1. Halifax, 31 Oct – 3 Nov 2011ICT Accessibility For All ATIS Intellectual Property Rights Activities 2011 – An Update Thomas Goode General Counsel, ATIS Submission Date: July 8, 2008 Document No: GSC16-IPR-07 Source: ATIS Contact: Thomas Goode GSC Session: IPR WG Agenda Item: 4.6 1

2. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All 2 ATIS follows the ANSI Patent Policy and is an active participant in ANSI IPR Policy Committee. Section 10.4 of the ATIS Operating Procedures details ATIS’ patent disclosure and assurance policy, which: –Encourages the disclosure of relevant patented inventions at the “earliest possible time” in the development of deliverables; –Notes that, if ATIS receives notice that a deliverable may require use of a patented invention, an assurance stating that licenses will be made available on RAND terms, must be received; and –Specifies that any writing submitted as of January 31, 2011, for the purpose of expressing a licensing assurance, shall not qualify as such an assurance unless it expressly states that the assurance is irrevocable. Background – ATIS IPR Policy

3. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All 3 ATIS IPR Policy Review Task Force formed in November 2006: –Focused on whether changes to the ATIS IPR policy should be revised to allow for more effective standards development; –Noted absence of problems under policy; –Recommended a change to the IPR policy to address the irrevocability of licensing assurances; and –Developed a voluntary patent disclosure and assurance form. Transformed at the end of 2010 by the ATIS Board of Directors into a permanent ad hoc committee to provide continuing input on IPR related issues, as appropriate, to ATIS staff and Board. ATIS IPR Ad Hoc Committee

4. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All SoS Request for Information On March 7, 2011, ATIS responded to a Request for Information (RFI) from the National Science and Technology Council’s Subcommittee on Standards (SoS). –The RFI focused on U.S. governmental participation in standards (particularly those dealing with Smart Grid, Cybersecurity and Emergency Communications Interoperability). –It also sought information on: The effectiveness of standards processes; The impact of these processes on competitiveness; and The impact of the need for access to intellectual property on the use or development of standards. 4

5. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All ATIS Response to SoS RFI ATIS’s response stated a concern with efforts to fundamentally change the standards process, and opined that there was no necessity to do so. –Fundamental changes could adversely impact ATIS members’ core operations and reduce the effectiveness of standards; adverse impacts could arise from: Additional government-mandated standards; and Required governmental use or development of so-called “open” (defined as royalty-free) standards. ATIS commented that processes could be improved through increased governmental participation in, and support for, existing standards processes. 5

6. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All ATIS Response to SoS RFI ATIS’ comments to the RFI also noted that: –U.S. governmental agencies have effectively participated in the private development of standards and ATIS has successfully collaborated with agencies to address technical, policy issues; –Industry standardization efforts continue to be effective; and –ATIS’ IPR policy facilitates effective, timely standards development. On October 14, the SoS released a report based on input received; this report noted that input: –Indicated that there is no single “ideal” IPR policy – SDOs are in the best position to establish effective policies; –IPR policies should take into account the needs of both IPR holders and implementers; and –IPR policies should be accessible, clear and unambiguous. 6

7. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All FTC Request for Comments On June 14, ATIS provided input to the U.S. Federal Trade Commission (FTC) in response to its Request for Comments on issues such as: –Practical and legal issues that arise from collaborative standards setting when standards incorporate technologies that are protected by IPR; Disclosure of patent rights; RAND licensing commitments; and ex ante disclosure and/or negotiation of licensing terms. –How SDO policies, including specifically IPR policies, address the problem of “hold up.” Hold-up is defined as a demand for higher royalties or other more costly licensing terms after the standard is implemented than could have been obtained before the standard is chosen. 7

8. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All ATIS Response to FTC Request ATIS’ comments observed that IPR policies of SDOs such as ATIS are not in need of change. –ATIS and other SDOs continually review their policies and make modifications as necessary based on industry consensus. –Mandating changes to the way that SDO policies address IPR disclosure or licensing could create imbalances in various interests and create inefficiencies in the development process. –Many of the issues raised in the Request have been previously considered and found unnecessary, impractical and contrary to open, balanced, consensus-based processes. –The success of ATIS’ policies can be seen in ATIS’ diverse membership, the breadth of its work program and in the development of widely-implemented standards. 8

9. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All 9 Supplementary Slides

10. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All Links to ATIS Public Policy Filings ATIS maintains a link to all its public policy filings, including those referenced in this presentation: –http://www.atis.org/legal/publicpolicy.asphttp://www.atis.org/legal/publicpolicy.asp ATIS’ submission in response to SoS RFI: –http://www.atis.org/legal/Docs/NIST/NIST_RFI.pdfhttp://www.atis.org/legal/Docs/NIST/NIST_RFI.pdf ATIS submission to FTC Request for Comments: –http://www.atis.org/legal/Docs/MISC/ATIS_Comments_Project_P 11-1204.pdfhttp://www.atis.org/legal/Docs/MISC/ATIS_Comments_Project_P 11-1204.pdf 10

11. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All 11 ATIS Member Companies Participating in the ATIS IPR Policy Review Ad Hoc ADTRAN, Inc. Alcatel-Lucent AT&T CenturyLink Cisco Corning Ericsson Hewlett Packard Microsoft Motorola Mobility NetTraffic QUALCOMM Research In Motion Tekelec T-Mobile Verizon

12. Halifax, 31 Oct – 3 Nov 2011 GSC16-IPR-07 ICT Accessibility For All 12 ATIS Patent Policy Section 10.4 of the ATIS OP If ATIS or ANSI receives a notice that a proposed American National Standard may require the use of a patented invention, the procedures in this clause shall be followed. 10.4.2.1 Statement from patent holder –Prior to approval of such a proposed American National Standard, ATIS or ANSI shall receive from the identified party or patent holder (in a form approved by ATIS or ANSI) either: assurance in the form of a general disclaimer to the effect that such party does not hold or does not currently intend holding any invention the use of which would be required for compliance with the proposed American National Standard or assurance that: A license will be made available without compensation to the applicants desiring to utilize the license for the purpose of implementing the standard; or A license will be made available to applicants under reasonable terms and conditions that are demonstrably free of any unfair discrimination.