Apple Inc. v. Samsung Electronics Co. Ltd. et al

Filing 661

EXHIBITS re 660 Administrative Motion to File Under Seal Apple Inc.'s Notice of Motion and Motion for Partial Summary Judgment Exhibits to Mueller Declaration ISO Apple's Motion for Partial Summary Judgment [660-9] filed byApple Inc.(a California corporation). (Attachments: # 1 Exhibit Mueller Decl Exhibit 2, # 2 Exhibit Mueller Decl Exhibit 3, # 3 Exhibit Mueller Decl Exhibit 4, # 4 Exhibit Mueller Decl Exhibit 5, # 5 Exhibit Mueller Decl Exhibit 6, # 6 Exhibit Mueller Decl Exhibit 7, # 7 Exhibit Mueller Decl Exhibit 8, # 8 Exhibit Mueller Decl Exhibit 9, # 9 Exhibit Mueller Decl Exhibit 10, # 10 Exhibit Mueller Decl Exhibit 11, # 11 Exhibit Mueller Decl Exhibit 12, # 12 Exhibit Mueller Decl Exhibit 13, # 13 Exhibit Mueller Decl Exhibit 14, # 14 Exhibit Mueller Decl Exhibit 15, # 15 Exhibit Mueller Decl Exhibit 16, # 16 Exhibit Mueller Decl Exhibit 17, # 17 Exhibit Mueller Decl Exhibit 18, # 18 Exhibit Mueller Decl Exhibit 19, # 19 Exhibit Mueller Decl Exhibit 20, # 20 Exhibit Mueller Decl Exhibit 21, # 21 Exhibit Mueller Decl Exhibit 22, # 22 Exhibit Mueller Decl Exhibit 23, # 23 Exhibit Mueller Decl Exhibit 24)(Related document(s) 660 ) (Selwyn, Mark) (Filed on 1/25/2012)

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Mueller Exhibit 2 Addendum 1 ETSI/GA 29(9 7)/S CM/3 24 October 1997 page 1 of 6 29th General Assembly Specially Convened Meeting Nice, 18-19 November 1997 Source: ETSI Director-General Title: Amendments of the ETSI Interim Intellectual Property Rights Policy Agenda item: 4 Document for: Decision t 2 Decisionlaction requested The General Assembly is invited to approve the ETS/ (IPR) Policy as contained in the Annex to this document to become definitive References ETSllGA27(96/’11 Rev.1 December 1996 - Nice; Minutes of the E-I-SI 27t~ General Assembly meeting 11 ¯ Annex 6 Rules of Procedure - ETSI Interim IPR Policy approved by the General Assembly at its Specially Convened Meeting held on 23 November 1994; 3 Rationale As the beginning of August this year document GA29(97)/SCM/03 was distributed with the objective to transform the ETSI Interim Intellectual Property Rights Policy into a definite one. Owing to some indications received at the ETSI Secretariat, we propose a few additional modifications that can be considered as editorial The modifications consist of the following aspects: ¯ ¯ ¯ ¯ deletion of the date of approval of the IPR Policy since it will be treated from now on as any Annexes to the ETSI Rules of Procedure; complete deletion of the former Article 15 since Annexes to the Rules of Procedure are modified the same way as the rest of the Rules of Procedure; replacement of the former Article 15 by the definitions currently contained in the Annex to the IPR Policy; as a consequence of the above, a small modification of Article 2 (now referring to the new Article 15 and not any more to the Annex). Attached you will find a clean version of the revised Annex 6 to the ETSI Rules of Procedure containing the proposed ETSI (IPR) Policy. APLNDC-WH-A 0000012542 Addendum 1 ETSI/GA29(97)/SCM3 page 2 of 6 Annex 6: ETSI Intellectual Property Rights Policy 1 Introduction The General Assembly of ETSI has established the following Intellectual Property Rights POLICY. 2 Definitions Tel-ms in the POLICY which are wa’itten in capital letters shall have the meaning set forth in the Ardcle 15 entitled DEFINITIONS. 3 3.2 3.3 4 Policy Objectives STANDARDS shalt be based on solutions which best meet the technical objectives of the European telecommunications sector, as defined by the General Assembly. In order to farther this objective the ETSI IPR POLICY seeks to reduce the risk to ETSI, MEMBERS, and others applying ETSI STANDARDS, that investment in the preparation, adoption and application of STANDARDS could be wasted as a result of an ESSENTIAL IPR for a STANDARD being unavailable. In achieving this objective, the ETSI IPR POLICY seeks a balance between the needs of standardization for public use in the field of telecommunications and the rights of the owners of TPRs. IPR helders whether members of ETSI and their AFFILIATES or third parties, should be adequately and faMy rewarded for the use of their IPRs in the implementation of STANDARDS. ETSI shall take reasonable measures to ensure, as fat- as possible, that its activities which relate to the preparation, adoption and application of STANDARDS, enable STANDARDS to be availabie to potential users in accordance wittt the general principles of standardization. Disclosure of IPRs Each MEMBER shall use its reasonable endeavours to timely inform ETSI of ESSENTIAL IPRs it becomes aware of. In particular, a IVIEMBER submitting a teclmical proposal for a STANDARD shali, on a bona fide basis, draw the attention of ETSi to any of that MEMBER’s IPR which might be ESSENTIAL if that proposal is adopted. The obligations pursuant to Clause 4.1 above do however no* imply any obligation on MEMBERS to conduct IPR searches. 5 Procedures for Committees ETSI shall establish guidelines for the chairmen of COMMITTEES with respect to ESSENTIAL IPRs. APLNDC-WH-A 0000012543 Addendum 1 ETSi/GA29(97)/SCM3 page 3 of 6 6 6.2 7 7.1 7.2 8 8.1 g.l.1 8.1.2 8.2 Availability of Licences When an ESSENTIAL IPR relating to a pat~ticular STANDARD is brought to the attention of ETSI, the Dh’ector-GeneraI of ETSI shall hm~aediately request the owner to give within thi’ee months an undertaking in writing that it is prepared to grant in’evocable licences on fah’, reasonable and non-discriminatoD~ temas and conditions under such IPR to at least the following extent: MANUFACTURE, including the right to make or have made customized components and sub-systems to the licensee*s own design for use in MANUFACTURE; ¯ soil, lease, or otherwise dispose of EQUIPMENT so MANUFACTURED; ¯ repah’, use, or operate EQUIPMENT; and ¯ use METHODS. The above undertaking may be made subject to the condition that those who seek licences aga’ee to reciprocate. At the request of the European Commission and/or EFTA, initially for a specific STANDARD or a class of STANDARDS, ETSI shall an’ange to have carried oat in a competent and thnely masher an investigation including an IPR search, with the objective of ascertaining whether IPRs exist or are likely to exist wNch may be or may become ESSENTLAL to a proposed STANDARD and the possible terms and conditions of licences for such IPRs. Tiffs shall be subject to the European Commission and/or EFTA meeting nil reasonable expenses of such an investigation, in accordalce with detailed an’angements to be worked out with the European Commission and/or EFTA prinr to the investigation being undertaken. Information on IPR by ETSI Any published STANDARD shall include information pertaining to ESSENTIAL IPRs which are brought to the attention of ETSl prior to such publication. ETSI shall establish appropriate procedures to allow access to information at any time with respect to ESSENTIAL IPRs which have been brought to the attention of ETSI. Non-availability of Licences MEMBERS’ refusal to license Where a MEMBER notifies ETSI that it is not prepared to license an 1PR in respect of a STANDARD, the General Assembly shall review the requirement for that STANDARD and satisfy itself that a viable alternative technoiogy is available for the STANDARD which: ¯ is not blocked by that IPR; and ¯ satisfies ETSI’s requh’ements. Where, in the opinion of the General Assembly, no such viable alternative technology exists, work on the STANDARD shall cease, and the Director-General of ETSI shall request that MEMBER to reconsider its position. If the MEMBER decides not to withch-aw its refusal to license the IPR, it shall infom~ the Director-General of ETSI of its decision and provide a written explanation of its reasons for refusing to license that IPR, within three months of its receipt of the Director-General’s request. TILe Director-General shall then send the MEMBER’s explanation together with relevant extracts fi’om the minutes of the General Asselnbly to the ETSI Counsellors for their consideration. Non-availability of lieenees from fllil-d parties Where, in respect of a STANDAILD, ETSI becomes awaze that licences are not available a third pm’ty in accordance with Clause 6.1 above, that STANDARD shall be relented to the Director-General of ETSI for further consideration in accordance with the following procedure: The Dh’ector-Generai shall request fali supporting details fi’om any MEMBER who i) has complained that licenees are not avaiIable in accordance with Clause 6.1 above. APLNDC-WH-A 0000012544 Addendum 1 ETSI/GA29(97)/SCM3 page 4 of 6 The Director-General shall write to the IPR owner concerned for an explanation and request that licences be granted according to Clause 6.1 above. iii) Wqaere the IPR owner refuses the Director-General’s request or does not answer the letter witNn ttu’ee months, the Dh’ector-General shall info,an the General Assembly. A vote shall be taken ia the General Assembly on an individual weighted basis to immediately refer the STANDARD to the relevant COMMITTEE to modi_Sj it so that the DR is no longer ESSENTIAL. iv) Where the vote ha the General Assembly does not succeed, then the General Assembly shall, where appropriate, consult the ETSI Counsellm-s with a view to finding a solution to the problem. In parallel, the Genel’ai Assembly may reqnest appropriate MEMBERS to use theh" good offices to find a solution to the problem. Where (iv) does not lead to a sofution, then the Generai Assembly shall request the v) European Commission to see what further action may be appropriate, including nonrecognition ~£the STANDARD in question. In canting out the ferego~g procedure due account shaI1 be taken of the interest of the enterprises that have invested in the hnplementation of the STANDARD in question. ii) 9 9.2 9.3 10 ETSI ownership of IPRs The ownership of the copyright in STANDARDS documentation and reports created by ETSI or any of its COMMITTEES shall vest in ETSI but due acknowledgement shall be given to copyrights owned by thh-d pro’ties that are identifiable in ETSI copyrighted works. In respect of IPRs other than copyright in STANDARDS documentation and reports, ETSI shall only seek ownership of IPRs generated either by its employees or byseeondees to ETSI fi’om organizations who are not MEMBERS. ETSI shall, on request by a non-member, go-ant licences to that non-member on fair and reasonable terms and conditions in respect of any 1PRs, other than those referred to in Clause 9.1 above, owned by ETSI. MEMBERS shall be allowed to use IPRs owned by ETSI fi’ee of charge. Confidentiality The proceedings of a COMMITTEE shall be regm’ded as non-confidential except as expressly wovided below and all information submitted to a COMMITTEE shall be treated as if non-confidential and shall be available for public inspection unless: ¯ the information is in written o1" other tangible form; and ¯ the information is identified in writing, when submitted, as confidential; and ¯ the information is first submitted to, and accepted by, the ehait~nan of the COMMITTEE as confidential. CONFIDENTIAL INFORMATION incorporated in a STANDARD shall be regm’ded as non~ confidential by ETSI and its MEMBERS, fi’om the date on which the STANDARD is published. 11 Reproduction of Standards Documentation MEMBERS may make copies of STANDARDS documentation produced by ETSI for their own use fi’ee of charge but may not distribute such copies to others. 12 Law and Regulation Tile POLICY shall be governed by the laws of France. However, no MEMBER shall be obliged by the POLICY to commit a breach of the laws or regulations of its countD, or to act against supranational laws or regulations applicable to its eountD, insofm- as derogation by agreement between pmties is not permitted by such laws. APLNDC-WH-A 0000012545 Addendum 1 ETSI/GA29(97)/SCM3 page 5 of 6 Any right iD’anted to, and any obligation imposed on, a MEMBER which derives from French law and which are not ah-eady contained in the national or supranational law applicable to that MEMBER is to be tmderstood as being of solely a contractual nature. 13 Policy Decisions Without prejudice to ETSI’s Statutes and Rules of Procedure, no decisions shall be taken by ETSI in relation to implementation of the POLICY unless supported by a 71% majority of the weighted individual votes cast by MEMBERS. 14 Violation of Policy Any violation of the POLICY by a MEMBER shah b e deemed to be a breach, by that MEMBER, of its obligations to ETSI. The ETSI General Assembly shall have the authority to decide the action to be taken, if any, against the MEMBER in breach, in accordance with the ETSI Statutes. 15 4 5 6 Definitions "AFFILIATE" ofa fn’st legal entity means any other legal entity: ¯ dh’ectly or indh’ectly owning or conla’olling the fit’st legal entity, or ¯ trader the same dh’ect or indh’ect ownership or control as the first legal entity, or ¯ dh-ectly or indh-ectly owned or controlled by the fit’st legal entity, for so long as such ownership or control lasts. Ownership or control shall exist ttu’ough the direct or indirect: ¯ ownerslfip of more than 50% of the nominal value of the issued equity share capital or of more than 50% of the shares entitling the holders to vote for the election of directors or persons performing similar functions, or ¯ right by any other means to elect or appoint dh’ectors, or persons who colIectively can exercise such control. A state, a division of a state or other public entity operating under" public law, or any legal entity, linked to the fu-st legal entity solely tln’ough a state or may division of a state or other public entity opel’ath~g under public la~v, shali be deemed te fall outside the definition of an AFFILIATE. "COMMITTEE" shalI mean any working party or committee of ETSi and shall include Technical Coannlttees, Sub-Technical Co~mnittees, Project Teams and rapportem’ gn-oups. "CONFIDENTIAL INFORMATION" shall mean all information deemed to be confidential pursuant to Clause 10 of the POLICY disclosed directly or indirectly to the MEMBER. "EQUIPMI~NT" shall mean any system, or device fully confot~ning to a STANDARD. "METttODS" shall mean any method or operation fully co~fforming to a STANDARD. "ESSENTIAL" as applied to 1PR means that it is not possible on technical (but not commercial) grotmds, taldng into account normal technical practice and the state ofthe art generally available at the time of standardization, to make, sell, lease, othe~vise dispose of, repah’, use or operate EQLr/PMENT or METHODS which comply with a STANDARD without infi’inging that IPR. For the avoidance of doubt in exceptional eases where a STANDARD can only be hnplemented by technical solutions, all of which are infi-ingements of IPRs, all such IPRs shall be considered ESSENTIAL. "IPR" shall mean any intellectual property right conferred by statute law including applications there fur other than trademarks. For the avoidance of doubt rights relating te get-up, eoufidential information, trade secrets or the like are excinded fi’om the definition of IPR. "MANUFACTURE", shall mean production of EQUIPMENT. APLNDC-WH-A 0000012546 Addendum 1 ETSI/GA29(97)/SCM3 page 6 of 6 10 11 "MEMBER" shall mean a member or associate member of ETSI. References to a MEMBER shaI1 wherever the context pelanits be interpreted as references to that MEMBER and its AFFILIATES. "POLICY" shall mean ETSI’s Intellectual Propet~yy Rights Poiicy. "STANDARD" shall mean any ~tandard adopted by ETSI including options therein or amended versions and shall include European Standards (ENs) (telecommunications series), ETSI Standards (ESs), Common Teci~aical Regulatiens (CTRs) which are taken fi’om ENs (telecommunications series) and kneluding drafts of any of the foregoing, and documents made trader the previous nomenclatm’e, includingETSs, I-ETSs, parts of NETs and TBRs, the teclmical specifications of which are available to all MEMBERS, but not inclnding any standards, or pm~ts thereof, net made by ETSI. The date on which a STANDARD is considered to be adopted by ETSI for the proposes of this POLICY shall be the date on which the technical specification of that STANDARD was available to all MEMBERS. APLNDC-WH-A 0000012547

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