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Add compliance baseline for ip-legal plugin
Introduce COMPLIANCE.md as a plugin-level shared guardrail covering: - Deployment environment classification (public cloud / private / air-gapped) - Five-tier information sensitivity framework with per-tier AI rules - Mandatory pre-input self-assessment checklist - Per-skill confidentiality quick-reference table - Bright-line prohibited input rules - Output management, labeling, and storage requirements - Audit logging and incident reporting standards - Privilege and work-product considerations This file provides a jurisdiction-agnostic compliance foundation that reinforces the design principle from CONTRIBUTING.md: "CLAUDE.md provides plugin-level safety net." Skills read COMPLIANCE.md alongside CLAUDE.md to determine the appropriate environment and tier for each invocation. Co-Authored-By: Claude Opus 4.7 <noreply@anthropic.com>
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ip-legal/COMPLIANCE.md

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# ip-legal Compliance Baseline
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> This file establishes the global confidentiality, data-handling, and output-management guardrails for the `ip-legal` plugin. Every skill and agent must read this file before execution.
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---
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## 1. Deployment Environment Classification
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| Tier | Definition | Plugin Suitability |
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|:---|:---|:---|
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| **Public Cloud Model** | Third-party API (Claude API, ChatGPT, etc.) — data uploaded to service provider servers | ⚠️ Public-tier information only; no Internal/Confidential/Restricted data |
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| **Private Deployment Model** | Self-hosted or private cloud (local LLM, VPC-hosted model) — data does not leave organizational control | ✅ Suitable for Public, Internal, and Confidential information |
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| **Air-Gapped / Classified Network** | Physically isolated system for national-security or trade-secret information | ⚠️ Must be approved by security officer; Top Secret / classified info prohibited from any AI system |
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---
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## 2. Information Sensitivity Tiers
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| Tier | Label | Examples | AI Processing Rule |
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|:---|:---|:---|:---|
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| **Public** | Public | Issued patents, published product materials, public court filings | May be submitted to any model |
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| **Internal** | Internal | Internal workflows, non-critical training materials, org charts | May be submitted to public cloud (sanitization recommended) |
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| **Confidential** | Confidential | Unpublished patent applications, invention disclosures, draft contracts, pre-litigation strategy | **Private deployment only** |
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| **Restricted** | Restricted | Core algorithms, source code, trade secrets, active litigation strategy, M&A deal terms | **Private deployment + audit logging required** |
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| **Prohibited** | Prohibited | Classified national security information, third-party information under strict NDA prohibiting AI disclosure | **Never submit to any AI system** |
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---
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## 3. Pre-Input Self-Assessment Checklist (Mandatory)
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Before every skill invocation, the user must confirm:
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- [ ] I have classified the information I am about to submit: □ Public □ Internal □ Confidential □ Restricted □ Prohibited
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- [ ] The current AI deployment environment is authorized for this tier
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- [ ] If submitting unpublished patent disclosures, core technical data, or trade secrets, I am operating in a private deployment environment
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- [ ] The input does not contain classified national security information or third-party information explicitly barred from AI processing
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- [ ] The input has been sanitized of unnecessary personal data (per applicable data protection laws)
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**If any item cannot be confirmed, pause and escalate to the designated security or compliance officer before proceeding.**
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---
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## 4. Per-Skill Confidentiality Quick Reference
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| Skill | Typical Input | Sensitivity Tier | Environment Requirement |
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|:---|:---|:---|:---|
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| `cold-start-interview` | Organizational policies, approval chains, external provider contacts | Internal / Confidential | Private deployment (recommended) |
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| `invention-intake` | Invention disclosures, technical solutions | Confidential / Restricted | Private deployment |
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| `fto-triage` | Product technical specifications, feature lists | Confidential / Restricted | Private deployment |
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| `clearance` | Proposed marks, goods/services classifications | Internal / Confidential | Private deployment (recommended) |
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| `infringement-triage` | Infringement evidence, trade secret descriptions, litigation strategy | Confidential / Restricted | Private deployment |
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| `ip-clause-review` | Contract text, license terms | Confidential / Restricted | Private deployment |
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| `oss-review` | SBOM, dependency manifests, source code snippets | Internal / Confidential | Private deployment (recommended) |
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| `portfolio` | Portfolio database, maintenance fee records | Internal / Confidential | Private deployment (recommended) |
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| `claim-chart-builder` | Patent text, litigation materials, infringement analysis | Confidential / Restricted | Private deployment |
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| `cease-desist` | Infringement facts, enforcement strategy, settlement positions | Confidential / Restricted | Private deployment |
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| `takedown` | Infringement URLs, platform account data, purchase records | Internal / Confidential | Private deployment (recommended) |
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| `matter-workspace` | Case files, correspondence, billing records | Confidential / Restricted | Private deployment |
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| `customize` | Configuration preferences, integration settings | Internal | Private deployment (recommended) |
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---
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## 5. Prohibited Inputs (Bright-Line Rules)
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The following information **must not** be submitted to any AI system, regardless of deployment environment:
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1. **Classified national security information**: Any material marked as classified, top secret, or equivalent under applicable law
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2. **Third-party confidential information**: Information received from clients, partners, or counterparties under an NDA that explicitly prohibits AI processing — unless the disclosing party has given express written consent
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3. **Core trade-secret source code**: Unpatented, unpublished core algorithm implementations whose disclosure would destroy trade-secret protection
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4. **Unredacted personal data**: Government-issued identifiers, biometric data, health records, financial account numbers, or precise geolocation — unless redacted per applicable data protection law
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5. **Undisclosed M&A / securities information**: Material non-public information that could violate insider-trading or market-abuse regulations
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6. **Attorney work product subject to litigation hold**: Information whose submission to a third-party AI service could waive privilege or work-product protection — unless counsel has cleared the specific use
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---
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## 6. Output Management
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1. **Mandatory disclaimer**: All outputs must carry the notice — *"This document is an AI-generated draft. It must be reviewed by a qualified legal professional before any reliance or filing."*
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2. **Output tier inheritance**: The sensitivity tier of the output is the highest tier of any input used to generate it. If Confidential inputs were used, the output is Confidential.
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3. **No direct official submission**: AI-generated application drafts, legal briefs, cease-and-desist letters, and platform complaints must not be filed with courts, patent/trademark offices, or administrative bodies without qualified human review and sign-off.
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4. **Output storage**: Confidential and Restricted outputs must be stored on organizational internal networks or encrypted storage. Do not store on public cloud note-taking services, personal devices, or unencrypted external drives.
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---
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## 7. Audit & Logging
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1. **Invocation logs**: Record skill name, timestamp, input summary (sanitized), output summary, and operating user for every invocation.
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2. **Retention**: Log retention periods should match the recordkeeping requirements of the underlying legal matter (e.g., patent prosecution files are typically retained for the life of the patent plus a jurisdiction-specific post-expiration period).
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3. **Access control**: Log access is limited to the security/compliance officer, the IP practice lead, and IT audit personnel.
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4. **Incident reporting**: Any suspected exposure of Restricted-tier information to an unauthorized environment, data exfiltration, or credential leak must be reported to the security officer within 24 hours.
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---
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## 8. Privilege & Work-Product Considerations
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1. **Attorney-client privilege**: Submitting privileged communications to an AI system may waive privilege in some jurisdictions. Confirm with supervising counsel whether the specific use is covered by the jurisdiction's privilege rules.
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2. **Patent agent privilege**: In jurisdictions that recognize patent-agent privilege (e.g., U.S. under *In re Queen's University at Kingston*), confirm the scope is limited to USPTO practice. Non-patent matters submitted to an AI system through a patent-agent role may lack privilege protection.
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3. **Work-product doctrine**: Documents prepared in anticipation of litigation retain work-product protection only if kept confidential. Assess whether AI processing in the chosen deployment environment maintains the required confidentiality.
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---
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## 9. Violation Consequences
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Failure to adhere to this compliance baseline may result in:
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- **Regulatory penalties** under applicable data protection, trade-secret, or confidentiality laws
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- **Civil liability** for damages to the organization or third parties
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- **Professional discipline** including bar or patent-office sanctions
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- **Loss of privilege or trade-secret protection** for the affected information
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- **Organizational disciplinary action** up to and including termination
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---
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*This compliance baseline is maintained by the plugin security owner. Version v1.0. Review at least annually and after any material change to the deployment environment or applicable regulatory framework.*

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