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Bradley M. Kuhn - 20 years ago 2004-01-16 20:00:33
bkuhn@fsf.org
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Case-Study-Ethics/case-study-ethics.tex
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@@ -30,8 +30,7 @@
 

	
 
\vspace{.5in}
 

	
 
{\Large {\sc GPL Compliance Case Studies and Legal Ethics in Free Software
 
    Licensing } \\
 
{\Large {\sc GPL Compliance Case Studies} \\
 

	
 
\vspace{.7in}
 

	
...
 
@@ -93,10 +92,6 @@ insights into problems that can arise when the terms of GPL are not
 
properly followed, and how diplomatic negotiation between the violator and
 
the copyright holder can yield positive results for both parties.
 

	
 
This course also includes a unit on the ethical considerations for
 
attorneys who want to represent clients that make use of or sell Free
 
Software products.
 

	
 
Attendees should have successfully completely the course, a ``Detailed
 
Study and Analysis of GPL and LGPL'', as the material from that course
 
forms the building blocks for this material.
...
 
@@ -118,11 +113,11 @@ will also find the course very helpful.
 
\chapter{Overview of FSF's GPL Compliance Lab}
 

	
 
The GPL is a Free Software license with legal teeth.  Unlike licenses like
 
the X11-style or various BSD licenses, GPL (and by extention, the LGPL) is
 
the X11-style or various BSD licenses, GPL (and by extension, the LGPL) is
 
designed to defend as well as grant freedom.  We saw in the last course
 
that GPL uses copyright law as a mechanism to grant all the key freedoms
 
essential in Free Software, but also to ensure that those freedoms
 
propogate throughout the distribution chain of the software.
 
propagate throughout the distribution chain of the software.
 

	
 
\section{Termination Begins Enforcement}
 

	
...
 
@@ -155,7 +150,7 @@ and distributing.
 

	
 
\section{Ongoing Violations}
 

	
 
In conjuction with \S 4's termination of violators' rights, there is one
 
In conjunction with \S 4's termination of violators' rights, there is one
 
final industry fact is added to the mix: rarely, does on engage in a
 
single, solitary act of copying, distributing or modifying software.
 
Almost always, a violator will have legitimately acquired a copy a GPL'd
...
 
@@ -166,10 +161,10 @@ software was put up for download on the Internet.  Regardless of the
 
delivery mechanism, violators almost always are engaged in {\em ongoing\/}
 
violation of GPL\@.
 

	
 
In fact, when we discover a GPL violation that occured only once --- for
 
In fact, when we discover a GPL violation that occurred only once --- for
 
example, a user group who distributed copies of a GNU/Linux system without
 
source at a meeting once --- we rarely pursue it with a high degree of
 
dilligence.  In our minds, that is an educational problem, and unless the
 
diligence.  In our minds, that is an educational problem, and unless the
 
user group becomes a repeat offender (as it turns out, the never do) we
 
simply send an FAQ entry that best explains how user groups can most
 
easily comply with GPL, and send them on there merry way.
...
 
@@ -184,7 +179,7 @@ educate industries who are making a mistake on a large scale.
 

	
 
In addition, such ongoing violation shows that a particular company is
 
committed to a GPL'd product line.  We are thrilled to learn that someone
 
is benefitting from Free Software, and we understand that sometimes they
 
is benefiting from Free Software, and we understand that sometimes they
 
have become confused about the rules of the road.  Rather than merely
 
giving us a post mortem to perform on a past mistake, an ongoing violation
 
gives us an active opportunity to educate a new contributor the GPL'd
...
 
@@ -200,52 +195,662 @@ contrast, we revel in the successes of educating an ongoing violator about
 
GPL so that GPL compliance becomes a second-nature matter, and they join
 
the GPL ecosystem as contributors.
 

	
 
\section{How are Violations Discovered?}
 

	
 
Our enforcement of GPL is not a fund-raising effort; in fact, FSF's GPL
 
compliance lab runs at a loss (in other words, it is subsided by our
 
donors).  Our violation reports come from volunteers, who have encountered
 
in their business or personal life, a device or software product that
 
appears to contain GPL'd software; these reports are usually sent via
 
email to $<$license-violation@fsf.org$>$.
 

	
 
Our first order of business, upon receiving such a report, is to seek
 
independent confirmation.  When possible, we get a copy of the software
 
product.  For example, if it is an offering that is downloadable from a
 
website, we download it and investigate ourselves.  When it is not
 
possible for us to actually get a copy of the software, we ask the
 
reporter to go through the same process we use in examining the software.
 

	
 
By rough estimation, about 95\% of violations at this stage can be
 
confirmed by simple commands.  Since almost all violators have merely made
 
an error, and have no nefarious intentions, they have made no attempt to
 
remove our copyright notices from the software.  Given the third-party
 
binary, {\tt tpb}, usually, a simple command (on a GNU/Linux system) such
 
as the following will find an Free Software copyright notice and GPL
 
reference:
 
\begin{quotation}
 
{\tt string tpb | grep Copyright}
 
\end{quotation}
 
In other words, it is usually more than trivial to confirm that GPL'd
 
software is included.
 

	
 
Once we have confirmed that a violation has indeed occurred, we must then
 
determine whose copyright has been violated.  Contrary to popular belief,
 
FSF does not have the power to enforce GPL in all cases.  Since GPL
 
operates under copyright law, the powers of enforcement --- to seek
 
redress once \S 4 has been invoked --- lies with the copyright holder of
 
the software.  FSF is one of the largest copyright holders in the world
 
of GPL'd software, but we are by no means the only one.  Thus, we
 
sometimes discover that while GPL'd code is present in the software,
 
there is no software copyrighted by FSF.
 

	
 
In cases where FSF does not hold copyright interest in the software, but
 
we have confirmed a violation, we contact the copyright holders of the
 
software, and encourage them to enforce GPL\@.  We offer our good offices
 
to help negotiate compliance on their behalf, and many times we help as a
 
third party to settle such GPL violations.  However, what we will
 
describe in this course is FSF's first-hand experience enforcing its own
 
copyrights and GPL\@.
 

	
 
\section{First Contact}
 

	
 
The Free Software community is built on a structure of voluntary
 
cooperation and mutual help.
 
cooperation and mutual help.  Our community has learned that cooperation
 
works best when you assume the best of others, and only change policy,
 
procedures and attitudes when some specific event or occurrence indicates
 
that a change is necessary.  We treat the process of GPL enforcement in
 
the same way; our goal is to encourage violators to join the cooperative
 
community of software sharing, so we want to open our hand in friendship
 
to them.
 

	
 
Therefore, once we have confirmed a violation, our first assumption is
 
that the violation is an oversight or otherwise a mistake due to confusion
 
about the terms of the license.  We reach out to the violator and ask them
 
to work with us in a collaborative way to bring the product into
 
compliance.  We have received the gamut of possible reactions to such
 
requests, and in this course, we examine four specific examples of such
 
compliance work.
 

	
 

	
 
%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%
 
\chapter{Case Study: Davrik's Modified GCC}
 

	
 
In our first case study, we will consider Davrik, a company that produces
 
software and hardware toolkits to assist OEM vendors who products consumer
 
electronic devices.
 

	
 
\section{Facts}
 

	
 
One of Davrik's key products is a Software Development Kit (``SDK'')
 
designed to assist developers building software for a specific class of
 
consumer electronics devices.
 

	
 
FSF received a report that the SDK may be based on the GNU Compiler
 
Collection (which is an FSF-copyrighted collection of tools for software
 
development in C, C++ and other popular languages).  FSF investigated the
 
claim, but was unable to confirm the violation.  The violation reporter
 
was unresponsive to follow-up requests for more information.
 

	
 
Since FSF was unable to confirm the violation, we did not pursue it any
 
further.  Bogus reports do happen, and we do not want to burden companies
 
with specious GPL violation complaints.  FSF shelved the matter until
 
more evidence was discovered.
 

	
 
FSF was later able to confirm the violation when two additional reports
 
surfaced from other violation reports, both of whom had used the product
 
professional and noticed clear similarities to FSF's GNU GCC\@.  FSF's
 
Compliance Engineer asked the reporters to run standard tests to confirm
 
the violation, and it was confirmed that the product was indeed a
 
derivative work of GCC, ported to Windows and with a number of features
 
added, including support for a specific consumer device chipset and
 
additional features to aid in the linking process (``LP'') for the
 
specific devices.  FSF explained the rights that the GPL afforded these
 
customers and pointed out, for example, that Davrik only needed to provide
 
source to those in possession of the binaries, and that the users may need
 
to request that source (if \S 3(b) was exercised).  The violators
 
confirmed that such requests were not answered.
 

	
 
FSF brought the matter to the attention of Davrik, who immediately
 
escalated the matter to their attorneys.  After a long negotiation, Davrik
 
acknowledged that their SDK was indeed a derivative work of GCC\@.  Davrik
 
released most of the source, but some disagreement occurred over whether LP
 
was a derivate work of GCC\@.  After repeated FSF inquiries, Davrik
 
reaudited the source and discovered that FSF's analysis was correct and
 
determined that LP include a number of source files copied from the GCC
 
code-base.
 

	
 
\label{davrik-build-problems}
 
Once the full software release was made available, FSF asked the
 
violation reporters if it addressed the problem.  Reports came back that
 
in fact the source did not properly build.  FSF asked Davrik to provide
 
better build instructions with the software, and such build instructions
 
were incorporated into the next software release.
 

	
 
At FSF's request as well, Davrik informed customers who had previously
 
purchased the product that the source was now available, by announcing
 
the available on its website and via a customer newsletter.
 

	
 
Davrik did have some concerns regarding patents.  They wished to include a
 
statement with the software release that made sure they were not granting
 
any patent permission other than what was absolutely required by GPL\@.
 
They understood that their patent assertions could not trump any rights
 
granted by GPL\@.  The following language was negotiated to be included
 
with the release:
 

	
 
\begin{quotation}
 
Subject to the qualifications stated below, Davrik, on behalf of itself
 
and its Subsidiaries, agrees not to assert the Claims against you for your
 
making, use, offer for sale, sale, or importation of the Davrik's GNU
 
Utilities or derivative works of the Davrik's GNU Utilities
 
("Derivatives"), but only to the extent that any such Derivatives are
 
licensed by you under the terms of the GNU General Public License.  The
 
Claims are the claims of patents that Davrik or its Subsidiaries have
 
standing to enforce that are directly infringed by the making, use, or
 
sale of an Davrik Distributed GNU Utilities in the form it was distributed
 
by Davrik and that do not include any limitation that reads on hardware;
 
the Claims do not include any additional patent claims held by Davrik that
 
cover any modifications of, derivative works based on or combinations with
 
the Davrik's GNU Utilities, even if such a claim is disclosed in the same
 
patent as a Claim.  Subsidiaries are entities that are wholly owned by
 
Davrik.
 

	
 
This statement does not negate, limit or restrict any rights you already
 
have under the GNU General Public License, Version 2.
 
\end{quotation}
 

	
 
This quelled Davrik's concerns about other patent licensing they sought to
 
do outside of the GPL'd software, and satisfied FSF's concerns that they
 
give no permissions to exercise teachings of patents that were not already
 
exercised in their GPL'd software release.
 

	
 
Finally, a GPL Compliance Officer inside Davrik was appointed who is
 
responsible for all matters of GPL Compliance inside the company.  Darvik
 
is responsible for informing FSF if the position is given to someone else
 
inside the company, and making sure that FSF has direct contact
 
information with Darvik's Compliance Officer.
 

	
 
\section{Lessons}
 

	
 
This case introduces a number of concepts regarding GPL enforcement.
 

	
 
\begin{enumerate}
 

	
 
\item {\bf Enforcement should not begin until the evidence is confirmed.}
 
  Most companies who distribute GPL'd software do so in compliance, and at
 
  times, violation reports are mistaken.  Even with extensive efforts in
 
  GPL education, many users do not fully understand their rights and the
 
  obligations that companies have.  By working through the investigation
 
  with reporters, the violation can be properly confirmed, and {\bf the
 
    user of the software can be educated about what to expect as a user}.
 
  When users and customers of GPL'd products know their rights, what to
 
  expect, and how to properly exercise their rights (particularly under \S
 
  3(b)), it reduces the chances for user frustration and inappropriate
 
  community outcry about an alleged GPL violation.
 

	
 
\item {\bf GPL compliance requires friendly negotiation and
 
  cooperation.}  Often, attorneys and managers are legitimately surprised
 
  to find out GPL'd software is included in their company's products.
 
  Engineers sometimes include GPL'd software without understanding the
 
  requirements.  This does not excuse companies from their obligations
 
  under the license, but it does mean that care and patience are
 
  essential for reaching GPL compliance.  We want companies to understand
 
  that participating and benefiting from a collaborative Free Software
 
  community is not a burden, so we strive to make the process of coming
 
  into compliance when a problem occurs as smooth as possible.
 

	
 
\item {\bf Confirming compliance is a community effort.}  The whole point
 
  of making sure that software distributors respect the terms of GPL is to
 
  allow a thriving software sharing community to benefit and improve the
 
  work.  FSF are not the experts on how a compiler for consumer electronic
 
  devices should work.  We therefore inform the community who originally
 
  brought the violation to our attention and ask them to assist in
 
  evaluation and confirmation of the product's compliance.  Of course, FSF
 
  coordinates and oversees the process, but we do not want compliance for
 
  compliance's sake; rather, we wish to foster a cooperating community of
 
  development around the Free Software in question, and encourage the
 
  once-violator to begin participating in that community.
 

	
 
\item {\bf Informing the harmed community is part of compliance.} FSF asks
 
  violators to make some attempt --- such as via newsletters and the
 
  company's website --- to inform those who already have the products as
 
  to their rights under GPL\@.  One of the key thrusts of GPL's \S 1 and
 
  \S 3 is to {\em make sure the user knows he has these rights\/}.  If a
 
  product was received out of compliance by a customer, they may never
 
  actually discover that they had such rights.  Informing them, in a way
 
  that is not burdensome but has a high probability of successfully
 
  reaching those who would seek to exercise their freedoms, is essential
 
  to properly remedy the mistake.
 

	
 
\item {\bf Lines between various copyright, patent, and other legal
 
  mechanisms must be precisely defined and considered.}  The most
 
  difficult negotiation point of this compliance case was drafting
 
  language that simultaneously protected the Davrik's patent rights
 
  outside of the GPL'd source, but was consistent with the implicit patent
 
  grant in GPL\@.  As we discussed in the first course in this series,
 
  there is indeed an implicit patent grant with GPL, thanks to \S 6 and \S
 
  7.  However, many companies become nervous and wish to make the grant
 
  explicit to assure themselves that the grant is sufficiently narrow for
 
  their needs.  We understand that there is no reasonable way to determine
 
  what patent claims read on a company's GPL holdings and which do not, so
 
  we do not object to general language that explicitly narrows the patent
 
  grant to only those patents that were, in fact, exercised by the GPL'd
 
  software as released by the company.
 

	
 
\end{enumerate}
 

	
 
%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%
 
\chapter{Case Study A}
 
\chapter{Bracken: a Minor Violation in a GNU/Linux Distribution}
 

	
 
Bracken produces a GNU/Linux operating system product that is sold
 
primarily to OEM vendors to be placed in appliance devices that are used
 
for a single purpose, such as an Internet-browsing-only device.  The
 
product is almost 100\% Free Software, mostly licensed under GPL and
 
related Free Software licenses.
 

	
 
FSF found out about this violation through a report first posted in a
 
comment on a Slashdot\footnote{Slashdot is a popular news and discussion
 
  site for technical readers.} comment, and then later brought to our
 
attention by another Free Software copyright holder who had discovered the
 
same violation.
 

	
 
Bracken's GNU/Linux product is delivered directly from their website.
 
This allowed FSF engineers to directly download and confirm the violation
 
quickly.  It was discovered that there were two primary problems with the
 
online distribution:
 

	
 
\begin{itemize}
 

	
 
\item No source code nor offer for source code was provided for a number
 
  of components for the distributed GNU/Linux system; only binaries were
 
  available.
 

	
 
\item An End User License Agreement (``EULA'') was included that
 
  contradicted the permissions granted by GPL\@.
 
\end{itemize}
 

	
 
FSF contacted Bracken and gave them the details of the violation. Bracken
 
immediately ceased distribution of the product temporarily, and set forth
 
a plan to bring themselves back into compliance.  This plan included the
 
following steps:
 

	
 
\begin{itemize}
 

	
 
\item Bracken attorneys would rewrite the EULA to comply with GPL, and
 
  would vet the new EULA through FSF before use.
 

	
 
\item Bracken engineers would provide source side-by-side with the
 
  binaries for the GNU/Linux distribution on the site (and on CD's, if
 
  ever they distributed that way).
 

	
 
\item Bracken attorneys would run an internal seminar for its engineers
 
  regarding GPL proper compliance, to help ensure that such oversights
 
  regarding source releases would not occur in the future.
 

	
 
\item Bracken would resume distribution of the product only after FSF
 
  formally restored Bracken's distribution rights.
 
\end{itemize}
 

	
 
This work was completed in the matter of about a month.  FSF approved the
 
new EULA text.  They key portion in the EULA relating to GPL read as
 
follows:
 

	
 
\begin{quotation}
 
Many of the Software Programs included in Bracken Software are distributed
 
under the terms of agreements with Third Parties (``Third Party
 
Agreements'') which may expand or limit the Licensee's rights to use
 
certain Software Programs as set forth in [this EULA].  Certain Software
 
Programs may be licensed (or sublicensed) to Licensee under the GNU
 
General Public License and other similar license agreements listed in part
 
in this section which, among other rights, permit the Licensee to copy,
 
modify and redistribute certain Software Programs, or portions thereof,
 
and have access to the source code of certain Software Programs, or
 
portions thereof.  In addition, certain Software Programs, or portions
 
thereof, may be licensed (or sublicensed) to Licensee under terms stricter
 
than those set forth in [this EULA].  The Licensee must review the
 
electronic documentation that accompanies certain Software Programs, or
 
portions thereof, for the applicable Third Party Agreements.  To the
 
extent any Third Party Agreements require that Bracken provide rights to
 
use, copy or modify a Software Program that are broader than the rights
 
granted to the Licensee in [this EULA], then such rights shall take
 
precedence over the rights and restrictions granted in this Agreement
 
solely for such Software Programs.
 
\end{quotation}
 

	
 
FSF restored Bracken's distribution rights shortly after the work was
 
completed as described.
 

	
 
\section{Lessons Learned}
 

	
 
This case was probably them most quickly and easily resolved of all GPL
 
violations in the history of FSF's Compliance Lab.  The ease with which
 
the problem was resolved shows a number of cultural factors that play a
 
role in GPL compliance.
 

	
 
\begin{enumerate}
 

	
 
\item {\bf Companies that understand Free Software culture better have an
 
  easier time with compliance.}  Bracken's products were designed and
 
  build around the GNU/Linux system and Free Software components.  Their
 
  engineers were deeply familiar with the Free Software ecosystem, and
 
  their lawyers had seen and reviewed GPL before.  The violation was
 
  completely an honest mistake, and since the culture inside the company
 
  had already adapted to the cooperative style of resolution to problems
 
  in the Free Software world, there was very little work for either
 
  party to bring the product into compliance.
 

	
 
\item {\bf When people in key positions understand the Free Software
 
  nature of their software products, compliance concerns are as mundane as
 
  minor software bugs.}  Even the most functional system or structure has
 
  its problems, and successful business often depends on agile response to
 
  the problems that do come up; avoiding problems altogether is a pipe
 
  dream.  Minor GPL violations can and do happen even with well-informed
 
  redistributors, but when the company --- and in particular, the lawyers,
 
  managers, and engineers working on the Free Software product lines --
 
  have adapted to the cooperate Free Software culture, resolving such
 
  problems are merely a mundane details of typical operation and resolved
 
  just as easily.
 

	
 
\item {\bf Legally, distribution must stop when a violation is
 
  identified.}  In our opinion, Bracken went above and beyond the call by
 
  ceasing distribution while the violation was being resolved.  Under GPL
 
  \S 4, the redistributor loses the right to distribute the software, and
 
  thus they are in ongoing violation of copyright law as they distribute.
 
  It is FSF's policy to temporarily allow distribution while compliance
 
  negotiations are ongoing and only in the most extreme cases where the
 
  other party appears to be negotiating in bad faith does FSF even
 
  threaten an injunction on copyright grounds.  However, Bracken --- as a
 
  good Free Software citizen --- chose to be on the safe side and do the
 
  legally correct thing while the violation case was pending.  Since from
 
  start to finish it took less than am month to resolve, this lapse in
 
  distribute did not, to FSF's knowledge, impact their business in any
 
  way.
 

	
 
\item {\bf EULAs are a common area for GPL problems.}  Often, EULAs are
 
  drafted from boilerplate text that a company uses for all its products.
 
  Even the most diligent attorneys forget or simply do not know that a
 
  product contains software licensed under GPL and other Free Software
 
  licenses.  Drafting a EULA that accounts for such licenses is
 
  straightforward; the text quoted above works just fine.  The EULA must
 
  be designed so that it does not trump and rights and permissions already
 
  granted by GPL\@, and it must be certain that if there is a conflict
 
  between EULA and GPL, with regard to GPL'd code, that the GPL is the
 
  overriding license.
 

	
 
\item {\bf Compliance Officers are rarely necessary when companies are
 
  educated about GPL compliance.}  As we saw in the Davrik case, FSF asks
 
  that a formal ``GPL Compliance Officer'' be appointed inside a
 
  previously violating organization to shepherd the organization to a
 
  cooperative approach with regard to GPL compliance.  However, when FSF
 
  sees that an organization already has such an approach, there is no
 
  need to request that such an officer be appointed.
 

	
 
\end{enumerate}
 

	
 

	
 
%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%
 
\chapter{Case Study B}
 
\chapter{Vigorien: Security, Export Controls, and GPL Compliance}
 

	
 
This case study introduces how concerns of ``security through obscurity''
 
and regulatory problems can impact GPL compliance matters.
 

	
 
\section{The Facts}
 

	
 
Vigorien distributes a backup solution product that allows system
 
administrators to create encrypted backups of file-systems on Unix-like
 
computers.  The product is based on GNU tar, a backup utility that
 
replaces the standard Unix utility, ``tar'', but has additional features.
 

	
 
Vigorien's backup solution added cryptographic features to GNU tar, and
 
included a suite of utilities and graphical user interfaces surrounding
 
GNU tar to make backups convenient.
 

	
 
FSF discovered the violation from a user report, and determined that the
 
cryptographic features were the only part of the product that constituted
 
a derivative work of GNU tar; the extraneous utilities merely made
 
``shell'' calls out to GNU tar.  FSF requested that Vigorien come into
 
compliance with GPL by releasing the source of GNU tar, with the
 
cryptographic modifications, to its customers.
 

	
 
Vigorien released the GNU tar sources, but kept the cryptographic library
 
proprietary.  They argued that the security of their system depending on
 
keeping the software proprietary and that regardless, USA export
 
restrictions on cryptographic software prohibited such a release.  FSF
 
disputed the claim on the first count, pointing out that Vigorien's had
 
only one option if they did not want to release the source: they would
 
have to remove GNU tar from the software and not distribute it further.
 
Vigorien rejected this suggestion, since GNU tar was an integral part of
 
the product and the security changes were useless without GNU tar.
 

	
 
Regarding the export control claims, FSF proposed a number of options,
 
including release of the source from one of Vigorien's divisions overseas
 
where no such restrictions occurred, but Vigorien argued that the problem
 
was insoluble because they operated primarily in the USA\@.
 

	
 
The deadlock on the second issue was resolved when those cryptographic
 
export restrictions were lifted shortly thereafter, and FSF again raised
 
the matter with Vigorien.  At that point, they dropped the first claim and
 
agreed to release the remaining source module to their customers.  They
 
did so, and the violation was resolved.
 

	
 

	
 
\section{Lessons Learned}
 

	
 
\begin{enumerate}
 

	
 
\item {\bf Removing the GPL'd portion of the product is always an option.}
 
  Many violators' first response is to simply refuse to release the source
 
  code as GPL required.  FSF offers the option to simply remove the GPL'd
 
  portions from the product and continue along without them indefinitely.
 
  Every case where this has been suggested has led to the same conclusion.
 
  Like Vigorien, the violator argues that the product cannot function
 
  without the GPL'd components and they cannot effectively replace them.
 

	
 
  Such an outcome of course is further evidence that the combined work in
 
  question is indeed a derivative work of the original GPL'd component.
 
  If the other components cannot stand on their own and be useful without
 
  the GPL'd portions, then one cannot effectively argue that the work as a
 
  whole is not a derivative of the GPL'd portions.
 

	
 

	
 
\item {\bf ``Security'' concerns do not exonerate a distributor from GPL
 
  obligations, and ``security through obscurity'' does not work anyway.}
 
  The argument that ``this is security software, so it cannot be released
 
  in source form'' is not a valid defense for explaining why the terms of
 
  the GPL are ignored.  If companies do not want to release source code
 
  for some reason, then they should not base the work on GPL'd software.
 
  No external argument for non-compliance can hold weight if the work as
 
  whole is indeed a derivative work of a GPL'd program.
 

	
 
  The ``security concerns'' argument is often floated as a reason to keep
 
  software proprietary, but the computer security community has on
 
  numerous occasions confirmed that such arguments are entirely specious.
 
  Security experts have found --- since the beginnings of the field of
 
  cryptography in the ancient word --- that sharing results about systems
 
  and having such systems withstand peer review and scrutiny builds the
 
  most secure systems.  While full disclosure may help some who wish to
 
  compromise security, it helps those who want to fix problems even more
 
  by identifying them early.
 

	
 
\item {\bf External regulatory problems can be difficult to resolve.}
 
  GPL, though copyright law, does not have the power to trump regulations
 
  like export controls.  While Vigorien's ``security concerns'' were
 
  specious, their export control concerns were not.  It is indeed a
 
  difficult problem that FSF acknowledges.  We want compliance with GPL
 
  and respect for users' freedoms, but we certainly do not expect
 
  companies to commit criminal offenses for the sake of compliance.  We
 
  will see more about this issue in our next case study.
 
\end{enumerate}
 

	
 

	
 
%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%
 
\chapter{Case Study C}
 
\chapter{Haxil, Polgara, and Thesulac: Mergers, Upstream Providers and Radio Devices}
 

	
 
This case study considers an ongoing (at the time of writing) violation
 
that occurred.  By the end of the investigation period, three companies
 
were involved and many complex issues arose.
 

	
 
\section{The Facts}
 

	
 
Haxil produced a consumer electronics device which included a mini
 
GNU/Linux distribution to control the device.  The device was of interest
 
to many technically minded consumers, who purchased the device and very
 
quickly discovered that Free Software was included without source.
 
Mailing lists throughout the Free Software community erupted with
 
complaints about the problem, and FSF quickly investigated.
 

	
 
FSF confirmed that FSF-copyrighted GPL'd software was included.  In
 
addition, the whole distribution included GPL'd works from hundreds of
 
individual copyright holders, many of whom were, at this point, up in
 
arms about the violation.
 

	
 
Meanwhile, Haxil was in the midst of being acquired by Polgara.  Polgara
 
was as surprised as everyone else to discover the product was based on
 
GPL'd software; it had not been part of the disclosures made during
 
acquisition.  FSF contacted both Haxil and Polgara, and product managers
 
who had transitioned into the ``Haxil division'' of newly merged Polgara
 
company worked and Polgara's General Counsel's office worked with FSF on
 
the matter.
 

	
 
FSF meanwhile formed a coalition with the other primary copyright holders
 
to pursue the enforcement effort on their behalf.  FSF communicated
 
directly with Polgara's representatives to begin working through the
 
issues on behalf of FSF itself and the Free Software community at large.
 

	
 
Polgara pointed out that the software distribution they used was mostly
 
contributed by an upstream provider, Thesulac, and Haxil's changes to that
 
code base were minimal.  Polgara negotiated with Thesulac to obtain the
 
source, although the issue was moving very slowly in the channels between
 
Polgara and Thesulac.
 

	
 
FSF encouraged a round-table meeting so that high bandwidth communication
 
could occur between FSF, Polgara and Thesulac.  Polgara and Thesulac
 
agreed, and that discussion began.  Thesulac provided nearly complete
 
sources to Polgara, and Polgara made a full software release on their
 
website.  At the time of writing, that software still has some build
 
problems (similar those that occurred with Davrik, as described in
 
Section~\ref{davrik-build-problems}).  FSF continues to negotiate with
 
Polgara and Thesulac to resolve these problems, which have a clear path to
 
solution and are expected to resolve.
 

	
 
Similar to the Vigorien case, Thesulac has regulatory concerns.  In this
 
case, it is not export controls --- an issue that has since been resolved
 
--- but radio spectrum regulation.  Since this consumer electronic device
 
contains a software-programmable radio transmitter, regulations in (at
 
least) the USA and Japan prohibit release of those portions of the code
 
that operate the device.  Since this is a low-level programming issue, the
 
changes to operate the device are a derivative work of the kernel named
 
Linux.  This situation remains unresolved at the time of writing, although
 
FSF continues to negotiation with Thesulac and the Linux community
 
regarding the problem.
 

	
 
\section{Lessons Learned}
 

	
 
\begin{enumerate}
 

	
 
\item {\bf Community outrage, while justified, can often make negotiation
 
  more difficult.}  FSF has a strong policy to not publicized names of GPL
 
  violators if they are negotiating in a friendly way and operating in
 
  good faith toward compliance.  Most violations are honest mistakes, and
 
  FSF sees no reason to publicly admonish violators who genuinely see to
 
  come into compliance with GPL and to work hard staying in compliance.
 

	
 
  This case was so public in the Free Software community that both Haxil's
 
  and Polgara's representatives were nearly shell-shocked by the time FSF
 
  began negotiations.  There was much work required to diffuse the
 
  situation.  We empathize with our community and their outrage about GPL
 
  violations, but we also want to follow a path that leads expediently
 
  to compliance.  In our experience, public outcry works best as a last
 
  resort, not the first.
 

	
 
\item {\bf For software companies, GPL compliance belongs on a corporate
 
  acquisition checklist. }  Polgara was truly amazed that Haxil had used
 
  GPL'd software in a major new product line but never informed Polgara
 
  during the acquisition process.  While GPL compliance is not a
 
  particularly difficult matter, it is an additional obligation that comes
 
  along with the product line.  When planning mergers and joint ventures,
 
  include lists of GPL'd components contained in the products discussed.
 

	
 
\item {\bf Compliance problems of upstream providers do not excuse a
 
  violation for the downstream distributor.}  To paraphrase \S 6, upstream
 
  providers are not responsible for enforcing compliance of their
 
  downstream, nor are downstream distributors responsible for compliance
 
  problems of upstream providers.  However, engaging in distribution of
 
  GPL'd works out of compliance is still just that --- a compliance
 
  problem.  When FSF carries out enforcement, we are patient and
 
  sympathetic when the problem appears to be upstream.  In fact, we urge
 
  the violator to point us to the upstream provider to talk to them, and
 
  in this case we were happy to begin negotiations with Thesulac.  However,
 
  Polgara still has an obligation to bring their product into compliance.
 

	
 
\item {\bf It behooves upstream providers to advise downstream
 
  distributors about compliance matters.}  FSF has encouraged Thesulac to
 
  distribute a ``good practices for GPL compliance'' document with their
 
  product.  Polgara added various software components to Thesulac's
 
  product, and it is conceivable that such additions can introduce
 
  compliance.  In FSF's opinion, Thesulac is no way legally responsible
 
  for such a violation introduced by their customer, but it behooves them
 
  from a business standpoint to educate their customers about using the
 
  product.  We can argue whether or not it is your coffee vendor's fault
 
  if you burn yourself with their product, but (likely) no one on either
 
  side would dispute the prudence of placing a ``caution: hot'' label on
 
  the cup.
 

	
 
\item {\bf FSF enforcement often avoids redundant enforcement cases from
 
  many parties.}  Most Free Software systems have hundreds of copyright
 
  holders.  Some have thousands.  FSF is in a unique position as one of
 
  the largest single copyright holders on GPL'd software and as a
 
  respected umpire in the community neutrally enforcing the rules of the
 
  GPL road.  FSF works hard in the community to convince copyright
 
  holders that consolidating GPL claims through FSF is better for them,
 
  and more likely to yield positive compliance results.
 

	
 
  A few copyright holders engage in the ``proprietary relicensing''
 
  business, so they use GPL enforcement as a sales channel for that
 
  business.  FSF, as a community-oriented not-for-profit organization,
 
  seeks only to preserve the freedom of Free Software in its enforcement
 
  efforts.  As it turns out, most of the community of copyright holders
 
  of Free Software want the same thing.  Share and share alike is a
 
  simple rule to follow, and following that rule to FSF's satisfaction
 
  usually means you are following it to the satisfaction of the entire
 
  Free Software community.
 
\end{enumerate}
 

	
 
%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%
 
\chapter{Case Study D}
 
\chapter{Good Practices for Compliance}
 

	
 
Reminder about how organizations themselves work.  We don't have to
 
educate the organization, just call their attention to something.
 
Generally, from the experience of GPL enforcement, we glean the following
 
general practices that can help in GPL compliance for organizations that
 
distribute products based on GPL'd software:
 

	
 
Working on DVD cases -- interested in the question on how one plays DVD
 
on one ligitimate owns, if one uses GNU/Linux give the licensing
 
structure of DVD content scrambling system.
 
\begin{enumerate}
 

	
 
An article from the IBM guy who had arranged to have DVD player
 
application by a vendor for includsion with IBM distributed based T20s.
 
\item Talk to your software engineers and ask them where they got the
 
  components they use in the products they build.  Find out if GPL'd
 
  components are present.
 

	
 
They shimed the kernel, it was a GPL problem.
 
\item Teach your engineering staff to pay attention to license documents.
 
  Give them easy-to-follow policies to get approval for using a Free
 
  Software component.
 

	
 
Couple of weeks, we've looked into it, and we're going back to the
 
contractor and having them redo the thing to comply with GPL.
 
\item Build a ``Free Software Licensing'' committee that handles requests
 
  and questions about GPL and other Free Software licenses.
 

	
 
contaminate a video output port with MacroVision.
 
\item Add ``What parts of your products are under GPL or other Free
 
  Software licenses?'' to your checklist of questions to ask when you
 
  consider mergers, acquisitions, or joint ventures.
 

	
 
kernel mods 
 
\item Encourage your engineers to participate collaboratively with GPL'd
 
  software development.  The more knowledge about the Free Software world
 
  your organization has, the better equipped it is to deal with this
 
  rapidly changing field.
 

	
 
%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%
 
\chapter{Good Practices for Compliance}
 
%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%
 
\chapter{Ethical Considerations for the Attorney Practicing Free Software}
 
\item When someone points out a potential GPL violation in one of your
 
  products, do not assume the product line is doomed.  GPL is not a virus;
 
  merely having GPL'd code in one part of a product does not necessarily
 
  mean that every related product must also be GPL'd.  And, even if some
 
  software needs to be released that was not before, the product will
 
  surely still survive.  In FSF's enforcement efforts, we have not yet
 
  seen a product line die because source was released to customers in
 
  compliance with GPL.
 

	
 
\end{enumerate}
 

	
 
%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%%
 
\end{document}
 

	
 
% LocalWords:  proprietarize redistributors sublicense yyyy Gnomovision EULAs
 
% LocalWords:  Yoyodyne FrontPage improvers Berne copyrightable Stallman's GPLs
 
% 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 Davrik Davrik's Darvik
 
% LocalWords:  Darvik's Slashdot sublicensed Vigorien Vigorien's Haxil Polgara
 
% LocalWords:  Thesulac Polgara's Haxil's Thesulac's
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