Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 1 of 13 PageID #: 2262
`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 1o0f13 PagelD#: 2262
`
`
`
`
`
`
`
`EXHIBIT E
`EXHIBIT E
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 2 of 13 PageID #: 2263
`
`Page 36
`ETSI Rules of Procedure, 19 November 2014
`
`Annex 6:
`
`ETSI Intellectual Property Rights Policy
`
`1
`
`Introduction
`
`The General Assembly of ETSI has established the following Intellectual Property Rights POLICY.
`
`
`
`Definitions
`
` 2
`
`Terms in the POLICY which are written in capital letters shall have the meaning set forth in Clause 15
`entitled DEFINITIONS.
`
`
`
`Policy Objectives
`
` 3
`
`3.1
`
`
`3.2
`
`It is ETSI's objective to create STANDARDS and TECHNICAL SPECIFICATIONS that are
`based on solutions which best meet
`the
`technical objectives of
`the European
`telecommunications sector, as defined by the General Assembly. In order to further this
`objective the ETSI IPR POLICY seeks to reduce the risk to ETSI, MEMBERS, and others
`applying ETSI STANDARDS and TECHNICAL SPECIFICATIONS, that investment in the
`preparation, adoption and application of STANDARDS could be wasted as a result of an
`ESSENTIAL IPR for a STANDARD or TECHNICAL SPECIFICATION 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
`IPRs.
`
`IPR holders whether members of ETSI and their AFFILIATES or third parties, should be
`adequately and fairly rewarded for the use of their IPRs in the implementation of STANDARDS
`and TECHNICAL SPECIFICATIONS.
`
`
`3.3 ETSI shall take reasonable measures to ensure, as far as possible, that its activities which relate
`to
`the preparation, adoption and application of STANDARDS and TECHNICAL
`SPECIFICATIONS, enable STANDARDS and TECHNICAL SPECIFICATIONS to be available to
`potential users in accordance with the general principles of standardization.
`
`
`
`Disclosure of IPRs
`
` 4
`
`4.1 Subject to Clause 4.2 below, each MEMBER shall use its reasonable endeavours, in particular
`during the development of a STANDARD or TECHNICAL SPECIFICATION where it participates,
`to inform ETSI of ESSENTIAL IPRs in a timely fashion. In particular, a MEMBER submitting a
`technical proposal for a STANDARD or TECHNICAL SPECIFICATION shall, 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.
`
`
`4.2 The obligations pursuant to Clause 4.1 above do however not imply any obligation on
`MEMBERS to conduct IPR searches.
`
`
`4.3 The obligations pursuant to Clause 4.1 above are deemed to be fulfilled in respect of all existing
`and future members of a PATENT FAMILY if ETSI has been informed of a member of this
`PATENT FAMILY in a timely fashion. Information on other members of this PATENT FAMILY, if
`any, may be voluntarily provided.
`
`
`
`Procedures for Committees
`
` 5
`
`ETSI shall establish guidelines for the chairmen of COMMITTEES with respect to ESSENTIAL IPRs.
`
`
`
`Availability of Licences
`
` 6
`
`6.1 When an ESSENTIAL IPR relating to a particular STANDARD or TECHNICAL SPECIFICATION
`is brought to the attention of ETSI, the Director-General of ETSI shall immediately request the
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 3 of 13 PageID #: 2264
`
`Page 37
`ETSI Rules of Procedure, 19 November 2014
`
`owner to give within three months an irrevocable undertaking in writing that it is prepared to
`grant irrevocable licences on fair, reasonable and non-discriminatory (“FRAND”) terms and
`conditions under such IPR to at least the following extent:
`
`
`6.1bis Transfer of ownership of ESSENTIAL IPR
`
`
`
`interpreted as
`to Clause 6 shall be
`licensing undertakings made pursuant
`FRAND
`encumbrances that bind all successors-in-interest. Recognizing that this interpretation may not
`apply in all legal jurisdictions, any Declarant who has submitted a FRAND undertaking according
`to the POLICY who transfers ownership of ESSENTIAL IPR that is subject to such undertaking
`shall include appropriate provisions in the relevant transfer documents to ensure that the
`undertaking is binding on the transferee and that the transferee will similarly include appropriate
`provisions in the event of future transfers with the goal of binding all successors-in-interest. The
`undertaking shall be interpreted as binding on successors-in-interest regardless of whether such
`provisions are included in the relevant transfer documents.
`
`
`6.2 An undertaking pursuant to Clause 6.1 with regard to a specified member of a PATENT FAMILY
`shall apply to all existing and future ESSENTIAL IPRs of that PATENT FAMILY unless there is
`an explicit written exclusion of specified IPRs at the time the undertaking is made. The extent of
`any such exclusion shall be limited to those explicitly specified IPRs.
`
`
`6.3 As long as the requested undertaking of the IPR owner is not granted, the COMMITTEE
`Chairmen should, if appropriate, in consultation with the ETSI Secretariat use their judgment as
`to whether or not the COMMITTEE should suspend work on the relevant parts of the
`STANDARD or TECHNICAL SPECIFICATION until the matter has been resolved and/or submit
`for approval any relevant STANDARD or TECHNICAL SPECIFICATION.
`
`
`6.4 At the request of the European Commission and/or EFTA, initially for a specific STANDARD or
`TECHNICAL SPECIFICATION or a class of STANDARDS/TECHNICAL SPECIFICATIONS,
`ETSI shall arrange to have carried out in a competent and timely manner an investigation
`including an IPR search, with the objective of ascertaining whether IPRs exist or are likely to
`exist which may be or may become ESSENTIAL to a proposed STANDARD or TECHNICAL
`SPECIFICATIONS and the possible terms and conditions of licences for such IPRs. This shall
`be subject to the European Commission and/or EFTA meeting all reasonable expenses of such
`an investigation, in accordance with detailed arrangements to be worked out with the European
`Commission and/or EFTA prior to the investigation being undertaken.
`
`
`6bis Use of the IPR Licensing Declaration Forms
`
`MEMBERS shall use one of the ETSI IPR Licensing Declaration forms at the Appendix to this ETSI
`IPR Policy to make their IPR licensing declarations.
`
`
`
`Information on IPR by ETSI
`
` 7
`
`information
`include
`7.1 Any published STANDARD or TECHNICAL SPECIFICATION shall
`pertaining to ESSENTIAL IPRs which are brought to the attention of ETSI prior to such
`publication.
`
`MANUFACTURE, including the right to make or have made customized components and
`sub-systems to the licensee's own design for use in MANUFACTURE;
`
`sell, lease, or otherwise dispose of EQUIPMENT so MANUFACTURED;
`
`repair, use, or operate EQUIPMENT; and
`
`use METHODS.
`
`●
`
` ●
`
`
`
` ●
`
`
`
`
`
` ●
`
`The above undertaking may be made subject to the condition that those who seek licences
`agree to reciprocate.
`
`
`
`
`
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 4 of 13 PageID #: 2265
`
`Page 38
`ETSI Rules of Procedure, 19 November 2014
`
`
`7.2 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
`
` 8
`
`8.1 Non-availability of licences prior to the publication of a STANDARD or a TECHNICAL
`SPECIFICATION
`
`
`8.1.1
`
`
`
`
`
`8.1.2
`
`
`
`
`
`Existence of a viable alternative technology
`
`Where prior to the publication of a STANDARD or a TECHNICAL SPECIFICATION an IPR
`owner informs ETSI that it is not prepared to license an IPR in respect of a STANDARD or
`TECHNICAL SPECIFICATION in accordance with Clause 6.1 above, the General Assembly
`shall review the requirement for that STANDARD or TECHNICAL SPECIFICATION and
`satisfy itself that a viable alternative technology is available for the STANDARD or
`TECHNICAL SPECIFICATION which:
`
`●
`
`is not blocked by that IPR; and
`
` ●
`
`
`
`satisfies ETSI's requirements.
`
`
`Non-existence of a viable alternative technology
`
`Where, in the opinion of the General Assembly, no such viable alternative technology exists,
`work on
`the STANDARD or TECHNICAL SPECIFICATION shall cease, and
`the
`Director-General of ETSI shall observe the following procedure:
`
`a)
`
`b)
`
`If the IPR owner is a MEMBER,
`
`i)
`
`the Director-General of ETSI shall request that MEMBER to reconsider its
`position.
`
`If that MEMBER however decides not to withdraw its refusal to license the
`IPR, it shall then inform 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.
`
`
`ii)
`
`
`iii)
`
`The Director-General of ETSI shall then send the MEMBER's explanation
`together with relevant extracts from the minutes of the General Assembly to
`the ETSI Counsellors for their consideration.
`
`
`If the IPR owner is a third party,
`
`i)
`
`the Director-General of ETSI shall, wherever appropriate, request full
`supporting details from any MEMBER who has complained that licences are
`not available
`in accordance with Clause 6.1 above and/or request
`appropriate MEMBERS to use their good offices to find a solution to the
`problem.
`
`
`ii) Where this does not lead to a solution the Director-General of ETSI shall
`write to the IPR owner concerned for an explanation and request ultimately
`that licences be granted according to Clause 6.1 above.
`
`
`iii) Where the IPR owner refuses the Director-General's request and decides not
`to withdraw its refusal to license the IPR or does not answer the letter within
`three months after the receipt of the Director-General's request, the
`Director-General shall then send the IPR owner's explanation, if any,
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 5 of 13 PageID #: 2266
`
`Page 39
`ETSI Rules of Procedure, 19 November 2014
`
`8.1.3
`
`together with relevant extracts from the minutes of the General Assembly to
`the ETSI Counsellors for their consideration.
`
`
`Prior to any decision by the General Assembly, the COMMITTEE should in consultation with
`the ETSI Secretariat use their judgment as to whether or not the COMMITTEE should pursue
`development of the concerned parts of the STANDARD or a TECHNICAL SPECIFICATION
`based on the non-available technology and should look for alternative solutions.
`
`licences after
`
`the publication of a STANDARD or a TECHNICAL
`
`
`8.2 Non-availability of
`SPECIFICATION
`
`i)
`
`
`ii)
`
`Where, in respect of a published STANDARD or TECHNICAL SPECIFICATION, ETSI becomes
`aware that licences are not available from an IPR owner in accordance with Clause 6.1 above,
`that STANDARD or TECHNICAL SPECIFICATION shall be referred to the Director-General of
`ETSI for further consideration in accordance with the following procedure:
`
`The Director-General shall request full supporting details from any MEMBER or third party
`who has complained that licences are not available in accordance with Clause 6.1 above.
`
`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. Where the concerned
`IPR owner is a MEMBER, it shall inform the Director-General of ETSI of its decision and
`provide a written explanation of its reasons in case of continuing refusal to license that
`IPR.
`
`
`iii) Where the IPR owner refuses the Director-General's request or does not answer the letter
`within three months, the Director-General shall inform the General Assembly and, if
`available, provide
`the General Assembly with
`the
`IPR owner's explanation
`for
`consideration. A vote shall be taken in the General Assembly on an individual weighted
`basis to immediately refer the STANDARD or TECHNICAL SPECIFICATION to the
`relevant COMMITTEE to modify it so that the IPR is no longer ESSENTIAL.
`
`
`iv) Where the vote in the General Assembly does not succeed, then the General Assembly
`shall, where appropriate, consult the ETSI Counsellors with a view to finding a solution to
`the problem. In parallel, the General Assembly may request appropriate MEMBERS to
`use their good offices to find a solution to the problem.
`
`
`v) Where (iv) does not lead to a solution, then the General Assembly shall request the
`European Commission to see what further action may be appropriate, including non-
`recognition of the STANDARD or TECHNICAL SPECIFICATION in question.
`
`In carrying out the foregoing procedure due account shall be taken of the interest of the
`enterprises that have invested in the implementation of the STANDARD or TECHNICAL
`SPECIFICATION in question.
`
`ETSI ownership of IPRs
`
`
`
`
`
`
`
`
`
`
`
` 9
`
`
`9.2
`
`in STANDARDS and TECHNICAL SPECIFICATIONS
`the copyright
`9.1 The ownership of
`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 third parties that are identifiable in
`ETSI copyrighted works.
`
`In general, in the absence of any exceptional circumstances, where SOFTWARE is included in
`any element of a STANDARD or TECHNICAL SPECIFICATION there shall be no requirement to
`use that SOFTWARE for any purpose in order for an implementation to conform to the
`STANDARD or TECHNICAL SPECIFICATION.
`
`
`9.2.1 Without prejudice to Clause 9.1, any MEMBER contributing SOFTWARE for inclusion in a
`STANDARD or TECHNICAL SPECIFICATION hereby grants, without monetary
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 6 of 13 PageID #: 2267
`
`Page 40
`ETSI Rules of Procedure, 19 November 2014
`
`compensation or any restriction other than as set out in this Clause 9.2.1, an irrevocable, non-
`exclusive, worldwide, royalty-free, sub-licensable copyright licence to prepare derivative works
`of (including
`translations, adaptations, alterations)
`the contributed SOFTWARE and
`reproduce, display, distribute and execute the contributed SOFTWARE and derivative works
`for the following limited purposes:
`
`a)
`
`b)
`
`c)
`
`to ETSI and MEMBERS to evaluate the SOFTWARE and any derivative works
`thereof for determining whether to support the inclusion of the SOFTWARE in that
`STANDARD or TECHNICAL SPECIFICATION;
`to ETSI to publish the SOFTWARE in that STANDARD or TECHNICAL
`SPECIFICATION; and
`to any implementer of that STANDARD or TECHNICAL SPECIFICATION to
`evaluate the SOFTWARE and any derivative works thereof for inclusion in its
`implementation of that STANDARD or TECHNICAL SPECIFICATION, and to
`determine whether
`its
`implementation conforms with
`that STANDARD or
`TECHNICAL SPECIFICATION.
`
`(i) The copyright licence granted in Clause 9.2.1 shall also extend to any implementer of that
`STANDARD or TECHNICAL SPECIFICATION for the purpose of using the SOFTWARE in
`any compliant implementation unless (ii) the contributing MEMBER gives an irrevocable
`undertaking in writing at the time of contribution that it is prepared to grant an irrevocable
`copyright licence on fair, reasonable and non-discriminatory terms and conditions for the
`purpose of using the SOFTWARE in any compliant implementation.
`
`Any MEMBER contributing SOFTWARE for inclusion in a STANDARD or TECHNICAL
`SPECIFICATION represents and warrants that to the best of its knowledge, it has the
`necessary copyright rights to license that contribution under Clause 9.2.1 and 9.2.2 to ETSI,
`MEMBERS and implementers of the STANDARD or TECHNICAL SPECIFICATION.
`
`Other than as expressly provided in this Clause 9.2.3: (1) SOFTWARE contributed for
`inclusion in a STANDARD or TECHNICAL SPECIFICATION is provided “AS IS” with no
`warranties, express or implied, including but not limited to, the warranties of merchantability,
`fitness for a particular purpose and non infringement of intellectual property rights and (2)
`neither the MEMBER contributing SOFTWARE nor ETSI shall be held liable in any event for
`any damages whatsoever (including, without limitation, damages for loss of profits, business
`interruption, loss of information, or any other pecuniary loss) arising out of or related to the
`use of or inability to use the SOFTWARE.
`
`
`9.2.4 With respect to the copyright licenses set out in Clause 9.2.1 and 9.2.2 , no patent licence is
`granted by implication, estoppel or otherwise.
`
`
`
`
`9.2.2
`
`
`9.2.3
`
`
`
`
`
`9.3
`
`In respect of IPRs other than copyright in STANDARDS and TECHNICAL SPECIFICATIONS
`documentation and reports, ETSI shall only seek ownership of IPRs generated either by its
`employees or by secondees to ETSI from organizations who are not MEMBERS.
`
`
`9.4 ETSI shall, on request by a non-member, grant licences to that non-member on fair and
`reasonable terms and conditions in respect of any IPRs, other than those referred to in Clause
`9.1 above, owned by ETSI. MEMBERS shall be allowed to use IPRs owned by ETSI free of
`charge.
`
`
`10
`
`Confidentiality
`
`The proceedings of a COMMITTEE shall be regarded as non-confidential except as expressly provided
`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 or other tangible form; and
`
`the information is identified in writing, when submitted, as confidential; and
`
` ●
`
`
`
`
`
` ●
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 7 of 13 PageID #: 2268
`
`Page 41
`ETSI Rules of Procedure, 19 November 2014
`
` ●
`
`
`
`the information is first submitted to, and accepted by, the chairman of the COMMITTEE
`as confidential.
`
`
`CONFIDENTIAL INFORMATION incorporated in a STANDARD or TECHNICAL SPECIFICATION shall
`be regarded as non-confidential by ETSI and its MEMBERS, from the date on which the STANDARD
`or TECHNICAL SPECIFICATION is published.
`
`11
`
`Reproduction of Standards Documentation
`
`MEMBERS may make copies of STANDARDS and TECHNICAL SPECIFICATIONS documentation
`produced by ETSI for their own use free of charge but may not distribute such copies to others.
`
`12
`
`Law and Regulation
`
`The 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 country or to act against supranational
`laws or regulations applicable to its country insofar as derogation by agreement between parties is not
`permitted by such laws.
`
`Any right granted to, and any obligation imposed on, a MEMBER which derives from French law and
`which are not already contained in the national or supranational law applicable to that MEMBER is to
`be understood 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 shall be 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
`
`Definitions
`
`"AFFILIATE" of a first legal entity means any other legal entity:
`
`1
`
`
`●
`
` ●
`
`
`
` ●
`
`directly or indirectly owning or controlling the first legal entity, or
`
`under the same direct or indirect ownership or control as the first legal entity, or
`
`directly or indirectly owned or controlled by the first legal entity,
`
`
`
`
`
`
`Ownership or control shall exist through the direct or indirect:
`
`
`for so long as such ownership or control lasts.
`
`ownership 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 directors, or persons who collectively 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 first legal entity solely through a state or any
`division of a state or other public entity operating under public law, shall be deemed to fall
`outside the definition of an AFFILIATE.
`
`●
`
` ●
`
`
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 8 of 13 PageID #: 2269
`
`Page 42
`ETSI Rules of Procedure, 19 November 2014
`
`"COMMITTEE" shall mean any Technical Body of ETSI and shall include ETSI Projects,
`Technical Committees, ETSI Partnership Projects, and their Working Groups.
`
`"CONFIDENTIAL INFORMATION" shall mean all information deemed to be confidential
`pursuant to Clause 10 of the POLICY disclosed directly or indirectly to the MEMBER.
`
`"EQUIPMENT" shall mean any system, or device fully conforming to a STANDARD.
`
`"METHODS" shall mean any method or operation fully conforming to a STANDARD.
`
`"ESSENTIAL" as applied to IPR means that it is not possible on technical (but not commercial)
`grounds, taking into account normal technical practice and the state of the art generally available
`at the time of standardization, to make, sell, lease, otherwise dispose of, repair, use or operate
`EQUIPMENT or METHODS which comply with a STANDARD without infringing that IPR. For the
`avoidance of doubt in exceptional cases where a STANDARD can only be implemented by
`technical solutions, all of which are infringements of IPRs, all such IPRs shall be considered
`ESSENTIAL.
`
`"IPR" shall mean any intellectual property right conferred by statute law including applications
`therefor other than trademarks. For the avoidance of doubt rights relating to get-up, confidential
`information, trade secrets or the like are excluded from the definition of IPR.
`
`"MANUFACTURE", shall mean production of EQUIPMENT.
`
`"MEMBER" shall mean a member or associate member of ETSI. References to a MEMBER
`shall wherever the context permits be interpreted as references to that MEMBER and its
`AFFILIATES.
`
`"POLICY" shall mean ETSI's Intellectual Property Rights Policy.
`
`"STANDARD" shall mean any standard adopted by ETSI including options therein or amended
`versions and shall include European Standards (ENs), ETSI Standards (ESs), Common
`Technical Regulations (CTRs) which are taken from ENs and including drafts of any of the
`foregoing, and documents made under the previous nomenclature, including ETSs, I-ETSs,
`parts of NETs and TBRs, the technical specifications of which are available to all MEMBERS,
`but not including any standards, or parts thereof, not made by ETSI.
`
`The date on which a STANDARD is considered to be adopted by ETSI for the purposes of this
`POLICY shall be the date on which the technical content of that STANDARD was available to all
`MEMBERS.
`
`"TECHNICAL SPECIFICATION" shall mean any Technical Specification (TS) adopted by ETSI
`including options therein or amended version including drafts, the Technical Specifications of
`which are available to all MEMBERS, but not including any technical specifications, or parts
`thereof, not made by ETSI.
`
`The date on which a TECHNICAL SPECIFICATION is considered to be adopted by ETSI for the
`purposes of this POLICY shall be the date on which the technical content of that TECHNICAL
`SPECIFICATION was available to all MEMBERS.
`
`“PATENT FAMILY” shall mean all the documents having at least one priority in common,
`including the priority document(s) themselves. For the avoidance of doubt, “documents” refers
`to patents, utility models, and applications therefor.
`
`For the purpose of this IPR Policy, “SOFTWARE” shall mean:
`
` 2
`
`
`
` 3
`
`
`
` 4
`
`
`
` 5
`
`
`
` 6
`
`
`
` 7
`
`
`
` 8
`
`
`
` 9
`
`
`
`
`10
`
`11
`
`
`
`
`
`12
`
`
`
`
`
`13
`
`
`14
`
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 9 of 13 PageID #: 2270
`
`Page 43
`ETSI Rules of Procedure, 19 November 2014
`
`a set of instructions written in any programming language that either directly, or when
`further compiled, performs a function when executed by hardware that processes data
`according to instructions, such as an audio or video CODEC; but also
`
`data and stream structure definitions, such as ASN.1, TTCN, or XML data
`representations; and
`
`schema examples, such as SDL diagrams and data flow charts;
`
`●
`
` ●
`
`
`
` ●
`
`
`
`which can be transformed, either directly, or when further compiled, into usable/implementable
`code.
`
`
`
`
`
`
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 10 of 13 PageID #: 2271
`
`Page 44
`ETSI Rules of Procedure, 19 November 2014
`Annex 6 - Appendix A:
`IPR Licensing Declaration forms
`
`IPR HOLDER / ORGANISATION (“Declarant”)
`
`Legal Name:
`
`
`CONTACT DETAILS FOR LICENSING INFORMATION:
`
`
`
`
`
`
`
`
`
` Fax:
` URL:
`
`
`
`
`
`
`, or
`, or
`
`Name and Title:
`Department:
`Address:
`
`Telephone:
`Email:
`
`
`
`
`GENERAL IPR LICENSING DECLARATION
`In accordance with Clause 6.1 of the ETSI IPR Policy the Declarant and/or its AFFILIATES hereby informs
`ETSI that (check one box only):
` with reference to ETSI STANDARD(S) or TECHNICAL SPECIFICATION(S) No.:
`
`
` with reference to ETSI Project(s):
` with reference to all ETSI STANDARDS AND TECHNICAL SPECIFICATIONS
`
`
`
`
`
`
`
`
`
`
`and with reference to (check one box only):
`
`IPR(s) contained within technical contributions made by the Declarant and/or its AFFILIATES, or
`
`any IPRs
`
`the Declarant hereby irrevocably declares that (1) it and its AFFILIATES are prepared to grant irrevocable
`licenses under its/their IPR(s) on terms and conditions which are in accordance with Clause 6.1 of the ETSI
`IPR Policy, in respect of the STANDARD(S), TECHNICAL SPECIFICATION(S), or the ETSI Project(s), as
`identified above, to the extent that the IPR(s) are or become, and remain ESSENTIAL to practice that/those
`STANDARD(S) or TECHNICAL SPECIFICATION(S) or, as applicable, any STANDARD or TECHNICAL
`SPECIFICATION resulting from proposals or Work Items within the current scope of the above identified
`ETSI Project(s), for the field of use of practice of such STANDARD or TECHNICAL SPECIFICATION; and
`(2) it will comply with Clause 6.1bis of the ETSI IPR Policy with respect to such ESSENTIAL IPR(s).
` This irrevocable undertaking is made subject to the condition that those who seek licences agree to
`reciprocate (check box if applicable).
`
`
`
`The construction, validity and performance of this General IPR licensing declaration shall be governed by the
`laws of France.
`
`Terms in ALL CAPS on this form have the meaning provided in Clause 15 of the ETSI IPR Policy.
`
`
`
`
`SIGNATURE
`By signing this General IPR Licensing Declaration form, you represent that you have the authority to bind the
`Declarant and/or its AFFILIATES to the representations and commitments provided in this form.
`Name of authorized person:
`Title of authorized person:
`Place, Date:
`
`Signature:
`
`Please return this form duly signed to: ETSI Director-General
`ETSI - 650, route des Lucioles - F-06921 Sophia Antipolis Cedex – France / Fax. +33 (0) 4 93 65 47 16
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 11 of 13 PageID #: 2272
`
`
`
`
`
`
`
`
`
` Fax:
` URL:
`
`
`
`
`Page 45
`ETSI Rules of Procedure, 19 November 2014
`IPR INFORMATION STATEMENT AND LICENSING DECLARATION
`
`IPR HOLDER / ORGANISATION (“Declarant”)
`Legal Name:
`
`
`CONTACT DETAILS FOR LICENSING INFORMATION:
`Name and Title:
`Department:
`Address:
`
`Telephone:
`Email:
`
`IPR INFORMATION STATEMENT
`In accordance with Clause 4.1 of the ETSI IPR Policy the Declarant and/or its AFFILIATES hereby informs
`ETSI that it is the Declarant’s and/or its AFFILIATES’ present belief that the IPR(s) disclosed in the attached
`IPR Information Statement Annex may be or may become ESSENTIAL in relation to at least the ETSI Work
`Item(s), STANDARD(S) and/or TECHNICAL SPECIFICATION(S) identified in the attached IPR Information
`Statement Annex.
`The Declarant and/or its AFFILIATES (check one box only):
` are the proprietor of the IPR(s) disclosed in the attached IPR Information Statement Annex.
`
` are not the proprietor of the IPR(s) disclosed in the attached IPR Information Statement Annex.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR LICENSING DECLARATION
`In accordance with Clause 6.1 of the ETSI IPR Policy the Declarant and/or its AFFILIATES hereby
`irrevocably declares the following (check one box only, and subordinate box, where applicable):
` To the extent that the IPR(s) disclosed in the attached IPR Information Statement Annex are or
`become, and remain ESSENTIAL in respect of the ETSI Work Item, STANDARD and/or TECHNICAL
`SPECIFICATION identified in the attached IPR Information Statement Annex, the Declarant and/or its
`AFFILIATES are (1) prepared to grant irrevocable licences under this/these IPR(s) on terms and
`conditions which are in accordance with Clause 6.1 of the ETSI IPR Policy; and (2) will comply with
`Clause 6.1bis of the ETSI IPR Policy.
` This irrevocable undertaking is made subject to the condition that those who seek licences
`agree to reciprocate (check box if applicable).
` The Declarant and/or its AFFILIATES are not prepared to make the above IPR Licensing Declaration
`(reasons may be explained in writing in the attached IPR Licensing Declaration Annex).
`The construction, validity and performance of this IPR information statement and licensing declaration shall
`be governed by the laws of France.
`Terms in ALL CAPS on this form have the meaning provided in Clause 15 of the ETSI IPR Policy.
`
`SIGNATURE
`By signing this IPR Information Statement and Licensing Declaration form, you represent that you have the
`authority to bind the Declarant and/or its AFFILIATES to the representations and commitments provided in
`this form.
`Name of authorized person:
`Title of authorized person:
`Place, Date:
`
`
`
`
`
`
`
`
`
`Signature:
`
`
`Please return this form duly signed to: ETSI Director-General
`ETSI - 650, route des Lucioles - F-06921 Sophia Antipolis Cedex – France / Fax. +33 (0) 4 93 65 47 16
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 12 of 13 PageID #: 2273
`
`Page 46
`ETSI Rules of Procedure, 19 November 2014
`IPR Information Statement Annex
`
`Proprietor
`
`Application
`No.
`
`Publication
`No.
`
`Patent/Application
`Title
`
`FURTHER INFORMATION
`
`Country of
`registration
`
`Other members of this PATENT FAMILY, if any *
`
`Application No. Publication No.
`
`Country of registration
`
`
`
`STANDARD, TECHNICAL SPECIFICATION or
`ETSI Work Item
`
`
`Project or
`Standard
`name
`
`Work
`Item or
`Standard
`No.
`
`Illustrative
`Specific part of
`the standard
`(e.g. Section)
`
`Version
`(V.X.X.X)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`AU 12740/00
`CN 99813100.8
`FI 108270
`JP 11-318161
`US 6532226
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Australia
`China P.R.
`Finland
`Japan
`USA
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`e.g. UMTS
`
`ETSI TS
`125 215
`
`6.1.1.2
`
`V.3.5.0
`
`Abcd
`
`
`
`EP 1131972
`
`of
`Scheduling
`slotted-mode related
`measurements
`
`EPC
`CONTRACTING
`STATES (
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`* Information on other members of a PATENT FAMILY is provided voluntarily (Clause 4.3 of the ETSI IPR Policy).
`
`
`Please return this form together with the “IPR Information Statement and Licensing Declaration form” to:
`ETSI Director-General - ETSI - 650, route des Lucioles - F-06921 Sophia Antipolis Cedex – France / Fax. +33 (0) 4 93 65 47 16
`
`

`

`Case 6:14-cv-00982-KNM Document 179-5 Filed 12/24/15 Page 13 of 13 PageID #: 2274
`
`Page 47
`ETSI Rules of Procedure, 19 November 2014
`IPR Licensing Declaration Annex
`
`
`Optional written explanation of reasons for not making the IPR Licensing Declaration
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` The Declarant and/or its AFFILIATES are unwilling to grant irrevocable licences under the IP