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<meta name="generator"
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<title>W3C Patent Policy</title>
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</head>
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<body>
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<div class="head"><a href="http://www.w3.org/"><img alt="W3C"
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height="48" width="72" src="http://www.w3.org/Icons/w3c_home" /></a>
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<h1><a id="title" name="title">W3C Patent Policy</a></h1>
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<h2><a id="subtitle" name="subtitle">W3C Policy 20 May 2003</a></h2>
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<dl>
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<dt>This version:</dt>
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<dd><a
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href="http://www.w3.org/Consortium/Patent-Policy-20030520.html">http://www.w3.org/Consortium/Patent-Policy-20030520.html</a></dd>
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<dt>Latest version:</dt>
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<dd><a
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href="http://www.w3.org/Consortium/Patent-Policy">http://www.w3.org/Consortium/Patent-Policy</a></dd>
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<dt>Previous version:</dt>
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<dd><a
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href="http://www.w3.org/TR/2003/WD-patent-policy-20030319/">http://www.w3.org/TR/2003/WD-patent-policy-20030319/</a></dd>
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<dt>Editor:</dt>
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<dd>Daniel J. Weitzner, W3C/MIT, <a
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href="mailto:djweitzner@w3.org">djweitzner@w3.org</a></dd>
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</dl>
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<p>Please refer to the <a
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href="http://www.w3.org/2001/ppwg/patent-policy-errata.html"><strong>errata</strong></a>
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for this document, which may include some normative corrections.</p>
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<p>See also <a
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href="http://www.w3.org/2001/ppwg/patent-policy-translations.html"><strong>
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translations</strong></a>.</p>
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<p class="copyright"><a
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href="http://www.w3.org/Consortium/Legal/ipr-notice#Copyright">Copyright</a>
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© 2000-2003 <a href="http://www.w3.org/"><acronym
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title="World Wide Web Consortium">W3C</acronym></a><sup>®</sup>
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(<a href="http://www.lcs.mit.edu/"><acronym
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title="Massachusetts Institute of Technology">MIT</acronym></a>, <a
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href="http://www.ercim.org/"><acronym
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title="European Research Consortium for Informatics and Mathematics">ERCIM</acronym></a>,
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<a href="http://www.keio.ac.jp/">Keio</a>), All Rights Reserved. W3C <a
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href="http://www.w3.org/Consortium/Legal/ipr-notice#Legal_Disclaimer">liability</a>,
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<a
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href="http://www.w3.org/Consortium/Legal/ipr-notice#W3C_Trademarks">trademark</a>,
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<a
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href="http://www.w3.org/Consortium/Legal/copyright-documents">document
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use</a> and <a
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href="http://www.w3.org/Consortium/Legal/copyright-software">software
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licensing</a> rules apply.</p>
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</div>
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<hr title="Separator for header" />
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<h2><a id="Abstract" name="Abstract">Abstract</a></h2>
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<p>The W3C Patent Policy governs the handling of patents in the process
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of producing Web standards. The goal of this policy is to assure that
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Recommendations produced under this policy can be implemented on a
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Royalty-Free (RF) basis.</p>
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<h2><a id="Status" name="Status">Status of This Document</a></h2>
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<p><strong>This document has been superseded</strong> by the
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<a href="http://www.w3.org/Consortium/Patent-Policy-20040205/">5 February 2004
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W3C Patent Policy</a>.</p>
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<p>This document has been reviewed by
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W3C Members and other interested parties and has been <a
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href="http://www.w3.org/2003/05/12-director-patent-decision-public.html">
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endorsed</a> by the Director as the W3C Patent Policy. It is a stable
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document and may be used as reference material or cited as a normative
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reference from another document. W3C's role in making this policy is to
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provide a stable policy for handling patent claims in the context of
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W3C Recommendations and to enhance the functionality and
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interoperability of the Web. This policy was produced by the <a
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href="http://www.w3.org/2001/ppwg/">W3C Patent Policy Working
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Group</a>.</p>
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<p>Please report errors in this document to the <a
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href="mailto:www-patentpolicy-comment@w3.org">www-patentpolicy-comment@w3.org</a>
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mailing list (<a
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href="http://lists.w3.org/Archives/Public/www-patentpolicy-comment/">public
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archive</a>). The <a
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href="http://www.w3.org/2001/ppwg/patent-policy-errata.html">list of
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known errors</a> is public.</p>
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<p>The English version of this policy is the only normative
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version.</p>
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<p>Implementation material and other informative documents will be
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available in the <a href="http://www.w3.org/Consortium/Patent/">W3C
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Patent Policy Overview</a>.</p>
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<h2><a id="toc" name="toc">Table of Contents</a></h2>
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<ul class="toc">
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<li class="tocline1"><a href="#Abstract">Abstract</a></li>
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<li class="tocline1"><a href="#Status">Status of This Document</a></li>
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<li class="tocline1"><a href="#sec-Overview">1. Overview</a></li>
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<li class="tocline1"><a href="#sec-Licensing">2. Licensing Goals for
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W3C Recommendations</a></li>
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<li class="tocline1"><a href="#sec-Obligations">3. Licensing
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Obligations of Working Group Participants</a>
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<ul class="toc">
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<li class="tocline2"><a href="#sec-W3C-RF-license">3.1. W3C RF
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Licensing Requirements for All Working Group Participants</a></li>
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<li class="tocline2"><a href="#sec-non-participants">3.2. Limitation on
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Licensing Requirement for Non-Participating Members</a></li>
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<li class="tocline2"><a href="#sec-submissions">3.3. Licensing
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Commitments in W3C Submissions</a></li>
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<li class="tocline2"><a href="#sec-invited">3.4. Note on Licensing
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Commitments for Invited Experts</a></li>
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</ul>
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</li>
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<li class="tocline1"><a href="#sec-Exclusion">4. Exclusion From W3C RF
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Licensing Requirements</a>
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<ul class="toc">
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<li class="tocline3"><a href="#sec-exclusion-with">4.1. Exclusion With
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Continued Participation</a></li>
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<li class="tocline3"><a href="#sec-exclusion-resign">4.2. Exclusion and
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Resignation From the Working Group</a></li>
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<li class="tocline3"><a href="#sec-join">4.3. Joining an Already
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Established Working Group</a></li>
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<li class="tocline3"><a href="#sec-exclude-app">4.4. Exclusion
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Procedures for Pending, Unpublished Patent Applications</a></li>
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<li class="tocline3"><a href="#sec-exclude-mech">4.5. Exclusion
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Mechanics</a></li>
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</ul>
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</li>
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<li class="tocline1"><a href="#sec-Requirements">5. W3C Royalty-Free
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(RF) Licensing Requirements</a></li>
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<li class="tocline1"><a href="#sec-Disclosure">6. Disclosure</a>
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<ul class="toc">
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<li class="tocline2"><a href="#sec-disclosure-requirements">6.1.
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Disclosure Requirements</a></li>
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<li class="tocline2"><a href="#sec-disclosure-exemption">6.2.
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Disclosure Exemption</a></li>
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<li class="tocline2"><a href="#sec-disclosure-requests">6.3. Disclosure
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Requests</a></li>
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<li class="tocline2"><a href="#sec-disclosure-contents">6.4. Disclosure
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Contents</a></li>
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<li class="tocline2"><a href="#sec-published">6.5. Disclosure of
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Laid-Open or Published Applications</a></li>
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<li class="tocline2"><a href="#sec-pending">6.6. Disclosure of Pending,
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Unpublished Applications</a></li>
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<li class="tocline2"><a href="#sec-good-faith">6.7. Good Faith
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Disclosure Standards</a></li>
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<li class="tocline2"><a href="#sec-disclosure-timing">6.8. Timing of
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Disclosure Obligations</a></li>
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<li class="tocline2"><a href="#sec-disclosure-termination">6.9.
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Termination of Disclosure Obligations</a></li>
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<li class="tocline2"><a href="#sec-disclosure-invite">6.10. Disclosure
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Obligations of Invited Experts</a></li>
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<li class="tocline2"><a href="#sec-disclosure-public">6.11. Disclosures
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to Be Publicly Available on Recommendation Track</a></li>
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</ul>
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</li>
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<li class="tocline1"><a href="#sec-Exception">7. Exception Handling</a>
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<ul class="toc">
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<li class="tocline2"><a href="#sec-PAG-formation">7.1. PAG
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Formation</a></li>
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<li class="tocline2"><a href="#sec-PAG-post-Recommendation">7.2. PAG
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Formation After a Recommendation Is Issued</a></li>
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<li class="tocline2"><a href="#sec-PAG-composition">7.3. PAG
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Composition</a></li>
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<li class="tocline2"><a href="#sec-PAG-procedures">7.4. PAG
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Procedures</a>
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<ul class="toc">
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<li class="tocline3"><a href="#sec-PAG-procedures-timing">7.4.1. PAG
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Formation Timing</a></li>
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<li class="tocline3"><a href="#sec-PAG-procedures-charter">7.4.2. PAG
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Charter Requirements</a></li>
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</ul>
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</li>
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<li class="tocline2"><a href="#sec-PAG-conclude">7.5. PAG
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Conclusion</a>
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<ul class="toc">
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<li class="tocline3"><a href="#sec-PAG-conclude-possible">7.5.1.
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Possible PAG Conclusions</a></li>
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<li class="tocline3"><a href="#sec-PAG-conclude-outcome">7.5.2. PAG
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Outcome</a></li>
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<li class="tocline3"><a href="#sec-PAG-conclude-alternate">7.5.3.
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Procedure for Considering Alternate Licensing Terms</a></li>
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</ul>
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</li>
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</ul>
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</li>
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<li class="tocline1"><a href="#def-essential">8. Definition of
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Essential Claims</a>
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<ul class="toc">
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<li class="tocline2"><a href="#def-essential-definition">8.1. Essential
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Claims</a></li>
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<li class="tocline2"><a href="#def-essential-exclusions">8.2.
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Limitations on Scope of Essential Claims</a></li>
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<li class="tocline2"><a href="#def-essential-requirements">8.3.
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Definition of Normative, Optional and Informative</a></li>
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</ul>
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</li>
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<li class="tocline1"><a href="#sec-References">References</a></li>
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<li class="tocline1"><a
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href="#sec-acknowledgments">Acknowledgments</a></li>
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</ul>
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<hr />
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<h2><a id="sec-Overview" name="sec-Overview">1. Overview</a></h2>
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<p>This patent policy describes:</p>
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<ol>
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<li>licensing goals for W3C Recommendations</li>
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<li>licensing obligations that Working Group participants will
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undertake as a condition of Working Group participation, along with
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means of excluding specific patents from those obligations</li>
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<li>the definition of a W3C Royalty-Free license</li>
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<li>disclosure rules for W3C Members</li>
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<li>an exception handling process for situations in which the
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Royalty-Free status of a specification comes under question</li>
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<li>definition of Essential Claims</li>
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</ol>
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<p>All numbered sections of this document (1-8), as well as hyperlinks
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to material within and outside of this document, are normative.</p>
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<h2><a id="sec-Licensing" name="sec-Licensing">2. Licensing Goals for
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W3C Recommendations</a></h2>
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<p>In order to promote the widest adoption of Web standards, W3C seeks
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to issue Recommendations that can be implemented on a <a
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href="#def-RF">Royalty-Free</a> (RF) basis. Subject to the conditions
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of this policy, W3C will not approve a Recommendation if it is aware
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that <a href="#def-essential">Essential Claims</a> exist which are not
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available on Royalty-Free terms.</p>
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<p>To this end, Working Group charters will include a reference to this
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policy and a requirement that specifications produced by the Working
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Group will be implementable on an RF basis, to the best ability of the
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Working Group and the Consortium.</p>
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<h2><a id="sec-Obligations" name="sec-Obligations">3. Licensing
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Obligations of Working Group Participants</a></h2>
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<p>The following obligations shall apply to all participants in W3C
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Working Groups. These obligations will be referenced from each Working
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Group charter and Calls for Participation.</p>
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<h3><a id="sec-W3C-RF-license" name="sec-W3C-RF-license">3.1. W3C RF
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Licensing Requirements for All Working Group Participants</a></h3>
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<p>As a condition of participating in a Working Group, each participant
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(W3C Members, W3C Team members, invited experts, and members of the
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public) shall agree to make available under <a href="#def-RF">W3C RF
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licensing requirements</a> any <a href="#def-essential">Essential
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Claims</a> related to the work of that particular Working Group. This
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requirement includes Essential Claims that the participant owns and any
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that the participant has the right to license without obligation of
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payment or other consideration to an unrelated third party. With the
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exception of the provisions of section 4 below, W3C RF licensing
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obligations made concerning the work the particular Working Group and
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described in this policy are binding on participants for the life of
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the patents in question and encumber the patents containing <a
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href="#def-essential">Essential Claims</a>, regardless of changes in
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participation status or W3C Membership.</p>
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<h3><a id="sec-non-participants" name="sec-non-participants">3.2.
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Limitation on Licensing Requirement for Non-Participating
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Members</a></h3>
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<p>Only the affirmative act of joining a Working Group, or otherwise
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agreeing to the licensing terms described here, will obligate a Member
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to the W3C RF licensing commitments. Mere Membership in W3C alone,
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without other factors, does not give rise to the RF licensing
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obligation under this policy.</p>
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<h3><a id="sec-submissions" name="sec-submissions">3.3. Licensing
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Commitments in W3C Submissions</a></h3>
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<p>At the time a <a
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href="http://www.w3.org/Consortium/Process-20010719/submission.html#Submission">
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W3C Submission</a> [<cite><a href="#ref-PROCESS">PROCESS</a></cite>,
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section 8] is made, all Submitters and any others who provide patent
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licenses associated with the submitted document must indicate whether
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or not each entity (Submitters and other licensors) will offer a
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license according to the <a href="#def-RF">W3C RF licensing
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requirements</a> for any portion of the Submission that is subsequently
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incorporated in a W3C Recommendation. The W3C Team may acknowledge the
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Submission if the answer to the licensing commitment is either
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affirmative or negative, and shall not acknowledge the Submission if no
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response is provided.</p>
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<h3><a id="sec-invited" name="sec-invited">3.4. Note on Licensing
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Commitments for Invited Experts</a></h3>
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<p>Invited experts participate in Working Groups in their individual
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capacity. An invited expert is only obliged to license those claims
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over which s/he exercises control.</p>
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<h2><a id="sec-Exclusion" name="sec-Exclusion">4. Exclusion From W3C RF
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Licensing Requirements</a></h2>
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<p>Under the following conditions, Working Group participants may
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exclude specifically identified and disclosed Essential Claims from the
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overall W3C RF licensing requirements:</p>
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<h3><a id="sec-exclusion-with" name="sec-exclusion-with">4.1. Exclusion
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With Continued Participation</a></h3>
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<p>Specific Essential Claims may be excluded from the <a
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href="#sec-W3C-RF-license">W3C RF licensing requirements</a> by a
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participant who seeks to remain in the Working Group only if that
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participant indicates its refusal to license specific claims no later
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than 150 days after the publication of the first public <a
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href="http://www.w3.org/Consortium/Process-20010719/tr.html#RecsWD">Working
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Draft</a> [<cite><a href="#ref-PROCESS">PROCESS</a></cite>, section
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5.1.2] by specifically <a href="#sec-Disclosure">disclosing</a>
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Essential Claims that will not be licensed on W3C RF terms. A
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participant who excludes Essential Claims may continue to participate
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in the Working Group.</p>
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<p>If any claims are made essential by the final <a
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href="http://www.w3.org/Consortium/Process-20010719/tr.html#Recs">Recommendation</a>
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[<cite><a href="#ref-PROCESS">PROCESS</a></cite>, section 5.2] as a
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result of subject matter not present or apparent in the latest public
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<a
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href="http://www.w3.org/Consortium/Process-20010719/tr.html#RecsWD">Working
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Draft</a> [<cite><a href="#ref-PROCESS">PROCESS</a></cite>, section
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5.1.2] published within 90 days after the first public Working Draft,
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the participant may exclude these new Essential Claims, and only these
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claims, by using this exclusion procedure within 60 days after the
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publication of the <a
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href="http://www.w3.org/Consortium/Process-20010719/tr.html#last-call">Last
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Call Working Draft</a> [<cite><a
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href="#ref-PROCESS">PROCESS</a></cite>, section 5.2.2]. After that
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point, no claims may be excluded. (Note that if material new subject
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matter is added after Last Call, then a new Last Call draft will have
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to be produced, thereby allowing another exclusion period for 60 days
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after that most recent Last Call draft.)</p>
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<h3><a id="sec-exclusion-resign" name="sec-exclusion-resign">4.2.
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Exclusion and Resignation From the Working Group</a></h3>
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<p>A participant may resign from the Working Group within 90 days after
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the publication of the first public Working Draft and be excused from
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all licensing commitments arising out of Working Group
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participation.</p>
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<p>If a participant leaves the Working Group later than 90 days after
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the publication of the first public Working Draft, that participant is
|
|
only bound to license Essential Claims based on subject matter
|
|
contained in the latest Working Draft published before the participant
|
|
resigned from the Working Group. In addition, departing participants
|
|
have 60 days after their actual resignation to exclude Essential Claims
|
|
made essential by documents not referenced in the Call for Exclusion
|
|
(see section 4.5) if:</p>
|
|
|
|
<ol>
|
|
<li>such claims are essential to subject matter that is contained in
|
|
the latest Working Draft published before the participant resigns,
|
|
and</li>
|
|
|
|
<li>such subject matter is not present or apparent in the latest
|
|
Working Draft published within 90 days after the first public Working
|
|
Draft.</li>
|
|
</ol>
|
|
|
|
<p>The participant follows the same procedures specified in this
|
|
section 4 for excluding claims in issued patents, published
|
|
applications, and unpublished applications. Participants resigning from
|
|
a Working Group are still subject to all disclosure obligations
|
|
described in section 6.</p>
|
|
|
|
<h3><a id="sec-join" name="sec-join">4.3. Joining an Already
|
|
Established Working Group</a></h3>
|
|
|
|
<p>Participants who join a Working Group more than 90 days after the
|
|
publication of the first public Working Draft must exclude Essential
|
|
Claims covered in the latest Working Draft published within 90 days
|
|
after the first public Working Draft at the later of 150 days after the
|
|
publication of the first public Working Draft or upon joining the
|
|
Working Group.</p>
|
|
|
|
<h3><a name="sec-exclude-app" id="sec-exclude-app">4.4. Exclusion
|
|
Procedures for Pending, Unpublished Patent Applications</a></h3>
|
|
|
|
<p>Exclusion of Essential Claims in pending, unpublished applications
|
|
follows the procedures for exclusion of issued claims and claims in
|
|
published applications in section 4.1 through 4.3, except that the
|
|
final deadline for exclusion of unpublished claims is at Last Call plus
|
|
60 days for any material, regardless of whether or not it was contained
|
|
in the documents referenced in the Call for Exclusion document.
|
|
Nevertheless, participants have a good faith obligation to make such
|
|
exclusions as soon as is practical after the publication of the first
|
|
Working Draft that includes the relevant technology.</p>
|
|
|
|
<p>Any exclusion of an Essential Claim in an unpublished application
|
|
must provide either:</p>
|
|
|
|
<ol>
|
|
<li>the text of the filed application; or</li>
|
|
|
|
<li>identification of the specific part(s) of the specification whose
|
|
implementation makes the excluded claim essential.</li>
|
|
</ol>
|
|
|
|
<p>If option 2 is chosen, the effect of the exclusion will be limited
|
|
to the identified part(s) of the specification.</p>
|
|
|
|
<h3><a name="sec-exclude-mech" id="sec-exclude-mech">4.5. Exclusion
|
|
Mechanics</a></h3>
|
|
|
|
<p>A Call for Exclusion will be issued by the Working Group Team
|
|
Contact indicating the relevant documents against which participants
|
|
must make exclusion statements as well as precise dates and deadlines
|
|
for making any exclusions. In case there is any dispute about the dates
|
|
for exclusion, the dates indicated in the Call for Exclusion are
|
|
controlling. The Call for Exclusion will be sent to the Working Group
|
|
mailing list and the Advisory Committee Representatives of all
|
|
organizations participating in the Working Group. In the event that a
|
|
Working Group issues more than one Recommendation-track document, the
|
|
exclusion procedure will be employed for each series of documents
|
|
individually.</p>
|
|
|
|
<h2><a id="sec-Requirements" name="sec-Requirements">5. W3C
|
|
Royalty-Free (RF) Licensing Requirements</a></h2>
|
|
|
|
<p>With respect to a Recommendation developed under this policy, a <a
|
|
name="def-RF" id="def-RF">W3C Royalty-Free</a> 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
|
|
implementations of the Recommendation that:</p>
|
|
|
|
<blockquote>
|
|
<p>1. shall be available to all, worldwide, whether or not they are W3C
|
|
Members;</p>
|
|
|
|
<p>2. shall extend to all <a href="#def-essential">Essential Claims</a>
|
|
owned or controlled by the licensor;</p>
|
|
|
|
<p>3. may be limited to implementations of the Recommendation, and to
|
|
what is required by the Recommendation;</p>
|
|
|
|
<p>4. may be conditioned on a grant of a reciprocal RF license (as
|
|
defined in this policy) to all <a href="#def-essential">Essential
|
|
Claims</a> 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.</p>
|
|
|
|
<p>5. may not be conditioned on payment of royalties, fees or other
|
|
consideration;</p>
|
|
|
|
<p>6. may be suspended with respect to any licensee when licensor is
|
|
sued by licensee for infringement of claims essential to implement any
|
|
W3C Recommendation;</p>
|
|
|
|
<p>7. 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;</p>
|
|
|
|
<p>8. shall not be considered accepted by an implementer who manifests
|
|
an intent <strong>not</strong> to accept the terms of the W3C
|
|
Royalty-Free license as offered by the licensor.</p>
|
|
|
|
<p>License term:</p>
|
|
|
|
<p>9. The RF license conforming to the requirements in this policy
|
|
shall be made available by the licensor as long as the Recommendation
|
|
is in effect. The term of such license shall be for the life of the
|
|
patents in question, subject to the limitations of 5(10).</p>
|
|
|
|
<p>10. If the Recommendation is rescinded by W3C, then no new licenses
|
|
need be granted but any licenses granted before the Recommendation was
|
|
rescinded shall remain in effect.</p>
|
|
</blockquote>
|
|
|
|
<p>All Working Group participants are encouraged to provide a contact
|
|
from which licensing information can be obtained and other relevant
|
|
licensing information. Any such information will be made publicly
|
|
available along with the patent disclosures for the Working Group in
|
|
question.</p>
|
|
|
|
<h2><a id="sec-Disclosure" name="sec-Disclosure">6. Disclosure</a></h2>
|
|
|
|
<h3><a id="sec-disclosure-requirements"
|
|
name="sec-disclosure-requirements">6.1. Disclosure
|
|
Requirements</a></h3>
|
|
|
|
<p>Disclosure is required when both of the following are true:</p>
|
|
|
|
<ol>
|
|
<li>an individual in a Member organization receives a disclosure
|
|
request as described in section 6.3; and</li>
|
|
|
|
<li>that individual has actual knowledge of a patent which the
|
|
individual believes contains Essential Claim(s) with respect to the
|
|
specification for which disclosure is requested.</li>
|
|
</ol>
|
|
|
|
<p>Anyone in a Member organization who receives a disclosure request
|
|
and who has such knowledge must inform that AC Rep. Where disclosure is
|
|
required, the AC Rep will do so.</p>
|
|
|
|
<h3><a id="sec-disclosure-exemption"
|
|
name="sec-disclosure-exemption">6.2. Disclosure Exemption</a></h3>
|
|
|
|
<p>The disclosure obligation as to a particular claim is satisfied if
|
|
the holder of the claim has made a commitment to license that claim
|
|
under <a href="#def-RF">W3C RF licensing requirements</a> and the claim
|
|
is no longer subject to exclusion under section 4. An Essential Claim
|
|
is no longer subject to exclusion if a patent holder has affirmatively
|
|
agreed to license the Essential Claim (effectively waiving its right to
|
|
exclude such patent under section 4) or if the relevant exclusion
|
|
period under section 4 has lapsed.</p>
|
|
|
|
<h3><a id="sec-disclosure-requests" name="sec-disclosure-requests">6.3.
|
|
Disclosure Requests</a></h3>
|
|
|
|
<p>Disclosure requests will be included in the "Status of This
|
|
Document" section of each Recommendation track document as it reaches
|
|
each new maturity level (Working Draft, Last Call Working Draft,
|
|
Candidate Recommendation, Proposed Recommendation, Recommendation).
|
|
Separate requests may be issued by the W3C to any party suspected of
|
|
having knowledge of Essential Claims. Such disclosure requests will
|
|
instruct the recipient to respond through their AC Rep (in the case of
|
|
Members) or a W3C contact (in the case of non-Members). Disclosure
|
|
requests other than those that appear in the specification itself
|
|
should be directed to the AC Rep.</p>
|
|
|
|
<h3><a id="sec-disclosure-contents" name="sec-disclosure-contents">6.4.
|
|
Disclosure Contents</a></h3>
|
|
|
|
<p>Disclosure statements must include:</p>
|
|
|
|
<ol>
|
|
<li>the patent number, but need not mention specific claims</li>
|
|
|
|
<li>the Working Group and/or Recommendation to which it applies</li>
|
|
</ol>
|
|
|
|
<p>The disclosure statements should be sent to the relevant disclosure
|
|
mailing list, currently <<a
|
|
href="mailto:patent-disclosure@w3.org">patent-disclosure@w3.org</a>>.</p>
|
|
|
|
<h3><a id="sec-published" name="sec-published">6.5. Disclosure of
|
|
Laid-Open or Published Applications</a></h3>
|
|
|
|
<p>In the case of laid-open or published applications, the Member's
|
|
good faith disclosure obligation extends to unpublished amended and/or
|
|
added claims that have been allowed by relevant legal authorities and
|
|
that the Member believes to be Essential Claims. To satisfy the
|
|
disclosure obligation for such claims, the Member shall either:</p>
|
|
|
|
<ol>
|
|
<li>disclose such claims, or</li>
|
|
|
|
<li>identify those portions of the W3C specification likely to be
|
|
covered by such claims.</li>
|
|
</ol>
|
|
|
|
<h3><a id="sec-pending" name="sec-pending">6.6. Disclosure of Pending,
|
|
Unpublished Applications</a></h3>
|
|
|
|
<p>If a W3C Member includes claims in a patent application and such
|
|
claims were developed based on information from a W3C Working Group or
|
|
W3C document, the Member must disclose the existence of such pending
|
|
unpublished applications.</p>
|
|
|
|
<h3><a id="sec-good-faith" name="sec-good-faith">6.7. Good Faith
|
|
Disclosure Standards</a></h3>
|
|
|
|
<p>Satisfaction of the disclosure requirement does not require that the
|
|
discloser perform a patent search or any analysis of the relationship
|
|
between the patents that the Member organization holds and the
|
|
specification in question.</p>
|
|
|
|
<p>Disclosure of third party patents is only required where the
|
|
Advisory Committee Representative or Working Group participant has been
|
|
made aware that the third party patent holder or applicant has asserted
|
|
that its patent contains <a href="#def-essential">Essential Claims</a>,
|
|
unless such disclosure would breach a pre-existing non-disclosure
|
|
obligation.</p>
|
|
|
|
<h3><a id="sec-disclosure-timing" name="sec-disclosure-timing">6.8.
|
|
Timing of Disclosure Obligations</a></h3>
|
|
|
|
<p>The disclosure obligation is an ongoing obligation that begins with
|
|
the Call for Participation. Full satisfaction of the disclosure
|
|
obligation may not be possible until later in the process when the
|
|
design is more complete. In any case, disclosure as soon as practically
|
|
possible is required.</p>
|
|
|
|
<h3><a id="sec-disclosure-termination"
|
|
name="sec-disclosure-termination">6.9. Termination of Disclosure
|
|
Obligations</a></h3>
|
|
|
|
<p>The disclosure obligation terminates when the Recommendation is
|
|
published or when the Working Group terminates.</p>
|
|
|
|
<h3><a id="sec-disclosure-invite" name="sec-disclosure-invite">6.10.
|
|
Disclosure Obligations of Invited Experts</a></h3>
|
|
|
|
<p>Invited experts or members of the public participating in a Working
|
|
Group must comply with disclosure obligations to the extent of their
|
|
own personal knowledge.</p>
|
|
|
|
<h3><a id="sec-disclosure-public" name="sec-disclosure-public">6.11.
|
|
Disclosures to Be Publicly Available on Recommendation Track</a></h3>
|
|
|
|
<p>Patent disclosure information for each specification on the
|
|
Recommendation track will be made public along with each public Working
|
|
Draft issued by the Working Group.</p>
|
|
|
|
<h2><a id="sec-Exception" name="sec-Exception">7. Exception
|
|
Handling</a></h2>
|
|
|
|
<h3><a id="sec-PAG-formation" name="sec-PAG-formation">7.1. PAG
|
|
Formation</a></h3>
|
|
|
|
<p>In the event a patent has been disclosed that may be essential, but
|
|
is not available under <a href="#def-RF">W3C RF licensing
|
|
requirements</a>, 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 Working Group with the conflict. A PAG
|
|
may also be formed without such a disclosure if a PAG could help avoid
|
|
anticipated patent problems. During the time that the PAG is operating,
|
|
the Working Group may continue its technical work within the bounds of
|
|
its charter.</p>
|
|
|
|
<h3><a id="sec-PAG-post-Recommendation"
|
|
name="sec-PAG-post-Recommendation">7.2. PAG Formation After a
|
|
Recommendation Is Issued</a></h3>
|
|
|
|
<p>A PAG may also be convened in the event Essential Claims are
|
|
discovered after a Recommendation 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.</p>
|
|
|
|
<h3><a id="sec-PAG-composition" name="sec-PAG-composition">7.3. PAG
|
|
Composition</a></h3>
|
|
|
|
<p>The PAG is composed of:</p>
|
|
|
|
<ul>
|
|
<li>Advisory Committee Representatives of each W3C Member organization
|
|
participating in the Working Group (or alternate designated by the AC
|
|
Rep)</li>
|
|
|
|
<li>Working Group Team Contact</li>
|
|
|
|
<li>W3C counsel</li>
|
|
|
|
<li>Working Group Chair, <em>ex officio</em></li>
|
|
|
|
<li>Domain Leader responsible for the Working Group</li>
|
|
|
|
<li>Others suggested by the Working Group Chair and/or the Team with
|
|
the approval of the Director</li>
|
|
</ul>
|
|
|
|
<p>W3C Member participants in the PAG should be authorized to represent
|
|
their organization's views on patent licensing issues. Any participant
|
|
in the PAG may also be represented by legal counsel, though this is not
|
|
required. Invited experts are not entitled to participate in the PAG,
|
|
though the PAG may chose to invite any qualified experts who would be
|
|
able to assist the PAG in its determinations.</p>
|
|
|
|
<p>W3C expects to provide qualified legal staffing to all PAGs in the
|
|
form of a Team member who develops experience with the PAG process and
|
|
patent issues at W3C. Legal staff to the PAG will represent the
|
|
interests of the Consortium as a whole.</p>
|
|
|
|
<h3><a id="sec-PAG-procedures" name="sec-PAG-procedures">7.4. PAG
|
|
Procedures</a></h3>
|
|
|
|
<h4><a id="sec-PAG-procedures-timing"
|
|
name="sec-PAG-procedures-timing">7.4.1. PAG Formation Timing</a></h4>
|
|
|
|
<p>The PAG will be convened by the Working Group Team Contact, based on
|
|
a charter developed initially by the Team. The timing for convening the
|
|
PAG is at the discretion of the Director, based on consultation with
|
|
the Chair of the Working Group. 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 Last Call or Candidate Recommendation maturity
|
|
level.</p>
|
|
|
|
<h4><a id="sec-PAG-procedures-charter"
|
|
name="sec-PAG-procedures-charter">7.4.2. PAG Charter
|
|
Requirements</a></h4>
|
|
|
|
<p>The charter should include:</p>
|
|
|
|
<ul>
|
|
<li>clear goals for the PAG, especially a statement of the question(s)
|
|
the PAG is to answer.</li>
|
|
|
|
<li>duration.</li>
|
|
|
|
<li>confidentiality status, which must follow the underlying Working
|
|
Group (Member only, public, etc.).</li>
|
|
</ul>
|
|
|
|
<p>The PAG charter must specify deadlines for completion of individual
|
|
work items it takes on. The PAG, once convened, may propose changes to
|
|
its charter as appropriate, to be accepted based on consensus of the
|
|
PAG participants. The Team will choose a member of the PAG to serve as
|
|
Chair. A single PAG may exist for the duration of the Working Group
|
|
with which it is associated if needed.</p>
|
|
|
|
<p>In order to obtain input from the interested public at large, as
|
|
soon as the PAG is convened, the PAG charter will be made public, along
|
|
with all of the patent disclosure and licensing statements applicable
|
|
to the Working Group in question.</p>
|
|
|
|
<h3><a id="sec-PAG-conclude" name="sec-PAG-conclude">7.5. PAG
|
|
Conclusion</a></h3>
|
|
|
|
<h4><a id="sec-PAG-conclude-possible"
|
|
name="sec-PAG-conclude-possible">7.5.1. Possible PAG
|
|
Conclusions</a></h4>
|
|
|
|
<p>After appropriate consultation, the PAG may conclude:</p>
|
|
|
|
<ol>
|
|
<li>The initial concern has been resolved, enabling the Working Group
|
|
to continue.</li>
|
|
|
|
<li>The Working Group should be instructed to consider designing around
|
|
the identified claims.</li>
|
|
|
|
<li>The Team should seek further information and evaluation, including
|
|
and not limited to evaluation of the patents in question or the terms
|
|
under which W3C RF licensing requirements may be met.</li>
|
|
|
|
<li>The Working Group should be terminated.</li>
|
|
|
|
<li>The Recommendation (if it has already been issued) should be
|
|
rescinded.</li>
|
|
|
|
<li>Alternative licensing terms should be considered. The procedure in
|
|
section 7.5.3 must be followed.</li>
|
|
</ol>
|
|
|
|
<h4><a id="sec-PAG-conclude-outcome"
|
|
name="sec-PAG-conclude-outcome">7.5.2. PAG Outcome</a></h4>
|
|
|
|
<p>Outcomes 4, 5 or 6 require an Advisory Committee review and
|
|
Director's decision. In any case, the PAG must state its Proposal and
|
|
reasons in a public W3C document.</p>
|
|
|
|
<h4><a id="sec-PAG-conclude-alternate"
|
|
name="sec-PAG-conclude-alternate">7.5.3. Procedure for Considering
|
|
Alternate Licensing Terms</a></h4>
|
|
|
|
<p>After having made every effort to resolve the conflict through
|
|
options 1, 2, and 3 under 7.5.1, the PAG, by <a
|
|
href="/Consortium/Process/groups.html#WGVotes">consensus</a>, may
|
|
propose that specifically identified patented technology be included in
|
|
the Recommendation even though such claims are not available according
|
|
to the W3C RF licensing requirements of this policy. The PAG Proposal
|
|
must explain:</p>
|
|
|
|
<ul>
|
|
<li>why the chartered goals of the Working Group cannot be met without
|
|
inclusion of the identified technology;</li>
|
|
|
|
<li>how the proposed licensing terms will be consistent with widespread
|
|
adoption.</li>
|
|
</ul>
|
|
|
|
<p>The PAG Proposal must include:</p>
|
|
|
|
<ul>
|
|
<li>a complete list of claims and licensing terms of the proposed
|
|
alternative arrangements; and,</li>
|
|
|
|
<li>a proposed charter for the Working Group, unless the Recommendation
|
|
has been issued and no new work is required.</li>
|
|
</ul>
|
|
|
|
<p>If the Director determines that the PAG Proposal is the best
|
|
alternative consistent with the W3C mission, the interests of the Web
|
|
community, and is clearly justified despite the expressed preference of
|
|
the W3C Membership for RF licensing, then the Proposal shall be
|
|
circulated for public comment and Advisory Committee review. The
|
|
Director may also circulate the Proposal for Advisory Committee review
|
|
without such endorsement. Should the PAG Proposal be rejected, then
|
|
either sub-paragraph 4 or 5 of section 7.5.3 will apply as appropriate,
|
|
without further action of the Advisory Committee. Members of the
|
|
Working Group who are bound to RF terms are not released from their
|
|
obligations by virtue of the PAG Proposal alone. As with any newly
|
|
chartered Working Group, new commitments must be made, along with
|
|
possible exclusions. In order to expedite the process, the PAG Proposal
|
|
should consider whether additional claims would be excluded under the
|
|
new charter and include such information in the PAG Proposal.</p>
|
|
|
|
<h2><a name="def-essential" id="def-essential">8. Definition of
|
|
Essential Claims</a></h2>
|
|
|
|
<h3><a id="def-essential-definition"
|
|
name="def-essential-definition">8.1. Essential Claims</a></h3>
|
|
|
|
<p>"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 the Recommendation. 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 the normative portions of the Recommendation. Existence of
|
|
a non-infringing alternative shall be judged based on the state of the
|
|
art at the time the specification becomes a Recommendation.</p>
|
|
|
|
<h3><a id="def-essential-exclusions"
|
|
name="def-essential-exclusions">8.2. Limitations on the Scope of
|
|
Definition of Essential Claims</a></h3>
|
|
|
|
<p>The following are expressly excluded from and shall not be deemed to
|
|
constitute Essential Claims:</p>
|
|
|
|
<ol class="definitions">
|
|
<li>any claims other than as set forth above even if contained in the
|
|
same patent as Essential Claims; and</li>
|
|
|
|
<li>claims which would be infringed only by:
|
|
|
|
<ul>
|
|
<li>portions of an implementation that are not specified in the
|
|
normative portions of the Recommendation, or</li>
|
|
|
|
<li>enabling technologies that may be necessary to make or use any
|
|
product or portion thereof that complies with the Recommendation and
|
|
are not themselves expressly set forth in the Recommendation (e.g.,
|
|
semiconductor manufacturing technology, compiler technology,
|
|
object-oriented technology, basic operating system technology, and the
|
|
like); or</li>
|
|
|
|
<li>the implementation of technology developed elsewhere and merely
|
|
incorporated by reference in the body of the Recommendation.</li>
|
|
</ul>
|
|
</li>
|
|
|
|
<li>design patents and design registrations.</li>
|
|
</ol>
|
|
|
|
<h3><a id="def-essential-requirements"
|
|
name="def-essential-requirements">8.3. Definition of Normative,
|
|
Optional and Informative</a></h3>
|
|
|
|
<p>For purposes of this definition, the normative portions of the
|
|
Recommendation shall be deemed to include only architectural and
|
|
interoperability requirements. Optional features in the RFC 2119
|
|
[<cite><a href="#ref-KEYWORDS">KEYWORDS</a></cite>] sense are
|
|
considered normative unless they are specifically identified as
|
|
informative. Implementation examples or any other material that merely
|
|
illustrate the requirements of the Recommendation are informative,
|
|
rather than normative.</p>
|
|
|
|
<hr />
|
|
<h2><a id="sec-References" name="sec-References">References</a></h2>
|
|
|
|
<dl>
|
|
<dt><a id="ref-KEYWORDS" name="ref-KEYWORDS">[KEYWORDS]</a></dt>
|
|
|
|
<dd><cite><a href="http://www.rfc-editor.org/rfc/rfc2119.txt">Key words
|
|
for use in RFCs to Indicate Requirement Levels</a></cite>, S. Bradner.
|
|
The Internet Society, March 1997. This <abbr
|
|
title="Request for Comments">RFC</abbr> is available by <abbr
|
|
title="File Transfer Protocol">FTP</abbr> at
|
|
ftp://ftp.rfc-editor.org/in-notes/rfc2119.txt.</dd>
|
|
|
|
<dt><a id="ref-PROCESS" name="ref-PROCESS">[PROCESS]</a></dt>
|
|
|
|
<dd><cite><a href="http://www.w3.org/Consortium/Process/">World Wide
|
|
Web Consortium Process Document</a></cite>, I. Jacobs, Editor. W3C, 19
|
|
July 2001. The latest version of this document is
|
|
http://www.w3.org/Consortium/Process.</dd>
|
|
</dl>
|
|
|
|
<h2><a id="sec-acknowledgments"
|
|
name="sec-acknowledgments">Acknowledgments</a></h2>
|
|
|
|
<p>W3C's evolving patent policy has been informed by help, comments,
|
|
criticism, and occasional rants by W3C Members, many voices from the
|
|
independent developer and Open Source/Free Software communities, W3C
|
|
Advisory Committee Representatives, the W3C Team, the W3C Advisory
|
|
Board, and participants in the Patent Policy Working Group. Those who
|
|
have participated in the beta testing of this policy, leading up to the
|
|
<a href="http://www.w3.org/TR/patent-practice">W3C Current Patent
|
|
Practice</a> document, have also made an invaluable contributions to
|
|
shaping this document in a manner that will help in achieving W3C's
|
|
mission.</p>
|
|
|
|
<p>Every participant in the Patent Policy Working Group has made
|
|
substantial contributions to this document. Since its inception, the
|
|
following individuals have participated in the Working Group:</p>
|
|
|
|
<p>Jean-François Abramatic (W3C), Chuck Adams (IBM), Angela
|
|
Anderson (Nortel), Anders Arvidsson (Nokia), Martin Ashton (Reuters,
|
|
Ltd.), Carl Cargill (Sun Microsystems), Wanda Cox (Apple Computer), W.
|
|
Mike Deese (Microsoft), Mark DeLuca (Cozen O'Connor for Microsoft), Don
|
|
Deutsch (Oracle), Tom Frost (AT&T), Michael Gelblum (Oracle), Mari
|
|
Georges (ILOG S.A.), Lisa Goldman (Sun Microsystems), Eduardo Gutentag
|
|
(Sun Microsystems), Toon Groenendaal (Philips Electronics), Michele
|
|
Herman (Microsoft), Richard J. Holleman (IBM), Ian Jacobs (W3C), Glen
|
|
Johnson (Nortel Networks), Jerry Kellenbenz (Apple Computer), George
|
|
Kerscher (Daisy Consortium), Alan Kotok (W3C), Gerry Lane (IBM), Arnaud
|
|
Le Hors (IBM), Susan Lesch (W3C, Team Contact), Roger Martin (AOL),
|
|
Bede McCall (MITRE), Catherine McCarthy (Sun Microsystems), Lloyd
|
|
McIntyre (Xerox), Earl Nied (Intel), Steve Nunn (The Open Group), Scott
|
|
K. Peterson (Hewlett-Packard), Tony E. Piotrowski (Philips
|
|
Electronics), Gene Potkay (Avaya), Chuck Powers (Motorola), Barry Rein
|
|
(Pennie & Edmonds for W3C), Gib Ritenour (Nortel Networks), Michael
|
|
Schallop (then Sun Microsystems), Kevin Smith (Nortel Networks), George
|
|
Tacticos (IBM), David Turner (Microsoft), Daniel Weitzner (W3C, Working
|
|
Group Chair), George Willingmyre (GTW Associates), Helene Plotka
|
|
Workman (Apple Computer), Don Wright (Lexmark), Joe Young (Xerox), and
|
|
Tom Zell (Xerox). Invited experts Eben Moglen (Free Software
|
|
Foundation), Bruce Perens (Software in the Public Interest), and Larry
|
|
Rosen (Rosenlaw.com for Open Source Initiative) participated and
|
|
contributed fully.</p>
|
|
|
|
<p>Finally, Susan Lesch was an invaluable staff contact and has done a
|
|
masterful job on several occasions to help this inherently complex
|
|
document read more easily and clearly.</p>
|
|
</body>
|
|
</html>
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