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Network Working Group                                            S. BrimRequest for Comments: 3669                           Cisco Systems, Inc.Updates:2026                                              February 2004Category: InformationalGuidelines for Working Groups on Intellectual Property IssuesStatus of this Memo   This memo provides information for the Internet community.  It does   not specify an Internet standard of any kind.  Distribution of this   memo is unlimited.Copyright Notice   Copyright (C) The Internet Society (2004).  All Rights Reserved.Abstract   This memo lays out a conceptual framework and rules of thumb useful   for working groups dealing with Intellectual Property Rights (IPR)   issues.  It documents specific examples of how IPR issues have been   dealt with in the IETF.Table of Contents1.  Introduction . . . . . . . . . . . . . . . . . . . . . . . . .22.  The Problem  . . . . . . . . . . . . . . . . . . . . . . . . .23.  The Approach . . . . . . . . . . . . . . . . . . . . . . . . .34.  Case Studies . . . . . . . . . . . . . . . . . . . . . . . . .44.1.  PPP CCP and ECP. . . . . . . . . . . . . . . . . . . . .44.2.  IPS WG (IP Storage). . . . . . . . . . . . . . . . . . .54.3.  PEM and PKI issues . . . . . . . . . . . . . . . . . . .54.4.  VRRP (Virtual Router Redundancy Protocol). . . . . . . .64.5.  Secure Shell (SecSH) . . . . . . . . . . . . . . . . . .64.6.  IDN (Internationalized Domain Name). . . . . . . . . . .75.  General Principles . . . . . . . . . . . . . . . . . . . . . .85.1.  Types of IPR . . . . . . . . . . . . . . . . . . . . . .85.2.  When to Think About IPR. . . . . . . . . . . . . . . . .95.3.  IPR as a Technology Evaluation Factor. . . . . . . . . .95.4.  Patents versus Pending Patents Applied For . . . . . . .105.5.  Applicability: It's Hard to Prove a Negative . . . . . .115.6.  Licensing Terms. . . . . . . . . . . . . . . . . . . . .125.7.  Third-Party Disclosure of IPR Claims . . . . . . . . . .145.7.1 Third-Party Disclosure Advice. . . . . . . . . . .146.  Security Considerations. . . . . . . . . . . . . . . . . . . .157.  Acknowledgments. . . . . . . . . . . . . . . . . . . . . . . .15Brim                         Informational                      [Page 1]

RFC 3669                   WG IPR Guidelines               February 20048.  References . . . . . . . . . . . . . . . . . . . . . . . . . .158.1.  Normative References . . . . . . . . . . . . . . . . . .158.2.  Informative References . . . . . . . . . . . . . . . . .169.  Author's Address . . . . . . . . . . . . . . . . . . . . . . .1610. Full Copyright Statement . . . . . . . . . . . . . . . . . . .171.  Introduction   This memo lays out a conceptual framework and rules of thumb to   assist working groups dealing with IPR issues.  The goal is to   achieve a balance between the needs of IPR claimants and the   implementers of IETF standards which is appropriate to current times.   As part of trying to distill out principles for dealing with IPR in   IETF working groups, it provides case studies of working group IPR   treatment.  In other words, it documents the running code of the IETF   process.   This memo does not describe IPR procedures for document authors or   IPR claimants.  Those are covered in two other memos, on submission   rights [5] and IPR in the IETF [6].  Rather, this memo is for working   groups that are trying to decide what to do about technology   contributions which have associated IPR claims.2.  The Problem   Traditionally the IETF has tried to avoid technologies which were   "protected" through IPR claims.  However, compromises have been made   since before the IETF was born.  The "common knowledge" of the IETF,   that IPR-impacted technology was anathema, has never recognized that   the Internet has run on IPR-impacted technologies from the beginning.   Nowadays the majority of the useful technologies brought to the IETF   have some sort of IPR claim associated with them.   It will always be better for the Internet to develop standards based   on technology which can be used without concern about selective or   costly licensing.  However, increasingly, choosing a technology which   is not impacted by IPR over an alternative that is may produce a   weaker Internet.  Sometimes there simply isn't any technology in an   area that is not IPR-impacted.  It is not always the wrong decision   to select IPR-impacted technology, if the choice is made knowingly,   after considering the alternatives and taking the IPR issues into   account.   The IETF is not a membership organization.  Other standards-making   bodies may have membership agreements that member organizations must   sign and adhere to in order to participate.  Membership agreements   may include strict procedures for dealing with IPR, or perhaps aBrim                         Informational                      [Page 2]

RFC 3669                   WG IPR Guidelines               February 2004   requirement that technology must be licensed royalty-free.  This is   currently not possible in the IETF.   Even if the IETF had membership agreements, they would be difficult   to formulate in a way that covered IPR issues, because the IETF's   work includes technology from other sources and because the IETF   collaborates with organizations that work with different approaches   to intellectual property.  The IETF can encounter four different IPR   situations, at almost any time during the life of a document:   o  A document submitter notes their (or their represented      organization's) IPR claim regarding the contents of the document.   o  A non-submitter IETF participant claims that the contents of a      document are covered by their (or their represented      organization's) own IPR.   o  An IETF participant notes IPR that is claimed by an individual or      organization with which neither an author of the document, nor the      participant noting the IPR, have an affiliation.   o  An individual or organization that does not participate in the      IETF, but that monitors its activities, discovers that a document      intersects that individual's or organization's established or      pending intellectual property claims.  It may come forward right      away, or wait and let the IETF work progress.   In working group activities, the IETF does not have detailed rules   for each situation.  Working groups have essentially only one rule   they can invoke -- about individuals not participating in activities   related to a technology if they do not disclose known IPR.  Beyond   that a working group can only make recommendations and requests.   Since every case is unique, and there are close to no general rules,   working groups need a great deal of freedom in dealing with IPR   issues.  However, some amount of consistency is important so that   both contributors and users of eventual standards can know what to   expect.3.  The Approach   The goal of this memo is not to make rules.  The goal is to give   working groups as much information as possible to make informed   decisions, and then step out of the way.  The other IPR working group   memos [5][6] lay out what needs to be done once a particular piece of   technology is selected as a working group draft.  However, this   doesn't help when a working group is trying to decide whether or not   to select a technology in the first place.  This third memo isBrim                         Informational                      [Page 3]

RFC 3669                   WG IPR Guidelines               February 2004   written to help in making that decision.  We want to build a   conceptual framework, a new set of "common knowledge", to make it   easier for working groups to deal with intellectual property issues.   To do so, we first present "case studies" inSection 4 -- real events   that have happened in recent years, and how different working groups   dealt with them -- plus notes on possible lessons to be learned.  InSection 5, we expand on these lessons and try to extract general   principles.4.  Case Studies   The best way to know what works in dealing with IPR is to look at   past attempts to do so.  The following are selected as cases from   which general lessons might be extracted.  Other lessons might be   extracted from other cases, but the cases below cover the important   ones.4.1.  PPP CCP and ECP   The PPP Working Group adopted technology for PPP's Connection Control   Protocol and Encryption Control Protocol about which an IPR   disclosure had been received.  They indicated to the IESG that they   believed the patented technology was the best approach, and was   better than no standards at all.   At that time, under the policies documented inRFC 1602 [1] (the   precursor toRFC 2026), progress on any standard was to stop at the   Proposed Standard phase until specific assurances about licensing   terms could be obtained from all IPR claimants.  However, as   described inRFC 1915 [3], in the case of PPP ECP and CCP, the IPR   claimant balked at the requirement for specific assurances.   In the end, with support from the working group, the variance   procedure described inRFC 1871 [2] was followed to grant an   exception to theRFC 1602 requirements.  If it had not been granted,   the ECP and CCP standards could have been blocked permanently.   Lessons:   o  IPR claimants, even when their intentions are good, may strongly      resist being forced to make specific public statements about      licensing terms.  If explicit statements of licensing terms are      required, then the publicly stated terms will probably be      "worst-case", which would provide little useful information.Brim                         Informational                      [Page 4]

RFC 3669                   WG IPR Guidelines               February 20044.2.  IPS WG (IP Storage)   The IPS (IP Storage) Working Group evaluated technology developed   outside of the working group, "secure remote password" (SRP,RFC 2945   [7]).  At the time, there was one known IPR claim, and the proposed   licensing terms were apparently reasonable.  SRP had become a   proposed standard without going through any working group, so IETF   participants may have been less likely to notice it in order to make   statements about IPR.  In any case, two more possible IPR claims were   uncovered after the IPS working group had already decided to make SRP   required.  One of the possible IPR claimants did not make a strong   IPR claim itself, and did not want to take the time to determine   whether it actually had a claim, though it acknowledged it might have   a claim.  In both cases it was difficult to obtain concrete   information on possible licensing terms, even though words like   "reasonable" and "non-discriminatory" were used in the IPR   statements.  Rumors of what they might be like did not sound good.   The working group participants took the claims, potential and   otherwise, very seriously, and decided not to use SRP after all, even   though they had already chosen it based on other criteria.   Lessons:   o  IPR claims may appear at any time in the standards process.   o  Take impreciseness seriously.  Attempt to get clarification on      both IPR claims and licensing terms.4.3.  PEM and PKI issues   The PEM (Privacy-Enhanced Mail) Working Group wanted to use public   key technology.  In the mid-90s, the basic principles of public key   infrastructure had been patented for years.  The patent holder had   shown a tendency to actively enforce its rights, and to prefer   software sales to licensing.  This was seen as a significant   potential issue, one which could possibly interfere with the easy   deployment of Internet technology.  However, there was no alternative   technology that came close to its capabilities.  Adopting an   alternative would have damaged the standard's usefulness even more   than adopting a technology with IPR claims.  The case was so   compelling that the working group participants decided to move   forward on standardizing it and even requiring it.   One factor which was noted was that the patents were mature, and   would expire within a few years.  That meant that although the   patents might be significant to start with, they would not be in the   long run.  This lowered the perceived risk of using the IPR-impacted   technology.Brim                         Informational                      [Page 5]

RFC 3669                   WG IPR Guidelines               February 2004   Lessons:   o  IPR is just one issue in deciding whether to adopt a technology.   o  IPR is not an all-or-nothing issue.  There are different types and      levels of IPR protection.   o  The IPR's lifecycle phase can be a consideration.4.4.  VRRP (Virtual Router Redundancy Protocol)   The working group was standardizing VRRP based on a protocol   developed outside the IETF.  The IPR claimant supported that protocol   and stated that it would license its IPR for that protocol if it   became the standard, but not for the similar protocol the working   group was developing.  The working group participants decided to go   ahead and standardize the protocol developed in the working group   anyway.  The IPR claimant has only claimed its patent when someone   else claimed a patent against it.  There is no evidence that the   working group participants actually thought about the implications of   the IPR claim when they went ahead with their choice of protocol.   Lessons:   o  IPR claims should never be disregarded without good cause.  Due      diligence should be done to understand the consequences of each      claim.4.5.  Secure Shell (SecSH)   This is primarily an unfinished trademark issue, not a patent issue,   since the patent issue has been worked out outside of the IETF.  The   holder of a trademark wants the IETF to stop using "SSH" in the names   and bodies of its proposed standards.  The working group participants   have thought through the details of the claims, and possible   implications and risks, and decided to go ahead and continue using   the names as they are now.   Lessons:   o  Working group participants can evaluate IPR claims not only for      their possible validity, but also for the risk of misjudging that      validity.  The impact of honoring the IPR claim may be major or      minor.Brim                         Informational                      [Page 6]

RFC 3669                   WG IPR Guidelines               February 20044.6.  IDN (Internationalized Domain Name)   The IDN Working Group dealt with a number of IPR claims.  Several   were made which did not overlap with the technology -- the IPR   claimants said the patents were being announced just in case the   working group decided to go that way.  In one case, even though a   patent was announced as purely defensive, many working group   participants investigated the claims themselves.  They concluded that   it did not overlap.   In one case, an IPR claimant asserted that the working group's   documents, and in fact the IETF as a whole, were infringing on its   rights.  Individual working group participants consulted with their   legal advisers, concluded that the claims would not overlap the   working group's developing technology, and decided that they need not   be concerned about the claims.  This was reflected in the direction   the group as a whole decided to take.   In another case, patent claims were asserted that appeared to be   derived from working group discussion, rather than vice versa (or   independent discovery).  The claimants were known to be following the   working group's work when the ideas were proposed, and their patent   filing was considerably subsequent to that time.   In 2000 the IDN Working Group discovered a patent that some   participants thought might apply to one of their main drafts.  If it   did, it could affect their work profoundly -- to the extent that some   suggested that if they could not work out reasonable licensing terms   with the IPR claimant they might just disband.  As a group and   individually, participants corresponded with the IPR claimant in   order to get an explicit statement of licensing terms, preferably   royalty-free.  By doing so they gained a better understanding of just   which working group activities were seen as infringing on the patent,   and at least some understanding of the IPR claimant's intentions and   philosophy.  Since the patent holder seemed to have an interest in   using the patent for profit, the group discussed the issues on its   mailing list.  They overtly talked about how they could change their   proposed technology to avoid having to contest the patent, and the   extent to which the patent might be countered by claims of prior art.   Meanwhile, individually they were talking to their legal advisors.   Gradually, a collective opinion formed that the working group   documents did not infringe on the patent.  Since then, the patent has   been ignored.  However, they are keeping a watchful eye out for   continuation patents which might have already been submitted.Brim                         Informational                      [Page 7]

RFC 3669                   WG IPR Guidelines               February 2004   Lessons:   o  It's sometimes beneficial to push IPR claimants to find out what      they think their claims cover and what their licensing terms are.   o  Possibilities of prior art should be considered.   o  It's all right, and sometimes beneficial, to discuss IPR claims      and gather information about possible prior art on the group list.      The results of such discussion can be considered when deciding      whether to develop a technology (but remember that neither the      IETF nor any working group takes a stand on such claims as a body,      and the group is not the best place to get legal advice).5.  General Principles   Given the case studies above, there are a few principles that working   groups can start with in dealing with IPR.  Every working group needs   to develop and follow its own consensus, and actual treatments will   vary as much as they have in the past.  However, every working group   also needs to take IPR seriously, and consider the needs of the   Internet community and the public at large, including possible future   implementers and users who will not have participated in the working   group process when the standardization is taking place.5.1.  Types of IPR   A primer on the different types of IPR would be large, unreliable,   and redundant with other Working Group documents [4][5][6].  For   informal exploration, see those documents and other relevant sources   on the web.  Readers with more serious concerns should consult their   legal advisors.  In the United States, briefly:   o  Trademarks indicate the sources of goods.  Service marks indicate      the sources of services.  They protect the use of particular marks      or similar marks.   o  Copyrights protect the expressions of ideas (not the ideas      themselves), in almost any form, and allow "fair use".  Copyrights      expire but they can be renewed.   o  Patents protect "inventions".  They expire (utility patents expire      after 20 years), but follow-on patents can cover similar      technologies and can have nearly the same implications for use in      the Internet as the original patents.Brim                         Informational                      [Page 8]

RFC 3669                   WG IPR Guidelines               February 20045.2.  When to Think About IPR   This memo does not describe IPR procedures for document authors or   IPR claimants.  Rather, this memo is for working group participants   who are trying to decide what to do about IPR claims related to their   work.  A working group as a whole needs to think about IPR issues:   o  when examining a technology, and deciding whether to initiate work      on it.   o  when deciding whether to adopt a draft as a working group      document.   o  when choosing between two or more working group drafts that use      different technologies.   o  when deciding whether to depend on a technology developed outside      the working group.   o  when comparing different kinds of IPR protection.   At each of these times, the working group is strongly encouraged to   solicit disclosure of IPR claims and licensing terms.  A working   group's job will be a lot easier if IPR details are discovered early,   but it should realize that IPR claims may appear at any time.   Working groups should anticipate that an IPR claimant might choose   not to participate in the IETF, but instead to monitor from a   distance while the relevant technology is being discussed and   evaluated.  A working group's knowledge of IPR claims may therefore   depend upon when a claimant steps forward during the course of a   working group's deliberations.5.3.  IPR as a Technology Evaluation Factor   How do you weigh IPR claims against other issues when deciding   whether to adopt a technology?   The ultimate goal of the IETF is to promote the overall health,   robustness, flexibility, and utility of the Internet infrastructure.   We base architectural decisions on our long-term extrapolations of   requirements by thinking in these terms.  When considering a   particular technology, we compare it with other technologies not just   for its elegance of design in and of itself, but also for how it fits   in the bigger picture.  This is done at multiple levels.  It is   examined for how it fits into the overall design of the working   group's output, how it fits into the particular Internet   infrastructure area, how it fits with work going on in other areas,   and how it fits in the long view of the Internet architecture.Brim                         Informational                      [Page 9]

RFC 3669                   WG IPR Guidelines               February 2004   Similarly, when evaluating a technology, working group participants   consider IPR claims on it (including possible copyright issues with   text describing it).  The issue is not whether a particular piece of   technology is IPR-impacted -- we use IPR-impacted technology every   minute.  The question is how much the IPR protection will limit the   technology's usefulness in building a robust, highly useful Internet.   Thus, the only significant questions are: is the IPR claim relevant,   and what are the terms under which the technology can be used?  When   technology is free from IPR protection the answer is easy.  When it   is IPR-impacted, some licensing terms make the IPR issues   insignificant compared to the engineering issues.  Other terms can   make a technology unusable even if it is perfect otherwise.   The problem with IPR as a technology evaluation factor is that it is   unlikely that a working group, as an entity, can ever claim to have   reached consensus on most IPR issues.  The IETF as a whole, and a   working group as a whole, takes no stance on the validity of any IPR   claim.  It would be inappropriate for a working group chair to   declare that consensus had been reached that, for example, a   company's patent was invalid.  Individual participants will need to   use whatever legal advice resources they have access to in order to   form their own individual opinions.  Discussions about the validity   of IPR may take place under the auspices of the working group, in   particular about relative risks of technology choices.  Individual   participants may take these discussions into account.  The working   group as a body may not take a stance on validity, but it may make   choices based on perceived risk.5.4.  Patents versus Pending Patents Applied For   The IETF does not (cannot) expect IPR claimants to tell a working   group specifically how they think a particular patent applies.  If a   patent has already been granted, the IETF can reasonably expect   disclosure of the patent number and possibly the relevant IETF   document sections, which will allow working group participants to   explore details of the claims.  If a patent has not yet been granted   (or if knowledge of the patent is restricted, e.g., for security   reasons), significantly less information is available.  In most   countries patent applications are published 18 months after they are   filed, but in the USA that can be avoided if the applicant does not   also file outside the USA.  In some countries applications are a   matter of public record, but details of pending claims can be   modified at any time by the claim submitter before the patent is   granted.  It is not known before then what rights will actually be   granted.  Finally, rights can be contested in court, and nothing is   final until the courts decide -- perhaps not even then.  All the IETFBrim                         Informational                     [Page 10]

RFC 3669                   WG IPR Guidelines               February 2004   can expect regarding a pending patent is disclosure that it exists,   the related IETF documents, and possibly the relevant IETF document   sections and some statement about licensing terms.5.5.  Applicability: It's Hard to Prove a Negative   Working group participants must make their own decisions about what   level of confidence they need as to whether IPR is applicable.   However, perfect knowledge is not a worthwhile goal.   In general, a working group should strive to find out about all IPR   claims related to technologies it is considering, and at least the   general facts about licensing terms for each case -- for example   whether the terms will be royalty-free, or perhaps "reasonable and   non-discriminatory".  Working group participants should also   investigate possibilities of prior art which would counter the IPR   claims.  However, even if the working group participants do   exhaustive searches, both externally and internally to their   employers, it is impossible to prove that a particular technology is   not covered by a particular IPR claim, let alone prove that it is not   covered by any IPR claim.  Anything a working group adopts may, in   the future, turn out to be IPR-impacted, although the IPR claim may   not be discovered until years later.  Claims are open to   interpretation even after rights are granted.  Drafts can be very   fluid, even up to the time of last call, and IPR issues may   unknowingly be taken on at any time.  Absolute certainty about IPR   claims is rare.   However, the level of confidence needed to consider IPR when   evaluating a technology is often not hard to get to.  There are cases   where risk is high (e.g., where licensing terms may be onerous) and   thus a high level of confidence about applicability is needed, but   history shows that most of the time "rough" confidence is good   enough.   In all cases, licensing terms are a more significant consideration   than the validity of the IPR claims.  Licensing terms often do not   limit the usefulness of the technology.  It is difficult to be sure   about the validity of IPR claims.  If the licensing terms can be   determined to be reasonable, then the IPR claims become much less   important.Brim                         Informational                     [Page 11]

RFC 3669                   WG IPR Guidelines               February 20045.6.  Licensing Terms   Licensing terms vary across a range from no license required at all   to prohibitive.  In general, working groups show a preference for   technologies with IPR considerations in approximately the following   order.  This list does not constitute a rule, and every working group   needs to take its own circumstances into account.   o  License not required.   o  IPR licensed with no restrictions.   o  IPR licensed with no material restrictions, e.g., no trademark      license required.   o  IPR licensed for a particular field of use but with no other      material restrictions, e.g., licensed solely for implementations      complying with a standard.   o  IPR licensed under royalty-free terms and reasonable and      non-discriminatory restrictions.   o  IPR licensed under reasonable and non-discriminatory restrictions.      This may include payment of a royalty.   o  IPR which is otherwise licensable.   o  IPR which is not licensable, i.e., which is only available as an      implementation.   o  IPR which is not available under any conditions.   Many IPR claimants do not like to publish specific terms under which   they will issue licenses.  They may use standard terms for many   licensees, but they prefer to negotiate terms for some.  Therefore,   do not expect any IPR disclosure statement to lay out detailed   blanket terms for licensing.   If an IPR disclosure statement lists only vague terms, that doesn't   mean the terms that will be offered in individual licenses will be   any worse than those offered if an IPR disclosure makes very specific   statements.  Obviously, if an IPR claimant refuses to suggest any   terms at all, the working group is going to have trouble evaluating   the future utility of the technology.   There is a class of restriction which involves "reciprocity", in   which intellectual property may be licensed if the licensee is   willing to license its intellectual property in return.  TheBrim                         Informational                     [Page 12]

RFC 3669                   WG IPR Guidelines               February 2004   specificity of such agreements can vary, and the same or similar   terms may be required.  Another potential licensing restriction is   defensive suspension, where a licensor may revoke or suspend the   license if the licensee asserts a patent claim against the licensor.   For interpretation of any particular reciprocity or related issue,   consult your legal adviser.   Words such as "reasonable", "fair", and "non-discriminatory" have no   objective legal or financial definition.  The actual licensing terms   can vary tremendously.  Also, IPR claimants have occasionally   asserted that there were already sufficient licenses for a particular   technology to meet "reasonable" multisource and competitiveness   requirements and, hence, that refusing to grant any licenses to new   applicants was both fair and non-discriminatory.  The best way to   find out what an IPR claimant really means by those terms is to ask,   explicitly.  It also helps to gather knowledge about licenses   actually issued, for that technology or for others, and about other   experiences with the IPR claimant.   Despite the fact that IPR claimants often don't like to publish   explicit terms, there are levels of vagueness, and individuals and   even working groups can sometimes successfully push an IPR claimant   toward less vagueness.  Many employers of IETF participants know that   the IETF prefers explicit terms, and do feel pressure to produce   them.   If working group participants are dissatisfied with the confidence   level they can obtain directly about licensing terms for a particular   technology, they can possibly extrapolate from history.  In order for   licensed technology to become a draft standard, at least two   independent licenses need to have been issued.  If the IPR claimant   for the technology the working group is considering has licensed   other technology in the past, there is a record of the sorts of terms   they are willing to grant, at least in those specific cases.  This   sort of thing is weak but everything counts, and it may be of some   help.   In many jurisdictions that issue patents, inventors are required to   file patent applications within 12 months of public disclosure or use   of a novel method or process.  Since many of these jurisdictions also   provide for publication of pending patent applications 18 months   after a patent application is filed, the ability to determine whether   or not claims have been made at all relating to a particular   technology increases 30 months (12 + 18) after the public disclosure   or use of that technology.Brim                         Informational                     [Page 13]

RFC 3669                   WG IPR Guidelines               February 20045.7.  Third-Party Disclosure of IPR Claims   It is good to notify the IETF of relevant IPR claims even when they   are not one's own, and [6] says to do so "as soon as possible".   However, anyone considering such a disclosure should do some   preliminary exploration with the affected working group(s) beforehand   (seeSection 5.7.1).  Third-party disclosure is a potential denial of   service threat to the working group, and therefore it is good form to   proceed slowly at first.   Working group participants should be aware that third-party   disclosure can be used, knowingly or unknowingly, to defocus and   distract the working group and hinder its progress.  They should   evaluate third-party disclosures accordingly.  Working group chairs   should be willing and able to discipline those they think are using   the third-party disclosure system inappropriately.  Those who think   they are being unfairly blocked may take the matter up with the Area   Directors and/or the IESG.   All of the criteria for evaluating IPR claims discussed in the   sections above apply in the case of third-party disclosures as well,   to the extent they can be practiced.5.7.1.  Third-Party Disclosure Advice   This subsection provides advice to those considering making   third-party disclosures.  While not required, the actions described   here are encouraged to aid working groups in dealing with the   possible implications of third-party disclosures.  In evaluating what   (if anything) to do in response to a third-party disclosure, a   working group may consider the extent to which the discloser has   followed this advice (for example, in considering whether a   disclosure is intended primarily to defocus and distract the working   group).   In general a potential discloser should exchange mail with the   working group chair(s) first, to open the way for discussion.  Also,   if the potential discloser is not sure if the IPR claim applies, this   is the time to reach some kind of agreement with the working group   chair(s) before saying anything publicly.  After discussion with the   working group chair(s), the potential discloser should bring the   issue to the attention of the working group, and to the attention of   the IPR claimant if doing so is not too difficult.  Such discussion   should help the potential discloser to become more sure, one way or   the other.  If the potential discloser is sure the discovered IPR   claim applies, and the IPR claimant does not submit a first-party   disclosure itself, then the potential discloser is encouraged to   submit a third-party disclosure.Brim                         Informational                     [Page 14]

RFC 3669                   WG IPR Guidelines               February 2004   Intellectual property often applies to more than one working group.   A person thinking of making a third-party disclosure should consider   what other working groups might be affected, and communicate with   them in the same manner.   Don't bring up IPR issues that are unrelated to the areas where the   working group is focusing at that time.  Don't bring IPR claims to   the working group's attention just in case they might be relevant in   a few months, but only if they have implications for current work.   Messages to the working group list should be substantive, and a   single message should focus on a specific issue.  They can reference   multiple claims or patents related to that issue.6.  Security Considerations   This memo relates to IETF process, not any particular technology.   There are security considerations when adopting any technology,   whether IPR claims are asserted against it or not.  A working group   should take those security considerations into account as one part of   evaluating the technology, just as IPR is one part, but they are not   issues of security with IPR procedures.7.  Acknowledgments   The author would like to acknowledge the help of the IETF IPR Working   Group.  The author would also like to thank the following for their   extensive comments and suggestions: Robert Barr, David Black, Scott   Bradner, Jorge Contreras, Paul Gleichauf, Keith Moore, Russell   Nelson, Jon Peterson, Randy Presuhn, Pekka Savola, Valerie See, Bob   Wyman, and Joe Zebarth.8.  References8.1.  Normative References   [1]  Huitema, C. and P. Gross, "The Internet Standards Process --        Revision 2",RFC 1602, March 1994.   [2]  Postel, J., "Addendum toRFC 1602 -- Variance Procedure",BCP 2,RFC 1871, November 1995.   [3]  Kastenholz, F., "Variance for The PPP Connection Control        Protocol and The PPP Encryption Control Protocol",BCP 3,RFC1915, February 1996.   [4]  Bradner, S., "The Internet Standards Process -- Revision 3",BCP9,RFC 2026, October 1996.Brim                         Informational                     [Page 15]

RFC 3669                   WG IPR Guidelines               February 2004   [5]  Bradner, S., Ed.,  "IETF Rights in Contributions",BCP 78,RFC3667, February 2004.   [6]  Bradner, S., Ed., "Intellectual Property Rights in IETF        Technology",BCP 79,RFC 3668, February 2004.8.2.  Informative References   [7]  Wu, T., "The SRP Authentication and Key Exchange System",RFC2945, September 2000.9.  Author's Address   Scott Brim   Cisco Systems, Inc.   146 Honness Lane   Ithaca, NY  14850   USA   EMail: sbrim@cisco.comBrim                         Informational                     [Page 16]

RFC 3669                   WG IPR Guidelines               February 200410.  Full Copyright Statement   Copyright (C) The Internet Society (2004).  This document is subject   to the rights, licenses and restrictions contained inBCP 78 and   except as set forth therein, the authors retain all their rights.   This document and the information contained herein are provided on an   "AS IS" basis and THE CONTRIBUTOR, THE ORGANIZATION HE/SHE   REPRESENTS OR IS SPONSORED BY (IF ANY), THE INTERNET SOCIETY AND THE   INTERNET ENGINEERING TASK FORCE DISCLAIM ALL WARRANTIES, EXPRESS OR   IMPLIED, INCLUDING BUT NOT LIMITED TO ANY WARRANTY THAT THE USE OF   THE INFORMATION HEREIN WILL NOT INFRINGE ANY RIGHTS OR ANY IMPLIED   WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.Intellectual Property   The IETF takes no position regarding the validity or scope of any   Intellectual Property Rights or other rights that might be claimed   to pertain to the implementation or use of the technology   described in this document or the extent to which any license   under such rights might or might not be available; nor does it   represent that it has made any independent effort to identify any   such rights.  Information on the procedures with respect to   rights in RFC documents can be found inBCP 78 andBCP 79.   Copies of IPR disclosures made to the IETF Secretariat and any   assurances of licenses to be made available, or the result of an   attempt made to obtain a general license or permission for the use   of such proprietary rights by implementers or users of this   specification can be obtained from the IETF on-line IPR repository   athttp://www.ietf.org/ipr.   The IETF invites any interested party to bring to its attention   any copyrights, patents or patent applications, or other   proprietary rights that may cover technology that may be required   to implement this standard.  Please address the information to the   IETF at ietf-ipr@ietf.org.Acknowledgement   Funding for the RFC Editor function is currently provided by the   Internet Society.Brim                         Informational                     [Page 17]