Foreword |
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xvii | |
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Preface |
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xix | |
List of Abbreviations |
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xxi | |
Part I Foundations and Problems |
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3 | (13) |
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1.1 Interoperability Standards, Network Externalities and Market Dominance |
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3 | (1) |
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1.2 Balancing the Interests of Creators and Users of Essential Interoperability Standards through Intellectual Property and Competition Law |
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4 | (4) |
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1.3 Interfacing Intellectual Property and Competition in International Economic Law |
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8 | (2) |
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10 | (4) |
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1.5 Structure of This Work |
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14 | (2) |
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2 Standards and Interoperability Standards |
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16 | (38) |
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2.1 The Fundamental Importance of Standards and Interoperability |
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16 | (1) |
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2.2 Defining the Concept of an Interoperability Standard |
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17 | (8) |
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2.2.1 Some Basic Definitions |
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17 | (2) |
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2.2.2 Typologies of Standards |
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19 | (2) |
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2.2.3 Interoperability Standards: Definitions |
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21 | (4) |
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2.3 Notable Interoperability Standards: from QWERTY towards an Internet of Things |
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25 | (11) |
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2.3.1 Keyboard Configurations: QWERTY and Its Discontents |
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26 | (1) |
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2.3.2 Video Recording Formats: the Standards War between VHS and BETAMAX |
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27 | (1) |
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2.3.3 The 802.11 Family of Wireless Area Network Standards |
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28 | (1) |
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2.3.4 Internet Standards: Transmission Control Protocol/Internet Protocol |
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29 | (3) |
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2.3.5 Mobile Wireless Standards: from 1G to 4G and beyond |
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32 | (1) |
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2.3.6 Near Field Communications Standards |
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33 | (1) |
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2.3.7 Mobile Payment Standards: Cash Goes Wireless |
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34 | (1) |
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2.3.8 Towards an Internet of Things |
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35 | (1) |
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2.4 Who Makes Interoperability Standards? |
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36 | (8) |
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2.4.1 International Organizations: the International Telecommunication Union |
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37 | (2) |
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2.4.2 International Bodies: ISO, IEEE and IETF |
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39 | (3) |
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2.4.3 Regional and National Standard-Setting Organizations |
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42 | (1) |
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2.4.4 Private Standard-Setting Organizations and Consortia |
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43 | (1) |
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2.4.5 Single-Firm Standard-Setting |
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44 | (1) |
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2.5 The Creation of Interoperability Standards |
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44 | (4) |
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2.5.1 Overview of the Standard-Setting Process |
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44 | (2) |
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2.5.2 'Best Practice': ISO and Others |
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46 | (2) |
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2.6 Economic Characteristics of Interoperability Standards: Network Effects, and How Standards Become Standard |
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48 | (6) |
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2.6.1 Standardization through Force of Law |
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48 | (1) |
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2.6.2 Standardization through Widespread Marketplace Acceptance |
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49 | (5) |
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3 Interoperability Standards and International Economic Law |
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54 | (27) |
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3.1 The Provisions of the TRIPS Agreement |
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54 | (15) |
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3.1.1 The Minimum Standards of Protection Articulated in the Provisions of the TRIPS Agreement |
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54 | (3) |
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3.1.2 Certain Provisions of the TRIPS Agreement Exhibiting the Character of Maximum Standards |
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57 | (5) |
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3.1.3 Significance of the TRIPS Flexibilities |
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62 | (7) |
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3.2 The WTO Agreement on Technical Barriers to Trade |
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69 | (3) |
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3.3 The WTO Telecommunications Agreement |
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72 | (2) |
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3.4 The WTO Information Technology Agreement |
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74 | (1) |
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3.5 International Competition Law |
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75 | (2) |
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3.6 Concluding Observations |
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77 | (4) |
Part II The Impact of Intellectual Property and Competition Laws |
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4 Interoperability Standards and Intellectual Property |
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81 | (76) |
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4.1 The Concept of Standards-essential Intellectual Property |
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81 | (1) |
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4.2 The Law and Economics of Intellectual Property Protection |
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81 | (3) |
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84 | (34) |
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4.3.1 Standards-essential Patents |
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84 | (6) |
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4.3.2 Standards-essential Patents, Hold-Up and Royalty Stacking |
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90 | (7) |
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4.3.3 Defences to SEP Infringement |
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97 | (3) |
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4.3.4 Remedies for Patent Infringement |
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100 | (11) |
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4.3.5 SEPs in the Particular Context of Software Patenting |
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111 | (7) |
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118 | (30) |
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4.4.1 Standards-essential Copyright |
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118 | (22) |
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4.4.2 Remedies for Infringement of Standards-essential Copyright |
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140 | (8) |
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4.5 Protection for the Layout Topographies of Integrated Circuits |
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148 | (1) |
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148 | (2) |
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4.7 Compulsory Licensing of Intellectual Property Rights |
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150 | (4) |
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4.7.1 Compulsory Licence for Established Contravention of Competition Law |
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150 | (4) |
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4.8 Concluding Remarks about Standards-essential Intellectual Property |
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154 | (3) |
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5 Interoperability Standards and Competition Law |
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157 | (76) |
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5.1 Introductory Comments |
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157 | (1) |
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5.2 The Essential Facilities Doctrine |
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157 | (44) |
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5.2.1 Historical Development and Intellectual Foundations of the Essential Facilities Doctrine |
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158 | (20) |
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5.2.2 Development of the Essential Facilities Doctrine in European Cases |
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178 | (4) |
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5.2.3 The Doctrine in the Context of Intellectual Property and Interoperability Standards |
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182 | (9) |
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5.2.4 Application of the Doctrine to Interoperability Standards and Standards-essential Intellectual Property |
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191 | (2) |
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5.2.5 The Law and Economics of the Essential Facilities Doctrine |
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193 | (8) |
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5.3 Request for Injunction in Relation to Standards-essential Patents as a Competition Law Breach |
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201 | (11) |
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202 | (1) |
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203 | (6) |
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209 | (1) |
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5.3.4 Merits of Applying the Unilateral Disciplines to Address Injunctions for FRAND-encumbered SEPs |
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209 | (3) |
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5.4 Excessive or Unfair Pricing |
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212 | (3) |
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213 | (1) |
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214 | (1) |
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5.4.3 Excessive Pricing: Concluding Observations |
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215 | (1) |
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5.5 Misconduct or Fraud in the Creation of Standards |
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215 | (6) |
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216 | (3) |
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219 | (1) |
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220 | (1) |
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5.5.4 Conclusions Regarding Fraud and Misconduct in Standard-Setting |
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221 | (1) |
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221 | (2) |
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223 | (5) |
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223 | (2) |
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225 | (1) |
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225 | (2) |
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5.7.4 Concerted Practices and Interoperability Standards - Analysis |
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227 | (1) |
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5.8 Competition Law Approaches to SEIP: Conclusions |
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228 | (5) |
Part III Towards Liability and Compensation |
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6 Exclusive Property Rules or Liability Rules for Interoperability Standards and Standards Essential Intellectual Property? |
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233 | (46) |
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6.1 Exclusive Property Rules, Liability Rules and Inalienability Rules |
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233 | (6) |
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233 | (1) |
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6.1.2 The Calabresi and Melamed Framework |
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234 | (3) |
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6.1.3 Extensions of the Calabresi and Melamed Framework |
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237 | (2) |
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6.2 Standards-essential Intellectual Property: Exclusive Property Rules or Liability Rules? |
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239 | (19) |
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6.2.1 Existing Scholarship |
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239 | (5) |
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6.2.2 Analysis: Liability or Exclusive Property Rules for Standards-essential Intellectual Property? |
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244 | (13) |
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6.2.3 The Choice between Exclusive Property Rules and Liability Rules for Standards-essential Intellectual Property: Concluding Observations |
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257 | (1) |
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6.3 Exclusive Property Rules, Liability Rules and Refusals to Supply |
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258 | (3) |
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6.4 Implications for Injunctions and Compensation |
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261 | (18) |
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6.4.1 Implications for Injunctions |
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261 | (2) |
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6.4.2 Implications for Compensation |
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263 | (13) |
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6.4.3 Implications for Compulsory Licensing |
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276 | (2) |
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6.4.4 Broader Implications for Unilateral Competition Law Disciplines, Including the Essential Facilities Doctrine |
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278 | (1) |
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7 Access to Interoperability Standards and Standards-essential Intellectual Property International Dimensions |
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279 | (54) |
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7.1 Basis for an International Approach |
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279 | (3) |
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7.2 Binding Treaty Action or International Soft Law? |
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282 | (6) |
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7.3 Selecting the Appropriate Forum |
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288 | (17) |
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7.3.1 International Organization for Standardization |
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289 | (1) |
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7.3.2 International Telecommunication Union |
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290 | (1) |
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7.3.3 World Intellectual Property Organization |
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291 | (1) |
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7.3.4 World Trade Organization |
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292 | (1) |
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7.3.5 International Competition Network |
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293 | (2) |
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7.3.6 Organization for Economic Co-operation and Development |
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295 | (1) |
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296 | (5) |
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7.3.8 Analysis and Conclusions as to the Appropriate Forum |
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301 | (4) |
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7.4 The Appropriate Process to Be Followed in Developing an Expert Manual |
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305 | (3) |
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306 | (1) |
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7.4.2 Adequately Representative Composition of an Expert Group |
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306 | (1) |
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7.4.3 Robust and Transparent Process |
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306 | (2) |
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7.5 The Appropriate Purpose and Structure of an Expert Manual |
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308 | (5) |
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7.5.1 General Observations |
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308 | (1) |
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7.5.2 Proposed Substantive Contents |
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309 | (4) |
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7.6 Consistency with International Law of the Proposed Approach |
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313 | (20) |
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313 | (12) |
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325 | (4) |
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329 | (1) |
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330 | (1) |
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7.6.5 Enforcement of Intellectual Property Rights |
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330 | (1) |
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7.6.6 Conclusion regarding Consistency of the Proposed Approach with Existing International Agreements |
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331 | (2) |
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8 Concluding Observations |
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333 | (14) |
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347 | (9) |
Bibliography |
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356 | (39) |
Index |
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395 | |