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Title: "China's Standard-Essential Patents Challenge: From Latecomer to (Almost) Equal Player?"
Author: Dieter Ernst
Source: Internet
Publication Date: July 12 2017
Date Added: July 14 2017
Free/Fee: Free
Abstract: Efficient licensing of standard-essential patents (SEPs) is crucial for achieving a rapid and broad-based diffusion of innovation. Most of the existing SEP research has focused on advanced countries, primarily the United States. Yet fundamental changes in the geography of SEP markets give rise to the emergence of new players. It is time to move beyond a US-centric analysis. This report contributes new insights by broadening the geographic coverage of the research. Drawing on decades of research on China’s innovation policy in information technology (IT), and on interviews with experts on China’s policies on patents and standards, the study sheds light on a gradual process of concentrated geographic dispersion of SEP ownership in the IT industry, and presents indicators of China’s ascent. This report assesses China’s efforts to reduce SEP-related market imperfections in the IT industry. Despite major improvements in China’s patent system and in its market for SEP licensing, China continues to lag substantially behind the United States, Europe and Japan in terms of SEP ownership, and it still struggles to improve the framework conditions for efficient licensing of SEPs. Based on a brief review of SEP policy benchmarks, the analysis presents China’s new approach to SEP-related competition policy. The report concludes with a brief discussion of three important unresolved policy issues: first, new challenges that Chinese IT firms face from non-practising entities (NPEs, the so-called patent trolls); next, adjustments in patenting strategies that result from the convergence of computer, communications and the Internet; and finally, pervasive uncertainty caused by the threat of trade and investment warfare inherent in the “Trump Trade Doctrine.”
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Title: "Standards, Spatial Framework and Technologies for National GIS"
Author: Mukund Rao
VS Ramamurthy
Raj Baldev
Source: National Institute of Advanced Studies
Publication Date: May 1 2015
Date Added: May 12 2017
Free/Fee: Free
Abstract: Abstract not available.
Link: Full Text

Title: "Landscaping study of standard essential patents in Europe"
Author: Tim Pohlmann
Knut Blind
Publication Date: December 12 2016
Date Added: December 21 2016
Free/Fee: Free
Abstract: This study provides unique statistical evidence on the importance of standard essential patents (SEPs) for key technologies in Europe. Based on a unique dataset, the report highlights trends at major standardisation bodies as well as the behaviours of SEP owners and information on their patent portfolio. Key evidence on the need and feasibility of essentiality checks for SEPs is also provided. The study also offers insight on SEPs value and licensing patterns as well as on the timing of SEPs declarations and standard releases at SSOs. The dataset used comes from declared standard essential patents published by major standardisation bodies (SSOs) worldwide.
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Title: "Study on Transparency, Predictability and Efficiency of SSO-based Standardization and SEP Licensing"
Author: Pierre Regibeau
Raphael de Connick
Hans Zenger
Source: European Commission
Publication Date: December 12 2016
Date Added: December 21 2016
Free/Fee: Free
Abstract: A study assessing issues and solutions related to standard essential patents (SEPs) and the standardisation process. The report presents the costs and benefits of practical solutions to facilitate an efficient standardisation process and SEP licensing. Concrete recommendations are offered on different issues such as FRAND terms, over-declaration, essentiality checks, conflict resolution process and increasing transparency.
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Title: "The Motivations Behind Alliances"
Author: Norman Shaw
Source: ISTO
Publication Date: October 2016
Date Added: December 21 2016
Free/Fee: Free
Abstract: The purpose of this paper is to outline the motivations behind the growth of alliances as a means of advancing the goals and objectives of individual organizations/companies, especially those working in technology markets. It is hoped that what follows will assist the innovator or entrepreneur who is struggling with how to bring new technologies to the market. Alliance participation is a valuable tool to help these leaders achieve their vision. This paper examines the motivations behind the use of alliances as a means for organizations of all kinds to promote and realize their goals and objectives.
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Title: "Semantic Interoperability for the Web of Things"
Author: Paul Murdock
Louay Bassbouss
Source: ResearchGate
Publication Date: August 2016
Date Added: December 21 2016
Free/Fee: Free
Abstract: This paper is co-authored by an informal group of experts from a broad range of backgrounds all of whom are active in standards groups, consortia and/or alliances in the Internet of Things (IoT) space. The ambition is to create mindshare on approaches to semantic interoperability and to actively encourage consensus building on what the co-authors regard as a key technical issue.
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Title: "Sustainability of Open Source software communities beyond a fork: How and why has the LibreOffice project evolved?"
Author: Jonas Gamalielsson
Publication Date: March 2014
Date Added: May 11 2016
Free/Fee: Free
Abstract: Many organisations are dependent upon long-term sustainable software systems and associated communities. In this paper we consider long-term sustainability of Open Source software communities in Open Source software projects involving a fork. There is currently a lack of studies in the literature that address how specific Open Source software communities are affected by a fork. We report from a study aiming to investigate the developer community around the LibreOffice project, which is a fork from the OpenOffice.org project. In so doing, our analysis also covers the OpenOffice.org project and the related Apache OpenOffice project. The results strongly suggest a long-term sustainable LibreOffice community and that there are no signs of stagnation in the LibreOffice project 33 months after the fork. Our analysis provides details on developer communities for the LibreOffice and Apache OpenOffice projects and specifically concerning how they have evolved from the OpenOffice.org community with respect to project activity, developer commitment, and retention of committers over time. Further, we present results from an analysis of first hand experiences from contributors in the LibreOffice community. Findings from our analysis show that Open Source software communities can outlive Open Source software projects and that LibreOffice is perceived by its community as supportive, diversified, and independent. The study contributes new insights concerning challenges related to long-term sustainability of Open Source software communities.
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Title: "On organisational influences in software standards and their open source implementations"
Author: Jonas Gamalielsson
Jonas Feist
Tomas Gustavsson
Frederic Landqvist
Publication Date: November 2015
Date Added: May 11 2016
Free/Fee: Free
Abstract: It is widely acknowledged that standards implemented in open source software can reduce risks for lock-in, improve interoperability, and promote competition on the market. However, there is limited knowledge concerning the relationship between standards and their implementations in open source software. This paper reports from an investigation of organisational influences in software standards and open source software implementations of software standards. The study focuses on the RDFa standard and its implementation in the Drupal project.
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Title: "On Implementation of Open Standards in Software: To What Extent Can ISO Standards be Implemented in Open Source Software?"
Author: Bjorn Lundell
Jonas Gamalielsson
Andrew Katz
Source: International Journal of Standardization Research, January-June 2015, Vol. 13, No. 1
Publication Date: January 2015
Date Added: May 11 2016
Free/Fee: Free
Abstract: Several European countries, as well as the European Commission, have acknowledged the importance of open standards (under various definitions of that term) and have taken steps accordingly. Formal (e.g. ISO) standards are often referred to in software development and procurement, but may not necessarily also be open standards. The authors consider the application of formal standards where national policy promotes their use, and, since much contemporary software development involves open source software, they further consider the interaction between the requirement to comply with open standards, and the implementation of open and formal standards in open source software, with particular reference to patent licensing. It is shown that not all formal standards are open standards. SSO policies and procedures regarding the notification of standards-essential patents (SEPs) present challenges for organisations wishing to implement standards in software since such policies and procedures need to be compliant with procurement requirements, patent licences and open source software licences. This paper draws out some implications for those organisations (differentiating where appropriate between small companies and other organisations) and suggests a number of ways of addressing the challenges identified. Use of formal standards may create barriers for implemen - tation in open source software and inhibit an open and inclusive business-friendly ecosystem, and to avoid such barriers is of particular importance for small companies that are essential players in an innovative and international society.
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Title: "Cloud Standards Coordination Final Report"
Source: ETSI
Publication Date: November 2013
Date Added: April 27 2016
Free/Fee: Free
Abstract: To answer the request from the European Commission, ETSI launched the Cloud Standards Coordination (CSC). Its overall objective is to present a report which is useful for its target audience and which effectively supports the European Commission's work on implementing its Cloud strategy and therefore the broad uptake of standards-based cloud computing technologies in Europe driving innovation and growth with the Cloud.
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Title: "'It's a Jungle Out There'?: Cloud Computing, Standards and the Law"
Author: Niamh Christina Gleeson
Ian Walden
Publication Date: May 23 2014
Date Added: April 27 2016
Free/Fee: Free
Abstract: This article focuses on EU initiatives on cloud standards, particularly the work of ETSI, ENISA and the working groups set up by the European Commission; while acknowledging that cloud standardisation is obviously also a global issue. Consideration is given to the Commission's actions on cloud standards and the main issues that feature in the debate about the need for cloud computing standards: data protection, data security, interoperability, data portability, reversibility and SLAs. We review the standard-setting process for cloud and give an overview of the variety of standards setting organisations, governmental bodies and international organisations involved in developing standards for the cloud market. Finally, we examine how the adoption of cloud standards can be granted, or acquire, legal and regulatory effects under both public and private law regimes, which impact on both providers and users of cloud services. We conclude that, while technical standards for cloud appear to be developing as expected, informational and evaluative standards will inevitably take longer to emerge and may require greater stability within the legal frameworks into which they are intended to operate.
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Title: "What You Need to Know About Standard Essential Patents"
Author: Michael A. Carrier
Source: Competition Policy International (Vol. 8, No. 2, 2014)
Publication Date: August 25 2014
Date Added: December 23 2015
Free/Fee: Free
Abstract: In the past several years, standard essential patents, or "SEPs," have exploded onto the scene. Courts and enforcement agencies around the world have grappled with the nuances they present. What exactly are SEPs? What do attorneys need to know about SEPs? This article answers these questions. After presenting the setting in which SEPs arise, it addresses three issues: (1) injunctions; (2) antitrust enforcement (in the US, EU, China, India, and Germany); and (3) the determination of fair, reasonable, and nondiscriminatory ("FRAND") royalties.
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Title: "Standard Setting, Intellectual Property Rights, and the Role of Antitrust In Regulating Incomplete Contracts"
Author: Joanna Tsai
Joshua D. Wright
Source: 80 Antitrust Law Journal No. 1 (2015)
Publication Date: October 2015
Date Added: November 4 2015
Free/Fee: Free
Abstract: In this article, written with Joshua D. Wright, Joanna Tsai documents and analyzes changes to 11 SSO IPR policies over time and show that SSOs and their IPR policies appear to be responsive to changes in perceived patent holdup risks and other factors.
Link: Full Text

Title: "Technology Standards and Standards Organizations: Introduction to the Searle Center Database"
Author: Justus Baron
Danie. F. Spulber
Publication Date: September 8 2015
Date Added: November 4 2015
Free/Fee: Free
Abstract: This article describes the Searle Center Database on Technology Standards and Standard Setting Organizations (SSO). This is the first large scale database with information on technology standards, SSO membership and SSO characteristics that is designed for economic research. In particular, the database includes data on quantifiable characteristics of 629,438 standard documents issued by 598 SSOs, institutional membership in a sample of 195 SSOs, and the rules of 36 SSOs on standard-essential patents (SEPs), openness, participation and standard adoption procedures. Using the Internet Archives, the database tracks both institutional membership and the SSO rules and procedures over time since the inception of the Archives in 1996. We identify more than 62,368 firms and other organizations participating in at least one SSO. The paper describes how to combine this data with other new databases and sketches avenues for empirical research
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Title: "Royalty Rates And Licensing Strategies For Essential Patents On LTE (4G) Telecommunication Standards"
Author: Erik Stasik
Publication Date: September 2010
Date Added: September 9 2015
Free/Fee: Payment or membership required
Abstract: Long Term Evolution, or LTE, is the latest sequel to the successful GSM series of standards. A so called fourth generation (4G) mobile communications technology, LTE is an upgrade to UMTS/WCDMA (3G) providing an enhanced radio interface and all-IP networking technology. Like a sequel to a successful movie, LTE includes many elements of the original release and offers a few new twists. This is especially true when it comes to the matter of licensing essential IPRs for the LTE standard. Audiences can expect to see the same licensing challenges that first appeared in GSM (2G) and which re-appeared in UMTS (3G) starring again in LTE (4G).2 The plot is essentially the same: lots of essential patents and many different patent holders. The LTE sequel begins in much the same way as UMTS did-with an announcement of an industry initiative on the matter of essential IPRs. In LTE this scene took place in April 2008 where a group of leading telecommunication companies committed themselves to a framework for 'establishing predictable and more transparent maximum aggregate costs for licensing [patents] that relate to 3GPP Long Term Evolution and Service Architecture Evolution (LTE/SAE) standards.' In particular, these companies stated 'support' for 'a reasonable maximum aggregate royalty for LTE essential IPR in handsets is a single-digit percentage of the sales price.'
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Title: "Smartphone Revolution: Technology patenting and licensing fosters innovation, market entry, and exceptional growth"
Author: K. Mallinson
Source: Consumer Electronics Magazine, IEEE (Volume:4 , Issue: 2 )
Publication Date: April 2015
Date Added: September 9 2015
Free/Fee: Payment or membership required
Abstract: It is remarkable how dramatically and rapidly the fortunes of so many mobile-handset vendors have turned with the advance of smartphones. Their marketplace was transformed by Apple?s iPhone starting in 2007 and a succession of Android-based smartphone newcomers since 2008. This has greatly expanded the size of the handset market, with global revenues doubling in the last six years, as consumers substitute more expensive smartphones for their feature phones and basic phones. Yet, the changes have devastated most of the leading incumbent handset vendors.
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Title: "Payments and Participation: The Incentives to Join Cooperative Standard Setting Efforts"
Author: Anne Layne-Farrar
Gerard Llobet
Jorge Padilla
Source: Journal of Economics & Management Strategy, Volume 23, Issue 1, pages 24-49, Spring 2014
Publication Date: January 7 2014
Date Added: September 9 2015
Free/Fee: Payment or membership required
Abstract: Formal, cooperative standard setting continues to grow in importance for the global economy. And as standards become more pervasive, the stakes rise for all participants. It is not surprising then that many standards are covered by intellectual property rights, that battles over the licensing of those rights have reached a fevered pitch in several industries, and that competition agencies around the globe are seriously weighing whether and how to intervene in the standard setting process. One suggestion for such an intervention is the imposition of a licensing cap, referred to as the incremental value rule. We evaluate this proposal and find that even in contexts where this rule is efficient from an ex-post point of view, it induces important distortions in the decisions of firms to innovate and participate in standard setting organizations (SSO). Such a rule reduces the R&D investment that a firm makes in relevant technologies and lowers the probability that it will join the SSO. We characterize a variation of the incremental value rule for defining fair, reasonable, and nondiscriminatory that accounts for both investment and participation incentives.
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Title: "Citation Frequency and the Value of Patented Inventions"
Author: Dietmar Harhoff
Francis Narin
F. M. Scherer
Katrin Vopel
Source: The Review of Economics and Statistics Vol. 81, No. 3 (Aug., 1999), pp. 511-515
Publication Date: August 1999
Date Added: September 9 2015
Free/Fee: Payment or membership required
Abstract: Through a survey, private economic value estimates were obtained on 964 inventions made in the United States and Germany and on which German patent renewal fees were paid to full-term expiration in 1995. A search of subsequent U.S. and German patents yielded counts of citations to those patents. Patents renewed to full-term were significantly more highly cited than patents allowed to expire before their full term. The higher an invention's economic value estimate was, the more the patent was subsequently cited.
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Title: "THE PATENT POLICY DEBATE IN THE HIGH-TECH WORLD"
Author: Kirti Gupta
Source: Journal of Competition Law & Economics (2013) 9 (4): 827-858
Publication Date: January 2013
Date Added: September 9 2015
Free/Fee: Payment or membership required
Abstract: Increases in patent awards and the growing economic importance of innovation have generated a debate among academics and public policy makers about the fundamental nature of the patent system. The debate raises questions regarding the fairness of the patent system, the validity of many types of patents, the rights of the "haves" versus the "have nots," and whether patents are fostering or harming innovation. The debate focuses on a handful of issues: are there too many patents, are there non-navigable "patent thickets," do these thickets cause a "holdup" problem for new innovators and implementers, do the royalties that need to be paid for several patents covering a single product stack together to form prohibitive royalty rates, how should reasonable licensing terms and damages for patents be defined, and so forth. This article examines the economic literature on patent policy with particular consideration of empirical analysis. The article finds limited empirical support for many of the policy concerns about the patent system. The discussion suggests the need for extending and improving empirical analysis of patents and technology standards.
Link: Full Text

Title: "An Empirical Examination of Patent Hold-up"
Author: Alexander Galetovic
Stephen Haber
Ross Levine
Source: NBER Working Paper No. 21090
Publication Date: April 2015
Date Added: September 9 2015
Free/Fee: Payment or membership required
Abstract: A large literature asserts that standard essential patents (SEPs) allow their owners to "hold up" innovation by charging fees that exceed their incremental contribution to a final product. We evaluate two central, interrelated predictions of this SEP hold-up hypothesis: (1) SEP-reliant industries should experience more stagnant quality-adjusted prices than similar non-SEP-reliant industries; and (2) court decisions that reduce the excessive power of SEP holders should accelerate innovation in SEP-reliant industries. We find no empirical support for either prediction. Indeed, SEP-reliant industries have the fastest quality-adjusted price declines in the U.S. economy.
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Title: "IP Squared: Internet Standards and Intellectual Property"
Author: Jorge L. Contreras
Wilmer Hale
Source: IEEE Internet Computing, Issue No.06 - November/December (2008 vol.12) pp: 83-86
Publication Date: November 2008
Date Added: September 9 2015
Free/Fee: Payment or membership required
Abstract: Standards-development organizations (SDOs) comprise participants from large and small companies, academia, and the open source community. The participants come with varying backgrounds with regard to copyright and patents in the areas that are being standardized, and the SDOs must deal with these issues in ways that both satisfy the participants (and their employers) and result in useful standards. Each SDO - including the IEEE - has its own intellectual property (IP) policy. This issue, we look at how the IETF handles IP, in an overview cowritten by an attorney who has represented the IETF for some years and the current IETF Chair.
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Title: "Divergent patterns of engagement in Internet standardization: Japan, Korea and China"
Author: Jorge L. Contreras
Source: Telecommunications Policy Volume 38, Issue 10, November 2014, Pages 914-932
Publication Date: November 2014
Date Added: September 9 2015
Free/Fee: Payment or membership required
Abstract: This article analyzes the engagement of Japanese, Korean and Chinese participants in the development of Internet standards at IETF on the basis of four quantitative metrics: attendance, patenting, authorship and leadership. The results are strikingly divergent. Japanese involvement in Internet standardization began early and Japan was, for many years, second only to the U.S. in terms of IETF participation. Though Japanese participation has declined since the early 2000s, Japan remains a major contributor to IETF standardization. Korean involvement in IETF has always been significant, but below the levels of Japan and major European countries. Korean participation in IETF has also declined over the past decade, and has been dominated by one firm, Samsung. Though meaningful Chinese involvement in IETF did not begin until the mid-2000s, it has rapidly expanded in recent years. Today, China is a major player in numerous areas of Internet standardization in terms of three metrics (participation, patenting and leadership), and is rapidly gaining in terms of document authorship as well. Most of China׳s recent IETF involvement can be attributed to Huawei, though other Chinese firms have recently begun to increase their participation in the organization. Thus, contrary to some views that China׳s engagement with standardization is primarily one of indigenous innovation and "catching up", China׳s experience with IETF demonstrates deliberate and effective engagement with a major Western standards-development organization on its own terms.
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Title: "Royalty-Free Video Coding Standards in MPEG [Standards in a Nutshell]"
Author: K. Choi
E. Jang
Source: Signal Processing Magazine, IEEE (Volume:31 , Issue: 1
Publication Date: January 2014
Date Added: September 9 2015
Free/Fee: Payment or membership required
Abstract: On 7 March 2013, the Moving Picture Experts Group Licensing Association (MPEG LA) and Google announced that they have entered into an agreement granting Google a license to techniques, if the patents in MPEG LA might be essential to VP8. Under this agreement, hardware and software companies are free to use the VP8 technology when developing their own products. Considering that it is now common to find patent disputes in headline news, the patent issues related to video coding standards are no exception. In this article, we report on the recent developments in royalty-free codec standardization in MPEG, particularly Internet video coding (IVC), Web video coding (WVC), and video coding for browser, by reviewing the history of royalty-free standards in MPEG and the relationship between standards and patents.
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Title: "INJUNCTIONS FOR STANDARD-ESSENTIAL PATENTS: JUSTICE IS NOT BLIND"
Author: Peter Camesasca
Gregor Langus
Damien Neven
Pat Treacy
Source: Journal of Competition Law & Economics (2013) 9 (2): 285-311
Publication Date: May 29 2013
Date Added: September 9 2015
Free/Fee: Free
Abstract: This article aims to contribute to the debate on the merit of the availability of injunctions for SEPs. We address the perception that the current system contains inadequate protection for licensees against the risk of hold up on the part of SEP owners through the application for injunctions. We provide an overview of court procedures currently in place across key jurisdictions and argue that the risk of hold up is overstated and that serious consideration should be given in the policy debate to the risk of reverse hold up by the licensees before contemplating change. Importantly, our analysis takes into account the possibility of opportunistic behavior by prospective licensees. This feature has been noted before but not explicitly modeled so far.
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Title: "Interrelation between patenting and standardisation strategies: empirical evidence and policy implications"
Author: Knut Blind
Nikolaus Thumm
Source: Research Policy Volume 33, Issue 10, December 2004, Pages 1583-1598
Publication Date: December 2004
Date Added: September 9 2015
Free/Fee: Free
Abstract: This paper analyses the relationship between strategies to protect intellectual property rights and their impact on the likelihood of joining formal standardisation processes. It is based on a small sample of European companies. On the one hand, theory suggests that the stronger the protection of own technological know-how, the higher the likelihood to join formal standardisation processes in order to leverage the value of the technological portfolio. On the other hand, companies at the leading edge are often in such a strong position that they do not need the support of standards to market their products successfully. The results of the Probit models to explain the likelihood to join standardisation processes support the latter theoretical hypothesis: the higher the patent intensities of companies, the lower is their tendency to join standardisation processes.
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