ietf-asrg
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RE: [Asrg] (Position): Successful anti-spam techniques must avoid software patents

2003-05-27 17:10:13


We've had previous discussions about IPR policy. Please see Vern Paxson's
message on the topic:
https://www1.ietf.org/mail-archive/working-groups/asrg/current/msg01929.html
. If anyone feels the need to voice additional positions on this topic,
please feel free to address them to me off-list.

-----Original Message-----
From: David Wheeler [mailto:dwheeler(_at_)ida(_dot_)org] 
Sent: Tuesday, May 27, 2003 6:11 PM
To: asrg(_at_)ietf(_dot_)org
Subject: [Asrg] (Position): Successful anti-spam techniques 
must avoid software patents


Hi - I didn't see a clear position on the ASRG main page
(http://www.irtf.org/charters/asrg.html) on software patents.
I believe any useful ASRG result MUST avoid software patents 
and/or identify reasons why any patent claims are, almost 
certainly, invalid. I believe the ASRG work should be based 
on this position.

At the very least, any ASRG work should avoid any
software patent landmines if possible, include a patent 
search to identify them, and warn potential developers of the 
results of the search. Any organizations need to be REQUIRED 
to explicitly reveal any patents that might apply (including 
those that are pending), or everyone will risk being 
exploited (I believe RAMBUS is an example of this).

Rationale: For any anti-spam technique to be widely 
effective, it needs to be widely deployed.  Software patents 
will significantly constrain such deployment.  In particular, 
most email is handled at least part of the time by open 
source software, and open source software cannot implement 
patented concepts in the countries where the patents are valid.

For example, the mail server survey described here:
  http://cr.yp.to/surveys/smtpsoftware6.txt
found that at the time the survey was made,
sendmail was still the most common SMTP server (42%),
followed by Windows Microsoft Exchange (18%),
Unix qmail (17%), Windows Ipswitch IMail (6%),
Unix smap (2%), UNIX Postfix (formerly VMailer, 2%)
and Unix Exim (1%).  Sendmail, qmail, smap, postfix, and exim 
could not practically implement a patented technique, so 64% 
of deployed systems couldn't be upgraded to a newer version 
and implement the technique (if the numbers are the same). 
And that presumes that the proprietary systems would all jump 
to implement a patented technique -- which is rather 
unlikely. The key here isn't the exact numbers, the issue is 
that if you allow patented techniques, you may end up with 
undeployable ideas.

There are also many open source mail clients, including the
one in Mozilla (repackaged as Netscape Mail), and open source 
mailing list software (including the one used here!). In 
short, email has a significant presence of open source 
software, and it would be extremely unwise for this group to 
set standards that cannot be met by open source software and 
would require licensing fees to be paid by some

So-called "Reasonable and Non-Discriminatory" (RAND) licenses 
aren't enough in this case.  In all cases, RAND licenses 
discriminate against those who don't own the patent.  
Besides, to be used in open source software it has to be 
completely royalty-free, at least.  Even then the popular 
license used by open source software (the GPL) will find this 
unacceptable unless the idea can be used for any purpose (not 
just to implement the standard).

I believe this concern is quite consistent with the ASRG charter:
  "ASRG will not pursue research into legal issues of spam, other
  than the extent to which these issues affect, support, or
  constrain the technology."
Software patents constrain the technology, so identifying and 
countering any such legal problems is critical for this group.

It's true that there are patent claims for challenge-response 
systems, but that primarily shows how poorly the patent 
offices screen patent applications.  Mailblocks of Los Altos, 
California, has been suing people based on patents it owns, 
6,199,102 (filed in 1997) and 6,112,227 (filed in 1998) 
However, it's clear that there's extensive prior art; for 
example, Cynthia Dwork and Moni Naor of IBM described in 1992 
a challenge-response system in which the sender would be 
asked to process a particular solution before the receiver 
would accept the email 
(http://research.microsoft.com/research/sv/PennyBlack/junk1.pd
f).
Thus, it's reasonable for the ASRG to work on challenge-response, since
there's good reason to believe that this nonsense patent will be overturned,
and indeed the ASRG could work to collect the data on why it should be
overturned.

If the ASRG wants anti-spam technology to be widely deployed, it needs to
make sure that its solutions don't have any serious legal impediments.  And
that includes software patents.

Thank you for listening.

--- David A. Wheeler
(Speaking for myself)


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