Introduction to IEEE Standardization

1. Introduction to IEEE Standardization Hang Liu

2. Standards Activities Board Sponsor IEEE 802 Local and Metropolitan Area Networks (LMSC) Sponsor Sponsor Sponsor 802.17 Resilient Packet Ring 802.3 CSMA/CD Ethernet 802.5 Token Passing Ring 802.1 Higher Layer LAN Protocols 802.16 Broadband Wireless Access 802.11 Wireless LAN 802.19 Co-existence TAG 802.21 Media Independent Handoff 802.15 Wireless Personal Area Networks 802.18 Radio Regulatory TAG 802.22 Wireless Regional Area Networks 802.20 Mobile Broadband Wireless Access Wired Wireless IEEE Standard Association [1]

3. Incubation: Present initial Ideas for a standard or improvement to a standard (e.g. IEEE 802.11 WNG SC) Form an ad-hoc group to continue to discuss ideas and gain interests Request to form a Study Group No Approved by Working Group (>=75%) & ExeCom? Address comments Yes SG: gain support, prepare and submit a PAR to become a Task Group No Address comments & revision PAR Approved by WG (>=75%), ExeCom, NESCom? Yes TG: Debate technology, write a draft standard Standardization Process • Disclaimer: The flowcharts for IEEE standardization process are based on the author’s understanding, not official IEEE Policies and Procedures

4. Draft Standard Development in TG Define usage model, requirements, proposal down-selection procedure, call for proposals Each Document Passage requires 75% or greater approval Call for Proposals Proposal presentations, merge, and down-selection Baseline document Refine/enhance the draft baseline and resolve the comments (features could be added/deleted/changed) No WG Letter Ballot Approval (>= 75%) Yes Draft Refinement and Letter Ballot Recirculation Sponsor Ballot Resolve comments Approval? Yes No ReVCom Standard

5. 1st round proposal presentations and voting Yes Out Bottom 25%? No 2st round proposal presentations and voting No Out Support Votes >= 50%? Yes 3st round proposal presentations (normally 2 or 3 merged proposals left) No Out Most supported proposal? Yes Final two or three most popular proposals come back, compete and merge One winning proposal No Confirmation vote on the final proposal as baseline draft (>=75%)? Yes Baseline document Proposal Down-Selection Process: Example 1

6. Define a baseline ToC according to requirements Present the proposal + proposed text No Out Support Votes >= 75%? Yes Incorporate into the baseline Proposal Down-Selection Process: Example 2

7. Submit a comment on the baseline Present the modification + proposed text No Out Support Votes >= 75%? Yes Incorporate the proposed change into the baseline Modify the Baseline

8. Voting Rights [1], [2] • 2 types of meeting sessions • Plenary: 3 sessions per calendar year (March, July, November) • Organized by IEEE 802 • Interim: 3 sessions per calendar year (January, May, September) • Organized by working group and sponsored by a host • IEEE 802.11/.15/.18/.22 • IEEE 802.16 • Voting rights can be earned by participation in 2 of the last 4 consecutive plenary sessions or 1 plenary and 1 interim. • Voting rights are only granted in “Plenary Sessions”. • Definition of participation • Must be present in at least 75% of ALL meetings in a session

9. Maintain Voting Right [1] • Loose the Voting Right by one of the following • Fail to participate at least 2 out of 4 consecutive Plenary sessions • Participation is to attend 75% of ALL meetings within a session • May substitute one Interim session for Plenary • Fail to respond and vote on 2 out of 3 mandatory WG letter ballots • Fail to pay either Interim or Plenary conference fees

10. Highlights of the IEEE Patent Policy [2] [5] • Participants have a duty to tell the IEEE if they know (based on personal awareness) of potentially Essential Patent Claims they or their employer own • Participants are encouraged to tell the IEEE if they know of potentially Essential Patent Claims owned by others • This encouragement is particularly strong as the third party may not be a participant in the standards process • Working Group is required to request assurance • Early assurance is encouraged • Terms of assurance shall be either: • Reasonable and nondiscriminatory, with or without monetary compensation; or, • A statement of non-assertion of patent rights • Assurances • Shall be provided on the IEEE-SA Standards Board approved LOA form • May optionally include not-to-exceed rates, terms, and conditions • Shall not be circumvented through sale or transfer of patents • Shall be brought to the attention of any future assignees or transferees • Shall apply to Affiliates unless explicitly excluded • Are irrevocable once submitted and accepted • Shall be supplemented if Submitter becomes aware of other potential Essential Patent Claims • A “Blanket Letter of Assurance” may be provided at the option of the patent holder • A patent holder has no duty to perform a patent search • Full policy available at http://standards.ieee.org/guides/bylaws/sect6-7.html#6

11. IEEE-SA Standards Board Bylaws on Patents in Standards [2] [5] 6.2 Policy IEEE standards may be drafted in terms that include the use of Essential Patent Claims. If the IEEE receives notice that a [Proposed] IEEE Standard may require the use of a potential Essential Patent Claim, the IEEE shall request licensing assurance, on the IEEE Standards Board approved Letter of Assurance form, from the patent holder or patent applicant. The IEEE shall request this assurance without coercion. The Submitter of the Letter of Assurance may, after Reasonable and Good Faith Inquiry, indicate it is not aware of any Patent Claims that the Submitter may own, control, or have the ability to license that might be or become Essential Patent Claims. If the patent holder or patent applicant provides an assurance, it should do so as soon as reasonably feasible in the standards development process once the PAR is approved by the IEEE-SA Standards Board. This assurance shall be provided prior to the Standards Board’s approval of the standard. This assurance shall be provided prior to a reaffirmation/stabilization if the IEEE receives notice of a potential Essential Patent Claim after the standard’s approval or a prior reaffirmation/stabilization. An asserted potential Essential Patent Claim for which an assurance cannot be obtained (e.g., a Letter of Assurance is not provided or the Letter of Assurance indicates that assurance is not being provided) shall be referred to the Patent Committee. A Letter of Assurance shall be either: a) A general disclaimer to the effect that the Submitter without conditions will not enforce any present or future Essential Patent Claims against any person or entity making, using, selling, offering to sell, importing, distributing, or implementing a compliant implementation of the standard; or b) A statement that a license for a compliant implementation of the standard will be made available to an unrestricted number of applicants on a worldwide basis without compensation or under reasonable rates, with reasonable terms and conditions that are demonstrably free of any unfair discrimination. At its sole option, the Submitter may provide with its assurance any of the following: (i) a not-to-exceed license fee or rate commitment, (ii) a sample license agreement, or (iii) one or more material licensing terms.

12. References [1] IEEE 802.11-04/422r7, “New Participant Orientation” [2] IEEE 802.11-08/0333r0 “General 802.11-Opening-Presentation” [3] “IEEE Project 802 LMSC Policies and Procedures,” http://standards.ieee.org/board/ LMSC.pdf [4] IEEE 802.11-11-07-0360-04, “IEEE 802.11 Working Group Policies and Procedures” [5] IEEE Patent Policy, http://standards.ieee.org/board/pat/pat-slideset.ppt