Computer Ethics, Summer 2010

Week 5, Tuesday (class 13), June 22
Corboy Law Room 323


Patents


Some patent papers

These are assigned reading

1. Simpson Garfinkel, Patently Absurd, 1993
GARFINKEL, SIMSON
Garfinkel's article is pretty easy reading, pointing out some problems with software patents specifically.

2.Richard Stallman on PatentsSee
 full size image, 2002




Stallman is against software patents, of course. However, his case here is better than many open-source-related arguments; in fact, it is squarely aligned with the interests of software-development businesses.

3.Paul Graham, a computer scientist and one of the partners of the venture-capital firm Y Combinator, wrote a 2006 essay Are Software Patents Evil?


Graham makes the following claim early on:

One thing I do feel pretty certain of is that if you're against software patents, you're against patents in general. Gradually our machines consist more and more of software. Things that used to be done with levers and cams and gears are now done with loops and trees and closures. There's nothing special about physical embodiments of control systems that should make them patentable, and the software equivalent not.

Is this true?

Does it matter that Graham is also a radical proponent of using the lisp programming language, which everybody else stopped using in the 1990's?

Graham also says,

Frankly, it surprises me how small a role patents play in the software business. It's kind of ironic, considering all the dire things experts say about software patents stifling innovation, but when one looks closely at the software business, the most striking thing is how little patents seem to matter.

But that paragraph is about software companies being sued by other software companies, and not "patent trolls".

Graham also makes some other claims, in particular some about the role of the patent system in business competition generally. Check out what he says about Reveal.


4. Paul Heckel, Debunking the Software Patent Myth, Communications of the ACM, 1992
I've put this ACM paper on Blackboard, under Course Documents. The direct link is
https://blackboard.luc.edu/@@09EA984A17F31F571A073B735198B4EE/courses/1/COMP_317_001_3918_1104/content/_1029749_1/heckel_patent.pdf.
 

Heckel qualifies as a small software inventor who has recovered some of the costs of investment by using the patent system. On the first page he quotes the League of Programming Freedom as saying, "Scrolling and subwindows are well-known techniques, but combining them is apparently illegal." Heckel continues,

The League calls this an "outrageous result." Based on this description alone, any reasonable person would have to agree.

But I am that inventor, and Apple was actually sued on a prior related patent, 4,486,857. Because my patents were misrepresented, I researched the other patents described in the League's article and am reporting my results.

He then looks at a number of alleged cases of "patent abuse" and finds them wanting.



Finally, here's a student project from Stanford, dated 2000 (not required):
http://cse.stanford.edu/class/cs201/projects-99-00/software-patents
The authors are Carr, Gray, Watkins and Yang, and the patents they consider in depth are



Universal v Reimerdes, Appellate Court

The Appellate decision was similar to Judge Kaplan's District Court opinion, though with somewhat more on the constitutional issues, and an additional twist on linking. Also, note that one of Corley's defenses was that he was a journalist, and

Writing about DeCSS without including the DeCSS code would have been, to Corley, "analogous to printing a story about a picture and not printing the picture."

However, in full context, that idea was harder to support.

Both the DC and Appellate courts held that the DMCA targets only the "functional component" of computer speech.

One argument was that the CSS encryption makes Fair Use impossible, and that therefore the relevant section of the DMCA should be struck down. The appellate court, however, ruled instead that"Subsection 1201(c)(1) ensures that the DMCA is not read to prohibit the "fair use" of information just because that information was obtained in a manner made illegal by the DMCA". Subsection 1201(c)(1) reads

(c) Other Rights, Etc., Not Affected. — (1) Nothing in this section shall affect rights, remedies, limitations, or defenses to copyright infringement, including fair use, under this title.

This is an interesting argument by the court! Literally it is correct, but the practical problems with Fair Use access go unaddressed.

Some notes on the free-speech argument:

Communication does not lose constitutional protection as "speech" simply because it is expressed in the language of computer code. Mathematical formulae and musical scores are written in "code," i.e., symbolic notations not comprehensible to the uninitiated, and yet both are covered by the First Amendment.

The court also acknowledged Junger v Daley (above).

However:

As the District Court recognized, the scope of protection for speech generally depends on whether the restriction is imposed because of the content of the speech. Content-based restrictions are permissible only if they serve compelling state interests and do so by the least restrictive means available.

A content-neutral restriction is permissible if it serves a substantial governmental interest, the interest is unrelated to the suppression of free expression, and the regulation is narrowly tailored, which "in this context requires . . . that the means chosen do not 'burden substantially more speech than is necessary to further the government's legitimate interests.'"

That is, the DeCSS code may be said to be "expressive speech", but it's not being banned because of what it expresses.

Unlike a blueprint or a recipe, which cannot yield any functional result without human comprehension of its content, human decision-making, and human action, computer code can instantly cause a computer to accomplish tasks.... These realities of what code is and what its normal functions are require a First Amendment analysis that treats code as combining nonspeech and speech elements, i.e., functional and expressive elements.

As for hyperlinks (in the section "Linking"),

a hyperlink has both a speech and a nonspeech component. It conveys information, the Internet address of the linked web page, and has the functional capacity to bring the content of the linked web page to the user's computer screen.... The linking prohibition is justified solely by the functional capability of the hyperlink.

What if one simply printed the site name, without the link: eg cs.luc.edu? For links, one can argue that the expressive and functional elements -- what the other site is, and how to get there -- are inseparable.



Gallery of DeCSS: http://www.cs.cmu.edu/~dst/DeCSS/Gallery
Check out these in particular:

Does the entire gallery serve to establish an expressive purpose?

If you want to play DVDs under linux, I recommend VLC Media Player at http://videolan.org/vlc (which generally needs libdvdcss).



Patents

Baase §4.7

Do patents help advance progress? or hinder it?

Patents are pretty clearly a market regulation with the sole goal of improving innovation in technology. Inventors don't "deserve" to profit from their ideas; we simply want to make sure they are motivated to continue. In other words, this is purely utilitarian.

Patents are intended to cover INVENTIONS rather than IDEAS. If you have an idea to sell hamburgers with salsa, or newspapers & beer together, or to create a website where people can post their own stuff, that's an IDEA. It can't be protected: everyone else is entitled to copy it freely.

What do these have to do with computers? There are several issues about whether the patent system for software in fact helps anyone, and whether software patents fulfill their constitutional mandate to benefit society as a whole. These relate to the situation where patents are dealt with only by serious developers.

Currently in the US, patents last 20 years, and generally cannot be renewed or extended (but see below regarding pharmaceutical patents). During that period, the patent owner can enforce their patent, but patent litigation is relatively expensive. Formerly US patents lasted 17 years from the date of granting, but to comply with the WTO treaty on Trade-Related Aspects of Intellectual Property Rights (TRIPS) the term was changed to 20 years from application.

There is also an analogue to the copyright situation, where individuals can download software that may violate patents in some countries. This creates a situation somewhat related to file-sharing: end-users make the decision. Unlike file-sharing, there is no group analogous to the RIAA that is going after infringers.

Look at ubuntu software installation? What about MP3 players?



My (former) three-part test on when it is appropriate to recognize software patents:

  1. The Supreme Court has turned down your last appeal
  2. Federal marshals surround your cabin in the woods
  3. You are out of ammo
This marks me in some circles as a software-patent moderate.


35 U.S.C. §101 (patent-eligibility law):

Whoever invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent therefor, subject to the conditions and requirements of this title.

The meaning of "process" is critical here: does it mean any procedure or method? Or does it mean "industrial process"? Historically, it pretty clearly was intended to mean the latter.


Pharmaceutical patents

Pharmaceutical patents are sort of the poster child for Why Patents Are Good For Us. Here the patent system IS effective at encouraging investment:

One weirdness: patents "for the use of"; someone can, if drug X is in the public domain, patent the use of X to treat disease Y (this must be in some legal sense a "new" use of X).

In practice this is not much of a problem, because generic manufacturers can still make and market X for its old purpose, and doctors can prescribe it for its new purpose. Such prescriptions are sometimes said to be "off-label"; they are an important way for drugs to get to people who will probably be helped by them, but for which no company has yet done clinical trials, and never will.

Some specific drugs:

cancer monoclonal-antibody drugs

These protein compoundss are antibodies that are highly specific to a certain substrate; they have very narrow targets. From http://en.wikipedia.org/wiki/History_of_cancer_chemotherapy:

Another branch in targeted therapy is the increasing use of monoclonal antibodies in cancer therapy. Although monoclonal antibodies (immune proteins which can be selected to precisely bind to almost any target) have been around for decades, they were derived from mice and did not function particularly well when administered to humans, causing allergic reactions and being rapidly removed from circulation. "Humanization" of these antibodies (genetically transforming them to be as similar to a human antibody as possible) has allowed the creation of a new family of highly effective humanized monoclonal antibodies. Rituximab, a drug used to treat lymphomas, is a prime example. -- Wikipedia

The point is that some cancers can be specifically targeted by certain antibodies, because they have specific antibody receptors not present in non-cancerous cells. The receptors involved tend to be very idiosyncratic.

None of these drugs would exist in the US marketplace if it were not for pharmaceutical patents.

On the other hand, the US Food and Drug Administration, which regulates new drugs, is arguably a massive government intrusion into the free market. Why shouldn't patent law intrude as well?

imatinib/gleevec: leukemias, stomach cancers. It is used to treat cancers where the cells involved have a specific receptor. Time magazine called it the "magic bullet against cancer" in 2001, when it was approved, though that was an overbroad assessment. It was also the subject of a patent lawsuit in India in 2007; the case was referred by the Madras High Court to the WTO.

It is the first member of a new class of agents that act by inhibiting particular tyrosine kinase enzymes, instead of non-specifically inhibiting rapidly dividing cells. -- Wikipedia

rituximab/rituxan: binds to the WBC surface protein CD20. Used to treat leukemias/lymphonmas, also some autoimmune diseases such as lupus

cetuximab/erbitux: metastatic colorectal cancer, head&neck cancers. Binds to EGFR receptor; it is an EGFR-inhibitor.

trastuzumab/herceptin: breast cancer. Monoclonal antibody that interferes with HER2/neu receptor. In some breast cancers, the HER2 receptor is, as wikipedia put it, "stuck in the 'on' position".

Antibiotics
nobody makes these, actually. The FDA requires not just proof of effectiveness, but proof that the infection that was cured was in fact resistant to existing antibiotics. This makes clinical trials very expensive.

Protein pump inhibitors (PPIs): used for various stomach-acid problems, including ulcers
omeprazole/prilosec
lansoprazole/prevacid
esomeprazol/nexium

HIV: protease inhibitors moved HIV from a short-term acute illness to a long-term chronic illness. This made drug development profitable again. When AZT (one of the first effective anti-HIV drugs) was first applied in the early 1990's to HIV patients, though, it was an off-label use.

red/white-blood cell drugs:
    filGRAStim/neupogen       makes more neutrophils/other WBCs. Used for cancer/chemo/BMT patients
    erythropoietin          makes more RBCs: kidney disease, cancer, cancer treatment

diabetes
    exENatide/byetta: this often means the patient can avoid taking insulin. It is offcially for type-2 (non-insulin-dependent) diabetes. From byetta.com: Byetta may also be used for other purposes not listed in this medication guide.

In 1984, Congress passed the Drug Price Competition and Patent Term Restoration Act, also known as the Hatch-Waxman Act. This allowed generic drug makers to use a patented drug in their own FDA application, so that approval would be in place as soon as the original patent expired (normally after 20 years). However, it also gave pharmaceutical developers a chance at a patent extension for up to five extra years, subject to the following:

The idea here is that if it took a company fifteen years to bring a drug from discovery (and patent) to market, they will get ten years of patent-protected sales to recoup their investment rather than five.

Third-world issues with pharma patents

Basically, if a country is too poor to afford to treat all its citizens with a new drug, many may die. This has definitely been the case with some HIV drugs. As a result, the Third World has long argued that it should be exempt from pharmaceutical patents.

In the mid-1990's, the WTO basically agreed, and allowed (I'm not sure of the exact terms) third-world countries to manufacture generic equivalents of first-world drugs for use within their own borders only. The manufacturing must be for the government's own use (eg in distributing to its people; the manufacturing can't be a for-profit initiative of a private company in that country). Also, a good-faith attempt must have been made first to negotiate for a reduced-rate license to manufacture the drug, and such profits as are made must be given to the patent holder. In practice, large US pharmaceutical companies often enter into vastly-reduced-price licensing arrangements with third-world companies.

In 2005, the WTO relaxed this rule to allow poorer nations to import generics that would otherwise be covered by a patent. This is sometimes described as a "compulsory license". The manufacturer would not be prosecuted.

This is perhaps the foremost third-world patent issue.



Patents Generally

The fundamental justification for patents is to encourage advances in technology. Their justification is purely utilitarian; it is difficult to give a deontological rationale for not using someone else's invention.

Ethically, the scope of the utilitarian argument can be worldwide, but national patent laws are generally intended for national benefit. That said, treaties have led to fairly uniform patent laws in the industrialized world, but there are serious concerns in the Third World about certain aspects of patent law.

Also, a part of the patent process is the requirement that the inventor disclose the idea to the world. You cannot protect something with both a patent and trade secrecy. To put it another way, the patent grants you a limited monopoly in "exchange" for publication.



Software Patents

Why are they even controversial? Here are four categories of software-patent issues: One example of a fundamental problem might be that algorithms are can be seen as mathematical facts, not inventions.

As we consider the patents below, it will often be claimed that the innovation is "obvious". In fact, there is sometimes (maybe even often!) evidence that the idea was so obvious that prior publication (required to invalidate a patent based on "prior art") would have been absurd.

Part of the problem, with aspects unique to computing, is that any invention has two parts:
In the physical world, the second often tends to be the much harder component. But in the software world, once you realize you have a need to do something, working out an implementation (at least at the "invention" stage) is often very straightforward. Not always, but often. Once the need becomes apparent, finding a solution can be obvious.

What often seems to happen is that a patent is granted for an invention at a time when the inventor had no clear application for the idea. Much later, someone needed to get something done, and found a quick obvious solution that turned out to be the earlier patented one. The Eolas case (below) is a possible instance of this. Should early inventors be able to lock out later developers simply because they managed to patent a technique to solve a problem that was completely obvious later to anyone else faced with that same problem? Haven't they really patented the problem?

At the risk of being misleading about the term "obvious" as used in patent law, I will call this the "obvious-in-context" problem.



Aeroplane Control

A classic "broad" patent is the Wright brothers patent on "wing-warping" to control flight (to the Wrights, the wings were the "aero-planes", planing the air, the rest of it was the "flying machine"). The Wright brothers actually twisted the whole biplane structure -- using cables -- to bank in a turn. This later led to the development by others of ailerons, which achieve the same effect but which mechanically are entirely different. A court ruled the Wright patent still applied: what mattered was the concept of adjusting wing angles to tilt the craft.

This is a classic "broad patent" for a major new innovation. The courts have traditionally recognized "broad" patents, but somehow in software this distinction is often lost.


History of software patents

For a long time, software was held to be unpatentable, as mathematical algorithms are unpatentable. Any fundamental mathematical or physical laws are unpatentable.

1972: Gottschalk v Benson (wikipedia): You can't patent a mathematical algorithm (in this case a number-format-conversion algorithm). More below.

1973: ATT somehow manages to patent the setuid bit, claiming it's hardware. This patent was dedicated to the public domain in 1979. This patent is certainly a deep idea: if a certain bit is set in the filesystem information node for a file (not in the file itself), then when the file is executed, it runs with the privileges of its owner and not the user. Before then (and after; see what Windows does), there were complex ad-hoc methods for running selected programs with elevated (or alternative) privileges.

1981: Diamond v Diehr: computer + machine IS patentable. For a long time after, software patents always described the software in combination with some hardware device. This patent dealt with the curing of rubber, using a computer to guide the process.

Diamond v Diehr: SCOTUS says that an invention isn't automatically unpatentable just because it contains an algorithm But PTO & lower courts read in the converse: algorithms are patentable

Note that the current business-world baseline thus rests on USPTO policy and lower-court case law, NOT congress or SCOTUS.

Problem of "non-obviousness" the rules state that it's not enough to prove it's obvious today. Uh oh. That becomes an extremely difficult burden.

To be patentable, an invention must be "novel". Novelty is usually challenged by the presentation of "prior art": did someone else discover it first? Often there are arguments about this.

If prior art is published, it can invalidate a patent. However, if it was used privately, those users can continue to use their idea without paying royalties to the owner of the patent, but the patent may still stand. The patent can be challenged on the grounds of not being novel, but this is harder.

Broad patents for fundamental new ideas, narrow patents for improvements

compatibility issues: What if the default, standard implementation is patented? Two cases where there was at least some movement away from a patented format:

    GIF => PNG
    MP3 => ogg vorbis

software patent v copyright

Supreme-court cases limit the word "process" in USC Title 35, Chapter 10, §101:

Inventions Patentable: Whoever invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent therefor, subject to the conditions and requirements of this title.



Gottschalk v Benson continues to be debated. (Gottschalk is the name of the patent commissioner; the one-word name for the case is Benson.) The court stated that "the patent would wholly pre-empt the mathematical formula and in practical effect would be a patent on the algorithm itself". But that is not entirely clear. The algorithm was for converting so-called binary-coded decimal (in which decimal digits are represented in sequence each by four binary digits, so 157 = 0001 0101 0111) to true binary. The patent was for the use of this algorithm on a computer, not universally (though the algorithm makes no sense except on a computer).

In the decision, the court cited an earlier decision: "[w]hile a scientific truth, or the mathematical expression of it, is not a patentable invention, a novel and useful structure created with the aid of knowledge of scientific truth may be", and "an idea of itself is not patentable." The court also said,

Here the "process" claim is so abstract and sweeping as to cover both known and unknown uses of the BCD to pure binary conversion. The end use may (1) vary from the operation of a train to verification of drivers' licenses to researching the law books for precedents and (2) be performed through any existing machinery or future-devised machinery or without any apparatus.

Applications of computer algorithms may indeed be general. In retrospect, should this be an issue? The end-uses above are all for software using the algorithm; and anyone could always use a different algorithm.

One school of thought is that a "process" is not patentable unless there is a physical transformation involved, or unless the new invention is necessary in carrying out the process. The Supreme Court's Benson ruling was narrower than that, however. However, the court did say

transformation and reduction of an article 'to a different state or thing' is the clue to the patentability of a process claim that does not include particular machines. [emphasis by pld]

The decision closes with an observation that lack of patentability doesn't seem to have hurt the 1972 software industry any, and a call to Congress to figure it out (which may have had its origins in an amicus curiae brief filed by IBM, which was at the time against software patents):
If these programs are to be patentable,  considerable problems are raised which only committees of Congress can manage, for broad powers of investigation are needed, including hearings which canvass the wide variety of views which those operating in this field entertain. The technological problems tendered in the many briefs before us indicate to us that considered action by the Congress is needed.

In the 1980 Supreme Court decision Diamond v Chakrabarty, about the patentability of genetically modified organisms, the following line from a 1952 Congress report on patent law is cited

    anything under the sun that is made by man [is patentable]

How does this square with Benson?

The Benson decision is frequently cited as evidence that the Supreme Court did not intend to allow software patents; the language of the decision -- that the algorithm was a fundamental mathematical fact -- can be read as supporting this. Others use Benson as an example of a case that, with the benefit of hindsight, seems more and more strongly to have been wrongly decided; that in patenting an algorithm on a computer, one is not patenting a mathematical idea. Or, at the very least, Congress should simply heed the Court's call to address this issue directly. It doesn't help any that the court seems to have misunderstood the concept of widely varying applications.



Reading original patent descriptions

You can look them up online. Follow uspto.gov -> patents -> patft (uspto.gov/patft). Or go directly to the search-by-patent-number page:
      http://patft.uspto.gov/netahtml/PTO/srchnum.htm