INTELLECTUAL PROPERTY GUIDELINES FOR REUSERS 08 July 1993 Jeffrey S. Poulin International Business Machines Corporation Federal Systems Company MD 0220 Rt. 17C Owego, NY 13827 PoulinJ at OWGVM0 email: poulinj@vnet.ibm.com ii Intellectual Property Guidelines for Reusers CONTENTS ________ PREFACE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 What you should do . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 QUESTIONNAIRE FOR PART SUPPLIERS . . . . . . . . . . . . . . . . . . . . 3 QUESTIONNAIRE FOR CODE REUSERS . . . . . . . . . . . . . . . . . . . . . 9 TEMPLATE FOR PART SUPPLIERS . . . . . . . . . . . . . . . . . . . . . . 12 Legal template for reusable part - . . . . . . 13 Sample completed template - . . . . . . . . . . 16 GUIDE TO THE TEMPLATE . . . . . . . . . . . . . . . . . . . . . . . . . 19 PROVIDING ADDITIONAL LEGAL INFORMATION . . . . . . . . . . . . . . . . 22 Certificate of Originality . . . . . . . . . . . . . . . . . . . . . . 22 Contents iii iv Intellectual Property Guidelines for Reusers PREFACE _______ Although the basic intellectual property issues of reuse center on a few simple considerations, some important situations require that you consult your Intellectual Property Law (IPL) attorney to ensure you protect IBM's property or interests. This document will help you identify those situ- ations. It includes: o A questionnaire to help part suppliers determine if they can place parts in reuse libraries o A questionnaire to help potential reusers determine if they can reuse specific parts o An example of a legal template that part suppliers can fill out to help protect the intellectual property in reusable parts o A guide containing explanations of the legal template o A description of other legal obligations This document presents intellectual property issues surrounding software, microcode, and their related documentation. However, where the terms apply, you can also use these guidelines for general information reuse. Remember that although each section provides explanations and general guidance, you should always consult your local IPL attorney if you need more information or have any questions. Preface 1 2 Intellectual Property Guidelines for Reusers INTRODUCTION ____________ All software professionals must have a basic understanding of key concepts and implications associated with intellectual property rights, including: o Copyrights o Patents o Trade secrets ALTHOUGH IN MOST CASES YOU CAN EASILY RESOLVE INTELLECTUAL PROPERTY ISSUES __________________________________________________________________________ RELATED TO REUSE, DEVELOPERS SHOULD UNDERSTAND THAT REUSING SOFTWARE HAS ________________________________________________________________________ LEGAL IMPLICATIONS AND CONSEQUENCES. ____________________________________ Foremost among the legal implications comes when you want to reuse software that did not originate from a full-time employee of IBM who developed the software as part of his job. For this reason, reusers should establish the origin of all reused parts and obtain appropriate clearances from their local IPL attorney when any question arises as to who developed the part. To aid reusers in determining the origin of potentially reusable parts, part suppliers and distributors must make adequate legal information clearly visible and understandable. The supplier can do this by completing and pro- viding the legal template included in this document. The part supplier should also package and maintain all other additional legal information, such as a Certificate of Originality, to make it easy for the reuser to access the information. WHAT YOU SHOULD DO __________________ If you plan to supply a reusable part: 1. Complete the questionnaire for part suppliers in Chapter 2. Obtain counsel from your IPL attorney if directed by the questionnaire or if any question arises. 2. Complete the template for part suppliers in Chapter 4. 3. Complete a Certificate of Originality for the part as described by your local site procedures, submit the certificate to your IPL attorney, and keep a file copy for yourself. 4. Complete any other steps required by your site or reuse coordinator. If you are a part reuser: 1. Complete the questionnaire for part reusers in Chapter 3 while reviewing any available legal information regarding the part you want to reuse. Introduction 1 2. Obtain counsel from your IPL attorney if directed by the questionnaire or if any question arises. 2 Intellectual Property Guidelines for Reusers QUESTIONNAIRE FOR PART SUPPLIERS ________________________________ 1. DOES THE PART CONSIST OF ALL NEW CODE? YES = GO TO 2 NO = GO TO 3 Explanation: If you modified an existing part to create this part, ____________ then you may have to investigate where the underlying code came from and possibly credit who wrote it. However, if you or someone you know created this part from "scratch," then the part consists of all new code of which you know the origin. 2. DID IBM FULL-TIME EMPLOYEES DEVELOP THE PART AS PART OF THEIR JOBS? YES = GO TO 4 NO or DON'T KNOW = SEE IP LAW (OBTAIN VENDOR CERTIFICATE OF ORIGINALITY, IF APPROPRIATE) Explanation: If IBM full-time employees developed the part on company ____________ time, then you probably don't have a problem. However, if sub- contractors or vendors, to include IBM employees working on their own time, developed the part, then IBM may have to credit the originator. 3. DID IBM FULL-TIME EMPLOYEES DEVELOP THE UNDERLYING CODE (OR ANY MODIFICA- TIONS OR ADDITIONS TO THE UNDERLYING CODE) AS PART OF THEIR JOBS? YES = GO TO 4 NO or DON'T KNOW = SEE IP LAW (OBTAIN VENDOR CERTIFICATE OF ORIGINALITY, IF APPROPRIATE); GO TO 4 Explanation: It looks like you have modified an existing part and ____________ want to submit the new, modified part for others to reuse. If IBM originated the underlying code, then you probably do not have a problem as explained in questions 1 and 2. To ensure the part resulted from IBM employees and funding, check the Certificate of Originality of the underlying code. 4. DID THE IBM CORPORATION WHOLLY FUND DEVELOPMENT OF THE PART YOU INTEND TO SUPPLY? YES = GO TO 5 NO or DON'T KNOW = SEE IP LAW; GO TO 5 Explanation: If IBM paid 100% of the development cost for the part, ____________ then IBM can probably reuse it when and where it wants. If some other corporation funded or partially funded the part, then a license agreement might specify restrictions on use of the part. Questionnaire for part suppliers 3 5. DOES IBM CURRENTLY INCLUDE OR PLAN TO INCLUDE THE PART IN A COMMERCIAL, IBM PRODUCT UNDER A "STANDARD" IBM LICENSE AREEMENT (FOR EXAMPLE, "SHRINK-WRAP" SOFTWARE OR NON-EXCLUSIVE LICENSE)? YES = GO TO 7 NO or DON'T KNOW = GO TO 6 Explanation: We seek to establish whether an existing or soon to ____________ exist license agreement will protect IBMs IP interests. Since a reusable part may appear in any number of future products, we have to either establish whether IBM has established ownership of the part or else make arrangements to do so. 4 Intellectual Property Guidelines for Reusers 6. DID YOU ANSWER "NO" TO QUESTION 5 SOLELY BECAUSE THE PART CAME FROM A IBM INTERNAL USE ONLY (IUO) TOOL, PRODUCT, OR OTHER WORK, OR BECAUSE YOU JUST CREATED THIS AS A REUSABLE PART? YES = GO TO 7 NO = SEE IP LAW; GO TO 7 Explanation: Again, we need to know where this part came from and who ____________ has rights to it. Sometimes you find good reusable software in internal tools, on a tools disk, or just "laying around." Reusing parts from internal tools (that IBM developed and owns) will probably not cause any problems. 7. HAS IBM PUBLISHED THE PART (INCLUDED IT IN A PRODUCT GENERALLY AVAILABLE TO CUSTOMERS)? YES = GO TO 8 NO = LEAVE "Year of first publication" IN LEGAL TEMPLATE BLANK AND FILL IN WHEN YOU PUBLISH THE PART OR YOU RECEIVE NOTIFICATION OF FIRST PUBLI- CATION (E.G., BY ANOTHER REUSER); GO TO 9 - OR - DO NOT SUBMIT THE PART FOR REUSE UNTIL YOU PUBLISH IT Explanation: The year(s) of publication must appear on every product ____________ published by IBM. When a product contains lots of reused parts, pre- vious versions, and subparts, then the years of all those constituent parts must appear in the product copyright notice. This question helps ensure products reusing your part have a correct copyright notice. 8. DID THE U.S. COPYRIGHT OFFICE REGISTER THE COPYRIGHT? YES = GO TO 9 NO = LEAVE "Is the copyright in the name of IBM?" IN LEGAL TEMPLATE BLANK AND FILL IN WHEN YOU COPYRIGHT THE PART OR YOU RECEIVE NOTIFICATION OF COPYRIGHT (E.G., BY ANOTHER REUSER); GO TO 9 Explanation: Again, we must ensure all products that reuse this part ____________ have a correct copyright statement. A "Yes" answer implies the US Copyright office either registered the individual part or registered the part as included in a product. 9. DOES THE PART PROVIDE A PROGRAMMING INTERFACE INTENDED FOR USE BY CUS- TOMERS? YES = PROVIDE INTERFACE DOCUMENTATION ALONG WITH CODE; GO TO 10 NO = GO TO 10 Explanation: Does the part provide a Programming Interface as ____________ defined by the IBM Requirements for Clearly Differentiated Program- ming Interfaces (CDPI), document number ZZ28-7013-2? If so, provide the necessary documentation according to CDPI guidelines. Programming Interfaces allow a customer-written program to obtain the services of an IBM software product. For example, any of the fol- Questionnaire for part suppliers 5 lowing constitutes a programming interface or part of a programming interface: Callable Services Macros Subroutine calls Parameter lists Register contents Exits Data areas or control blocks Data sets or files Architecture Interfaces Include files 10. DOES THE PART PROVIDE AN EEC HARDWARE OR SOFTWARE INTERFACE? YES = PROVIDE INTERFACE DOCUMENTATION ALONG WITH CODE; GO TO 11 NO = GO TO 11 Explanation: All System/370, System/390 and SNA software products ____________ marketed in the European Economic Community (EEC) must comply with the provisions of the IBM Undertaking with the EEC. These products must make their attachment interface information available to quali- fied EEC competitors upon request. In other words, does your part provide an Attachment Interface to another OCO software product or to a separately orderable OCO feature? If the part provides a software attachment interface to another separately orderable software product of IBM or an IBM Business Partner you must also supply the interface documentation. Do not count internal linkages, such as module-to- module linkages not intended for use by Customers, nor Software Attachment Interfaces. However, if a potential reuser should posi- tion the reuse part on the "external boundary" of a software product where a Customer might access the otherwise internal linkages, then he must provide complete documentation. If you answer this question "YES" or you feel a potential reuser might position your part where a customer can access it, you must supply the required attachment doc- umentation so the reuser may include it in the EEC Compliance File of any product that incorporates your part. 11. IF YOU OFFER THE PART AS OBJECT-CODE ONLY, WILL YOU ALSO SUPPLY SOURCE CODE? YES = SEE IP LAW; GO TO 12 NO = GO TO 12 Explanation: You might allow reuse of the part as object-code only, ____________ as described in the IBM Object Code Only (OCO) Implementation Guide, document number ZZ27-1975-1. If you do, the reuser may only call or use it in an OCO module. Your IPL attorney can explain this to you. If you supply OCO source code with the OCO part, the source must contain the OCO source code proprietary statement: 6 Intellectual Property Guidelines for Reusers OCO Source Code IBM Confidential (IBM Confidential Restricted when combined with the aggregated OCO source code for this program.) Product Number (C) Copyright IBM Corporation date1(*), date2(* :es up.. (unpublished work) (*)Dates are dates of creation, not dates of publication. 12. DOES A LICENSE AGREEMENT WITH AN OUTSIDE COMPANY DOING BUSINESS WITH IBM AFFECT THE USE OF THIS PART? YES or DON'T KNOW = SEE IP LAW; GO TO 13 NO = GO TO 13 Explanation: If a license agreement with another company affects use ____________ of the part, make sure you have clearance to make this part available for general reuse. Reusable parts libraries licensed by IBM normally have all clearances before IBM makes them avaible for general reuse. Questionnaire for part suppliers 7 13. DOES THE PART CONTAIN POTENTIALLY PATENTABLE MATERIAL? YES or DON'T KNOW = SEE IP LAW; GO TO 14 NO = GO TO 14 Explanation: Most general purpose routines do not have patentable ____________ material, but check with IP law to protect any new algorithms or ideas that your part might implement. 14. HAVE YOU CHECKED THE PART FOR VIRUSES? YES = GO TO 15 NO = PERFORM VIRUS CHECK; GO TO 15 Explanation: Virus checks do not normally fall under intellectual ____________ property interests. However, to ensure the part contains no virus and to prevent possible legal action resulting from the distribution of infected software, do not make your part available for reuse unless you run a suitable virus check. Once you virus check your part, indicate what level of virus checking program you used to perform the check and the date that you completed the check. The reuser of the part will then know the quality and integrity of the part. Otherwise, he must assume all the risk and responsibility of virus checking the part himself. 15. DID ANY IP LAW REVIEW RESULT IN ANY "CAVEATS AND RESTRICTIONS" ON THE USE OF THIS PART? YES = COMPLETE "Caveats and Restrictions" ON LEGAL TEMPLATE; END NO = END Explanation: Although your part may pass through the questionnaire ____________ and receive clearance for general reuse, your IPL attorney might specify some special considerations. Make note of these on the legal template. 8 Intellectual Property Guidelines for Reusers QUESTIONNAIRE FOR CODE REUSERS ______________________________ 1. DO YOU HAVE A COMPLETED LEGAL TEMPLATE (IN ACCORDANCE WITH THIS DOCUMENT) FOR THE PART? YES = GO TO 2 NO = DO NOT ACCEPT WITHOUT IP LAW REVIEW Explanation: If you have a completed template, then you have evi- ____________ dence that the part went through the IP questions for part suppliers contained in this document. You probably also have all the informa- tion you need to determine if you can reuse the part. Understand that a reuse library that follows these procedures or one that your local IPL attorney specifically approves will most likely have a com- pleted legal template or equivalent information. Absence of a com- pleted legal template does not imply you cannot reuse the part, but you should complete a template for the part as soon as possible. Furthermore, completing the legal template does not imply you can accept a part for reuse, but the template can provide the information needed to determine if you can reuse the part in your product. 2. DOES THE LEGAL TEMPLATE IDENTIFY ANY "CAVEATS AND RESTRICTIONS?" NO = GO TO 3 YES = DO NOT ACCEPT WITHOUT IP LAW REVIEW, IF REQUIRED; GO TO 3 Explanation: The template will tell you the extent of the issues ____________ identified by the IPL attorney who reviewed the part at supply-time. You may need your IPL attorney to address outstanding issues. 3. DO YOU HAVE A PART OR THE SOURCE FOR A PART MARKED AS OCO? YES = USE ONLY AS OCO; GO TO 4 NO =GO TO 4 Explanation: If you have a part marked OCO, you may only call or use ____________ it in an OCO module. 4. DOES THE PART HAVE A PUBLICATION DATE? YES = INCORPORATE PUBLICATION DATE, IF REQUIRED; GO TO 5. NO = NOTIFY SUPPLIER AND LIBRARY ADMINISTRATOR TO UPDATE "Year of first publication" ON LEGAL TEMPLATE AND TO NOTIFY ALL OTHER KNOWN USERS WHEN YOU PUBLISH THE PART; GO TO 5 Explanation: If you reuse a published part, make sure your product ____________ copyright date reflects the date on your part; for example, if the reusable part has an earlier year of publication than your current earliest product publication date. If you reuse and publish a previ- ously unpublished part you must make sure everyone else who reuses Questionnaire for code reusers 9 the part knows so that their product copyright statements reflect the correct first publication date. 5. HAS THE PART BEEN CHECKED FOR VIRUSES? YES = GO TO 6 NO = PERFORM VIRUS CHECK, NOTIFY SUPPLIER AND LIBRARY ADMINISTRATOR TO UPDATE "VIRUS CHECK DATA" ON LEGAL TEMPLATE; GO TO 6 Explanation: You must check a part for any virus before incorpo- ____________ rating it into your product. Once you perform a virus check, notify the part supplier and library administrator of the result. The sup- plier will update the virus check data on the legal template and notify all registered reusers. 10 Intellectual Property Guidelines for Reusers 6. DID ANY OF THE ABOVE QUESTIONS RESULT IN AN IP LAW REVIEW? YES = NOTIFY SUPPLIER AND LIBRARY ADMINISTRATOR TO UPDATE ANY ADDITIONAL "Caveats and Restrictions" ON LEGAL TEMPLATE; END NO = END Explanation: Ensure you assist other reusers of the part by putting ____________ the results of your IPL attorney's review where others can find them. Questionnaire for code reusers 11 TEMPLATE FOR PART SUPPLIERS ___________________________ Part suppliers can complete the following template to provide information necessary to: 1. Ensure the part supplier can make a part available for reuse, and, 2. Help potential reusers assess the IP issues about a part. This section includes both a blank template and a template completed with example data. Part suppliers should do the following: 1. Complete a softcopy version of the template. 2. Store the completed template in the project or site reuse library as a read-only file. 3. Send a copy of the completed template to the servicing Intellectual Prop- erty Law (IPL) department. Note: Ensure you complete all template items in BOLDFACE. Provide all other template items if they exist. This information will make it easy to assess ______________ the reusability of your part. 12 Intellectual Property Guidelines for Reusers LEGAL TEMPLATE FOR REUSABLE PART - Template for part suppliers 13 +-------------------------------------+-------------------------------------+ | PART NAME/NUMBER | | | | | +-------------------------------------+-------------------------------------+ | REUSE LIBRARY NAME AND LOCATION | | | | | +-------------------------------------+-------------------------------------+ | SUPPLIER'S LINE OF BUSINESS (LOB) | | | OR BUSINESS UNIT | | +-------------------------------------+-------------------------------------+ | Clearance number (IPL control | | | number) | | +-------------------------------------+-------------------------------------+ | Product Identifier (Product Number, | | | Version, Release, Modification) | | +-------------------------------------+-------------------------------------+ | Part name or number in original | | | product | | +-------------------------------------+-------------------------------------+ | Year of first publication (date1, | | | date2 from source code proprietary | | | statemen t) | | +-------------------------------------+-------------------------------------+ | WAS THE PART FUNDED BY THE IBM COR- | | | PORATION? (Y/N) | | +-------------------------------------+-------------------------------------+ | IS THE COPYRIGHT IN THE NAME OF | | | IBM? (Y/N) | | +-------------------------------------+-------------------------------------+ | IS THE PART OBJECT CODE ONLY (OCO)? | | | (Y/N) | | +-------------------------------------+-------------------------------------+ | DOES THE PART PROVIDE A PROGRAMMING | | | INTERFACE OR ATTACHMENT INTERFACE? | | | (Y/N) | | +-------------------------------------+-------------------------------------+ | DOES THE PART PROVIDE AN EEC HARD- | | | WARE INTERFACE? (Y/N) | | +-------------------------------------+-------------------------------------+ | DOES THE PART PROVIDE AN EEC SOFT- | | | WARE INTERFACE? (Y/N) | | +-------------------------------------+-------------------------------------+ | TYPE OF CERTIFICATE OF ORIGINALITY | | | (IBM Simplified, IBM Complete, | | | Vendor) | | +-------------------------------------+-------------------------------------+ | Name and location of IPL reviewer | | | of Certificate of Originality | | +-------------------------------------+-------------------------------------+ | DATE OF CERTIFICATE OF ORIGINALITY | | | | | +-------------------------------------+-------------------------------------+ 14 Intellectual Property Guidelines for Reusers +-------------------------------------+-------------------------------------+ | License agreement (include contract | | | number) | | +-------------------------------------+-------------------------------------+ | Date of license agreement | | | | | +-------------------------------------+-------------------------------------+ | Location of license agreement | | | | | +-------------------------------------+-------------------------------------+ | WAS THE PART VIRUS CHECKED? (Y/N) | | | | | +-------------------------------------+-------------------------------------+ | Name of virus check program | | | (include version and release) | | +-------------------------------------+-------------------------------------+ | Date of virus check | | | | | +-------------------------------------+-------------------------------------+ | Caveats or restrictions on reuse | | | | | +-------------------------------------+-------------------------------------+ Template for part suppliers 15 SAMPLE COMPLETED TEMPLATE - 16 Intellectual Property Guidelines for Reusers +-------------------------------------+-------------------------------------+ | PART NAME/NUMBER | IXLABC- Random Number Generator | | | | +-------------------------------------+-------------------------------------+ | REUSE LIBRARY NAME AND LOCATION | MCR Reuse Library, MHVPL, Myers | | | Corners, NY | +-------------------------------------+-------------------------------------+ | SUPPLIER'S LINE OF BUSINESS (LOB) | Enterprise Systems (ES) | | OR BUSINESS UNIT | | +-------------------------------------+-------------------------------------+ | Clearance number (IPL control | MHV-IPL-123456 | | number) | | +-------------------------------------+-------------------------------------+ | Product Identifier (Product Number, | 5695-047,4.1.0 | | Version, Release, Modification) | | +-------------------------------------+-------------------------------------+ | Part name or number in original | IXLABC- Random Number Generator | | product | | +-------------------------------------+-------------------------------------+ | Year of first publication (date1, | 1990 | | date2 from source code proprietary | | | statemen t) | | +-------------------------------------+-------------------------------------+ | WAS THE PART FUNDED BY THE IBM COR- | Y | | PORATION? (Y/N) | | +-------------------------------------+-------------------------------------+ | IS THE COPYRIGHT IN THE NAME OF | Y | | IBM? (Y/N) | | +-------------------------------------+-------------------------------------+ | IS THE PART OBJECT CODE ONLY (OCO)? | Y | | (Y/N) | | +-------------------------------------+-------------------------------------+ | DOES THE PART PROVIDE A PROGRAMMING | N | | INTERFACE OR ATTACHMENT INTERFACE? | | | (Y/N) | | +-------------------------------------+-------------------------------------+ | DOES THE PART PROVIDE AN EEC HARD- | N | | WARE INTERFACE? (Y/N) | | +-------------------------------------+-------------------------------------+ | DOES THE PART PROVIDE AN EEC SOFT- | N | | WARE INTERFACE? (Y/N) | | +-------------------------------------+-------------------------------------+ | TYPE OF CERTIFICATE OF ORIGINALITY | IBM Simplified | | (IBM Simplified, IBM Complete, | | | Vendor) | | +-------------------------------------+-------------------------------------+ | Name and location of IPL reviewer | Mr. I.P. Lawyer, Poughkeepsie, NY | | of Certificate of Originality | | +-------------------------------------+-------------------------------------+ | DATE OF CERTIFICATE OF ORIGINALITY | 1 January 1990 | | | | +-------------------------------------+-------------------------------------+ Template for part suppliers 17 +-------------------------------------+-------------------------------------+ | License agreement (include contract | None | | number) | | +-------------------------------------+-------------------------------------+ | Date of license agreement | N/A | | | | +-------------------------------------+-------------------------------------+ | Location of license agreement | N/A | | | | +-------------------------------------+-------------------------------------+ | WAS THE PART VIRUS CHECKED? (Y/N) | Y | | | | +-------------------------------------+-------------------------------------+ | Name of virus check program | Normal Function Component Test | | (include version and release) | | +-------------------------------------+-------------------------------------+ | Date of virus check | June 1989 | | | | +-------------------------------------+-------------------------------------+ | Caveats or restrictions on reuse | Use only as Object Code (OCO). | | | | +-------------------------------------+-------------------------------------+ 18 Intellectual Property Guidelines for Reusers GUIDE TO THE TEMPLATE _____________________ Part name/number. Enter the part name as per the naming standard established _________________ by your reuse library. Each part has a unique part name or number. Reuse library name and location. Enter the name of the place you will store ________________________________ your part and your site name. Supplier's line of business (LOB) or business unit. Enter your LOB or busi- ___________________________________________________ ness unit name; e.g., Pennant, FSC, ES. Clearance number (IPL control number). Enter the number assigned to the part ______________________________________ by the local IPL office following the IPL review. Product Identifier. If you include the part in an IBM product, include the ___________________ product number. Part name or number in original product. Enter a way to identify the part ________________________________________ within a product, if applicable. Year of first publication. (date1, date2 from source code proprietary state- _____________________________________________________________________________ ment.) Refer to latest level of Corporate Standard, C-S 0-6045-002. If no ______ unusual or special conditions of confidentiality exist, enter the year of publication as the earliest time IBM distributed the part outside of IBM, such as in an Early Support Program (ESP) or General Availability (GA). Leave blank if IBM has not published the part. In the situation where you have a part that did not originate from a "Pub- lished" Software Product, handle the copyright dates as follows: 1. Declare the part as "Unpublished" when you deposit it into the library. 2. Assign the year you wrote the part as its DATE 1 (assuming you created a brand new part). The copyright notice would look like this: PART NAME (or NUMBER) (C) IBM Corp. 1993 (Unpublished) If you created the part from an existing part, use the DATE 1 from the original part as with any derivitive work. 3. The first user of the part must notify the contributor of the part when he actually includes the part into a published Software Product. 4. The contributor then changes the copyright date to reflect the DATE OF PUBLICATION of the product that first incorporates the part (assuming a new, unmodified part). The YEAR OF PUBLICATION becomes the DATE 1 (earlier of GA, ESP, QPP) of the object code that results from the com- piled part's source code. Insert this DATE 1 into the first product that Guide to the template 19 incorporates the part. For example, if IBM first distributes the product in 1994, the copyright notice will look like this: PART NAME (or NUMBER) (C) IBM Corp. 1994 Was the part funded by the IBM Corporation? See the questionnaire for part ___________________________________________ suppliers; did IBM employees create the part as part of their jobs? Is the copyright in the name of IBM? Leave blank if IBM has not published ____________________________________ the part. Is the part object code only (OCO)? See the questionnaire for part sup- ___________________________________ pliers; answer Y or N. Does the part provide a Programming Interface or Attachment Interface? (Y/N) ____________________________________________________________________________ See the questionnaire for part suppliers; answer Y or N. Does the part provide an EEC Hardware Interface? (Y/N) See the questionnaire ______________________________________________________ for part suppliers; answer Y or N. Does the part provide an EEC Software Interface? (Y/N) See the questionnaire ______________________________________________________ for part suppliers; answer Y or N. Type of Certificate of Originality. What kind of Certificate of Originality ___________________________________ does the part have? For example, IBM Simplified, IBM Complete, or Vendor. Contact your IPL attorney for sample Certificates of Originality. Name and location of IPL reviewer of Certificate of Originality. Do not store _____________________ _______________________________________ the Certificate of Originality in the legal element of the part because it contains privileged information. Instead, the part supplier and IPL attorney must maintain a Certificate of Originality and provide it to reusers or the reuser's IPL attorney on request. Date of Certificate of Originality. Enter the date on the CO for the part. ___________________________________ License agreement (include contract number) If any agreement with an IBM cus- ___________________________________________ tomer or business partner governs use of this part, enter information identi- fying the agreement. Date of license agreement. Enter a date, if applicable. __________________________ Location of license agreement. Like the Certificate of Originality, you ______________________________ should not store the license agreement with the part because it contains privileged information. Instead, you must provide it to reusers or their IPL attorney on request. Was the part virus checked? Although IBM normally conducts virus checks ___________________________ during testing, you must fully verify the part prior to incorporating it into the reuse library or your product. Name of virus check program (include version and release). Self-explanatory. __________________________________________________________ Date of virus check. Self-explanatory. ____________________ 20 Intellectual Property Guidelines for Reusers Caveats and Restrictions. If any question in the questionnaire for part sup- _________________________ pliers resulted in an IPL review, you may have identified some caveats and restrictions on the reuse of the part. If so, list the caveats and restrictions and the name, date, location, and telephone number of the IPL attorney who conducted the review. You can also use this section to notify the reuser of any additional information regarding use of the part, such as United States Department of Defense restrictions, patents, etc. Guide to the template 21 PROVIDING ADDITIONAL LEGAL INFORMATION ______________________________________ You must complete a Certificate of Originality for every part or collection of parts you supply for reuse. If additional business restrictions or legal information exist, such as license agreements or special Department of Defense restrictions, you should also notify potential reusers of their existence and include them with the IP information you maintain for the part. CERTIFICATE OF ORIGINALITY __________________________ IBM Intellectual Property Law (IPL) requires programmers to verify the orig- inality of software by completing a Certificate of Originality. IBM must __________________________ maintain a completed Certificate of Originality for any new or modified part or part collection. By capturing this information at the time of supply, you can minimize IBM data rights risk and liability and help the reuser establish part genealogy. Note that you should make the actual Certificate of Orig- inality available on request rather than making it accessible with the part in the reuse library. IBM has three standard Certificate of Originality forms to use depending on the origin of the software part. Your local IPL attorney can provide copies of the certificates, can help decide which certificate to use, and may estab- lish guidelines on when to use each type of certificate. o IBM SIMPLIFIED - Part(s) originated by IBM for IBM use and not requiring an IBM Complete Certificate of Originality. o IBM COMPLETE - Part(s) originated by IBM for IBM use (for example, Boeblingen BB/LX building blocks). o VENDOR - Part(s) furnished by vendor for IBM use but not as part of a license agreement or part(s) licensed from a non-IBM company for IBM use (for example, ATT's UNIX for IBM's AIX). 22 Intellectual Property Guidelines for Reusers