[cabfpub] How to mark updated guidelines (BRs, EVGL, NetSec) after they are amended by a CABF Ballot

[Kirk Hall]

Dimitris and I have been discussing the best way to mark updated guidelines (BRs, EVGL, NetSec) after they are amended by a CABF Ballot.  (The discussion below only applies to amendment to existing guidelines, not totally new guidelines, and also only applies if no Exclusion Notices are filed during the Review Period after a successful ballot - we follow a different procedure in those cases.)

We will discuss this issue on our next CABF teleconference on Thursday, March 22.  I have a proposal highlighted further down in this message.


Here is the process as we understand it.  We include relevant provisions from the IPR Agreement and Bylaws at the end of this message.


  1.  A ballot that "maintains" a guideline document (BRs, EVGLs, NetSec) has a voting date that ends on date X.  Assuming the ballot passes, this date (X) IS NOT the effective date of the Guideline because it needs to go through an IPR Review Period.


  1.  Once the ballot passes, the Chair must post (date Y) the results in a Review Notice on the public list and officially start the IPR review process so that Essential Claims can be filed by members with IP issues via Exclusion Notices. This process begins on date Y and lasts for 30 days, and is called the Review Period.  The Review Notice must include an updated copy of the entire guideline document including the changes that were approved by ballot.  ("Document A")


  1.  Between date X and Y+30, the document is NOT yet a "Final Maintenance Guideline" and is not effective for CAs


  1.  After Y+30, if no Essential Claims have been filed, the document is officially called a "Final Maintenance Guideline" and is the normative effective date that CAs must comply.  An updated version of the Final Maintenance Guideline including the ballot changes must be posted to the Forum's website within 10 business days of the close of the Review Period.  ("Document B")

As a practical matter, the Document A that the Chair sends to Forum members with the Review Notice at the start of the Review Period (on the public list) is the same as the Document B the Chair posts to the Forum's website after the end of the Review Period.  The changes made by the ballot are not effective yet in Document A, but are effective in Document B.

Dimitris and I were discussing how to make this difference apparent to members and to the public in the two documents and avoid confusion.

The final updated form of guidelines (both red-lined showing ballot changes, and clean including ballot changes) that is posted to the website (Document B) always includes a table showing a new version number and the effective date of changes (Y+30 above).  How should we mark the Document A that is sent with the Review Notice at the start of the Review Period so members and the public are not confused?


Proposed Solution: I propose that the Document A sent with the Review Notice before the ballot changes become effective should be marked on the first page with a large legend something like this: "For IPR Review Period use only - includes changes from Ballot [XXX] that are not yet effective".  We should not show a new version number yet on Document A, but only show the prior version number plus the Ballot number changes included, e.g. "Version 1.5.6 [plus changes from Ballot XXX for review]".

Once the 30 day Review Period has ended, we would then post the updated version number and effective date as Document B ("Version 1.5.7, effective [date Review Period ended]") on the Forum's website.

We would appreciate comments and suggested edits to this procedure on our call this Thursday.


Provisions from the IPR Agreement

"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.

"Final Guideline" is any version of a Draft Guideline that the Participants have agreed is a final version of such Draft Guideline pursuant to the CAB Forum process for approving Final Guidelines.

"Final Maintenance Guideline" is an errata to or amendment of an existing CAB Forum Final Guideline.

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 Participants may exclude certain Essential Claims from CAB Forum RF Licenses. The CAB Forum Chair shall initiate the Review Period by distributing to each CAB Forum 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 on behalf of itself and its Affiliates 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.

>From the Bylaws:

2.4  Requirements for Draft Guideline Ballots

This section applies to any ballot that proposes a Final Guideline or a Final Maintenance Guideline (a "Draft Guideline Ballot"), all as defined under the Forum's IPR Policy.  Draft Guideline Ballots must comply with the following rules in addition to the requirements set forth in Section 2.3 above.

(a)  A Draft Guideline Ballot will clearly indicate whether it is proposing a Final Guideline or a Final Maintenance Guideline.  (d)  The Forum (via the Chair) will tabulate and announce the results within 3 business days of the close of the initial voting period (the "Initial Vote").  If the Draft Guidelines Ballot does not pass the Initial Vote, the ballot will stop.  If the Draft Guideline Ballot is proposing a Final Guideline, such ballot will include the full text of the Draft Guideline intended to become a Final Guideline.  If the Draft Guideline Ballot is proposing a Final Maintenance Guideline, such ballot will include ***

(e)  If a Draft Guideline Ballot passes the Initial Vote, the Chair shall initiate, no later than the 3rd business day after the announcement of the Initial Vote results, the Review Period of 30 or 60 days, as applicable and as described in Section 4.1 of the IPR Policy.  The Chair will initiate the Review Period by sending the Review Notice to both the Member Mail List and the Public Mail List.  The Review Notice will clearly specify the open and close dates and times (with time zone) of the Review Period.  If the Chair does not initiate the Review Period within 5 business days after the announcement of the Initial Vote results, the Vice Chair may initiate the Review Period, using the same process as the Chair would have been required to use.

(f)  The Review Period will continue to the end of the 30- or 60-day period, as applicable, regardless of the number of Exclusion Notices filed pursuant to the IPR Policy during such period, if any.  No later than 3 business days after the conclusion of the applicable Review Period, the Chair will distribute any Exclusion Notices submitted in accordance with Section 4.2 of the IPR Policy via the Public Mail List; provided, however, that the Chair may distribute such Exclusion Notices earlier. ***

h)  If no Exclusion Notices are filed during the Review Period with respect to a Draft Guideline Ballot, then the results of the Initial Vote are automatically deemed to be final and approved, and Draft Guidelines then become either Final Guidelines or Final Maintenance Guidelines, as designated in the Draft Guidelines Ballot.  The Chair will notify both the Member Mail List and the Public Mail List of the final approval within 3 business days, as well as update the Public Website of Final Guidelines and Final Maintenance Guidelines within 10 business days of the close of the Review Period.


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