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Suggested Citation:"References." National Research Council. 2013. Patent Challenges for Standard-Setting in the Global Economy: Lessons from Information and Communications Technology. Washington, DC: The National Academies Press. doi: 10.17226/18510.
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Suggested Citation:"References." National Research Council. 2013. Patent Challenges for Standard-Setting in the Global Economy: Lessons from Information and Communications Technology. Washington, DC: The National Academies Press. doi: 10.17226/18510.
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Suggested Citation:"References." National Research Council. 2013. Patent Challenges for Standard-Setting in the Global Economy: Lessons from Information and Communications Technology. Washington, DC: The National Academies Press. doi: 10.17226/18510.
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Suggested Citation:"References." National Research Council. 2013. Patent Challenges for Standard-Setting in the Global Economy: Lessons from Information and Communications Technology. Washington, DC: The National Academies Press. doi: 10.17226/18510.
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Suggested Citation:"References." National Research Council. 2013. Patent Challenges for Standard-Setting in the Global Economy: Lessons from Information and Communications Technology. Washington, DC: The National Academies Press. doi: 10.17226/18510.
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Suggested Citation:"References." National Research Council. 2013. Patent Challenges for Standard-Setting in the Global Economy: Lessons from Information and Communications Technology. Washington, DC: The National Academies Press. doi: 10.17226/18510.
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Suggested Citation:"References." National Research Council. 2013. Patent Challenges for Standard-Setting in the Global Economy: Lessons from Information and Communications Technology. Washington, DC: The National Academies Press. doi: 10.17226/18510.
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Suggested Citation:"References." National Research Council. 2013. Patent Challenges for Standard-Setting in the Global Economy: Lessons from Information and Communications Technology. Washington, DC: The National Academies Press. doi: 10.17226/18510.
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References Adams, J., D. Pendlebury and B. Stembridge. 2013. Building Bricks: Exploring the Global Research and Innovation Impact of Brazil, Russia, India, China and South Korea. Thomson Reuters. Available: http://sciencewatch.com/sites/sw/files/sw- article/media/grr-brick.pdf. Ahnrens, N. 2012. National Security and China’s Information Security Standards. Wash- ington D.C.: Center for Strategic and International Studies. Almunia, J. 2012. Competition Policy for Innovation and Growth: Keeping Markets Open and Efficient. Available: http://europa.eu/rapid/press-release_SPEECH-12- 172_en.htm?locale=en. AmCham China. 2010, 2011, 2012, 2013. White Papers Available: http://www.amcham china.org/whitepaper. American Bar Association. 2007. Standards Development Patent Policy Manual. Chica- go: American Bar Association. American National Standards Institute. Rev 2008. 3.1 ANSI Patent Policy - Inclusion of Patents in American National Standards. Washington, D.C.: ANSI. An, B. 2012. The Global Governance of Standardization: The Challenges of Conver- gence. Research Center for Chinese Politics and Business Working Paper No. 32. Bloomington, IN: Indiana University. AVS. 2008. Intellectual Property Rights Policy of the Audio Video Coding Standard Working Group of China. Available: http://www.avs.org.cn/en. Barbosa, D. 2012. Intellectual Property and Standards in Brazil. Available: http://sites. nationalacademies.org/PGA/step/PGA_058712. Bekkers, R. and A. Martinelli. 2012. Knowledge positions in high-tech markets: trajecto- ries, standards, strategies and true innovators. Technological Forecasting & Social Change. 79:1192-1216. Bekkers, R. and A. Updegrove. 2012. A Study of IPR Policies and Practices of a Repre- sentative Group of Standards-Setting Organizations Worldwide. Available: http://www.nap.edu/catalog.php?record_id=18510. Blind, K. 2011. Study on the Interplay between Standards and Intellectual Property Rights (IPRs). Tender No: ENTR/09/015 OJEU S136 of 18/07/2009, Final Report. Availa- ble: http://ec.europa.eu/enterprise/policies/european-standards/files/standards_policy/ ipr-workshop/ipr_study_final_report_en.pdf. Breznitz, D. and M. Murphree. 2012. Shaking Grounds? Technology Standards in China. Available: http://sites.nationalacademies.org/PGA/step/PGA_058712. Chia, T. 2012. Fighting the smartphone patent war with RAND-encumbered patents, Berkeley Tech. L.J. 27: 209-240. Clougherty, J. and M. Grajek. 2012. International Standards and International Trade: Evidence from ISO 9000 Diffusion. National Bureau Economics Research Work- ing Paper 18132. Cambridge, MA. 141

142 Patent Challenges for Standard-Setting in the Global Economy Contreras, J. 2013. Technical standards and ex ante disclosure: results and analysis of an empirical study. Jurimetrics J. 53:163-211. Contreras, J. 2013. Fixing FRAND: a pseudo-pool approach to standards-based patent licensing. Antitrust L.J. 79:1-43. Contreras, J. 2012. Survey of Bioinformatics Standards. Available: http://sites.national academies.org/PGA/step/PGA_058712. Contreras, J. and C. McManis. 2012. Materials Sustainability Standards and Intellectual Property. Available: http://sites.nationalacademies.org/PGA/step/PGA_058712. Damien Geradin, Anne Layne-Farrar, and A. Jorge Padilla, The Complements Problem Within Standard Setting: Assessing The Evidence On Royalty Stacking, B.U. J. Sci. & Tech. L., Vol. 14:144-176. DeNardis, L. 2012. E-government Acquisition Processes in the U.S., EU, India and Ja- pan. Available: http://sites.nationalacademies.org/PGA/step/PGA_058712. Department of Telecommunications. 2013. Statement of Intent by India, Global Stand- ards Collaboration Conference, Jeju Island, Korea. Available: http://www.tta.or.kr/ include/Download.jsp?filename=externalDocument/GSC17-PLEN84_India_s_Stat ement_at_GSC_Korea.docx. Ernst, D. 2006. Innovation Offshoring: Asia’s Emerging Role in Global Innovation Net- works. East-West Center Special Reports Number 10. Honolulu, HI. Ernst, D. 2011. Indigenous Innovation and Globalization: The Challenge for China’s Standardization Strategy. La Jolla, CA: University of California Institute of Global Conflict and Cooperation. Honolulu, HI. Ernst, D. and S. Martin. 2010. The Common Criteria for Information Technology Securi- ty Evaluation – Implications for China’s Policy on Information Security Standards. East-West Center Working Paper No. 108. Honolulu, HI. European Telecommunications Standards Institute Rules of Procedure. Annex 6: ETSI Intellectual Property Rights Policy. 2013. Available: http://www.etsi.org/images/ files/IPR/etsi-ipr-policy.pdf. European Commission. Directorate-General for Competition Press Release. 2013. Anti- trust: Commission sends Statement of Objections to Motorola Mobility on poten- tial misuse of mobile phone standard essential patents. Brussels. Available: http:// europa.eu/rapid/press-release_IP-13-406_en.htm. European Commission, Directorate-General for Competition Press Release. 2012. Com- mission Sends Statement of Objections to Samsung on potential misuse of mobile phone standard-essential patents. Brussels. Available: http://europa.eu/rapid/press- release_IP-12-1448_en.htm. European Commission, Directorate-General for Competition Memo. 2012. Samsung – En- forcement of ETSI Standards Essential Patents (SEPs). Brussels. Available: http:// europa.eu/rapid/press-release_MEMO-12-1021_en.htm. European Commission, Directorate-General for Competition Press Release. 2012. Commis- sion Opens Proceedings Against Motorola. Brussels. Available: http://europa.eu/rapi d/press-release_IP-12-345_en.htm. European Commission. 2012. Google-Motorola Mobility Merger Procedure Article 6(1)(b) Decision. Case No. Comp/M. 6381. Luxembourg. Available: http://ec.europa.eu/com petition/mergers/cases/decisions/m6381_20120213_20310_2277480_EN.pdf. European Commission. O.J. 2011. Communication from the Commission on Guidelines on the Applicability of Article 101 of the Treaty on the Functioning of the EU to Hori- zontal Co-operation Agreements. Available: http://eur-lex.europa.eu/LexUriServ/ LexUriServ.do?uri=OJ:C:2011:011:0001:0072:EN:PDF.

References 143 European Commission. 2010. Guidelines on the applicability of Article 101 of the Treaty on the Functioning of the European Union to horizontal co-operation agreements, SEC 528/2. Brussels. Available: http://ec.europa.eu/competition/consultations/20 10_horizontals/guidelines_en.pdf. Executive Office of the President. 2013. Patent Assertion and U.S. Innovation. The White House, Washington, D.C. Available: http://www.whitehouse.gov/sites/default/files/ docs/patent_report.pdf. Farrell, J. J. Hayes, C. Shapiro, and T. Sullivan. 2007. “Standard setting, patents, and hold-up. Antitrust Law Journal. 74:603-670. Gallini, N. and B. D. Wright. 1990. Technology transfer under asymmetric information. RAND Journal of Economics. 21(1):147-160. Gilbert, R. 2011. Deal or no deal? licensing negotiations in standard-setting organiza- tions. Antitrust L. J. 77:855-888. Global ICT Standardisation Forum for India. GISFI Membership List. Available: http://www.gisfi.org/membership.php. Goudelis, M. 2012. Presentation on EPO Cooperation with Standards Development Or- ganisations. Available: http://sites.nationalacademies.org/PGA/step/PGA_072825. Government of India. Ministry of Communication and Information Technology. Depart- ment of Information Technology. 2010. Policy on Open Standards for e-Governance. Available: http://egovernance.gov.in/policy/policy-on-open-standards-for-e-govern ance/Policy%20on%20Open%20Standards%20for%20e-Governance.pdf. Government of India. Ministry of Communication and Information Technology. Depart- ment of Information Technology. 2012. National Telecom Policy 2012. Available: http://www.dot.gov.in/ntp/NTP-06.06.2012-final.pdf. Hesse, Renata. 2012. Six “Small” Proposals for SSOs Before Lunch (Remarks as Prepared for the ITU-T Patent Roundtable). United States Department of Justice. Washington, D.C. Available: http://www.justice.gov/atr/public/speeches/287855.pdf. Huang, T. and C. Reader. 2013. China’s ABS Intellectual Property Rights Policy - A New Approach for Developing Open Standards. Available: http://www.google.com/url? sa=t&rct=j&q=&esrc=s&source=web&cd=1&sqi=2&ved=0CDEQFjAA&url=http %3A%2F%2Fcdn.nbr.org%2Fdownloads%2FCS09_HUANG_slides_EN.ppt&ei=G N_UUOfiMMjxigL6lYD4DQ&usg=AFQjCNGq3lItnZaPOmBgV5Mxtyl2qMIqkw &bvm=bv.1355534169,d.cGE&cad=rja. Institute of Electrical and Electronics Engineers-Standards Association. 2011. IEEE An- nounces Standards Interest Group (SIG) for India: Move to Propel India’s In- volvement in the IEEE Global Standards Process. Available: http://standards.ieee. org/news/2011/sig.html. International Telecommunications Union. 2012. Guidelines for Implementation of the Common Patent Policy for ITU-T/ITU-R/ISO/IEC 23/04/02. Available: http://www. itu.int/dms_pub/itu-t/oth/04/04/T04040000010003PDFE.pdf. International Telecommunications Union. 2012. Joint ITU-GISFI Workshop on Bridging the Standardization Gap: Sustainable Rural Communications. Available: http://www. itu.int/en/ITU-T/Workshops-and-Seminars/bsg/Pages/default.aspx. InterDigital, Inc. Invention Collaboration Contribution: InterDigital Annual Report. 2012. Delaware. Available: http://files.shareholder.com/downloads/IDCC/2696817853x0x 657871/3375CC54-04CA-4694-83E4-DEBCB7508F97/2012_Annual_Report_and_ 2013_Proxy_Statement.pdf. Ipeg. 2011 Nokia v. IPcom Ongoing UMTS Patent Litigation in Germany. Available: http://www.ipeg.eu/nokia-vs-ipcom-ongoing-umts-patent-litigation-in-germany/.

144 Patent Challenges for Standard-Setting in the Global Economy Jillavenkatesa, A., H. Evans, and H. Wixon. 2012. Patents and Intellectual Property Man- agement in Nanotechnology: A NIST Perspective. Available: http://sites.national academies.org/PGA/step/PGA_072825. Kesan, Jay and C. Hayes. 2012. Patent Transfers in the Information Age: FRAND Com- mitments and Transparency. Available: http://sites.nationalacademies.org/PGA/step/ PGA_058712. Kai-Uwe K., F. Scott Morton, and H. Shelanski. 2013. Standard Setting Organizations Can Help Solve the Standard Essential Patents Licensing Problem. Competition Policy International Antitrust Chronicle. Available: https://www.competitionpoli cyinternational.com/assets/Free/ScottMortonetalMar-13Special.pdf. Kramler, T. 2012. FRAND Commitments and EU Competition Law. Available: www.itu. int/dms_pub/itu-t/oth/06/5B/T065B0000360016PPTE.ppt. Layne-Farrar, A., J. Padilla, and R. Schmalensee. 2007. Pricing Patents for Licensing in Standard-Setting Organizations: Making Sense of FRAND Commitments. CEMFI Working Paper No. 0702. Madrid. Available: ftp://ftp.cemfi.es/wp/07/0702.pdf. Lemley, M. and C. Shapiro. 2007. Patent holdup and royalty stacking. Texas Law Re- view 85:1991-2049. Lemley, M. 2002. Intellectual Property Rights and Standard-Setting Organizations. Calif. L. Rev. 90:1889-1980. Li, W. (n.d.). The Intellectual Property Issue in the Standardization Process: A Case Study From China’s Experience. Available: http://www.thebolingroup.com/unifi er_divider/powerpoint_slides/wenwenli.pdf. Majoras, D. 2012. Dissenting Statement of Chairman Majoras In the Matter of Negotiat- ed Data Solutions, LLC, File No. 0510094. Federal Trade Commission, Washing- ton: D.C. Majoras, D. 2005. Recognizing the Procompetitive Potential of Royalty Discussions in Standard Setting. Federal Trade Commission, Washington, D.C. Maskus, K. 2012. Private Rights and Public Problems: The Global Economics of Intellec- tual Property in the 21st Century, Washington, D.C.: Peterson Institute for Interna- tional Economics. Merrill, T. and H. E. Smith. 2000. Optimal Standardization in the Law of Property: The Numerus Clausus Principle, Yale L.J. 110:1-70. Mock, V. 2012. Samsung Drops Injunctions Applications Against Apple. The Wall Street Journal. Available: http://online.wsj.com/article/SB10001424127887324407504578 187043081010804.html. Moenius, J. 2004. Information versus Product Adaptation: The Role of Standards in Trade. Working Paper. Northwestern University Kellogg School, Evanston IL. Nylen, L. and M. Swift. 2013. Chinese Court Eye Proper Royalty Rates for Patents Es- sential to Industry Standards. Available: http://www.mlex.com/US/content.aspx? ID=360997. Office of Management and Budget. 1998. OMB Circular A-119; Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities. Final Revision. 63 FR 8546. Available: http://www.white house.gov/omb/circulars_a119. Ono, N. 2012. Avoid Japanization: Lessons from Japanese Gridlock on Patent Assign- ment Recordation System. Available: http://dx.doi.org/10.2139/ssrn.2015119. Organization for Economic Cooperation and Development. 2008. The Internationalisa- tion of Business R&D: Evidence, Impacts and Implications. Paris: OECD. Organization for Economic Cooperation and Development. 2012. OECD Science, Indus- try, and Technology Outlook. Paris: OECD.

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Patent Challenges for Standard-Setting in the Global Economy: Lessons from Information and Communication Technology examines how leading national and multinational standard-setting organizations (SSOs) address patent disclosures, licensing terms, transfers of patent ownership, and other issues that arise in connection with developing technical standards for consumer and other microelectronic products, associated software and components, and communications networks including the Internet. Attempting to balance the interests of patent holders, other participants in standard-setting, standards implementers, and consumers, the report calls on SSOs to develop more explicit policies to avoid patent holdup and royalty-stacking, ensure that licensing commitments carry over to new owners of the patents incorporated in standards, and limit injunctions for infringement of patents with those licensing commitments. The report recommends government measures to increase the transparency of patent ownership and use of standards information to improve patent quality and to reduce conflicts of laws across countries.

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