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Abstract
Proponents of open source software and other business models that seek to provide public domain access to creative works are often critical of strong intellectual property protection. In particular, this criticism extends to legislation recognizing the right of copyright owners to utilize digital rights management (“DRM”) technologies, judicial interpretations of copyright law that restrict file sharing, liability for contributory infringement of copyright, and patentability of computer software and business methods. This keynote presentation will discuss the relationship between intellectual property protection and the open source business model and will argue that intellectual property rights and open source can coexist. Indeed, copyright protection is the very basis of the licensing protocols that support the open source model. The primary issue is the extent to which the author of a creative work should be compelled to commit his or her work to the public domain. The tensions between the open source model and patent protection for computer software and business methods may be less reconcilable. However, this presentation will argue that creators should have rights to determine the business model to be utilized in the distribution, licensing and use of their works.
Coexistence and Compatibility
The title of my speech is not “Can open source and intellectual property co-exist?”; rather, it asks, “Are they compatible?” “Coexistence” and “compatibility” are quite different terms and concepts. The GNU General Public License, Version 2, Section 7, states: “it is up to the author/donor to decide if he or she is willing to distribute software through any other system and a licensee cannot impose that choice.” Thus the GPL itself recognizes that other “systems” can and will be used to distribute software and recognizes the freedom of an author to do so. This is an acknowledgement that the business model represented in the GPL can coexist with other business models. When an author agrees to the terms of the GPL, he or she has made a decision not to use another system or business model. And the mechanism that prevents him or her and downstream users from placing restrictions on the use of his or her work is intellectual property, in the form of copyright – or “copyleft” as Richard Stallman calls it. Stallman’s insistence on coining a new term – copyleft – illustrates that the ideology of intellectual property is not compatible with the ideology of open source – at least the ideology of the founders of the open source movement. In fact, nearly everything written about or published by the Free Software Foundation suggests a deep hostility to the ideology of intellectual property rights. Copyright’s only worthy purpose according to this ideology is to ensure that GPL-licensed software and derivative works never leave the public domain.
The anti-DRM provisions in draft Version 3 of the GPL make it clear that the open source ideology is hostile to any business model that attempts to keep a copyrighted work proprietary – not just software, but other traditionally copyrighted content as well, including movies and music. Earlier this year GPLv3 coauthor Eben Moglen called DRM technology “fundamentally incompatible” with the principles of the Free Software Foundation. Draft Version 3 prohibits digital restrictions on any copyrighted material unless users can control them.
Who Is the Decider?
Our U.S. President George W. Bush recently coined a new term when asked by a reporter whether he planned to ask for the resignation of his Defense Secretary, Donald H. Rumsfeld. He replied, “I am the decider,” and stated that he had “decided” to retain the services of Mr. Rumsfeld.
Regarding open source, we might ask who the “decider” is. Is it Richard Stallman, Eben Moglen, or the Free Software Foundation? If it is, it seems clear that the ideology – if not the letter – of open source is incompatible with intellectual property.
However, I suspect that many everyday users of open source software do not share this ideological hostility to intellectual property. Indeed, many commercial users of open source software also market bundles that may include both open source and proprietary software.
In preparing for this talk, I came across a web log debate about whether TiVo, which uses Linux but collects information on consumers’ actions, could comply with GPLv3’s anti-DRM provisions. One of the bloggers argued that TiVo could comply because “TiVo is not a derivative work of Linux in the legal sense – [but] is simply a Linux application that happens to ship with a Linux distribution bundled as a complete package.” Recently I attended a legal conference in Mexico City where several speakers described techniques for combining open source and proprietary software into such bundles without violating the GPL. While I am sure that those for whom open source is an ideology object to such techniques, it seems likely to me that in the future more and more developers will avail themselves of a mixture of licensing protocols in creating new products and formulating new business models. Certainly, if the press is to be believed, even Microsoft is availing itself of open source software in some of its projects in development.
If these profit-seeking software developers are the deciders of whether open source and intellectual property are incompatible, I think the answer would be quite different from those who consider open source an ideology rather than a business model. They would respond that IP and open source are compatible.
Open Source and Copyright
Copyright is the most widely used form of intellectual property. After I got the invitation to speak at this conference, I started to give a lot of thought to this apparent contradiction that the very legal mechanism used to keep open source software from being hijacked by proprietary developers is intellectual property, even though IP is contrary to the ideology of open source. I asked myself why shouldn’t we make life simpler by going back to copyright law as we knew it in the United States before 1976? Prior to that time if an author published his or her work without first registering it with the Library of Congress, it went into the public domain.
The only reason the law was changed in 1976 was so that the United States would be able to adhere to the Berne Convention, which had long been the primary copyright treaty governing relationships among European states. The Berne Convention specifically prohibits member states from requiring formalities such as registration as a condition of copyright protection. However, this prohibits the mechanism we had long used in the United States to give an author the ability to give up copyright at the moment of publication. It occurred to me that maybe we should rethink this provision of the Berne Convention and permit countries to have the kind of choice we had pre-1976 in the United States.
I quickly realized that while this certainly would make it easier to place contemporary works of art, music and literature into the Creative Commons, it would not meet the strict requirements of those for whom open source software is an ideology. That is because one of their primary objectives is that all derivative works and downstream uses of an open source program should be open source as well. As I noted earlier, this need for a legal mechanism to keep open source open requires the use of copyright so that all downstream licensees can be compelled to make any derivative work open source as well. So not only is copyright compatible with open source, it is a core element in enforcing the ideology of open source. It makes no difference that some choose to call it “copyleft.”
Open Source and Patents
In the abstract of my speech I stated that patents may be less compatible with open source than copyrights. While copyright law is the mechanism for enforcing open source licenses, there is no role for patents in the open source protocol. Organizations such as the Free Software Foundation passionately oppose software patents. Ideological opposition to software patents surfaced virulently during the recent debate in the European Parliament on the Directive on Computer-Related Inventions. The objective of the directive simply was to harmonize the law of E.U. member states to conform to the decisions of the European Patent Office, which grants patents on computer-related inventions involving software as long as the software has a “technical effect.”
Originally proposed by the French government, it was expected that the directive would be uncontroversial. However, a firestorm of populist opposition developed. And much of this opposition came from the free software and open source movements. Nongovernmental organizations such as the U.S.-based Consumer Project on Technology (CP Tech) became deeply involved in opposing the directive as well.
The backlash was so strong that the directive’s proponents declared victory when the Parliament decided to do nothing rather than to approve a version that would have been more restrictive than the existing rules of the EPO.
There is no question that the notion of patenting software is completely inconsistent with the ideology of the founders of the open source movement. But I believe that their fear of software patents goes further than an ideological distaste for patents. The reason is that the scope of patent protection is much broader than that of copyright protection. Patents grant to the patent holder exclusive rights to prevent others from using the very ideas embodied in the patented invention. Copyright, by contrast, only prevents others from copying an author’s work or using it without his or her permission in a number of very limited ways, such as public performance and display or – under the 1996 WIPO Copyright Treaty – making it available to the public through a mechanism such as the Internet. If someone independently writes code that does the same thing as another software program, for the most part he or she is free independently to control the copyright in the new work and license it under an open source protocol such as the GPL.
The much stronger rights of patent owners mean that it might be possible to fence off large areas of software development so that it would be impossible to develop open source programs in those spaces without licenses from patent holders. This concern is acknowledged in Section 7 of the GPL, which prohibits taking a patent license that restricts the making and distributing by the licensee of the patented code. This provision of the GPL prevents the very strong patent right from being used to control use of licensed code downstream by other open source developers. However, other open source licenses, such as the Mozilla Public License (MPL), the Common Public License (CPL), the Apache License and the General Public License (GPL), do not contain such limitations. Thus software licensed under those open source protocols could be used to create a new work that would contain patent restrictions on downstream usage. This would be incompatible with the ideology of the Free Software Foundation. However, it is not necessarily hostile to those who want to use open source as a business model for the development of new products. Using licenses other than the GPL that do not contain GPL’s restrictions would permit open source developers – particularly commercial developers – the freedom to operate on an open source platform, but to add patented material to the mix as long as they had obtained the consent of the patent owner.
The fact of the matter is that – in spite of all of the noise generated by anti-patent activists – it is extremely unlikely that in the United States the subject matter of patents will be restricted to exclude patents on software. It must be remembered that the extension of patents to software in the United States was the result of a U.S. Supreme Court decision more than 20 years ago, a decision that now constitutes an extremely strong precedent in our common-law system. To overturn it at this point would require intervention by the U.S. Congress through legislation. As someone with over 30 years of experience in dealing with the Congress, I can assure you that this is not going to happen. Open source developers will have no choice then but to deal with the increasing presence of patents covering software innovations.
While the situation in Europe is different from that in the United States, the European Patent Office has made it clear in the wake of the failed effort to enact a directive that it will continue to abide by the decision of its Expanded Board of Appeals to grant patents on computer-related inventions embodied in software. So, it appears unlikely that software patents will disappear in Europe anytime soon either.
The Ideology of Open Source and the Ideology of Intellectual Property
On the surface it certainly appears that the ideologies lying behind the two business models for developing software are in conflict. However, I would like to suggest that this may not necessarily be the case. I believe that leaders of the free software and open source movements are largely unfamiliar with the ideology of intellectual property, and that this accounts for much of their hostility.
The founders of the open source movement were, for the most part, computer programmers functioning in the context of academia, rather than business. Their training, skills, and experience were and are in the field of science and technology, generally not in law or economics. Intellectual property law as we know it today was the creation more than two centuries ago of political philosophers, who were often lawyers. While on the surface it would appear that the ideologies of these two groups are very different, I believe that they have much in common.
What the intellectual property ideology and the open source ideology have in common is a deep respect for the freedom of the individual creator.
In the case of open source, this takes the form of opposition to restrictions on the right of programmers to access and use the works of others, or, in other words, to restrict his or her freedom. This is essentially a libertarian motivation. However, intellectual property law also has its origins in the notion of freedom of the individual. This is particularly true in the case of copyright law in Europe. Copyright, or droit d’auteur, as we know it in continental Europe, had its origins in the French Revolution. It must be remembered that prior to that time all scientific and artistic creation took place under a system of patronage from the nobility of Europe. A great composer, for example, had no means of making a living except by holding a post at the court of a wealthy monarch or nobleman. All of his creations were, in effect, owned by his patron. With the revolution in France, this system was overturned and authors themselves were given direct control over the use and exploitation of their works. This included the right to exploit a work economically as well as “moral rights,” such as the right to prevent others from altering or changing the character of the work as envisioned by the original creator. Indeed, droit d’auteur is directly translated into English as “right of the author.”
In the United States the intellectual property system was the creation of one of our most prominent founders, Thomas Jefferson. He was truly a Renaissance man with a deep passion for the arts and sciences. He was a writer and inventor himself, and identified deeply with the creative community of his time. He was the author of the provisions of the U.S. Constitution that mandated the Congress to “grant exclusive rights to authors and inventors,” in their writings and discoveries. He saw a larger social purpose in this, which was to “promote progress in science and the useful arts.” His reaction was not unlike that of his counterparts in France. He was rebelling against a system in which the word “patent” meant an exclusive grant of property or a monopoly to favorites of the British monarch. Or, in the case of copyright, the grant of printing monopolies that were considered to serve the interests – often involving censorship – of the Crown.
By awarding patents and copyrights to inventors and authors, the individual was rewarded and encouraged to add to the storehouse of knowledge that would be available to all of society.
Can the Ideologies Be Reconciled?
I would guess that most individuals, entrepreneurs and companies working in the business of software development don’t really think much or care much about the ideology of copyright and patents or open source. Usually, their motivation is pretty selfish. It is to do whatever they want to without hindrance from others, and in the majority of cases to make money from what they do. The business model they select often determines what they think about open source and intellectual property. If they have a business model based on providing custom-made packages and supporting services to clients, they probably dislike the constraints of IP-protected software. If they are looking to make it into the big time with a killer application, they may be strongly in favor of intellectual property protection.
I have long been considered a proponent of strong intellectual property rights. I do not consider myself to be anti-open source. I believe that the two ideologies are reconcilable because they are based on individual choice. Those who wish to follow an open source model for whatever reason, because of altruism and a dislike for profit, or because they have a business model that works better with open source, have no argument from me. I encourage them to follow that path. Likewise, those who want to follow a proprietary model based on strict IP protection are fine with me. The main issue to me is the freedom of the individual to choose.
But without enforceable intellectual property laws, there would be no choice. We would return to the time of the 18th century when the only viable business model for a creator would be to rely on the patronage of others – whether that be in the form of a sinecure in a university, contracting out to clients for services with your software being thrown in for free, or relying on the patronage of advertisers. For the proprietary model to remain an option, we need intellectual property laws that prevent others – without permission – from overturning your choice by simply taking your work product. To me it is as simple as that.
(Originally presented as a speech at the LinuxWorld Summit, Milan, Italy, May 16, 2006. Reprinted with permission.)
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