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INTERNET DRAFT                                            Roger K deBry
<draft-ietf-ipp-not-03.txt>                   Utah Valley State College
                                                             Harry Lewis
                                                         IBM Corporation
                                                   Tom Hastings (editor)
                                                       Xerox Corporation
                                                         August 11, 1999

   Internet Printing Protocol/1.1: Requirements for IPP Notifications
    Copyright (C) The Internet Society (1999). All Rights Reserved.


STATUS OF THIS MEMO

This document is an Internet-Draft and is in full conformance with all
provisions of Section 10 of [RFC2026].  Internet-Drafts are working
documents of the Internet Engineering Task Force (IETF), its areas, and
its working groups.  Note that other groups may also distribute working
documents as Internet-Drafts.

Internet-Drafts are draft documents valid for a maximum of six months
and may be updated, replaced, or obsoleted by other documents at any
time.  It is inappropriate to use Internet-Drafts as reference material
or to cite them other than as  ''work in progress.''

The list of current Internet-Drafts can be accessed at
http://www.ietf.org/ietf/1id-abstracts.txt

The list of Internet-Draft Shadow Directories can be accessed as
http://www.ietf.org/shadow.html.

ABSTRACT

This document is one of a set of documents which together describe all
aspects of a new Internet Printing Protocol (IPP). IPP is an application
level protocol that can be used for distributed printing on the
Internet. There are multiple parts to IPP, but the primary architectural
components are the Model, the Protocol and an interface to Directory
Services. This document provides a statement of the requirements for
notifications as part of an IPP Service.  Some ISSUES are indicated in
the text.















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The full set of IPP documents include:

     Design Goals for an Internet Printing Protocol [RFC2567]
     Rationale for the Structure and Model and Protocol for the Internet
     Printing Protocol [RFC2568]
     Internet Printing Protocol/1.0: Model and Semantics [RFC2566]
     Internet Printing Protocol/1.0: Encoding and Transport [RFC2565]
     Internet Printing Protocol/1.0: Implementer's Guide [RFC 2639]
     Mapping between LPD and IPP Protocols [RFC2569]

The 'Design Goals for an Internet Printing Protocol' document takes a
broad look at distributed printing functionality, and it enumerates
real-life scenarios that help to clarify the features that need to be
included in a printing protocol for the Internet.  It identifies
requirements for three types of users: end users, operators, and
administrators.  It calls out a subset of end user requirements that are
satisfied in IPP/1.0.  Operator and administrator requirements are out
of scope for version 1.0.

The 'Rationale for the Structure and Model and Protocol for the Internet
Printing Protocol' document describes IPP from a high level view,
defines a roadmap for the various documents that form the suite of IPP
specifications, and gives background and rationale for the IETF working
group's major decisions.

The 'Internet Printing Protocol/1.0: Encoding and Transport' document is
a formal mapping of the abstract operations and attributes defined in
the model document onto HTTP/1.1.  It defines the encoding rules for a
new Internet media type called 'application/ipp'.

The 'Internet Printing Protocol/1.0: Implementer's Guide' document gives
insight and advice to implementers of IPP clients and IPP objects.  It
is intended to help them understand IPP/1.0 and some of the
considerations that may assist them in the design of their client and/or
IPP object implementations.  For example, a typical order of processing
requests is given, including error checking.  Motivation for some of the
specification decisions is also included.

The 'Mapping between LPD and IPP Protocols' document gives some advice
to implementers of gateways between IPP and LPD (Line Printer Daemon)
implementations.

                           Table of Contents

1 Scope..............................................................3
2 Terminology........................................................3
3 Scenarios..........................................................6
4 Requirements.......................................................9
5 Security considerations for IPP Notifications requirements........11
6 Internationalization Considerations...............................12
7 IANA Considerations...............................................12
8 References........................................................12
9 Author's Address..................................................13



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1  Scope

The scope of this requirements document covers functionality used by the
following kinds of IPP Users: End Users, Print Administrators and
Operators.

2  Terminology

It is necessary to define a set of terms in order to be able to clearly
express the requirements for notification services in an IPP System.

2.1 Job Submitting End User

A human end user who submits a print job to an IPP Printer. This person
may or may not be within the same security domain as the Printer. This
person may or may not be geographically near the printer.

2.2 Administrator

A human user who established policy for and configures the print system.

2.3 Operator

A human user who carries out the policy established by the Administrator
and controls the day to day running of the print system.

2.4 Job Submitting Application

An application (for example, a batch application), acting on behalf of a
Job Submitting End User, which submits a print job to an IPP Printer.
The application may or may not be within the same security domain as the
Printer. This application may or may not be geographically near the
printer.

2.5 Security Domain

For the purposes of this discussion, the set of network components which
can communicate without going through a proxy or firewall. A security
domain may be geographically very large, for example - anyplace within
IBM.COM.

2.6 IPP Client

The software component that sends IPP requests to an IPP Printer object
and accepts IPP responses from an IPP Printer.

2.7 Job Recipient

A human who is the ultimate consumer of the print job. In many cases
this will be the same person as the Job Submitting End User, but this
need not always be the case. For example, if I use IPP to print a
document on a printer in a business partner's office, I am the Job
Submitting End User, while the person I intend the document for in my
business partner's office is the Job Recipient.  Since one of the goals


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of IPP is to be able to print near the Job Recipient of the printed
output, we would normally expect that person to be in the same security
domain as, and geographically near, the Printer. However, this may not
always be the case. For example, I submit a print job across the
Internet to a Kinko's print shop. I am both the Submitting end User and
the Job Recipient, but I am neither near nor in the same security domain
as the Printer.

2.8 Job Recipient Proxy

A person acting on behalf of the Job Recipient.  In particular, the Job
Recipient Proxy physically picks up the printed document from the
Printer, if the Job Recipient cannot perform that function. The Proxy is
by definition geographically near and in the same security domain as the
printer. For example, I submit a print job from home to be printed on a
printer at work. I'd like my secretary to pick up the print job and put
it on my desk. In this case,  I am acting as both Job Submitting End
User and Job Recipient. My secretary is acting as a Job Recipient Proxy.

2.9 Notification Subscriber

A client that requests the IPP Printer to send Event Notifications to
one or more Notification Recipients.  A Notification Subscriber may be a
Job Submitting End User or an End User, an Operator, or an Administrator
that is not submitting a job.

2.10 Notification Source

The entity that sends Event Notifications.

2.11 Notification Recipient

The entity that receives IPP Notifications about Job and/or Printer
events.  A Notification Recipient may be a: Job Submitting End User, Job
Submitting Application, Job Recipient, Job Recipient Proxy, Operator, or
Administrator, etc., and their representatives or log file or usage
statistics gathering application or other active or passive entities.

2.12 Notification Recipient Agent

A program which receives Event Notifications on behalf of the
Notification Recipient. The agent may take some action on behalf of the
recipient, forward the notification to the recipient via some
alternative means (for example, page the recipient), or queue the
notification for later retrieval by the recipient.

2.13 Event

A Event is some occurrence (either expected or unexpected) within the
printing system of a change of state, condition, or configuration of a
Job or Printer object.

2.14 Event Notification



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When an event occurs, an Event Notification is generated that fully
describes the event (what the event was, where it occurred, when it
occurred, etc.).  Event Notifications are delivered to all the
Notification Recipients that are subscribed to that Event, if any.  The
Event Notification is delivered to the address of the Notification
Recipient using the notification delivery method defined in the
subscription.  However, an Event Notification is sent ONLY if there is a
corresponding subscription.

2.15 Notification Subscription

A Notification Subscription is a request by a Notification Subscriber to
the IPP Printer to send Event Notifications to specified Notification
Recipient(s) when the event occur.

2.16 Notification Attributes

IPP Objects (for example, a print job) from which notification are being
sent may have attributes associated with them. A user may want to have
one or more of these associated attributes returned along with a
particular notification. In general, these may include any attribute
associated with the object emitting the notification. Examples include:

     number-of-intervening jobs
     job-k-octets
     job-k-octets processed
     job impressions
     job-impressions-interpreted
     job-impressions-completed
     impressionsCompletedCurrentCopy (job MIB)
     sheetCompletedCopyNumber (job MIB)
     sheetsCompletedDocumentNumber (job MIB)
     Copies-requested
     Copy-type
     Output-destination
     Job-state-reasons
     Job ID
     Printer URI
     Subscription ID (for job independent subscription)

2.17 Notification Delivery Method (or Delivery Method for short)

Event Notifications are delivered using a method, such as email, TCP/IP,
etc.

2.18 Immediate Notification

Notifications sent to the Notification Recipient or the Notification
Recipient's agent in such a way that the notification arrives
immediately , within the limits of common addressing, routing, network
congestion and quality of service.

2.19 Store and Forward Notification



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Notifications which are not necessarily delivered to Notification
Recipients immediately, but are queued for delivery by some intermediate
network application, for later retrieval. Email is an example of a store
and forward notification delivery method.

2.20 Reliable Delivery of Notifications

Notifications which are delivered by a reliable delivery of packets or
character stream, with acknowledgment and retry, such that delivery of
the notification is guaranteed within some determinate time limits. For
example, if the Notification Recipient has logged off and gone home for
the day, an immediate notification cannot be guaranteed to be delivered,
even when sent over a reliable transport, because there is nothing there
to catch it. Guaranteed delivery requires both store and forward
notification and a reliable transport.

2.21 Notification over Unreliable Transport

Notifications are delivered via the fundamental transport address and
routing framework, but no acknowledgment or retry is required. Process
to process communications, if involved, are unconstrained.


2.22 Human Consumable Notification

Notifications which are intended to be consumed by human end users only.
Email would be an example of a Human consumable notification, though it
could also contain Machine Consumable Notification.

2.23 Machine Consumable Notification

Notifications which are intended for consumption by a program only, such
as an IPP Client. Machine Consumable notifications may not contain human
readable information. Do we need both human and machine? Machine
readable is intended for application to application only.  The
Notification Recipient could process the machine readable Event
Notification into human readable format.

2.24 Mixed Notification

A mixed notification contains both Human Consumable and Machine
Consumable information.

3  Scenarios

1.I am sitting in my office and submit a print job to the printer down
  the hall. I am in the same security domain as the printer and of
  course, geographically near.  I want to know immediately when my
  print job will be completed (or if there is a problem) because the
  document I am working on is urgent. I submit the print job with the
  following attributes:

  @ Notification Recipient - me
  @ Notification Events - all


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  @ Notification Attributes - job-state-reason
  @ Notification Type - immediate

2.I am working from home and submit a print job to the same printer as
  in the previous example. However, since I am not at work, I cannot
  physically get the print file or do anything with it. It can wait
  until I get to work this afternoon. However, I'd like my secretary to
  pick up the output and put it on my desk so it doesn't get lost or
  miss-filed. I'd also like a store and forward notification sent to my
  email so that when I get to work I can tell if there was a problem
  with the print job. I submit a print job with the following
  attributes:

  @ Notification Recipient - my secretary
  @ Notification Events - print complete
  @ Notification Type - immediate

  @ Notification Recipient - me
  @ Notification Events - print complete
  @ Notification Attributes - impressions completed
  @ Notification Type - store and forward

3.I am sitting in my office and submit a print job to a client at an
  engineering firm we work with on a daily basis. The engineering firm
  is in Belgium. I would like my client to know when the print job is
  complete, so that she can pick it up from the printer in her
  building.  It is important that she review it right away and get her
  comments back to me. I submit the print job with the following
  attributes:

  @ Notification Recipient - client at engineering firm
  @ Notification Events - print complete
  @ Notification Type - immediate
  @ Notification Language - French

4.I am in a hotel room and send a print job to a Kinko's store in the
  town I am working in, in order to get a printed report for the
  meeting I am attending in the morning.  Since I'm going out to dinner
  after I get this job submitted, an immediate notification won't do me
  much good. However, I'd like to check in the morning before I drive
  to the Kinko's store to see if the file has been printed. An email
  notification is sufficient for this purpose. I submit the print job
  with the following attributes:

  @ Notification Recipient - me
  @ Notification Events - print complete
  @ Notification Type - store and forward

5.I am printing a large, complex print file. I want to have some
  immediate feedback on the progress of the print job as it prints. I
  submit the print job with the following attributes:

  @ Notification Recipient - me
  @ Notification Type - immediate


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  @ Notification Events - all state transitions
  @ Notification Attributes - impression completed

6.I am an operator and my duties is to keep the printer running.  I
  subscribe independently from a job submission so that my subscription
  outlasts any particular job.  I subscribe with the following
  attributes:

  @ Notification Recipient - me
  @ Notification Type - immediate
  @ Notification Events - all Printer state transitions
  @ Notification Attributes - Printer state, printer state reasons,
     device powering up, device powering down.

7.I am a usage statistics gathering application. I subscribe
  independently from a job submission so that my subscription outlasts
  any particular job.  My subscription may persists across power
  cycles.  I subscribe with the following attributes:

  @ Notification Recipient - me
  @ Notification Type - immediate
  @ Notification Events - job completion
  @ Notification Attributes - impression completed, sheets completed,
     time submitted, time started, time completed, job owner, job size
     in octets, etc.

8.I am a client application program that displays a list of jobs
  currently queued for printing on a printer.  I display the "job-
  name", "job-state", "job-state-reasons", "page-count", and
  "intervening-jobs" either for the user's jobs or for all jobs.  The
  window displaying the job list remains open for an independent amount
  of time, and it is desired that it represent the current state of the
  queue.  It is desired that the application only need to perform a
  slow poll in order to recover from any missed notifications.  So the
  event delivery mechanism provides the means to update the screen on
  all needed changes, including querying for some attributes that may
  not be delivered in the Notification.

9.I am a client application program that displays a list of printers.
  For each Printer I display the current state and configuration.  The
  window displaying the printer list remains open for an independent
  amount of time, and it is desired that it represent the current state
  of each printer.  It is desired that the application only need to
  perform a slow poll in order to recover from any missed
  notifications.  So the event delivery mechanism provides the means to
  update the screen on all needed changes, including querying for some
  attributes that may not be delivered in the Notification.

10.  I am an IPP Server that controls one or more devices and implements
  an IPP Printer object to represent each device.  I want to support
  IPP Notification for each of the IPP Printer objects that I
  implement.  Many of these devices do not support notification (or
  IPP).  So I need to support the IPP Notification semantics specified
  for each IPP Printer object myself on behalf of each of the devices


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  that each of the IPP Printer objects represent.  When I accept IPP
  job creation requests, I convert the request to what the device will
  accept.  In some cases, I must poll the devices in order to be
  informed of their job and device state and state changes in order to
  be able to send IPP Notifications to subscribed Notification
  Recipients.

11.  I am an IPP Server that controls one or more devices and implements
  an IPP Printer object to represent each device.  I want to support
  IPP Notification for each of the IPP Printer objects that I
  implement.  These devices all support IPP, including IPP
  Notification.  I would like the design choice for supporting IPP
  Notification for these IPP Printer objects that I implement either
  (1) by forwarding the notification to the IPP Printers that I alone
  control and have them send the notifications to the intended
  Notification Recipients without my involvement or (2) replace the
  notification submitted with the Job to indicate me as the
  Notification Recipient and I will in turn forward Notifications to
  the Notification Recipients requested by my clients.  Most of the
  rest of the contents of the IPP Job that I send to the IPP Printers
  that I control will be the same as the IPP Job that I receive from my
  IPP clients.

12.  I am an IPP Server that controls one or more devices and implements
  an IPP Printer object to represent each device.  I want to support
  IPP Notification for each of the IPP Printer objects that I
  implement.  These devices all support IPP, including IPP
  Notification.  Because these IPP Printers MAY also be being
  controlled by other servers (using IPP or other protocols), I only
  want job events for the jobs that I send, but do want Printer events
  all the time, so that I can show proper Printer state to my clients.
  So I subscribe to these IPP Printers for Printer events with a long
  standing subscription with myself to as the Notification Recipient.
  When I get a Job Creation request, I decide to which IPP Printer to
  send the job.  When I do so, I also add a job subscription for Job
  events with me as the Notification Recipient to the job's job
  subscriptions supplied by my clients (this usage is called "piggy-
  backing").  These IPP Printers automatically remove their job
  subscriptions when the job completes as for all job subscriptions so
  that I no longer get Job events when my jobs are completed.

4  Requirements

The following requirements are intended to be met by the IPP
Notification specification (not the implementation).  The resulting IPP
Notification Specification document:

1.must indicate which of these requirements are REQUIRED and which are
  OPTIONAL for a conforming implementation to support.

2.must be designed to that an IPP Printer can transparently  support
  the IPP Notification semantics using third party notification
  services that exist today or that may be standardized in the future.



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3.must define means for a Job Submitting End User to specify zero or
  more Notification Recipients when submitting a print job. A Submitter
  will not be able to prevent out of band subscriptions from authorized
  persons, such as Operators.

4.must define means when specifying a Notification Recipient, for a
  Notification Subscriber to be able to specify one or more
  notification events for that Notification Recipient, subject to
  administrative and security policy restrictions.  Any of the
  following constitute Job or Printer Events that a Job Submitting End
  User can specify notifications be sent for:
     @ Any standard Printer MIB alert (i.e. device alerts) (critical
       and warning?) (state change notifications)?
     @ Job Received (transition from Unknown to Pending)
     @ Job Started (Transition from Pending to Processing)
     @ Page Complete (Page is stacked)
     @ Collated Copy Complete (last sheet of collated copy is stacked)
     @ Job Complete (transition from Processing or  Processing-stopped
       to Completed)
     @ Job aborted (transition from Pending, Pending-held,  Processing,
       or Processing-stopped to Aborted)
     @ Job canceled (transition from Pending, Pending-held, Processing,
       or Processing-held to Canceled)
     @ Other job state changes like 'paused', purged?
     @ Device problems for which the job is destined
     @ Job (interpreter) issues

5.must define how an End User or Operator subscribes for:
     @ Any set of Job Events for a specific job.
     @ Any set of Printer Events while a specific job is not complete.

6.must define how an End User or Operator subscribes for the following
  without having to submit a Job:
     @ Any set of Printer Events for a defined period.
     @ Any set of Job Events for all jobs with no control over which
       jobs.
ISSUE - Ok if there isn't a way for an End-User to submit an empty Per-
Printer Subscription, in case such a Subscription slot is a scarce
commodity, and then enable the Per-Printer Subscription when the data
arrives and disable later without deleting the subscription?

7.must define how the Notification Subscriber is able to specify either
  immediate or store and forward notification independently for each
  Notification Recipient.  The means may be explicit, or implied by the
  method of delivery chosen by the Job Submitting End User.

8.must define common delivery methods, e.g. email, must be defined.

9.must define how an IPP Printer validates its ability to deliver an
  Event using the specified delivery scheme.  If it does not support
  the specified scheme, or the specified scheme is invalid for some
  reason, then the IPP Printer accepts and performs the request anyway
  and responds indicating the unsupported attribute values.  There is
  no requirement for the IPP Printer receiving the print request to


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  validate the identity of an Notification Recipient, nor the ability
  of the system to deliver an event to that recipient as requested (for
  example, if the Notification Recipient is not at work today).

10.  must define a class of IPP event notification delivery methods
  which can flow through corporate firewalls. However, an IPP printer
  need not test to guarantee delivery of the notification through a
  firewall before accepting a print job.
11.  may define means for delivering a notification to the submitting
  client when the delivery of an event notification to a specified
  Notification Recipient fails. Fall back means of subscribers
  determining if notifications have failed, i.e. polling, may be
  provided.

12.  must define a mechanism for localizing Human Consumable
  notifications by the Notification Source.

13.  may define a way to specify whether or not event delivery requires
  acknowledgement back to the Notification Source.
ISSUE - Ok if spec doesn't have means for a Notification Recipient
acknowledging receipt of a notification to the Notification Source?

14.  There must be a mechanism defined so that job independent
  subscriptions do not become stale and do not require human
  intervention to remove stale subscriptions.  However, stale must not
  be the inability to deliver an Event Notification , since temporary
  Notification delivery problems must be tolerated.

15.  A mechanism must be defined so that an Event Subscriber is able to
  add an Event Subscription to a Job after the Job has been submitted.

16.  A mechanism must be defined so that a client is able to cancel an
  Event Subscription on a job or printer after the job has been
  submitted.

17.  A mechanism must be defined so that a client can obtain the set of
  current Subscriptions.

5  Security considerations for IPP Notifications requirements

By far the biggest security concern is the abuse of notification:
sending unwanted notifications to third parties (i.e., spam).  The
problem is made worse by notification addresses that may be
redistributed to multiple parties (e.g. mailing lists).  There exist
scenarios where third party notification is required (see Scenario #2
and #3).  The fully secure solution would require active agreement of
all recipients before sending out anything.  However, requirement #9
(.There is no requirement for IPP Printer receiving the print request to
validate the identity of an event recipient.) argues against this.
Certain systems may decide to disallow third party notifications (a
traditional fax model).

Clients submitting notification requests to the IPP Printer has the same
security issues as submitting an IPP/1.1 print job request.  The same


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mechanisms used by IPP/1.1 can therefore be used by the client
notification submission.  Operations that require authentication can use
the HTTP authentication.  Operations that require privacy can use the
HTTP/TLS privacy.

The notification access control model should be similar to the IPP
access control model.  Creating a notification subscription is
associated with a user.  Only the creator or an operator can cancel the
subscription.  The system may limit the listing of items to only those
items owned by the user.  Some subscriptions (e.g. those that have a
lifetime longer than a job) can be done only by privileged users
(operators and/or administrators), if that is the authorization policy.

The standard security concerns (delivery to the right user, privacy of
content, tamper proof content) apply to the notification delivery.  IPP
should use the security mechanism of the delivery method used.  Some
delivery mechanisms are more secure than others.  Therefore, sensitive
notifications should use the delivery method that has the strongest
security.

6  Internationalization Considerations

The Human Consumable notification must be localized to the natural
language and charset that Notification Subscriber specifies within the
choice of natural languages and charsets that the IPP Printer supports.

The Machine Consumable notification data uses the 'application/ipp' MIME
media type.  It contains some attributes whose text values are required
to be in the natural language and charset that the Notification
Subscriber specifies within the choice of natural languages and charsets
that the IPP Printer supports.  See [RFC2566].

7  IANA Considerations

There will be some notification delivery methods registered with IANA
for use in URLs.

8  References

[ipp-mod]
     deBry, R., , Hastings, T., Herriot, R., Isaacson, S., Powell, P.,
     "Internet Printing Protocol/1.1: Model and Semantics", < draft-
     ietf-ipp-model-v11-04.txt>, work in progress, June 23, 1999.

[RFC2565]
     Herriot, R., Butler, S., Moore, P., Tuner, R., "Internet Printing
     Protocol/1.0: Encoding and Transport", RFC 2565, April 1999.

[RFC2566]
     R. deBry, T. Hastings, R. Herriot, S. Isaacson, P. Powell,
     "Internet Printing Protocol/1.0: Model and Semantics", RFC 2566,
     April 1999.




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[RFC2567]
     Wright, D., "Design Goals for an Internet Printing Protocol",
     draft-ietf-ipp-req-03.txt, November, 1998.

[RFC2568]
     Zilles, S., "Rationale for the Structure and Model and Protocol for
     the Internet Printing Protocol", draft-ietf-ipp-rat-04.txt,
     November, 1998.

[RFC2569]
     Herriot, R., Hastings, T., Jacobs, N., Martin, J., "Mapping between
     LPD and IPP Protocols", draft-ietf-ipp-lpd-ipp-map-05.txt, November
     1998.

[RFC2639]
      T. Hastings, C. Manros. "Internet Printing Protocol/1.0:
     Implementer's Guide", RFC 2639, July 1999.

9  Author's Address

     Harry Lewis
     HUC/003G
     IBM Corporation
     P.O. Box 1900
     Boulder, CO 80301-9191

     Phone: (303) 924-5337
     Fax: (303) 924-9889
     e-mail: harryl@us.ibm.com

     Roger deBry
     Utah Valley State College
     Orem, UT 84058

     Phone: (801) 222-8000
     e-mail: debryro@uvsc.edu

     Tom Hastings (editor)
     Xerox Corporation
     737 Hawaii St.  ESAE 231
     El Segundo, CA   90245

     Phone: 310-333-6413
     Fax:   310-333-5514
     e-mail: hastings@cp10.es.xerox.com

     IPP Mailing List:  ipp@pwg.org
     IPP Mailing List Subscription: ipp-request@pwg.org
     IPP Web Page:  http://www.pwg.org/ipp/







deBry, Lewis, HastingsExpires February 11, 1999               [Page 13]


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