (11th Cir. 1996). | ||||||
|  | 
 | ||||||
|  | Under the AFC test, a court first abstracts from the original program its | ||||||
|  | constituent structural parts. Then, the court filters from those | ||||||
|  | structural parts all unprotectable portions, including incorporated ideas, | ||||||
|  | expression that is necessarily incidental to those ideas, and elements | ||||||
|  | that are taken from the public domain. Finally, the court compares any and | ||||||
|  | all remaining kernels of creative expression to the structure of the | ||||||
|  | second program to determine whether the software programs at issue are | ||||||
|  | substantially similar so as to warrant a finding that one is the | ||||||
|  | derivative work of the other. | ||||||
|  | 
 | ||||||
|  | Often, the courts that apply the AFC test will perform a quick initial | ||||||
|  | comparison between the entirety of the two programs at issue in order to | ||||||
|  | help determine whether one is a derivative work of the other. Such an | ||||||
|  | holistic comparison, although not a substitute for the full application of | ||||||
|  | the AFC test, sometimes reveals a pattern of copying that is not otherwise | ||||||
|  | obvious from the application of the AFC test when, as discussed below, | ||||||
|  | only certain components of the original program are compared to the second | ||||||
|  | program. If such a pattern is revealed by the quick initial comparison, | ||||||
|  | the court is more likely to conclude that the second work is indeed a | ||||||
|  | derivative of the original. | ||||||
|  | 
 | ||||||
|  | \subsection{Abstraction} | ||||||
|  | 
 | ||||||
|  | The first step courts perform under the AFC test is separation of the | ||||||
|  | work’s ideas from its expression. In a process akin to reverse | ||||||
|  | engineering, the courts dissect the original program to isolate each level | ||||||
|  | of abstraction contained within it. Courts have stated that the | ||||||
|  | abstractions step is particularly well suited for computer programs | ||||||
|  | because it breaks down software in a way that mirrors the way it is | ||||||
|  | typically created. However, the Courts have also indicated that this step | ||||||
|  | of the AFC test requires substantial guidance from experts, because it is | ||||||
|  | extremely fact and situation specific. | ||||||
|  | 
 | ||||||
|  | By way of example, one set of abstraction levels is, in descending order | ||||||
|  | of generality, as follows: the main purpose, system architecture, abstract | ||||||
|  | data types, algorithms and data structures, source code, and object | ||||||
|  | code. As this set of abstraction levels shows, during the abstraction step | ||||||
|  | of the AFC test, the literal elements of the computer program, namely the | ||||||
|  | source and object code, are defined as particular levels of | ||||||
|  | abstraction. Further, the source and object code elements of a program are | ||||||
|  | not the only elements capable of forming the basis for a finding that a | ||||||
|  | second work is a derivative of the program. In some cases, in order to | ||||||
|  | avoid a length factual inquiry by the court, the owner of the copyright in | ||||||
|  | the original work will submit its own list of what it believes to be the | ||||||
|  | protected elements of the original program. In those situations, the court | ||||||
|  | will forgo performing its own abstraction, and proceed to second step of | ||||||
|  | the AFC test. | ||||||
|  | 
 | ||||||
|  | \subsection{Filtration} | ||||||
|  | 
 | ||||||
|  | The most difficult and controversial part of the AFC test is the second | ||||||
|  | step, which entails the filtration of protectable expression contained in | ||||||
|  | the original program from any unprotectable elements nestled therein. In | ||||||
|  | determining which elements of a program are unprotectable, courts employ a | ||||||
|  | myriad of rules and procedures to sift from a program all the portions | ||||||
|  | that are not eligible for copyright protection. | ||||||
|  | 
 | ||||||
|  | First, as set forth in \S 102(b) of the Copyright Act, any and all ideas | ||||||
|  | embodied in program are to be denied copyright protection. However, | ||||||
|  | implementing this rule is not as easy as it first appears. The courts | ||||||
|  | readily recognize the intrinsic difficulty in distinguishing between ideas | ||||||
|  | and expression and that, given the varying nature of computer programs, | ||||||
|  | doing so will be done on an ad hoc basis. The first step of the AFC test, | ||||||
|  | the abstraction, exists precisely to assist in this endeavor by helping | ||||||
|  | the court separate out all the individual elements of the program so that | ||||||
|  | they can be independently analyzed for their expressive nature. | ||||||
|  | 
 | ||||||
|  | A second rule applied by the courts in performing the filtration step of | ||||||
|  | the AFC test is the doctrine of merger, which denies copyright protection | ||||||
|  | to expression necessarily incidental to the idea being expressed. The | ||||||
|  | reasoning behind this doctrine is that when there is only one way to | ||||||
|  | express an idea, the idea and the expression merge, meaning that the | ||||||
|  | expression cannot receive copyright protection due to the bar on copyright | ||||||
|  | protection extending to ideas. In applying this doctrine, a court will ask | ||||||
|  | whether the program's use of particular code or structure is necessary for | ||||||
|  | the efficient implementation of a certain function or process. If so, then | ||||||
|  | that particular code or structure is not protected by copyright and, as a | ||||||
|  | result, it is filtered away from the remaining protectable expression. | ||||||
|  | 
 | ||||||
|  | A third rule applied by the courts in performing the filtration step of | ||||||
|  | the AFC test is the doctrine of scenes a faire, which denies copyright | ||||||
|  | protection to elements of a computer program that are dictated by external | ||||||
|  | factors. Such external factors can include: | ||||||
|  | 
 | ||||||
|  | \begin{enumerate} | ||||||
|  |  \renewcommand{\theenumi}{\alph{enumi}} | ||||||
|  |  \renewcommand{\labelenumi}{\textup{(\theenumi)}} | ||||||
|  | 
 | ||||||
|  | \item the mechanical | ||||||
|  | specifications of the computer on which a particular program is intended | ||||||
|  | to operate; | ||||||
|  | 
 | ||||||
|  | \item compatibility requirements of other programs with which a | ||||||
|  | program is designed to operate in conjunction; | ||||||
|  | 
 | ||||||
|  | \item computer manufacturers' | ||||||
|  | design standards; | ||||||
|  | 
 | ||||||
|  | \item demands of the industry being serviced; and | ||||||
|  | 
 | ||||||
|  | widely accepted programming practices within the computer industry. | ||||||
|  | 
 | ||||||
|  | \end{enumerate} | ||||||
|  | 
 | ||||||
|  | Any code or structure of a program that was shaped predominantly in | ||||||
|  | response to these factors is filtered out and not protected by | ||||||
|  | copyright. Lastly, elements of a computer program are also to be filtered | ||||||
|  | out if they were taken from the public domain or fail to have sufficient | ||||||
|  | originality to merit copyright protection. | ||||||
|  | 
 | ||||||
|  | Portions of the source or object code of a computer program are rarely | ||||||
|  | filtered out as unprotectable elements. However, some distinct parts of | ||||||
|  | source and object code have been found unprotectable. For example, | ||||||
|  | constant s, the invariable integers comprising part of formulas used to | ||||||
|  | perform calculations in a program, are unprotectable. Further, although | ||||||
|  | common errors found in two programs can provide strong evidence of | ||||||
|  | copying, they are not afforded any copyright protection over and above the | ||||||
|  | protection given to the expression containing them. | ||||||
|  | 
 | ||||||
|  | \subsection{Comparison} | ||||||
|  | 
 | ||||||
|  | The third and final step of the AFC test entails a comparison of the | ||||||
|  | original program's remaining protectable expression to a second | ||||||
|  | program. The issue will be whether any of the protected expression is | ||||||
|  | copied in the second program and, if so, what relative importance the | ||||||
|  | copied portion has with respect to the original program overall. The | ||||||
|  | ultimate inquiry is whether there is ``substantial'' similarity between | ||||||
|  | the protected elements of the original program and the potentially | ||||||
|  | derivative work. The courts admit that this process is primarily | ||||||
|  | qualitative rather than quantitative and is performed on a case-by-case | ||||||
|  | basis. In essence, the comparison is an ad hoc determination of whether | ||||||
|  | the protectable elements of the original program that are contained in the | ||||||
|  | second work are significant or important parts of the original program. If | ||||||
|  | so, then the second work is a derivative work of the first. If, however, | ||||||
|  | the amount of protectable elements copied in the second work are so small | ||||||
|  | as to be de minimis, then the second work is not a derivative work of the | ||||||
|  | original. | ||||||
|  | 
 | ||||||
|  | \section{Analytic Dissection Test} | ||||||
|  | 
 | ||||||
|  | The Ninth Circuit has adopted the analytic dissection test to determine | ||||||
|  | whether one program is a derivative work of another. Apple Computer, | ||||||
|  | Inc. v. Microsoft Corp., 35 F.3d 1435 (9th Cir. 1994). The analytic | ||||||
|  | dissection test first considers whether there are substantial similarities | ||||||
|  | in both the ideas and expressions of the two works at issue. Once the | ||||||
|  | similar features are identified, analytic dissection is used to determine | ||||||
|  | whether any of those similar features are protected by copyright. This | ||||||
|  | step is the same as the filtration step in the AFC test. After identifying | ||||||
|  | the copyrightable similar features of the works, the court then decides | ||||||
|  | whether those features are entitled to ``broad'' or ``thin'' | ||||||
|  | protection. ``Thin'' protection is given to non-copyrightable facts or | ||||||
|  | ideas that are combined in a way that affords copyright protection only | ||||||
|  | from their alignment and presentation, while ``broad'' protection is given | ||||||
|  | to copyrightable expression itself. Depending on the degree of protection | ||||||
|  | afforded, the court then sets the appropriate standard for a subjective | ||||||
|  | comparison of the works to determine whether, as a whole, they are | ||||||
|  | sufficiently similar to support a finding that one is a derivative work of | ||||||
|  | the other. ``Thin'' protection requires the second work be virtually | ||||||
|  | identical in order to be held a derivative work of an original, while | ||||||
|  | ``broad'' protection requires only a ``substantial similarity.'' | ||||||
|  | 
 | ||||||
|  | \section{No Protection for ``Methods of Operation''} | ||||||
|  | 
 | ||||||
|  | The First Circuit expressly rejected the AFC test and, instead, takes a | ||||||
|  | much narrower view of the meaning of derivative work for software. The | ||||||
|  | First Circuit holds that ``method of operation,'' as used in \S 102(b) of | ||||||
|  | the Copyright Act, refers to the means by which users operate | ||||||
|  | computers. Lotus Development Corp. v. Borland Int’l., Inc., 49 F.3d 807 | ||||||
|  | (1st Cir. 1995). More specifically, the court held that a menu command | ||||||
|  | hierarchy for a computer program was uncopyrightable because it did not | ||||||
|  | merely explain and present the program’s functional capabilities to the | ||||||
|  | user, but also served as a method by which the program was operated and | ||||||
|  | controlled. As a result, under the First Circuit’s test, literal copying | ||||||
|  | of a menu command hierarchy, or any other ``method of operation,'' can not | ||||||
|  | form the basis for a determination that one work is a derivative of | ||||||
|  | another. It is also reasonable to expect that the First Circuit will read | ||||||
|  | the unprotectable elements set forth in \S 102(b) broadly, and, as such, | ||||||
|  | promulgate a definition of derivative work that is much narrower than that | ||||||
|  | which exists under the AFC test. | ||||||
|  | 
 | ||||||
|  | \section{No Test Yet Adopted} | ||||||
|  | 
 | ||||||
|  | Several circuits, including most notably the Fourth and Seventh, have yet | ||||||
|  | to declare their definition of derivative work and whether or not the AFC, | ||||||
|  | Analytic Dissection, or some other test best fits their interpretation of | ||||||
|  | copyright law. Therefore, uncertainty exists with respect to determining | ||||||
|  | the extent to which a software program is a derivative work of another in | ||||||
|  | those circuits. However, one may presume that they would give deference to | ||||||
|  | the AFC test since it is by far the majority rule amongst those circuits | ||||||
|  | that have a standard for defining a software derivative work. | ||||||
|  | 
 | ||||||
|  | \section{Cases Applying Software Derivative Work Analysis} | ||||||
|  | 
 | ||||||
|  | In the preeminent case regarding the definition of a derivative work for | ||||||
|  | software, Computer Associates v. Altai, the plaintiff alleged that the its | ||||||
|  | program, Adapter, which was used to handle the differences in operating | ||||||
|  | system calls and services, was infringed by the defendant's competitive | ||||||
|  | program, Oscar.  About 30 percent of Oscar was literally the same code as | ||||||
|  | that in Adapter.  After the suit began, the defendant rewrote those | ||||||
|  | portions of Oscar that contained Adapter code in order to produce a new | ||||||
|  | version of Oscar that was functionally competitive with Adapter, without | ||||||
|  | have any literal copies of its code.  Feeling slighted still, the | ||||||
|  | plaintiff alleged that even the second version of Oscar, despite having no | ||||||
|  | literally copied code, also infringed its copyrights.  In addressing that | ||||||
|  | question, the Second Circuit promulgated the AFC test. | ||||||
|  | 
 | ||||||
|  | In abstracting the various levels of the program, the court noted a | ||||||
|  | similarity between the two programs' parameter lists and macros.  However, | ||||||
|  | following the filtration step of the AFC test, only a handful of the lists | ||||||
|  | and macros were protectable under copyright law because they were either | ||||||
|  | in the public domain or required by functional demands on the | ||||||
|  | program. With respect to the handful of parameter lists and macros that | ||||||
|  | did qualify for copyright protection, after performing the comparison step | ||||||
|  | of the AFC test, it was reasonable for the district court to conclude that | ||||||
|  | they did not warrant a finding of infringement given their relative minor | ||||||
|  | contribution to the program as a whole.  Likewise, the similarity between | ||||||
|  | the organizational charts of the two programs was not substantial enough | ||||||
|  | to support a finding of infringement because they were too simple and | ||||||
|  | obvious to contain any original expression. | ||||||
|  | 
 | ||||||
|  | Perhaps not surprisingly, there have been few cases involving a highly | ||||||
|  | detailed software derivative work analysis.  Most often, cases involve | ||||||
|  | clearer basis for decision, including frequent bad faith on the part of | ||||||
|  | the defendant or over aggressiveness on the part of the plaintiff. | ||||||
|  | However, no cases involving free software licensing have ever gone to | ||||||
|  | court.  As free software becomes an ever increasingly important part of | ||||||
|  | the economy, it remains to be seen whether or not battle lines will be | ||||||
|  | drawn over whether particular programs infringe the rights of free | ||||||
|  | software developers or whether the entire community, including industry, | ||||||
|  | adopts norms avoiding such risk. | ||||||
|  | 
 | ||||||
|  | %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%% | ||||||
|  | 
 | ||||||
|  | \chapter{Modified Source and Binary Distribution} | ||||||
|  | 
 | ||||||
|  | In this chapter, we discuss the two core sections that define the rights | ||||||
|  | and obligations for those who modify, improve, and/or redistribute GPL'd | ||||||
|  | software.  These sections, \SS 2--3, define the central core rights and | ||||||
|  | requirements of GPL\@. | ||||||
|  | 
 | ||||||
| \section{GPL \S 2: Share and Share Alike} | \section{GPL \S 2: Share and Share Alike} | ||||||
| 
 | 
 | ||||||
| For many, this is where the ``magic'' happens that defends software | For many, this is where the ``magic'' happens that defends software | ||||||
|  | @ -1073,6 +1408,125 @@ prepared to honor all incoming source code requests.  For this and the | ||||||
| many other additional necessary complications under \S\S 3(b--c), it is | many other additional necessary complications under \S\S 3(b--c), it is | ||||||
| only rarely a better option than complying via \S 3(a). | only rarely a better option than complying via \S 3(a). | ||||||
| 
 | 
 | ||||||
|  | %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%% | ||||||
|  | \chapter{The Implied Patent Grant in GPL} | ||||||
|  | 
 | ||||||
|  | We digress again briefly from our section-by-section consideration of GPL | ||||||
|  | to consider the interaction between the terms of GPL and patent law.  The | ||||||
|  | GPL, despite being silent with respect to patents, actually confers on its | ||||||
|  | licensees more rights to a licensor's patents than those licenses that | ||||||
|  | purport to address the issue.  This is the case because patent law, under | ||||||
|  | the doctrine of implied license, gives to each distribute of a patented | ||||||
|  | article a license from the distributor to practice any patent claims owned | ||||||
|  | or held by the distributor that cover the distributed article.  The | ||||||
|  | implied license also extends to any patent claims owned or held by the | ||||||
|  | distributor that cover ``reasonably contemplated uses'' of the patented | ||||||
|  | article.  To quote the Federal Circuit Court of Appeals, the highest court | ||||||
|  | for patent cases other than the Supreme Court: | ||||||
|  | 
 | ||||||
|  | \begin{quotation} | ||||||
|  | Generally, when a seller sells a product without restriction, it in | ||||||
|  | effect promises the purchaser that in exchange for the price paid, it will | ||||||
|  | not interfere with the purchaser's full enjoyment of the product | ||||||
|  | purchased. The buyer has an implied license under any patents of the | ||||||
|  | seller that dominate the product or any uses of the product to which the | ||||||
|  | parties might reasonably contemplate the product will be put. | ||||||
|  | \end{quotation} | ||||||
|  | Hewlett-Packard Co. v. Repeat-O-Type Stencil Mfg. Corp., Inc., 123 F.3d | ||||||
|  | 1445 (Fed. Cir. 1997). | ||||||
|  | 
 | ||||||
|  | Of course, free software is licensed, not sold, and there are indeed | ||||||
|  | restrictions placed on the licensee, but those differences are not likely | ||||||
|  | to prevent the application of the implied license doctrine to free | ||||||
|  | software, because software licensed under the GPL grants the licensee the | ||||||
|  | right to make, use, and sell the software, each of which are exclusive | ||||||
|  | rights of a patent holder.  Therefore, although the GPL does not expressly | ||||||
|  | grant the licensee the right to do those things under any patents the | ||||||
|  | licensor may have that cover the software or its reasonably contemplated | ||||||
|  | uses, by licensing the software under the GPL, the distributor impliedly | ||||||
|  | licenses those patents to the GPL licensee with respect to the GPL | ||||||
|  | licensed software. | ||||||
|  | 
 | ||||||
|  | An interesting issue regarding this implied patent license of GPL'd | ||||||
|  | software is what would be considered ``uses of the [software] to which the | ||||||
|  | parties might reasonably contemplate the product will be put.''  A clever | ||||||
|  | advocate may argue that the implied license granted by GPL is larger in | ||||||
|  | scope than the express license in other free software licenses with | ||||||
|  | express patent grants, in that, the patent license clause of many of those | ||||||
|  | licenses are specifically limited to the patent claims covered by the code | ||||||
|  | as licensed by the patentee. | ||||||
|  | 
 | ||||||
|  | To the contrary, GPL's implied patent license grants the GPL licensee a | ||||||
|  | patent license to do much more than just that because the GPL licensee, | ||||||
|  | under the doctrine of implied patent license, is free to practice any | ||||||
|  | patent claims held by the licensor that cover ``reasonably contemplated | ||||||
|  | uses'' of the GPL'd code, which may very well include creation and | ||||||
|  | distribution of derivative works since the GPL's terms, under which the | ||||||
|  | patented code is distributed, expressly permits such activity. | ||||||
|  | 
 | ||||||
|  | Further supporting this result is the Federal Circuit's pronouncement that | ||||||
|  | the recipient of a patented article has, not only an implied license to | ||||||
|  | make, use, and sell the article, but also an implied patent license to | ||||||
|  | repair the article to enable it to function properly.  Bottom Line Mgmt., | ||||||
|  | Inc. v. Pan Man, Inc., 228 F.3d 1352 (Fed. Cir. 2000).  Additionally, the | ||||||
|  | Federal Circuit extended that rule to include any future recipients of the | ||||||
|  | patented article, not just the direct recipient from the distributor. | ||||||
|  | This theory comports well with the idea of free software, whereby software | ||||||
|  | is distributed amongst many entities within the community for the purpose | ||||||
|  | of constant evolution and improvement.  In this way, the law of implied | ||||||
|  | patent license used by the GPL ensures that the community mutually | ||||||
|  | benefits from the licensing of patents to any single community member. | ||||||
|  | 
 | ||||||
|  | Note that simply because GPL'd software has an implied patent license does | ||||||
|  | not mean that any patents held by a distributor of GPL'd code become | ||||||
|  | worthless.  To the contrary, the patents are still valid and enforceable | ||||||
|  | against either: | ||||||
|  | 
 | ||||||
|  | \begin{enumerate} | ||||||
|  |  \renewcommand{\theenumi}{\alph{enumi}} | ||||||
|  |  \renewcommand{\labelenumi}{\textup{(\theenumi)}} | ||||||
|  | 
 | ||||||
|  | \item any software other than that licensed under the GPL by the patent | ||||||
|  |   holder, and | ||||||
|  | 
 | ||||||
|  | \item any party that does not comply with the GPL | ||||||
|  | with respect to the licensed software. | ||||||
|  | \end{enumerate} | ||||||
|  | 
 | ||||||
|  | \newcommand{\compB}{$\mathcal{B}$} | ||||||
|  | \newcommand{\compA}{$\mathcal{A}$} | ||||||
|  | 
 | ||||||
|  | For example, if Company \compA has a patent on advanced web browsing, but | ||||||
|  | also licenses a web browsing software program under the GPL, then it | ||||||
|  | cannot assert the patent against any party that takes a license to its | ||||||
|  | program under the GPL.  However, if a party uses that program without | ||||||
|  | complying with the GPL, then Company \compA can assert, not just copyright | ||||||
|  | infringement claims against the non-GPL-compliant party, but also | ||||||
|  | infringement of the patent, because the implied patent license only | ||||||
|  | extends to use of the software in accordance with the GPL.  Further, if | ||||||
|  | Company \compB distributes a competitive advanced web browsing program, | ||||||
|  | Company \compA is free to assert its patent against any user or | ||||||
|  | distributor of that product.  It is irrelevant whether Company \compB's | ||||||
|  | program is distributed under the GPL, as Company \compB can not grant | ||||||
|  | implied licenses to Company \compA's patent. | ||||||
|  | 
 | ||||||
|  | This result also reassures companies that they need not fear loosing their | ||||||
|  | proprietary value in patents to competitors through the GPL implied patent | ||||||
|  | license, as only those competitors who adopt and comply with the GPL's | ||||||
|  | terms can benefit from the implied patent license.  To continue the | ||||||
|  | example above, Company \compB does not receive a free ride on Company | ||||||
|  | \compA's patent, as Company \compB has not licensed-in and then | ||||||
|  | redistributed Company A's advanced web browser under the GPL.  If Company | ||||||
|  | \compB does do that, however, Company \compA still has not lost | ||||||
|  | competitive advantage against Company \compB, as Company \compB must then, | ||||||
|  | when it re-distributes Company \compA's program, grant an implied license | ||||||
|  | to any of its patents that cover the program.  Further, if Company \compB | ||||||
|  | relicenses an improved version of Company A's program, it must do so under | ||||||
|  | the GPL, meaning that any patents it holds that cover the improved version | ||||||
|  | are impliedly licensed to any licensee.  As such, the only way Company | ||||||
|  | \compB can benefit from Company \compA's implied patent license, is if it, | ||||||
|  | itself, distributes Company \compA's software program and grants an | ||||||
|  | implied patent license to any of its patents that cover that program. | ||||||
| 
 | 
 | ||||||
| %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%% | %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%% | ||||||
| \chapter{Defending Freedom On Many Fronts} | \chapter{Defending Freedom On Many Fronts} | ||||||
|  | @ -1284,28 +1738,43 @@ copyright licenses. | ||||||
| \label{GPLs11} | \label{GPLs11} | ||||||
| 
 | 
 | ||||||
| All warranty disclaimer language tends to be shouted in all capital | All warranty disclaimer language tends to be shouted in all capital | ||||||
| letters.  Apparently, there was once a case where the disclaimer language | letters. Apparently, there was once a case where the disclaimer language | ||||||
| of an agreement was negated because it was not ``conspicuous'' to one of | of an agreement was negated because it was not ``conspicuous'' to one of | ||||||
| the parties.  Therefore, to make such language ``conspicuous'', people | the parties. Therefore, to make such language ``conspicuous'', people | ||||||
| started placing it in bold or capitalizing the entire text.  It now seems | started placing it in bold or capitalizing the entire text. It now seems | ||||||
| to be voodoo tradition of warranty disclaimer writing. | to be voodoo tradition of warranty disclaimer writing. | ||||||
| 
 | 
 | ||||||
|  | Some have argued the GPL is unenforceable in some jurisdictions because | ||||||
|  | its disclaimer of warranties is impermissibly broad.  However, \S 11 | ||||||
|  | contains a jurisdictional savings provision, which states that it is to be | ||||||
|  | interpreted only as broadly as allowed by applicable law.  Such a | ||||||
|  | provision ensures that both it, and the entire GPL, is enforceable in any | ||||||
|  | jurisdiction, regardless of any particular law regarding the | ||||||
|  | permissibility of certain warranty disclaimers. | ||||||
|  | 
 | ||||||
| Finally, one important point to remember when reading \S 11 is that \S 1 | Finally, one important point to remember when reading \S 11 is that \S 1 | ||||||
| permits the sale of warranty as an additional service, which \S 11 | permits the sale of warranty as an additional service, which \S 11 affirms. | ||||||
| affirms. |  | ||||||
| 
 | 
 | ||||||
| \section{GPL, \S 12: Limitation of Liability} | \section{GPL, \S 12: Limitation of Liability} | ||||||
| \label{GPLs12} | \label{GPLs12} | ||||||
| 
 | 
 | ||||||
| There are many types of warranties, and in some jurisdictions some of them | There are many types of warranties, and in some jurisdictions some of them | ||||||
| cannot be disclaimed.  Therefore, usually agreements will have both a | cannot be disclaimed. Therefore, usually agreements will have both a | ||||||
| warranty disclaimer and a limitation of liability, as we have in \S 12. | warranty disclaimer and a limitation of liability, as we have in \S 12. \S | ||||||
| \S 11 thus gets rid of all implied warranties that can legally be | 11 thus gets rid of all implied warranties that can legally be | ||||||
| disavowed.  \S 12, in turn, limits the liability of the actor for any | disavowed. \S 12, in turn, limits the liability of the actor for any | ||||||
| warranties that cannot legally be disclaimed in a particular jurisdiction. | warranties that cannot legally be disclaimed in a particular jurisdiction. | ||||||
| 
 | 
 | ||||||
| So ends the terms and conditions of the GNU General Public License. | Again, some have argued the GPL is unenforceable in some jurisdictions | ||||||
|  | because its limitation of liability is impermissibly broad.  However, \S | ||||||
|  | 12, just like its sister, \S 11, contains a jurisdictional savings | ||||||
|  | provision, which states that it is to be interpreted only as broadly as | ||||||
|  | allowed by applicable law.  As stated above, such a provision ensures that | ||||||
|  | both \S 12, and the entire GPL, is enforceable in any jurisdiction, | ||||||
|  | regardless of any particular law regarding the permissibility of limiting | ||||||
|  | liability. | ||||||
| 
 | 
 | ||||||
|  | So ends the terms and conditions of the GNU General Public License. | ||||||
| 
 | 
 | ||||||
| %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%% | %%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%% | ||||||
| \chapter{The Lesser GPL} | \chapter{The Lesser GPL} | ||||||
|  | @ -1988,11 +2457,9 @@ modification follow. | ||||||
| \end{center} | \end{center} | ||||||
| 
 | 
 | ||||||
| 
 | 
 | ||||||
| %\renewcommand{\theenumi}{\alpha{enumi}} |  | ||||||
| \begin{enumerate} | \begin{enumerate} | ||||||
| 
 | 
 | ||||||
| \addtocounter{enumi}{-1} | \addtocounter{enumi}{-1} | ||||||
| 
 |  | ||||||
| \item | \item | ||||||
| 
 | 
 | ||||||
| This License applies to any program or other work which contains a notice | This License applies to any program or other work which contains a notice | ||||||
|  | @ -2933,4 +3400,6 @@ That's all there is to it! | ||||||
| % LocalWords:  proprietarize redistributors sublicense yyyy Gnomovision EULAs | % LocalWords:  proprietarize redistributors sublicense yyyy Gnomovision EULAs | ||||||
| % LocalWords:  Yoyodyne FrontPage improvers Berne copyrightable Stallman's GPLs | % LocalWords:  Yoyodyne FrontPage improvers Berne copyrightable Stallman's GPLs | ||||||
| % LocalWords:  Lessig Lessig's UCITA pre PDAs CDs reshifts GPL's Gentoo glibc | % LocalWords:  Lessig Lessig's UCITA pre PDAs CDs reshifts GPL's Gentoo glibc | ||||||
| % LocalWords:  TrollTech administrivia LGPL's MontaVista OpenTV | % LocalWords:  TrollTech administrivia LGPL's MontaVista OpenTV Mitek Arce | ||||||
|  | % LocalWords:  unprotectable protectable Unfreedonia chipset CodeSourcery | ||||||
|  | % LocalWords:  impermissibly | ||||||
|  |  | ||||||
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	 Bradley M. Kuhn
						Bradley M. Kuhn