diff --git a/Exclusion_Notice_Template_v.2.1.md b/Exclusion_Notice_Template_v.2.1.md new file mode 100644 index 0000000..0412c7a --- /dev/null +++ b/Exclusion_Notice_Template_v.2.1.md @@ -0,0 +1,50 @@ +**CA/B FORUM PATENT EXCLUSION NOTICE, v2.1** + +Before completing this form, read the CA/B Forum’s IPR Policy, including Sections 3.1 (“Participant Royalty-Free Licensing Requirements”), 4.2 (“Excluding Patents and/or Patent Applications From Royalty-Free Licensing Obligations During Review Period”), 4.3 (“Conditions and Procedures for Excluded Patents and/or Patent Applications From CAB Forum RF License”), 4.4 (“Effect of Exclusion Notice”), 5 (“CAB Forum Royalty-Free (“RF”) License Requirements”), 8.1 (“Essential Claims”), and 8.2 (“Limitations on the Scope of Definition of Essential Claims”). + +Pursuant to section 4.3 of the CA/B Forum’s IPR Policy, the Participant must complete all required portions of this Exclusion Notice form and submit it to: (a) the CA/B Forum Chair, (b) the appropriate Working Group Chair for the Ballot identified below, and (c) the Working Group’s public mailing list, within the IPR Review Period for the Ballot identified below. ***If this Exclusion Notice is not filed within the IPR Review Period, or if any section below is not completed, the Exclusion Notice shall be null and void.*** (**Note:** Your Exclusion Notice will be publicly posted at [https://cabforum.org/ipr-exclusion-notices/](https://cabforum.org/ipr-exclusion-notices/)) + +**CA/Browser Forum Participant Name:** \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (Organization) + +**Recognized Authorized Representative for CA/Browser Forum Participant:** + +\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ +Name Title E-mail address: + +I certify that the information provided in this Exclusion Notice is accurate and complete. + +\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ +Signature Date + +Ballot Number: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Ballot Title: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ + +Title of Final Guideline or Final Maintenance Guideline: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ + +End of Review Period: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date Exclusion Notice Submitted: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ + +**(Exclusion Notice, v.2.1 \- Page 1\)** + +-------------------------------------- + +**(Exclusion Notice, v.2.1 \- Page 2\)** + +Complete the table below in accordance with Sections 4.2 and 4.3 of the IPR Policy. This table should be used to reference both **granted patents** and **published/unpublished patent applications**. For any unpublished patent applications cited, please attach a copy of the referenced application(s). + +**Explanation of Required Fields** + +Complete the following fields for each excluded patent or patent application, consistent with the requirements of §4.3 of the CA/B Forum IPR Policy: + +(a) **Patent Number and Jurisdiction:** Patent number or patent application number, including jurisdiction \[Sec. 4.3(a)\]; +(b) **Title of Patent / Patent Application:** Title of the patent or patent application \[Sec. 4.3(a)\]; +(c) **Claims:** Specific claim(s) in the patent or in the patent application being excluded \[Sec 4.3(b)\]; +(d) **Guideline Section:** Specify the numbered section of the Draft Guideline whose implementation the Participant reasonably believes makes each excluded claim identified in column (c) an Essential Claim \[Sec. 4.3(d)\]; +(e) **License Election:** License Grant Election Made (license granted, if any, per Sec. 5.1) \[Sec. 4.3\]; and +(f) **Subject Matter:** For unpublished patent applications, a description of the application's subject matter that is the basis of the reasonable belief, unless a copy of the application is attached with this form \[Sec. 4.3(e)\]. + +| (a) Patent Number and
Jurisdiction | (b) Title of Patent /
Patent Application | (c) Claims | (d) Guideline Section | (e) License Election | (f) Subject Matter
(for unpublished applications) | +| :---- | :---- | :---- | :---- | :---- | :---- | +| Patent # / Jurisdiction | Title | Claims | Guideline Section | License Granted | Subject Matter | +| Patent # / Jurisdiction | Title | Claims | Guideline Section | License Granted | Subject Matter | +| Patent # / Jurisdiction | Title | Claims | Guideline Section | License Granted | Subject Matter | + +*(You may adjust column widths and add more rows and pages as necessary)* \ No newline at end of file diff --git a/IPR-Policy.md b/IPR-Policy.md index 89ac4c8..f09740d 100644 --- a/IPR-Policy.md +++ b/IPR-Policy.md @@ -1,42 +1,40 @@ --- title: Intellectual Property Rights Policy -subtitle: Version 1.3 +subtitle: Version 1.4 author: - CA/Browser Forum -date: July 3, 2018 +date: --- --, 2026 copyright: | - Copyright 2024 CA/Browser Forum + Copyright 2026 CA/Browser Forum This work is licensed under the Creative Commons Attribution 4.0 International license. --- -**DEFINITIONS** - # 1. Overview -This Intellectual Property Rights Policy describes: +This Intellectual Property Rights Policy ("Policy") describes: -a. licensing goals for CA/Browser Forum (“CAB Forum”); +a. licensing goals for CA/Browser Forum ("CAB Forum"); b. the patent licensing obligations that Members will undertake as a condition of participation in CAB Forum Working Groups, along with means of excluding specific patents from those obligations; -c. the definitions of a “CAB Forum Royalty-Free License”; +c. the definitions of a "CAB Forum Royalty-Free License"; d. an exception handling process for situations in which the Royalty-Free status of a Guideline comes under question; e. the copyright licensing obligations that Members will undertake as a condition of participation in a Working Group; and -f. the definitions of “Essential Claim” and other key terms. +f. the definitions of "Essential Claim" and other key terms. # 2. Licensing and Disclosure Goals for CAB Forum Guidelines -In order to promote the widest adoption of CAB Forum Guidelines, CAB Forum and its Working Groups seek to issue Guidelines that can be implemented on a Royalty-Free (RF) basis subject to the conditions of this policy. Working Groups will ordinarily not approve a Guideline if they are aware that Essential Claims exist that are not available on RF terms. Members are encouraged to bring to the attention of the applicable Working Group any known patent or pending patent applications of other organizations (Members or non-Members) that might contain Essential Claims. +In order to promote the widest adoption of CAB Forum Guidelines, CAB Forum and its Working Groups seek to issue Guidelines that can be implemented on a Royalty-Free ("RF") basis subject to the conditions of this Policy. Working Groups will ordinarily not approve a Guideline if they are aware that Essential Claims exist that are not available on RF terms. Members are encouraged to bring to the attention of the applicable Working Group any known patent or pending patent applications of other organizations (Members or non-Members) that might contain Essential Claims. # 3. Patent Licensing Obligations of Participants The following obligations shall apply to all Participants with respect to the Working Groups in which they participate. -## 3.1 Royalty-Free Licensing Requirements. +## 3.1 Participant Royalty-Free Licensing Requirements. As a condition of participating in a Working Group, each Participant shall, subject to Section 4 below, agree to make available under a CAB Forum RF License (as defined in Section 5 below), any Essential Claims related to any Final Guideline or Final Maintenance Guideline of that particular Working Group. This requirement includes Essential Claims that the Participant owns and any that the Participant has the right to license without obligation of payment or other consideration to an unrelated third party. @@ -48,61 +46,62 @@ The affirmative act of joining a Working Group will obligate a Participant to th ## 4.1 Review of Draft Specifications. -Prior to the approval of a CAB Forum Draft Guideline as a CAB Forum Final Guideline or Final Maintenance Guideline, there shall be a review period during which Working Group Participants may exclude certain Essential Claims from CAB Forum RF Licenses. The CAB Forum Chair shall initiate the Review Period by distributing to each Working Group Participant a notice of review period and a complete draft of the Draft Guideline that is the subject of such notice (“Review Notice”). Each Participant shall have sixty (60) days following the date of the receipt of such Review Notice (“Review Period”) to review such Draft Guideline and consider any licensing obligations with respect to any Essential Claims that may be encompassed by such Draft Guideline. The approval of a CAB Forum Final Maintenance Guideline shall follow the same process except that the Review Period shall be thirty (30) days. +Prior to the approval of a CAB Forum Draft Guideline as a CAB Forum Final Guideline or Final Maintenance Guideline, there shall be a Review Period during which Working Group Participants may exclude certain Essential Claims from CAB Forum RF Licenses. The CAB Forum Chair or Working Group Chair shall initiate the Review Period by distributing to each Working Group Participant a notice of review period ("Review Notice"). The Review Notice for a Final Guideline or a Final Maintenance Guideline shall include a complete draft of the Draft Guideline that is the subject of such notice. The Review Notice for a Final Maintenance Guideline and any subsequent Review Notice for a Final Guideline or Final Maintenance Guideline shall contain a redline comparison of the Draft Guideline showing changes from the last published Final Guideline as it existed at the time that the ballot was proposed ("Previously Adopted Guideline"); where a Review Notice concerns section(s) already subject to one or more pending or active review periods, it shall also include an incremental redline showing only those changes from the most recent Draft Guideline previously circulated for IPR review that affect the same section(s) and shall identify and link to such related ballots and Review Notices, consistent with section 2.4(10) of the Bylaws. Each Participant shall have sixty (60) days following the date of the distribution of such Review Notice ("Review Period") to review such Draft Guideline and consider any licensing obligations with respect to any Essential Claims that may be encompassed by such Draft Guideline. The approval of a CAB Forum Final Maintenance Guideline shall follow the same process, except that the Review Period shall be thirty (30) days. ## 4.2 Excluding Patents and/or Patent Applications From Royalty-Free Licensing Obligations During Review Period. -Except for Essential Claims encompassed by a Participant’s Contributions that are actually incorporated into a Final Guideline or Final Maintenance Guideline approved in accordance with the Working Group’s Guideline approval process as specified in its charter, Participants may, within the Review Period, exclude Essential Claims from the CAB Forum RF License. In such case, Participants shall be permitted to either make an election, (i) not to grant a license or (ii) to provide a license that complies with all of the requirements of Section 5.1 with the exception of subsection 5.1 f. +A Participant may, by filing an Exclusion Notice within the Review Period, exclude Essential Claims from the CAB Forum RF License if: (1) the Essential Claims are a result of subject matter not present or apparent in any version of that Guideline that was circulated to the Participant for review during a prior Review Period, or was available to Participant for review upon joining under Section 4.5; and (2) the Essential Claims are not encompassed by a Participant's Contributions that are actually incorporated into a Final Guideline or Final Maintenance Guideline approved in accordance with the Working Group's Guideline approval process as specified in its charter. ## 4.3 Conditions and Procedure for Excluding Patents and/or Patent Applications From CAB Forum RF License. -A Participant seeking to exclude Essential Claims from the CAB Forum RF License in accordance with Section 4.2 must provide written notice of such intent to the CAB Forum Chair with a copy to the appropriate Working Group Chair and the CAB Forum public mailing list (public@cabforum.org) (“Exclusion Notice”) within the Review Period. The Exclusion Notice shall be effective upon its receipt by the CAB Forum Chair. The Exclusion Notice shall include identification of the numbered section of the Final Guideline or Final Maintenance Guideline whose implementation makes the excluded claim an Essential Claim for each of the issued patent(s) or pending patent application(s) that a Participant reasonably believes at the time may contain Essential Claims the Participant wishes to exclude from the CAB Forum RF License. For issued patents, the Exclusion Notice shall also include the patent number(s). For pending patent applications, the Exclusion Notice shall also include the title and application number(s). If an issued patent or pending patent application that may contain Essential Claims is not set forth in the Exclusion Notice, such Essential Claims shall continue to be subject to the CAB Forum RF License. For unpublished patent applications, the Exclusion Notice shall also include a copy of the patent application. In addition, Exclusion Notices shall be published at https://cabforum.org/ipr-exclusion-notices/. - -## 4.4 Effect of Exclusion Notice. +A Participant seeking to exclude Essential Claims from the CAB Forum RF License in accordance with Section 4.2 must provide written notice of such intent ("Exclusion Notice") to the CAB Forum Chair with a copy to the appropriate Working Group Chair and the Working Group's public mailing list within the Review Period. An Exclusion Notice that complies with all requiremenents in this Section shall be effective upon its posting by a Participant's authorized representative to the Working Group's public mailing list ("Posting Date"). Exclusion Notices MUST be submitted usingthe Exclusion Notice template provided by the CAB Forum. For each Essential Claim, the the Exclusion Notice SHALL state the Participant's intention (i) not to grant a license; or (ii) to provide a license that complies with all the requirements of Section 5.1, with the exception of 5.1(f). The Exclusion Notice shall also specifically include: +(a) For issued patents the patent number(s) and for pending patent applications the title and applications number(s), including jurisdiction; +(b) The specific claims for each patent and/or patent application that are being excluded; +(c) The ballot number, ballot title, and title of the Draft Guideline for which the Exclusion Notice is being submitted; +(d) The numbered section of the Draft Guideline whose implementation the Participant reasonably believes makes each excluded claim identified in subsection (b) above an Essential Claim. +(e) For unpublished patent applications, either a copy of the application or a description of the application's subject matter that is the basis of the Participant's reasonable belief in (d). -The timing of the Exclusion Notice will determine the effect on the Participant’s CAB Forum RF License obligation as specified in Sections 4.4(a) and 4.4(b). If a Participant provides the CAB Forum Chair with a timely Exclusion Notice in accordance with Section 4.3, then: +Exclusion Notices shall be published at https://cabforum.org/ipr-exclusion-notices/. -(a) Such Participant’s CAB Forum RF License obligation shall remain in full force and effect for any Essential Claims in a Final Guideline or Final Maintenance Guideline that has been finally adopted (“Previously Adopted Final Guideline”) by the CAB Forum prior to the date on which the CAB Forum Chair receives such Participant’s Exclusion Notice (“Date of Receipt”); and +## 4.4 Effect of Exclusion Notice. -(b) Such Participant’s CAB Forum RF License obligation shall remain in full force and effect for any Essential Claims in any Draft Guideline for which a Review Period has been completed unless and to the extent that an Exclusion Notice has been given within such Review Period. +The timing and completeness of the Exclusion Notice will determine the effect on the Participant's CAB Forum RF License obligation as specified in Sections 4.4(a) and 4.4(b). If a Participant's authorized representative posts a timely and complete Exclusion Notice in accordance with Section 4.3, then the claims specified in the Exclusion Notice are effectively excluded from the CAB Forum RF License obligation. However, such Participant's CAB Forum RF License obligation shall remain in full force and effect for any Essential Claims in a Previously Adopted Final Guideline by the CAB Forum prior to the Posting Date. ## 4.5 New Participant Reviews. -When a new Participant joins a Working Group, such Participant shall be permitted not less than forty- five (45) days to review the Draft Guideline then under review, and any previously adopted Final Guidelines and Final Maintenance Guideline of such Working Group for any and all Essential Claims and to commit in a separate written agreement to the CAB Forum RF License requirement, as to any Final Guidelines or Final Maintenance Guidelines or Draft Guidelines of such Working Group for which the Review Period has been completed. Failure to provide such written agreement will result in the inability to participate in the Working Group. With respect to any Working Group Draft Guideline for which a Review Period has commenced, a new Participant shall have the remainder of the Review Period in which to submit an Exclusion Notice. +A Participant joining a Working Group (a “new Participant”) shall assume the same rights and obligations under this Policy as existing Participants as of the date such new Participant joins the Working Group. With respect to any Draft Guideline for which a Review Period is in progress, such new Participant may submit an Exclusion Notice only during the remainder of the applicable Review Period. No additional or retroactive Review Period shall arise when a new Participant joins a Working Group, and such new Participant may not submit an Exclusion Notice with respect to any Previously Adopted Guideline. Essential Claims of such new Participant shall otherwise be subject to the CAB Forum RF License pursuant to Section 3.1. -# 5. CAB Forum Royalty-Free (RF) License Requirements +# 5. CAB Forum Royalty-Free ("RF") License Requirements ## 5.1 License Requirements -With respect to Final Guidelines and Final Maintenance Guidelines developed under this policy, a CAB Forum Royalty-Free (RF) License shall mean a non-assignable, non-sublicensable license to make, have made, use, sell, have sold, offer to sell, import, and distribute and dispose of Compliant Portions (provided that such license need not extend to any part or function of a product (other than the Compliant Portion therein) in which a Compliant Portion is incorporated but that is not itself part of the Compliant Portion) of the Final Guideline or Final Maintenance Guideline that: +A CAB Forum RF License shall mean a non-assignable, non-sublicensable license to make, have made, use, sell, have sold, offer to sell, import, and distribute and dispose of Compliant Portions of a product. The CAB Forum RF License: a. shall be available to all, worldwide, whether or not they are CAB Forum Members or Working Group Participants; +b. shall extend to all Essential Claims owned or controlled by the Participant, which have not been excluded under this Policy; +c. may be conditioned on the licensee providing notice to a buyer of its products or services that they implement an Essential Claim of a particular entity relating to a particular Final Guideline or Final Maintenance Guideline and that licensee's right to sell the products or services to buyer, and buyer's use of the products or services, are conditioned on the buyer's acceptance of the same terms of the RF or RAND license granted to licensee under this Policy; -b. shall extend to all Essential Claims owned or controlled by the Participant; - -c. may be conditioned on the licensee providing notice to a buyer of its products or services that they implement an Essential Claim of a particular entity relating to a particular CAB Forum Final Guideline or Final Maintenance Guideline and that licensee’s right to sell the products or services to buyer, and buyer’s use of the products or services, are conditioned on the buyer’s acceptance of the same terms of the RF or RAND license granted to licensee under the CAB Forum Intellectual Property Rights Policy; - -d. may be limited to implementations of the Final Guideline and Final Maintenance Guideline, and to what is required by the Final Guideline and Final Maintenance Guideline; +d. may be limited to implementations of the Final Guideline or Final Maintenance Guideline, or to what is required by the Final Guideline and Final Maintenance Guideline; -e. may be conditioned on a grant of a reciprocal RF license (as defined in this policy) to all Essential Claims owned or controlled by the licensee. A reciprocal license may be required to be available to all, and a reciprocal license may itself be conditioned on a further reciprocal license from all; +e. may be conditioned on a grant of a reciprocal RF license (as defined in this Policy) to all Essential Claims owned or controlled by the licensee. A reciprocal license may be required to be available to all, and a reciprocal license may itself be conditioned on a further reciprocal license from all; f. may not be conditioned on payment of royalties, fees or other consideration; -g. may be suspended with respect to any licensee when licensor is sued by licensee for infringement of claims essential to implement any CAB Forum Final Guideline or Final Maintenance Guideline; +g. may be suspended with respect to any licensee when licensor is sued by licensee for infringement of Essential Claims; h. may not impose any further conditions or restrictions on the use of any technology, intellectual property rights, or other restrictions on behavior of the licensee, but may include reasonable, customary terms relating to operation or maintenance of the license relationship such as the following: choice of law and dispute resolution; and -i. shall not be considered accepted by an implementer who manifests an intent not to accept the terms of the CAB Forum Royalty-Free License as offered by the licensor. +i. shall not be considered accepted by an implementer who manifests an intent not to accept the terms of the CAB Forum RF License as offered by the licensor. ## 5.2 License Term -a. The CAB Forum RF license conforming to the requirements in this policy shall be made available by the licensor and/or its Affiliates as long as the Final Guideline or Final Maintenance Guideline is in effect. The term of such license shall be for the life of the patents in question, subject to the limitations of 5.2(b). +a. The CAB Forum RF License conforming to the requirements in this Policy shall be made available by the licensor and/or its Affiliates as long as the Final Guideline or Final Maintenance Guideline is in effect. The term of such license shall be for the life of the claims in question, subject to the limitations of 5.2(b). -b. If a Final Guideline or Final Maintenance Guideline is rescinded by the CAB Forum or the Working Group that developed it, then no new licenses need be granted but any licenses granted before the Final Guideline or Final Maintenance Guideline was rescinded shall remain in effect. +b. If a Final Guideline or Final Maintenance Guideline is rescinded by the CAB Forum or the Working Group that developed it, then no new licenses need be granted, but any licenses granted before the Final Guideline or Final Maintenance Guideline was rescinded shall remain in effect. ## 5.3 Survival of CAB Forum RF License Obligation After Member Termination -A Member whose participation in the CAB Forum has terminated shall continue to be obligated to grant CAB Forum RF Licenses for (i) any Essential Claims in a Working Group’s Final Guidelines and Final Maintenance Guidelines that have been adopted by a Working Group, in which the terminated Member participated, prior to the effective date of such Member’s termination from the CAB Forum; (ii) any Essential Claims in such terminating Member’s Contributions incorporated in any Final Guideline or Final Maintenance Guidelines adopted by a Working Group in which the terminating Member participated after the effective date of such Member’s withdrawal, and (iii) any Essential Claims in any Draft Guideline for which a Review Period has been completed in a Working Group in which the Member participated. +A Member whose participation in the CAB Forum has terminated shall continue to be obligated to grant CAB Forum RF Licenses for (i) any Essential Claims in a Final Guideline or Final Maintenance Guideline that has been adopted by a Working Group, in which the terminated Member participated, prior to the effective date of such Member's termination from the CAB Forum; (ii) any Essential Claims in such terminated Member's Contributions incorporated in a Final Guideline or Final Maintenance Guideline adopted by a Working Group in which the terminated Member participated, after the effective date of such Member's termination, and (iii) any Essential Claims in any Draft Guideline that was developed by a Working Group during the period in which the Member participated in that Working Group and for which the Review Period has been completed. # 6. Copyrights ## 6.1 Coverage @@ -115,35 +114,41 @@ Each Working Group Participant grants to the other Participants in such Working ## 6.3 Enforcement of Copyrights -Each Participant (the “Enforcing Participant”) in a Working Group shall have the right, but not the obligation, to enforce the copyright interest in that Working Group’s Final Guidelines or Final Maintenance Guidelines against an infringer. The other Participants of that Working Group shall take such actions as they deem appropriate consistent with the terms of this Agreement, to reasonably cooperate with the Enforcing Participant in its efforts to enforce such copyright interest. For the avoidance of doubt, no Participant shall be required to participate as a plaintiff in an action to enforce the copyright in a Final Guideline or Final Maintenance Guideline. +Each Participant (the "Enforcing Participant") in a Working Group shall have the right, but not the obligation, to enforce the copyright interest in that Working Group's Final Guidelines or Final Maintenance Guidelines against an infringer. The other Participants of that Working Group shall take such actions as they deem appropriate consistent with the terms of this Agreement, to reasonably cooperate with the Enforcing Participant in its efforts to enforce such copyright interest. For the avoidance of doubt, no Participant shall be required to participate as a plaintiff in an action to enforce the copyright in a Final Guideline or Final Maintenance Guideline. ## 6.4 Representations and Warranties Participants that submit Contributions, by making a Contribution to a Working Group, represent and warrant that, to the extent personally known to the individual Contributors under their control: -a. There are no limits to the Participant’s ability to make the grants, acknowledgments and agreements herein, +a. There are no limits to the Participant's ability to make the grants, acknowledgments and agreements herein, b. The Contribution does not contain source code that is intended to be incorporated as a technical component of a Guideline, and -c. The Contribution, if incorporated into a Final Guideline or Final Maintenance Guideline will not subject the Final Guideline or Final Maintenance Guideline or implementations of the Final Guideline or Final Maintenance Guideline, in whole or in part, to licensing obligations, restrictions or requirements which are inconsistent with those set forth in this Intellectual Property Rights Policy. +c. The Contribution, if incorporated into a Final Guideline or Final Maintenance Guideline will not subject the Final Guideline or Final Maintenance Guideline or implementations of the Final Guideline or Final Maintenance Guideline, in whole or in part, to licensing obligations, restrictions or requirements which are inconsistent with those set forth in this Policy. -# 7. Exception Handling +# 7. Patent Advisory Groups ## 7.1. PAG Formation -In the event a patent has been disclosed that may contain an Essential Claim, but such Essential Claim is not available under a CAB Forum RF License, a Patent Advisory Group (PAG) will be launched to resolve the conflict. The PAG is an ad-hoc group constituted specifically in relation to the Final Guideline or Final Maintenance Guideline containing the conflict. A PAG may also be formed without such a disclosure if a PAG could help avoid anticipated patent problems. +If, pursuant to Section 4.3, a Participant discloses a claim that may contain or constitute an Essential Claim, but such Essential Claim is not available under a CAB Forum RF License, or the Participant has sought to exclude the Essential Claim under the procedures described in Section 4.3, the Working Group Chair will launch a Patent Advisory Group ("PAG") to resolve the conflict. The PAG is an ad-hoc group constituted specifically in relation to the Draft Guideline containing the conflict. The Working Group Chair may also initiate the formation of a PAG without such a disclosure if the Working Group Chair believes a PAG could help avoid anticipated patent problems. -## 7.2. PAG Formation After a Guideline Is Adopted +The PAG will be convened by a PAG Chair who shall be appointed by the Working Group Chair or elected by the PAG and who must not be affiliated with the company owning the Essential Claim that is the subject of the PAG. The timing for convening the PAG is at the discretion of the Chair. In some cases, convening a PAG before a specific patent disclosure is made may be useful. In other cases, it may be that the PAG can better resolve the licensing problems when the specification is at the Review Period level. A PAG should be convened and issue conclusions prior to when the Final Guideline or Final Maintenance Guideline is issued. However, a PAG may also be convened in the event an Essential Claim is discovered after a Final Guideline or Final Maintenance Guideline is issued. -A PAG may also be convened in the event Essential Claims are discovered after a Guideline is issued. In this case the PAG will be open to any interested Member, though the PAG may choose to meet without the holder of the Essential Claims in question. +## 7.2. PAG Participation + +The Working Group Chair shall announce the formation of a PAG on the Working Group's public mailing list and request that interested Working Group members indicate their intended participation. A PAG will be open to any interested Working Group member, although the PAG may proceed without the holder of the actual or potential Essential Claim(s) in question. ## 7.3. PAG Procedures -### 7.3.1. PAG Formation Timing +### 7.3.1. Election of PAG Officers + +At an initial meeting of the PAG, members shall elect officers (Chair/s, Vice-Chair/s, etc.), who must not be affiliated with the company owning the disclosed Essential Claim that is the subject of the PAG. + +### 7.3.2. PAG Meetings and Communications -The PAG will be convened by a Chair who shall be elected by the PAG and who must not be affiliated with the company owning the Essential Claim that is the subject of the PAG. The timing for convening the PAG is at the discretion of the Chair. In some cases, convening a PAG before a specific patent disclosure is made may be useful. In other cases, it may be that the PAG can better resolve the licensing problems when the specification is at the Review Period level. +A PAG may hold periodic teleconferences or face-to-face meetings and communicate through email or other electronic means. -### 7.3.2. Possible PAG Conclusions +## 7.4. PAG Conclusions After appropriate consultation, the PAG may conclude: @@ -163,46 +168,48 @@ f. Alternative licensing terms should be considered. ## 8.1. Essential Claims -“Essential Claims” shall mean all claims in any patent or patent application in any jurisdiction in the world that would necessarily be infringed by implementation of any Normative Requirement in a Final Guideline or Final Maintenance Guideline. A claim is necessarily infringed hereunder only when it is not possible to avoid infringing it because there is no non-infringing alternative for implementing a Normative Requirement of a Final Guideline or Final Maintenance Guideline. Existence of a non- infringing alternative shall be judged based on the state of the art at the time the guideline is adopted as a Final Guideline or Final Maintenance Guideline. If a Normative Requirement in a Final Guideline or Final Maintenance Guideline may be fulfilled by any of a list of specified alternatives, then for determination of whether a claim is an Essential Claim, each of the specified alternatives should be considered independently as if it were the only method for fulfilling that requirement. +"Essential Claims" shall mean all claims in any patent or patent application in any jurisdiction in the world that would necessarily be infringed by implementation of any Normative Requirement in a Final Guideline or Final Maintenance Guideline. A claim is necessarily infringed hereunder only when it is not possible to avoid infringing it because there is no non-infringing alternative for implementing a Normative Requirement of a Final Guideline or Final Maintenance Guideline. Existence of a non- infringing alternative shall be judged based on the state of the art at the time the guideline is adopted as a Final Guideline or Final Maintenance Guideline. If a Normative Requirement in a Final Guideline or Final Maintenance Guideline may be fulfilled by any of a list of specified alternatives, then for determination of whether a claim is an Essential Claim, each of the specified alternatives should be considered independently as if it were the only method for fulfilling that requirement. ## 8.2. Limitations on the Scope of Definition of Essential Claims The following are expressly excluded from and shall not be deemed to constitute Essential Claims: -a. any claims other than as set forth above even if contained in the same patent as Essential Claims; and +a. any claims other than as set forth above, even if contained in the same patent or patent application as Essential Claims; -b. claims that would be infringed only by: portions of an implementation that are not specified in the Normative Requirements of the Final Guideline or Final Maintenance Guideline, or enabling technologies that may be necessary to make or use any product or portion thereof that complies with the Final Guideline or Final Maintenance Guideline and are not themselves expressly set forth in the Final Guideline or Final Maintenance Guideline (e.g., semiconductor manufacturing technology, compiler technology, object-oriented technology, basic operating system technology, and the like); or +b. claims that would be infringed only by: portions of an implementation that are not specified in the Normative Requirements of the Final Guideline or Final Maintenance Guideline, or enabling technologies that may be necessary to make or use any product or portion thereof that complies with the Final Guideline or Final Maintenance Guideline and are not themselves expressly set forth in the Final Guideline or Final Maintenance Guideline (e.g., semiconductor manufacturing technology, compiler technology, object-oriented technology, basic operating system technology, and the like); -c. the implementation of technology developed elsewhere and merely incorporated by reference in the body of the Final Guideline or Final Maintenance Guideline. +c. the implementation of technology developed elsewhere and merely incorporated by reference in the body of the Final Guideline or Final Maintenance Guideline; and d. design patents and design registrations. ## 8.3. Other Key Definitions -a. **“Affiliate”** means an entity that directly or indirectly controls, is controlled by or is under common control with, another entity. Control for the purposes of this policy shall mean direct or indirect beneficial ownership of more than fifty percent of the voting stock, or decision-making authority in the event that there is no voting stock, in an entity. +a. **"Affiliate"** means an entity that directly or indirectly controls, is controlled by, or is under common control with, another entity. Control for the purposes of this Policy shall mean direct or indirect beneficial ownership of more than fifty percent of the voting stock, or decision-making authority in the event that there is no voting stock, in an entity. -b. **“CAB Forum Royalty-Free (RF) License”** refers to the license described in Section 5 of this policy. +b. **"CAB Forum Royalty-Free ("RF") License"** refers to the license described in Section 5 of this Policy. -c. “**Compliant Portion**” means only those specific portions of a product (hardware, software or combinations thereof) that implement and are compliant with all Normative Requirements of the Final Guideline or Final Maintenance Guideline (as applicable to such portions that are adopted) and that are within the bounds of the Scope. +c. "**Compliant Portion**" means only that specific portion of a product (hardware, software or combinations thereof) that implements and is compliant with all Normative Requirements of the Final Guideline or Final Maintenance Guideline (as applicable to such portions that are adopted) and that is within the bounds of the Scope. -d. **“Contribution”** means material, including Draft Guidelines, Draft Guideline text, and modifications to other Contributions, made verbally or in a tangible form of expression (including in electronic media) that is provided by a Participant in the process of developing a Draft Guideline for the purpose of incorporating such material into a Draft Guideline or a Final Guideline or Final Maintenance Guideline. For a verbal contribution to be deemed a Contribution hereunder it must be memorialized within approved meeting minutes of the CAB Forum. +d. **"Contribution"** means material, including Draft Guidelines, Draft Guideline text, and modifications to other Contributions, made verbally or in a tangible form of expression (including in electronic media) that is provided by a Participant in the process of developing a Draft Guideline for the purpose of incorporating such material into a Draft Guideline or a Final Guideline or Final Maintenance Guideline. For a verbal contribution to be deemed a Contribution hereunder it must be memorialized within approved meeting minutes of the CAB Forum. -e. **“Draft Guideline**” means a version of a CAB Forum guideline that has not been approved as a Final Guideline or Final Maintenance Guideline, regardless of whether or not the Draft Guideline has been published. +e. **"Draft Guideline**" means a version of a CAB Forum guideline that has not been approved as a Final Guideline or Final Maintenance Guideline, regardless of whether or not the Draft Guideline has been published. -f. **“Final Guideline”** is any version of a Draft Guideline that the Working Group Participants have agreed is a final version of such Draft Guideline pursuant to the Working Group process for approving Final Guidelines. +f. **"Final Guideline"** is any version of a Draft Guideline that the Working Group Participants have agreed is a final version of such Draft Guideline pursuant to the Working Group process for approving Final Guidelines. -g. **“Final Maintenance Guideline”** is an errata to or amendment of an existing CAB Forum Final Guideline. +g. **"Final Maintenance Guideline"** is an errata to or amendment of an existing CAB Forum Final Guideline. -h. **“Member”** means an entity that is a member of the CAB Forum, together with its Affiliates. +h. **"Member"** means an entity that is a member of the CAB Forum, together with its Affiliates. -i. **“Normative Requirements”** means those portions of the Final Guideline or Final Maintenance Guideline that are expressly identified as required for compliance with the Final Guideline or Final Maintenance Guideline including those portions of an optional or alternative portion of the Final Guideline or Final Maintenance Guideline that are identified as required for compliance with such optional or alternative portion. For clarity, those portions of the Final Guideline or Final Maintenance Guideline, including any portions of an optional or alternative portion thereof, which are designated by the terms “must”, “shall”, “mandatory”, “normative” or “required” are expressly identified as being required for compliance. +i. **"Normative Requirements"** means those portions of the Final Guideline or Final Maintenance Guideline that are expressly identified as required for compliance with the Final Guideline or Final Maintenance Guideline including those portions of an optional or alternative portion of the Final Guideline or Final Maintenance Guideline that are identified as required for compliance with such optional or alternative portion. For clarity, those portions of the Final Guideline or Final Maintenance Guideline, including any portions of an optional or alternative portion thereof, which are designated by the terms "must", "shall", "mandatory", "normative" or "required" are expressly identified as being required for compliance. -j. **“Participant”** means a Member who is participating in one or more Working Groups of the CAB Forum, together with its Affiliates. Interested Parties and Associate Members are “Participants” for purposes of any Working Group(s) in which they may be participating, but they do not gain any CAB Forum membership privileges (such as voting rights) thereby. +j. **"Participant"** means a Member who is participating in one or more Working Groups of the CAB Forum, together with its Affiliates. Interested Parties and Associate Members are "Participants" for purposes of any Working Group(s) in which they may be participating, but they do not gain any CAB Forum membership privileges (such as voting rights) thereby. -k. **“Scope”** means those protocols, communication and network interface protocols, application program interfaces, service provider interfaces, physical dimensions and characteristics, data structures and any other hardware and/or software interface technologies solely to the extent disclosed in and required by a Final Guideline or Final Maintenance Guideline for the implementation of systems and methods for managing public/private keys and their associated certificates for securing or managing public/private keys and the implementation of systems and methods for obtaining and validating the accuracy and currency of data in support of certificate issuance, renewal and revocation. The Scope shall include only architectural and interconnection requirements of the Final Guideline or Final Maintenance Guideline and shall not include any implementation examples contained in the Final Guideline or Final Maintenance Guideline unless the Final Guideline or Final Maintenance Guideline expressly states that such implementation examples are to be included within the Scope of the license set forth in Section 5.1. +k. **"Scope"** means those protocols, communication and network interface protocols, application program interfaces, service provider interfaces, physical dimensions and characteristics, data structures and any other hardware and/or software interface technologies solely to the extent disclosed in and required by a Final Guideline or Final Maintenance Guideline for the implementation of systems and methods for managing public/private keys and their associated certificates for securing or managing public/private keys and the implementation of systems and methods for obtaining and validating the accuracy and currency of data in support of certificate issuance, renewal and revocation. The Scope shall include only architectural and interconnection requirements of the Final Guideline or Final Maintenance Guideline and shall not include any implementation examples contained in the Final Guideline or Final Maintenance Guideline unless the Final Guideline or Final Maintenance Guideline expressly states that such implementation examples are to be included within the Scope of the license set forth in Section 5.1. -l. **“Working Group”** means a working group that has been approved by the CAB Forum or Working Group in accordance with the Bylaws. Working Groups may be either “Legacy” (as defined in Section 5.3.4 of the Bylaws) or “Chartered” (as defined in Section 5.3.1(a) of the Bylaws), and they may designate their own Subcommittees, as described in Section 5.3.1(e) of the Bylaws. +l. **"Working Group"** means a working group that has been approved by the CAB Forum in accordance with Section 5.3 of the Bylaws. ## 8.4 Transfer of Essential Claims -Any transfer by Participant to an unaffiliated third party of a patent having Essential Claims shall be subject to the terms and conditions of this Intellectual Property Rights Policy. A Participant may choose the manner in which it complies with this Section, provided that any agreement for transferring or assigning Essential Claims includes a provision that such transfer or assignment is subject to existing licenses and obligations to license imposed on the Participant by standards bodies, specification development organizations, or similar organizations (or language of similar import). +Any transfer by Participant to an unaffiliated third party of a patent having Essential Claims shall be subject to the terms and conditions of this Policy. A Participant may choose the manner in which it complies with this Section, provided that any agreement for transferring or assigning Essential Claims includes a provision that such transfer or assignment is subject to existing licenses and obligations to license imposed on the Participant by standards bodies, specification development organizations, or similar organizations (or language of similar import). + + diff --git a/IPR_Policy_Agreement_v.1.4.md b/IPR_Policy_Agreement_v.1.4.md new file mode 100644 index 0000000..c314649 --- /dev/null +++ b/IPR_Policy_Agreement_v.1.4.md @@ -0,0 +1,69 @@ +# **CA/Browser Forum IPR Policy Agreement** + +This CA/Browser Forum Intellectual Property Rights Policy Agreement (the “Agreement”) constitutes a binding agreement by and among all individuals and legal entities that execute this Agreement (each, a “Participant,” and collectively, the “Participants”). + +Each Participant enters into this Agreement in consideration of the mutual promises and commitments of the other Participants. + +## **1\. Incorporation of IPR Policy** + +Each Participant agrees to comply with and be bound by the CA/Browser Forum Intellectual Property Rights Policy, version 1.4 (the “IPR Policy”), as adopted and amended from time to time by the CA/Browser Forum. The IPR Policy is incorporated herein by reference. + +Each Participant acknowledges that certain obligations under the IPR Policy may survive termination of participation in a Working Group or withdrawal from the Forum, as more fully described in the IPR Policy. + +## **2\. Scope of Commitment** + +By executing this Agreement, each Participant agrees that, with respect to each CA/Browser Forum Working Group that the Participant joins, all contributions to such Working Group and all participation in such Working Group activities shall be subject to the IPR Policy. + +The obligations undertaken by each Participant under this Agreement are made to each and every other Participant. Each Participant acknowledges that each other Participant is an intended beneficiary of this Agreement. + +## **3\. Entities and Individuals** + +If a Participant is a legal entity, this Agreement binds the entity identified below. + +If a Participant is an individual signing in a personal capacity, this Agreement binds only that individual. + +An individual signing on behalf of a legal entity represents and warrants that they are duly authorized to execute this Agreement on behalf of the identified entity and to bind that entity to its terms. + +An individual signing in a personal capacity represents that they are not executing this Agreement on behalf of any legal entity and that, to the best of their knowledge, their participation in the Forum does not violate any contractual or legal obligations to which they are subject. + +## **4\. Affiliates** + +If a Participant is a legal entity, the Participant agrees that this Agreement and the incorporated IPR Policy shall apply to the Participant and to any Affiliate that the Participant has the legal authority to bind with respect to intellectual property rights defined in the IPR Policy. + +For purposes of this Agreement, “Affiliate” means any entity that directly or indirectly controls, is controlled by, or is under common control with the Participant. + +To the extent a Participant does not have legal authority to bind a particular Affiliate, such Affiliate shall not be bound unless it separately executes this Agreement. + +## **5\. Condition of Participation** + +Execution and continued effectiveness of this Agreement are conditions of participation in the CA/Browser Forum and its Working Groups. Failure to execute or maintain this Agreement in effect may result in suspension or termination of participation rights in accordance with the Forum’s Bylaws and applicable ballots. + +## **6\. Interpretation** + +This Agreement shall be interpreted consistently with the IPR Policy. In the event of any inconsistency between this Agreement and the IPR Policy with respect to intellectual property matters, the IPR Policy shall control. + +## **PARTICIPANT** + +| **If signing on behalf of a legal entity:** | +| --- | +| | | +| Participant Legal Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | +| | | +| By: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | +| | | +| Signature Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | +| | | +| Print Name Title: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | +| | | +| Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | + +| **If signing in a personal capacity:** | +| --- | +| | | +| Name of Individual: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | +| | | +| Signature: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | +| | | +| Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | +| | | +| Affiliated Organization (if applicable): \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | diff --git a/IPR_Policy_Agreement_v.1.4.pdf b/IPR_Policy_Agreement_v.1.4.pdf new file mode 100644 index 0000000..141de90 Binary files /dev/null and b/IPR_Policy_Agreement_v.1.4.pdf differ