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| 1 | +# ip-legal Compliance Baseline |
| 2 | + |
| 3 | +> 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. |
| 4 | +
|
| 5 | +--- |
| 6 | + |
| 7 | +## 1. Deployment Environment Classification |
| 8 | + |
| 9 | +| Tier | Definition | Plugin Suitability | |
| 10 | +|:---|:---|:---| |
| 11 | +| **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 | |
| 12 | +| **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 | |
| 13 | +| **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 | |
| 14 | + |
| 15 | +--- |
| 16 | + |
| 17 | +## 2. Information Sensitivity Tiers |
| 18 | + |
| 19 | +| Tier | Label | Examples | AI Processing Rule | |
| 20 | +|:---|:---|:---|:---| |
| 21 | +| **Public** | Public | Issued patents, published product materials, public court filings | May be submitted to any model | |
| 22 | +| **Internal** | Internal | Internal workflows, non-critical training materials, org charts | May be submitted to public cloud (sanitization recommended) | |
| 23 | +| **Confidential** | Confidential | Unpublished patent applications, invention disclosures, draft contracts, pre-litigation strategy | **Private deployment only** | |
| 24 | +| **Restricted** | Restricted | Core algorithms, source code, trade secrets, active litigation strategy, M&A deal terms | **Private deployment + audit logging required** | |
| 25 | +| **Prohibited** | Prohibited | Classified national security information, third-party information under strict NDA prohibiting AI disclosure | **Never submit to any AI system** | |
| 26 | + |
| 27 | +--- |
| 28 | + |
| 29 | +## 3. Pre-Input Self-Assessment Checklist (Mandatory) |
| 30 | + |
| 31 | +Before every skill invocation, the user must confirm: |
| 32 | + |
| 33 | +- [ ] I have classified the information I am about to submit: □ Public □ Internal □ Confidential □ Restricted □ Prohibited |
| 34 | +- [ ] The current AI deployment environment is authorized for this tier |
| 35 | +- [ ] If submitting unpublished patent disclosures, core technical data, or trade secrets, I am operating in a private deployment environment |
| 36 | +- [ ] The input does not contain classified national security information or third-party information explicitly barred from AI processing |
| 37 | +- [ ] The input has been sanitized of unnecessary personal data (per applicable data protection laws) |
| 38 | + |
| 39 | +**If any item cannot be confirmed, pause and escalate to the designated security or compliance officer before proceeding.** |
| 40 | + |
| 41 | +--- |
| 42 | + |
| 43 | +## 4. Per-Skill Confidentiality Quick Reference |
| 44 | + |
| 45 | +| Skill | Typical Input | Sensitivity Tier | Environment Requirement | |
| 46 | +|:---|:---|:---|:---| |
| 47 | +| `cold-start-interview` | Organizational policies, approval chains, external provider contacts | Internal / Confidential | Private deployment (recommended) | |
| 48 | +| `invention-intake` | Invention disclosures, technical solutions | Confidential / Restricted | Private deployment | |
| 49 | +| `fto-triage` | Product technical specifications, feature lists | Confidential / Restricted | Private deployment | |
| 50 | +| `clearance` | Proposed marks, goods/services classifications | Internal / Confidential | Private deployment (recommended) | |
| 51 | +| `infringement-triage` | Infringement evidence, trade secret descriptions, litigation strategy | Confidential / Restricted | Private deployment | |
| 52 | +| `ip-clause-review` | Contract text, license terms | Confidential / Restricted | Private deployment | |
| 53 | +| `oss-review` | SBOM, dependency manifests, source code snippets | Internal / Confidential | Private deployment (recommended) | |
| 54 | +| `portfolio` | Portfolio database, maintenance fee records | Internal / Confidential | Private deployment (recommended) | |
| 55 | +| `claim-chart-builder` | Patent text, litigation materials, infringement analysis | Confidential / Restricted | Private deployment | |
| 56 | +| `cease-desist` | Infringement facts, enforcement strategy, settlement positions | Confidential / Restricted | Private deployment | |
| 57 | +| `takedown` | Infringement URLs, platform account data, purchase records | Internal / Confidential | Private deployment (recommended) | |
| 58 | +| `matter-workspace` | Case files, correspondence, billing records | Confidential / Restricted | Private deployment | |
| 59 | +| `customize` | Configuration preferences, integration settings | Internal | Private deployment (recommended) | |
| 60 | + |
| 61 | +--- |
| 62 | + |
| 63 | +## 5. Prohibited Inputs (Bright-Line Rules) |
| 64 | + |
| 65 | +The following information **must not** be submitted to any AI system, regardless of deployment environment: |
| 66 | + |
| 67 | +1. **Classified national security information**: Any material marked as classified, top secret, or equivalent under applicable law |
| 68 | +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 |
| 69 | +3. **Core trade-secret source code**: Unpatented, unpublished core algorithm implementations whose disclosure would destroy trade-secret protection |
| 70 | +4. **Unredacted personal data**: Government-issued identifiers, biometric data, health records, financial account numbers, or precise geolocation — unless redacted per applicable data protection law |
| 71 | +5. **Undisclosed M&A / securities information**: Material non-public information that could violate insider-trading or market-abuse regulations |
| 72 | +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 |
| 73 | + |
| 74 | +--- |
| 75 | + |
| 76 | +## 6. Output Management |
| 77 | + |
| 78 | +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."* |
| 79 | +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. |
| 80 | +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. |
| 81 | +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. |
| 82 | + |
| 83 | +--- |
| 84 | + |
| 85 | +## 7. Audit & Logging |
| 86 | + |
| 87 | +1. **Invocation logs**: Record skill name, timestamp, input summary (sanitized), output summary, and operating user for every invocation. |
| 88 | +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). |
| 89 | +3. **Access control**: Log access is limited to the security/compliance officer, the IP practice lead, and IT audit personnel. |
| 90 | +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. |
| 91 | + |
| 92 | +--- |
| 93 | + |
| 94 | +## 8. Privilege & Work-Product Considerations |
| 95 | + |
| 96 | +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. |
| 97 | +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. |
| 98 | +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. |
| 99 | + |
| 100 | +--- |
| 101 | + |
| 102 | +## 9. Violation Consequences |
| 103 | + |
| 104 | +Failure to adhere to this compliance baseline may result in: |
| 105 | + |
| 106 | +- **Regulatory penalties** under applicable data protection, trade-secret, or confidentiality laws |
| 107 | +- **Civil liability** for damages to the organization or third parties |
| 108 | +- **Professional discipline** including bar or patent-office sanctions |
| 109 | +- **Loss of privilege or trade-secret protection** for the affected information |
| 110 | +- **Organizational disciplinary action** up to and including termination |
| 111 | + |
| 112 | +--- |
| 113 | + |
| 114 | +*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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