Internet Engineering Task Force (IETF)                         A. Farrel
Request for Comments: 6701                              Juniper Networks
Category: Informational                                       P. Resnick
ISSN: 2070-1721                                                 Qualcomm
                                                             August 2012
Internet Engineering Task Force (IETF)                         A. Farrel
Request for Comments: 6701                              Juniper Networks
Category: Informational                                       P. Resnick
ISSN: 2070-1721                                                 Qualcomm
                                                             August 2012

Sanctions Available for Application to Violators of IETF IPR Policy




The IETF has developed and documented policies that govern the behavior of all IETF participants with respect to Intellectual Property Rights (IPR) about which they might reasonably be aware.


The IETF takes conformance to these IPR policies very seriously. However, there has been some ambiguity as to what the appropriate sanctions are for the violation of these policies, and how and by whom those sanctions are to be applied.


This document discusses these issues and provides a suite of potential actions that can be taken within the IETF community in cases related to patents.


Status of This Memo


This document is not an Internet Standards Track specification; it is published for informational purposes.


This document is a product of the Internet Engineering Task Force (IETF). It represents the consensus of the IETF community. It has received public review and has been approved for publication by the Internet Engineering Steering Group (IESG). Not all documents approved by the IESG are a candidate for any level of Internet Standard; see Section 2 of RFC 5741.

本文件是互联网工程任务组(IETF)的产品。它代表了IETF社区的共识。它已经接受了公众审查,并已被互联网工程指导小组(IESG)批准出版。并非IESG批准的所有文件都适用于任何级别的互联网标准;见RFC 5741第2节。

Information about the current status of this document, any errata, and how to provide feedback on it may be obtained at


Copyright Notice


Copyright (c) 2012 IETF Trust and the persons identified as the document authors. All rights reserved.

版权所有(c)2012 IETF信托基金和确定为文件作者的人员。版权所有。

This document is subject to BCP 78 and the IETF Trust's Legal Provisions Relating to IETF Documents ( in effect on the date of publication of this document. Please review these documents carefully, as they describe your rights and restrictions with respect to this document. Code Components extracted from this document must include Simplified BSD License text as described in Section 4.e of the Trust Legal Provisions and are provided without warranty as described in the Simplified BSD License.

本文件受BCP 78和IETF信托有关IETF文件的法律规定的约束(自本文件出版之日起生效。请仔细阅读这些文件,因为它们描述了您对本文件的权利和限制。从本文件中提取的代码组件必须包括信托法律条款第4.e节中所述的简化BSD许可证文本,并提供简化BSD许可证中所述的无担保。

1. Introduction
1. 介绍

The IETF has developed and documented policies that govern the behavior of all IETF participants with respect to intellectual property about which they might reasonably be aware. These are documented in RFC 3979 [BCP79] and are frequently brought to the attention of IETF participants. This document summarizes and references those policies, but does not replace or stand in for the full statement of the policies found in [BCP79]. Readers and IETF participants need to be aware of the content of [BCP79].

IETF制定并记录了管理所有IETF参与者可能合理知晓的知识产权行为的政策。这些记录在RFC 3979[BCP79]中,并经常提请IETF参与者注意。本文件总结并引用了这些政策,但不取代或替代[BCP79]中的政策完整声明。读者和IETF参与者需要了解[BCP79]的内容。

The policies set out in RFC 3979 [BCP79] state that each individual participant is responsible for disclosing or ensuring the disclosure of Intellectual Property Rights (IPR) where all of the following apply:

RFC 3979[BCP79]中规定的政策规定,在以下所有情况适用的情况下,每个参与者都有责任披露或确保披露知识产权(IPR):

- they are aware of the IPR

- 他们知道知识产权

- the IPR is relevant to the IETF work they are participating in

- IPR与他们参与的IETF工作相关

- the IPR is owned by the individual or by a company that employs or sponsors the individual's work.

- 知识产权归个人或雇佣或赞助个人作品的公司所有。

Conformance to these IPR policies is very important, and there is a need to understand both what sanctions can be applied to participants who violate the policies, and who is in a position to apply the sanctions.


This document discusses these issues and provides a suite of potential actions that can be taken within the IETF community in cases related to patents. All of these sanctions are currently available in IETF processes, and at least two instances of violation of the IPR policy have been handled using some of the sanctions


listed. As explicitly called out in Section 4, a posting rights (PR) action (described in [BCP25] and [RFC3683]) is an applicable sanction for the case of a breach of the IETF's IPR policy.


Note: This document specifies some administrative sanctions that can be imposed by and through IETF administrative processes. In particular, this document does not address or limit other legal sanctions, rights, or remedies that are available outside of the IETF or any of the legal rights or remedies that anyone has regarding IPR.


This document does not consider the parallel, but important, issue of ways to actively promote conformance with the IETF's IPR policy. That topic is discussed in [RFC6702].


2. Description of IETF IPR Policy
2. IETF知识产权政策说明

The IETF's IPR policy is set out in [BCP79]. Nothing in this document defines or redefines the IETF's IPR policy. This section simply highlights some important aspects of those policies. Additional information on the IETF's IPR policy may be found at [URLIPR] and [URLIESGIPR].


2.1. Responsibilities of IETF Participants and Timeliness
2.1. IETF参与者的责任和及时性

According to RFC 3979 [BCP79], individual IETF participants have a personal responsibility to disclose or ensure the timely disclosure of IPR of which they are aware and which they own or which is owned by a company that employs or sponsors them, and which impinges upon the contribution that they make to the IETF.

根据RFC 3979[BCP79],个别IETF参与者有个人责任披露或确保及时披露其知晓的知识产权,以及其拥有的知识产权,或由雇佣或赞助他们的公司拥有的知识产权,以及影响他们对IETF的贡献的知识产权。

A "contribution" is also defined in RFC 3979 [BCP79] and includes Internet-Drafts, emails to IETF mailing lists, presentations at IETF meetings, and comments made at the microphone during IETF meetings. Remote participants as well as those participating in person at IETF meetings are bound by this definition.

RFC 3979[BCP79]中也定义了“贡献”,包括互联网草稿、发送给IETF邮件列表的电子邮件、在IETF会议上的演示以及在IETF会议期间在麦克风上发表的评论。远程参与者以及亲自参加IETF会议的参与者受此定义的约束。

The timeliness of disclosure is very important within RFC 3979 [BCP79]. No precise definition of "timeliness" is given in RFC 3979 [BCP79], and it is not the purpose of this document to do so. But it is important to understand that the impact that an IPR disclosure has on the smooth working of the IETF is directly related to how late in the process the disclosure is made. Thus, a disclosure made on a published RFC is very likely to be more disruptive to the IETF than such a disclosure on an early revision of an individual submission of an Internet-Draft.

在RFC 3979[BCP79]中,披露的及时性非常重要。RFC 3979[BCP79]中未给出“及时性”的精确定义,本文件的目的并非如此。但重要的是要理解,知识产权披露对IETF顺利运行的影响与披露过程的延迟程度直接相关。因此,在已发布的RFC上进行的披露很可能对IETF造成更大的破坏,而不是在单独提交互联网草案的早期修订上进行的披露。

Third-party disclosures can also be made by anyone who has cause to believe that IPR exists. Such disclosures must be accompanied by the reasons for the disclosures.


It is important to note that each individual IETF participant has a choice under the IETF's IPR policy. If the individual is unwilling or unable to disclose the existence of relevant IPR in a timely manner, that individual has the option to refrain from contributing to and participating in IETF activities about the technology covered by the IPR.


2.2. How Attention Is Drawn to These Responsibilities
2.2. 如何关注这些责任

The IETF draws the attention of all participants to the IPR policy [BCP79] through the "Note Well" statement that appears on the IETF web pages [URLNoteWell], in presentations at working group and plenary meetings, as well as in the boilerplate text appearing in each Internet-Draft and RFC. Additionally, the Note Well statement is accepted by any person signing up to join an email list hosted at

IETF通过出现在IETF网页[URLNoteWell]上的“注释井”声明,在工作组和全体会议上的演示文稿中,以及在每个互联网草案和RFC中出现的样板文本中,提请所有参与者注意知识产权政策[BCP79]。此外,任何注册加入ietf.org上托管的电子邮件列表的人都可以接受Note Well声明。

[RFC6702] suggests a number of additional ways in which the attention of IETF participants can be drawn to the IPR policy.


2.3. How IPR Disclosures Are Made
2.3. 知识产权披露的方式

The procedure for filing IPR disclosures is shown on the IETF's web site at [URLDisclose]. Third-party disclosures can also be made by email to the IETF Secretariat or via the web page.


Note that early disclosures or warnings that there might be IPR on a technology can also be made.


2.4. How Working Groups Consider IPR Disclosures
2.4. 工作组如何看待知识产权披露

In the normal course of events, a working group that is notified of the existence of IPR must make a decision about whether to continue with the work as it is, or whether to revise the work to attempt to avoid the IPR claim. This decision is made on the working group's mailing list using normal rough consensus procedures. However, discussions of the applicability of an IPR claim or of the appropriateness or merit of the IPR licensing terms are outside the scope of the WG. The IPR situation is considered by working group participants as the document advances through the development process [RFC2026], in particular at key times such as adoption of the document by the working group and during last call.


It needs to be clearly understood that the way that the working group handles an IPR disclosure is distinct from the sanctions that can be applied to the individuals who violated the IETF's IPR policy. That is, the decision by a working group to, for example, entirely re-work an Internet-Draft in order to avoid a piece of IPR that has been disclosed should not be seen as a sanction against the authors. Indeed, and especially in the case of a late IPR disclosure, that a working group decides to do this can be considered a harmful side effect on the working group (in that it slows down the publication of an RFC and might derail other work the working group could be doing) and should be considered as one of the reasons to apply sanctions to the individuals concerned as described in the next two sections.


2.5. The Desire for Sanctions
2.5. 对制裁的渴望

Not conforming to the IETF's IPR policy undermines the work of the IETF, and sanctions ought to be applied against offenders.


2.6. Severity of Violations
2.6. 违反行为的严重性

Clearly there are different sorts of violations of IPR policy. Sometimes, a working group participant simply does not realize that the IPR that they invented applies to a particular working group draft. Sanctions (if any) need not be at all severe. However, a working group document editor who waits until near the publication of a document to reveal IPR of which they themselves are the author should be subject to more serious sanctions. These are judgments that can be made by the working group chairs and area director.


This topic forms the bulk of the material in Sections 5 and 6.


3. Who Initiates Sanctions
3. 谁发起制裁

Any IETF participant can draw attention to an apparent violation of the IETF's IPR policy. This can be done by sending email with a short summary of the relevant facts and events to the appropriate IETF mailing list. Normally, the working group chairs and area directors assume the responsibility for ensuring the smooth running of the IETF and for the enforcement of IETF policies including the IPR policy. Thus, when sanctions are appropriate, working group chairs will be the first actors when there is an active working group involved in the technical work, and area directors will be the first actors in other cases. The first step will usually be the working group chairs or area director to gather the facts and discuss the matter with the IETF participants involved.


Working group chairs are already empowered to take action against working group participants who flout the IPR rules and so disrupt the


smooth running of the IETF or a specific working group, just as they can take such action in the face of other disruptions.


The working group chairs have the responsibility to select the appropriate actions since they are closest to the details of the issue. Where there is no working group involved or where making the decision or applying the sanctions is uncomfortable or difficult for the working group chairs, the responsible AD is available to guide or direct the action if necessary.


4. Available Sanctions
4. 现有制裁措施

This section lists some of the sanctions available to handle the case of an individual who violates the IETF's IPR policies. It is not intended to be an exhaustive list, nor is it suggested that only one sanction be applied in any case. Furthermore, it is not suggested here that every case of IPR policy infringement is the same or that the severest sanctions may be applied in each case.


In many cases, it may be appropriate to notify a wider IETF community of the violation and sanctions so that patterns of behavior can be spotted and handled.


The sanctions are listed in approximate order of severity, but the ordering should not be taken as definitive or as driving different decisions in different cases. Section 5 provides some notes on fairness, while Section 6 gives some guidance on selecting an appropriate sanction in any specific case.


a. A private discussion between the working group chair or area director and the individual to understand what went wrong and how it can be prevented in the future.

a. 工作组主席或区域主任与个人之间的私人讨论,以了解哪里出了问题,以及将来如何预防。

b. A formal, but private, warning that the individuals must improve their behavior or risk one of the other sanctions.

b. 一种正式但私下的警告,提醒个人必须改善自己的行为,否则将面临其他制裁之一。

c. A formal warning on an IETF mailing list that the individuals must improve their behavior or risk one of the other sanctions.

c. IETF邮件列表上的正式警告,即个人必须改善其行为或冒其他制裁的风险。

d. Announcement to the working group of the failure by the individuals ("name and shame").

d. 向工作组宣布个人的失败(“姓名和耻辱”)。

e. On-going refusal to accept the individuals as editors of any new working group documents. The appointment of editors of working group documents is entirely at the discretion of the working group chairs acting for the working group as explained in RFC 2418 [BCP25].

e. 继续拒绝接受个人作为任何新工作组文件的编辑。如RFC 2418[BCP25]所述,工作组文件编辑的任命完全由代表工作组的工作组主席决定。

f. Removal of the individuals as working group document editors on specific documents or across the whole working group.

f. 解除个人作为工作组文件编辑对特定文件或整个工作组的职务。

g. Re-positioning of the individuals' attribution in a document to the "Acknowledgements" section with or without a note explaining why they are listed there and not in the "Authors' Addresses" section (viz. the IPR policy violation). This action can also be recorded by the area director in the Datatracker entries for the documents concerned.

g. 将个人在文件中的归属重新定位到“确认”部分,无论是否有说明,说明他们为什么列在那里而不是列在“作者地址”部分(即违反知识产权政策)。区域主管也可以在相关文档的Datatracker条目中记录此操作。

h. Deprecation or rejection of the individual document (whether it be an RFC or Internet-Draft) or cessation of work on the affected technology.

h. 否决或拒绝单个文件(无论是RFC或互联网草案)或停止受影响技术的工作。

i. Application of a temporary suspension of indiviuals' posting rights to a specific mailing list according to the guidelines expressed in [BCP25]. Such bans are applied to specific individuals and to individual working group mailing lists at the discretion of the working group chairs for a period of no more than 30 days.

i. 根据[BCP25]中所述的指南,对特定邮件列表暂时暂停个人的投递权。此类禁令适用于特定个人和个人工作组邮件列表,由工作组主席酌情决定,期限不超过30天。

j. The removal of individuals' posting privileges using a Posting Rights Action (PR Action) as per [RFC3683]. This is a more drastic measure that can be applied when other sanctions are considered insufficient or to have been ineffective. When a PR action is in place, the subjects have their posting rights to a particular IETF mailing list removed for a period of a year (unless the action is revoked or extended), and maintainers of any IETF mailing list may, at their discretion and without further recourse to explanation or discussion, also remove posting rights.

j. 根据[RFC3683],使用发布权限操作(PR操作)删除个人的发布权限。这是一项更为严厉的措施,可在其他制裁被认为不充分或无效时适用。当公共关系行动到位时,受试者对特定IETF邮件列表的张贴权将被删除一年(除非该行动被撤销或延长),任何IETF邮件列表的维护者也可以自行决定删除张贴权,无需进一步解释或讨论。

PR actions are introduced by an area director and are considered by the IETF community and the IESG in order to determine IETF consensus.


Note that individuals who have supplied text that is included in an IETF document (RFC or Internet-Draft) have a right to be recognized for their contribution. This means that authors' names cannot be entirely removed from a document in the event that they violate the IETF's IPR policy unless the text they contributed is also completely removed. But an individual's name can be removed from the front page and even moved from the "Authors' Addresses" section so long as proper acknowledgement of the contribution is given in the "Acknowledgements" section.


4.1. An Additional Note on the Applicability of PR Actions
4.1. 关于公共关系行动适用性的补充说明

The applicability of PR actions in the event of IPR policy possibly needs some explanation. According to [RFC3683], a PR action may be considered as a practice for use by the IETF in the case that "a participant has engaged in a 'denial-of-service' attack to disrupt the consensus-driven process".


[RFC3683] further cites RFC 2418 [BCP25] and [RFC3005] for guidelines for dealing with abusive behavior. RFC 2418 is updated by RFC 3934 in this matter (see [BCP25]).

[RFC3683]进一步引用RFC 2418[BCP25]和[RFC3005]作为处理虐待行为的指南。RFC 2418由RFC 3934更新(见[BCP25])。

In some cases, ignoring or flouting the IETF's IPR policy may be considered as disruptive to the smooth operation of a working group or of the whole IETF such that the offender might be deemed to be a disruptive individual under the terms of [BCP25] and [RFC3683], and so is liable to be the subject of a sanction that restricts their rights to post to IETF mailing lists as described in bullets h and i of Section 4 of this document.


5. A Note on Fairness and Appealing Decisions
5. 关于公平和上诉裁决的说明

As with all decisions made within the IETF, any person who feels that they have been subject to unfair treatment or who considers that a decision has been made incorrectly may appeal the decision. The IETF's appeals procedures are described in Section 6.5 of [RFC2026] and reinforced in the IESG statement at [URLIESG2026]. Any sanctions described above may be appealed using these procedures.


6. Guidance on Selecting and Applying Sanctions
6. 关于选择和实施制裁的指导

Whoever is applying sanctions for breaching the IETF's IPR policy will want to be sure that the chosen sanction matches the severity of the offense and considers all circumstances. The judgment needs to be applied equitably should similar situations arise in the future.


If in any doubt, the person selecting and applying the sanctions should seek the opinion of the relevant part of the IETF community or the community as a whole. Furthermore, the person should not hesitate to seek the advice of their colleagues (co-chairs, area directors, or the whole IESG).


This is a judgment call based on all circumstances of each specific case. Some notes on guidance are supplied in Appendix A.


7. Security Considerations
7. 安全考虑

While nothing in this document directly affects the operational security of the Internet, failing to follow the IETF's IPR policies can be disruptive to the IETF's standards development processes and so may be regarded as an attack on the correct operation of the IETF. Furthermore, a late IPR disclosure (or a complete failure to disclose) could represent an attack on the use of deployed and operational equipment in the Internet.


8. Acknowledgments
8. 致谢

Thanks to Lou Berger, Ross Callon, Stewart Bryant, Jari Arkko, and Peter Saint-Andre for comments on an early version of this document.

感谢Lou Berger、Ross Callon、Stewart Bryant、Jari Arkko和Peter Saint Andre对本文档早期版本的评论。

Thanks to Subramanian Moonesamy and Tom Petch for their comments on the work. Thanks to Dan Wing, Tony Li, and Steve Bellovin for discussions. Thanks to Stephen Farrell for providing a thorough review as document shepherd.

感谢Subramanian Moonesamy和Tom Petch对这项工作的评论。感谢Dan Wing、Tony Li和Steve Bellovin的讨论。感谢Stephen Farrell作为文档管理员提供了全面的审查。

Additional thanks for textual improvements around IETF last call go to Randy Bush, Brian Carpenter, Jorge Contreras, Russ Housley, Barry Leiba, Murray S. Kucherawy, Benoit Claise, Sean Turner, and Stewart Bryant.

感谢Randy Bush、Brian Carpenter、Jorge Contreras、Russ Housley、Barry Leiba、Murray S.Kucherawy、Benoit Claise、Sean Turner和Stewart Bryant对IETF上次通话的文字改进。

9. References
9. 工具书类
9.1. Normative References
9.1. 规范性引用文件

[BCP25] Bradner, S., "IETF Working Group Guidelines and Procedures", BCP 25, RFC 2418, September 1998.

[BCP25]Bradner,S.,“IETF工作组指南和程序”,BCP 25,RFC 2418,1998年9月。

Wasserman, M., "Updates to RFC 2418 Regarding the Management of IETF Mailing Lists", BCP 25, RFC 3934, October 2004.

Wasserman,M.,“关于IETF邮件列表管理的RFC 2418更新”,BCP 25,RFC 3934,2004年10月。

[BCP79] Bradner, S., Ed., "Intellectual Property Rights in IETF Technology", BCP 79, RFC 3979, March 2005.

[BCP79]Bradner,S.,Ed.,“IETF技术中的知识产权”,BCP 79,RFC 3979,2005年3月。

Narten, T., "Clarification of the Third Party Disclosure Procedure in RFC 3979", BCP 79, RFC 4879, April 2007.

Narten,T.,“RFC 3979中第三方披露程序的澄清”,BCP 79,RFC 4879,2007年4月。

[RFC2026] Bradner, S., "The Internet Standards Process -- Revision 3", BCP 9, RFC 2026, October 1996.

[RFC2026]Bradner,S.,“互联网标准过程——第3版”,BCP 9,RFC 2026,1996年10月。

[RFC3683] Rose, M., "A Practice for Revoking Posting Rights to IETF Mailing Lists", BCP 83, RFC 3683, March 2004.

[RFC3683]Rose,M.,“撤销IETF邮件列表发布权的实践”,BCP 83,RFC 3683,2004年3月。

9.2. Informative References
9.2. 资料性引用

[RFC3005] Harris, S., "IETF Discussion List Charter", BCP 45, RFC 3005, November 2000.

[RFC3005]Harris,S.,“IETF讨论列表章程”,BCP 45,RFC 3005,2000年11月。

[RFC6702] Polk, T. and P. Saint-Andre, "Promoting Compliance with Intellectual Property Rights (IPR) Disclosure Rules", RFC 6702, August 2012.

[RFC6702]Polk,T.和P.Saint Andre,“促进遵守知识产权(IPR)披露规则”,RFC 67022012年8月。

[URLDisclose] IETF, "File an IPR Disclosure",


[URLIESG2026] IETF, "On Appeals of IESG and Area Director Actions and Decisions",


[URLIESGIPR] IETF Tools, "Intellectual Property", wiki/IntellectualProperty.

[URLIESGIPR]IETF工具,“知识产权”, wiki/智能属性。

[URLIPR] IETF, "Intellectual Property Rights (IPR) Policy",


[URLNoteWell] IETF, "Note Well",


Appendix A. Guidance on Selecting and Applying Sanctions

As discussed in Section 6, the selection of sanctions needs to be a carefully made judgment call that considers all relevant circumstances and events. This Appendix provides a list of questions that might form part of that judgment.


This list of considerations is for guidance and is not prescriptive or exhaustive, and it does not imply any weighting of the considerations.


- How long has the participant been active in the IETF?

- 参与者在IETF中活跃了多久?

- Is there some exceptional circumstance?

- 有什么特殊情况吗?

- Are there special circumstances that imply that the individual would not have seen or understood the pointers to and content of [BCP79]?

- 是否有特殊情况意味着个人不会看到或理解[BCP79]的指针和内容?

- How late is the disclosure? Is the document already a working group document? How many revisions have been published? How much time has elapsed? Have last calls been held? Has the work been published as an RFC?

- 披露的时间有多晚?该文件是否已经是工作组文件?发布了多少修订版?过了多少时间?最后的电话有人接听吗?该作品是否已作为RFC出版?

- Is the individual a minor contributor to the IETF work, or is the individual clearly a major contributor?

- 个人是IETF工作的次要贡献者,还是显然是主要贡献者?

- Is there a reason for the individual forgetting the existence of the IPR (for example, it was filed many years previous to the work in the IETF)?

- 个人是否有忘记知识产权存在的原因(例如,它是在IETF工作之前许多年提交的)?

- Was the individual told by their company that disclosure was imminent, but then something different happened?

- 他们的公司是否告诉该个人即将披露信息,但随后发生了一些不同的事情?

- How speedy and humble was the individual's apology?

- 个人的道歉有多迅速和谦虚?

- How disruptive to the IETF work are the disclosure and the associated license terms? A factor in this will be whether or not the IETF community sees the need to re-work the document.

- 披露和相关许可条款对IETF工作的破坏程度如何?其中的一个因素是IETF社区是否认为需要重新编写文档。

- Does the large number of patents that the individual has invented provide any level of excuse for failing to notice that one of their patents covered the IETF work?

- 个人发明的大量专利是否为他们没有注意到其中一项专利涉及IETF工作提供了某种程度的借口?

Authors' Addresses


Adrian Farrel Juniper Networks EMail:

Adrian Farrel Juniper Networks电子邮件

Pete Resnick Qualcomm EMail:

Pete Resnick高通公司电子邮件