aipla mid winter meeting special committee on standards and open source

1Copyright © 2012 Intellectual Ventures Management, LLC (IV). All rights reserved.

AIPLA Mid Winter MeetingSpecial Committee on Standards and Open Source

Michele HermanIntellectual Ventures

January 25, 2012


What is a Standard?

[a] prescribed set of rules, conditions, or requirements concerning definitions of terms; classification of components; specification of materials, performance, or operations; delineation of procedures; or measurement of quantity and quality in describing materials, products, systems, services, or practices

Reference: National Institute of Standards and Technology, The Abc's of Standards-Related Activities

in The United States, available at http://ts.nist.gov/Standards/Conformity/stdpmr.cfm.


Types Of Standards

• Government Mandated - Regulatory and Legislative (e.g., Safety, National Security, Privacy, Quality)

• Voluntary Open Consensus Based Standards (e.g., Interoperability, Business forms)• NTTAA• OMB Circular A -119


JTC1

IEC

AFNOR

DIN

BSI

SCC

GOST

JISC

CESI

OtherDGN

ANSI

National Standards Bodies

ITUR

D T

PASC

ETSI

CEN/CENELEC ICAITI

ECMA

CANENA

COPANT

ISO

Regional Standards Bodies

Global Standards Bodies

Global Standards Arena

Source: Based on diagram from Clyde Camphttp://www.crcamp.com


DISCLAIMERThe information set forth in this presentation is accurate to the best of our knowledge. However, all such information is non-binding and subject to change. Accordingly, such information should not be relied on for the purpose of defining the terms of any particular engagement or transaction. Rather, such terms can only be defined pursuant to properly executed and definitive legal agreements that have been approved in advance by our Board.


Standards Development Process

Final Approval by Oversight Body

Initiate Project

Develop Committee Draft

Agree on Committee Draft

Issue Committee Draft Ballot

Resolve Ballot Comments

Develop Consensus and Issue New Ballot

Develop Consensus and Issue Final Ballot

Publish


SSO Standards Development Process Comparison

ITU ETSI TIA WiMAX

Project Initiation

Min. 4 mo plus time for 4 submissions & approvals

Min. 1 mo plus time for TB adoption

Formulating Group (FG) submits Internal Proj Req

At least 61% WG and Tech Steering Comm (TSC) must approve; WG mtg 7 day notice

WG Approval Time for SG to create and approve standard

3 drafts: early, stable, & approval

WG approval

Time for FG to create standard, reach consensus, and vote

Time for WG to create standard; Min. 14 day ballot (61% WG approval); resolve tech-critical issues

Review Process

Min. 3 mo for 70% of Member States to approve

Min. 30 days for 71% TB approval

Min. 30 days for 51% of quorum to approve

Min. 30 day IPR review by all members

Final Approval

Unopposed w/i SG; Director notification w/i 4 wks

W/i 60 days draft to members; 60 day vote; publish w/i 30 days

Min. 2 wks notice prior to FG mtg where FG recommends publication of std

At least 61% TSC approval; President approval; Board confirmation

Total Time to Publication

Minimum 7 mo plus 4 submissions & approvals, creation of standard, final SG approval, notification

Approx 7 mo plus time for TB adoption, creation of standard, 3 WG drafts and WG approval

Minimum 1.5 mo plus time for FG adoption, creation of standard, FG vote; Secretariat approval

Minimum 1.75 mo plus time for creation of spec, 3 approvals, and 1 confirmation


Primary Components of an SSO Patent Policy

SSO PATENT POLICY*Covered Patent Claims

DISCLOSUREOBLIGATION

LICENSINGCOMMITMENT

Common Frameworks•Disclosure Based with License Statement (RAND, RAND-RF, no license

•Membership Based (RAND or RAND-RF)

•Membership Based with Opt Out (RAND, RAND-RF)

•Membership Based with Patent Disclosure (RAND)


Possible IPR Trigger Points

• Joining SSO• Contributing• Ballot Reviews• Draft Approved by Technical Committee• Final Version Approved by Oversight Body• Publication


SSO Patent Policy ComparisonFormal SSOs

ISO/IEC/ITU ANSI ETSI CESI

Mandatory Disclosure No No Yes (no search required)

Yes (no search required)

Limited to Essential Claims

Yes Yes Yes Yes

Parties Subject to Policy

Participants None Members Members (but disclosure is limited to knowledge of members’ representatives)

License Statement RAND, RAND-RF, or unwilling to license

RAND or RAND-RF but Patent Holder is not required to submit statement

FRAND or unwilling to license

RAND-RF, POOL, RAND, or no license (not available for own contributions)

Negotiations Privately between licensor and licensee

Privately between licensor and licensee


Does not address


SSO Patent Policy ComparisonCONSORTIA

Bluetooth SIG WI-FI Alliance MIPI AllianceMobile Industry Processor Interface

*CCSAChina Communications Standards Association

Mandatory Disclosure No No (Disclosure is encouraged and based on personal knowledge, no search is required)

No Yes (no search required)

Limited to Necessary (e.g. Essential) Claims

Yes Yes Yes No

Parties Subject to Policy

Members Members Members Members, Non-members (e.g. Participants), Observers

License Commitment (is required as a condition of membership)

RF RAND, RF, or unwilling to license ( Licensing of Necessary Claims requires the submission of a Free Form Patent Statement)

Hybrid RF/RAND RAND, RF, or unwilling to license ( Licensing of related patents requires submission of the CCSA Patent Licensing Declaration Form and/or a Free Form Patent Statement)

Negotiations N/A Privately between licensor and licensee


Privately between licensor and licensee* CCSA is technically considered a National Body of China


How is the Ecosystem Doing?

•Criticism of the Standards Ecosystem• Market confusion: Too complicated to navigate• Inefficient: Too many SSOs with too much redundancy• High Cost: Too many policies and procedures to track

•Praise for the Standards Ecosystem• Very responsive to market needs• Inclusive of all interests and stakeholders• Drives innovation• Values IP creation


Global Reaction

• US-based SSOs and companies create and own majority of standards-based IP

• Other countries are pursuing policies to promote their own indigenous innovation and to generate domestic IP• Draft EU Horizontal Guidelines• BSI PAS to Standardize Standards• SAC/CNIS proposals for single IPR policy and implementation

rules in China• India’s eGovernment standards patent policy

aipla mid winter meeting special committee on standards and open source

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