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`EXHIBIT B
`EXHIBIT B
`
`

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`Page 48
`ETSI Guide on IPRs, 30 November 2011
`ETSI Guide on Intellectual Property Rights (IPRs)
`Version adopted by GA#58
`on 30 November 2011
`
`
`
`Background
`
`The ETSI IPR Policy was adopted by the 21st General Assembly on 23 November 1994 and
`incorporated in the ETSI Directives as Annex 6 to the ETSI Rules of Procedure.
`
`At a later stage a Technical Body Chairman's Guide on IPRs had been written to help Chairmen and
`others involved in ETSI's standardization activities to understand and implement the Institute's IPR
`Policy. That Chairman's Guide on IPR had not been endorsed by the General Assembly or the Board
`and therefore did not have the same official status as the ETSI Statutes, the Rules of Procedure or the
`Technical Working procedures. The Technical Body Chairman's Guide on IPRs is now replaced by the
`present ETSI Guide on IPRs.
`
`In 2002 the ETSI General Assembly #40 identified the need to review the ETSI IPR Policy with a view
`to addressing and rectifying any uncertainties on the operation of this Policy and on any legal rules
`and obligations on the membership in order to avoid an incorrect implementation of the ETSI IPR
`Policy and in order to avoid anti-competitive actions. An ad-hoc IPR group, with a clear mandate to
`review the implementation of the IPR Policy but not to change the Policy itself, was consequently
`created and 30 recommendations on the operation of the ETSI IPR Policy where approved by the
`ETSI General Assembly #42. The present ETSI Guide on IPRs embodies most of these
`recommendations.
`
` revised version of the Clause 4.1 of the ETSI IPR Policy was adopted by the 46th General Assembly
`in November 2005. This revision was induced by the EC DG COMPETITION in its concern to
`generate a general awareness of the risk of "patent ambush" situation in the standard making
`process. The EC DG COMPETITION rationale behind the changes is given in section 4.5 of the
`present Guide.
`
`For the avoidance of any doubt, the changes to the ETSI IPR Policy with respect to software copyright
`introduced and approved by General Assembly #58 are not intended, and shall not be interpreted, as
`a shift in the ETSI IPR regime towards a preference for royalty-free licensing. The basic principle of
`the ETSI IPR regime remains FRAND with no specific preference for any licensing model.
`
`Foreword
`
` A
`
`Intellectual property plays an important role in standardization, especially in the telecommunications
`and electronic communications sector. In that context, the likelihood of having Intellectual Property
`Rights (IPRs) incorporated into ETSI Deliverables became critical after a few years of existence of
`ETSI. This tension (proprietary nature of IPRs versus wide dissemination of standards) was minimized
`with the adoption by the ETSI Membership of the ETSI IPR Policy as found in Annex 6 to the ETSI
`Rules of Procedure.
`
`In the preparation of standards, IPR issues may arise. It is important for all parties involved in the ETSI
`standards-making process to be aware of their responsibilities and that there is good co-operation
`between all parties.
`
`This guide is intended to help ETSI Members and any other party involved in ETSI's standardization
`activities (e.g. Members, Technical Body Chairmen, Secretariat, etc.) to understand and implement
`the Institute's IPR Policy.
`
`This guide provides explanatory information on how to handle IPR matters in ETSI and does not
`replace the ETSI IPR Policy which takes precedence in all cases.
`
`
`

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`ETSI Guide on IPRs, 30 November 2011
`
`This guide has been endorsed by the Board but does not have the same official status as the
`Statutes, the Rules of Procedure or the Technical Working Procedures.
`
`Should you (the reader) have any difficulty with provisions of this guide or with any practical aspects of
`the Policy which are not answered by this guide, please do not hesitate to contact the ETSI
`Secretariat (hereafter called simply "Secretariat").
`
`The ETSI IPR Policy
`
` 1
`
`
`
`1.1
`
`What is the Purpose of the IPR Policy?
`
`The purpose of the ETSI IPR Policy is to facilitate the standards making process within ETSI. In
`complying with the Policy the Technical Bodies should not become involved in legal discussion on IPR
`matters. The main characteristics of the Policy can be simplified as follows:
`
`
`• Members are fully entitled to hold and benefit from any IPRs which they may own, including
`the right to refuse the granting of licenses.
`
`•
`
`•
`
`It is ETSI's objective to create Standards and Technical Specifications that are based on
`solutions which best meet the technical objectives of ETSI.
`
`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.
`
`• The IPR Policy seeks to reduce the risk 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.
`
`
`
`
`
`
`
`
`
`• Therefore, the knowledge of the existence of Essential IPRs is required as early as possible
`within the standards making process, especially in the case where licenses are not available
`under fair, reasonable and non-discriminatory (FRAND) terms and conditions.
`
`
`The ETSI IPR Policy defines the rights and obligations for ETSI as an Institute, for its Members and for
`the Secretariat.
`
`The Policy is intended to ensure that IPRs are identified in sufficient time to avoid wasting effort on the
`elaboration of a Deliverable which could subsequently be blocked by an Essential IPR.
`
`1.2
`
`Where can I find the ETSI IPR Policy?
`
`The ETSI IPR Policy is part of the ETSI Directives and can be found in Annex 6 of the ETSI Rules of
`Procedures (http://portal.etsi.org/Directives/home.asp). This means that the rights and obligations
`specified by the IPR Policy are an integral part of the ETSI Rules of Procedure and are binding on all
`ETSI Members.
`
`You can also find a copy of the Policy at Annex A.
`
`1.3
`
`Terminology
`
`The ETSI IPR Policy defines a number of terms; those used in this guide correspond to those used in
`the Policy.
`
`In the ETSI IPR Policy:
`
`
`an IPR includes:
`• COPYRIGHT
`• PATENT
`• UTILITY MODEL
`• REGISTERED DESIGN
`
`

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`
`
`
`1.4
`
`• … and applications thereof.
`
`an IPR does not include:
`• TRADEMARKS
`• TRADE SECRETS
`• CONFIDENTIAL INFORMATION
`• RIGHTS RELATING TO GET-UP (packaging)
`
`Rights and obligations deriving from the IPR Policy
`
`The ETSI IPR POLICY defines rights and obligations for ETSI as an Institute, for its Members and for
`the Secretariat. Non-Members of ETSI also have certain rights under the Policy but do not have legal
`obligations.
`
`The following table intends to give a clear overview of the most important rights and obligations of the
`Institute, the Members, the Secretariat and the rights of third parties as specified under the ETSI IPR
`Policy. All references below which are in italics relate to the ETSI IPR Policy.
`
`
`
`Institute
`
`Members
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`in a
`
`Obligations
`to inform users of standards about
`Essential IPRs declared and ensure
`that
`this
`information
`is publicly
`available (Clause 7).
`to perform IPR searches if the EC
`and/or EFTA
`so
`require and
`reasonable expenses are met
`(Clause 6.2).
`to grant licenses on ETSI-owned
`IPRs (other than copyright) on fair,
`reasonable and non-discriminatory
`terms and conditions to third parties,
`free of charge to ETSI Members
`(Clause 9.3).
`to respect confidential information
`within a Technical Body until
`publication
`of
`the
`relevant
`Deliverable.
`information
`the
`to
`include
`standard (Clause 10).
`to inform ETSI about their own, and
`other
`people's Essential
`IPRs
`(Clause 4.1).
`IPRs are
`• owners of Essential
`requested
`to undertake
`to grant
`licenses on
`fair, reasonable and
`non-discriminatory
`terms
`and
`conditions (Clause 6.1).
`• owners of Essential IPRs who refuse
`to grant license when no alternative
`is available, are
`requested
`to
`reconsider their position and provide
`the
`Director-General
`with
`a
`justification (Clause 8.1).
`to abstain from claiming copyright on
`standards
`documentation
`(text,
`graphics etc., of the standard itself)
`on behalf of the member itself and its
`employees (Clause 9.1).
`
`Rights
`
`
`
`•
`
`•
`
`• no obligation to conduct IPR searches
`(Clause 4.2).
`to refuse the inclusion of own IPRs in
`standards (Clauses 8.1 and 8.2).
`to be granted licenses on fair, reasonable
`and
`non-discriminatory
`terms
`and
`conditions
`in
`respect of a standard
`(Clause 6.1).
`standards
`of
`copies
`to
`make
`documentation (Clause 11) free of charge.
`to use IPRs owned by ETSI free of charge
`(Clause 9.3).
`to have confidential information within a
`Technical Body respected until publication
`of the relevant Deliverable (Clause 10).
`
`•
`
`•
`
`•
`
`

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`
`Secretariat
`
`Third
`Parties
`
`•
`
`•
`
`•
`
`to contact
`the Director-General
`owners of Essential IPRs having
`refused to grant licenses on behalf of
`ETSI (Clauses 8.1 and 8.2).
`the Director-General to request the
`owner of an Essential IPR to give
`within three months an undertaking
`in writing that it is prepared to grant
`licenses (Clause 6.1).
`the ETSI IPR Policy is only binding
`on ETSI Members. Third parties do
`not have any legal OBLIGATIONS
`under the Policy.
`• when ETSI is informed that an IPR
`belonging to a non-Member could be
`essential for a standard, the non-
`Member owner is also requested to
`undertake to grant licenses on fair,
`reasonable and non-discriminatory
`terms and conditions (Clause 6.1).
`
`
`1.5
`
`"Essential" IPRs
`
`
`
`• Third parties have certain RIGHTS under
`the ETSI IPR Policy either as owners of
`Essential
`IPRs or as users of ETSI
`standards or documentation:
`o
`to refuse the inclusion of their own
`Essential
`IPRs
`in
`ETSI
`Deliverables (Clause 8.1 and 8.2).
`o To be granted licenses on fair,
`reasonable and non-discriminatory
`terms and conditions in respect of
`a standard at least to manufacture,
`sell, lease, repair, use and operate,
`(Clause 6.1)
`to be granted licenses for ETSI
`owned IPRs (other than copyright
`in
`the standard documentation)
`(Clause 9.3) on fair, reasonable
`and non-discriminatory terms and
`conditions.
`information
`to have confidential
`within a Technical Body respected
`until publication of the relevant
`Deliverable (Clause 10).
`
`o
`
`o
`
`Clause 15.6 of the ETSI IPR Policy gives the following definition of essentiality:
`
`
`"15.6
`
`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".
`
`In simpler terms, an "essential IPR" is an IPR which has been included within a standard and where it
`would be impossible to implement the standard without making use of this IPR. The only way to avoid
`the violation of this IPR in respect of the implementation of the standard is therefore to request a
`license from the owner.
`
`
`

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`
`2
`
`Importance of timely disclosure of Essential IPRs
`
`The main problems for ETSI as a standards body which may arise from "late disclosures" include:
`
`
`• Licenses for Patents which have been disclosed late and are not available at all, or,
`
` •
`
` Licenses for Patents which have been disclosed late and which are available, but not on Fair,
`Reasonable and Non-Discriminatory (FRAND) terms, i.e. the company is unwilling to make a
`"FRAND" undertaking/licensing declaration.
`
`
`If the above problems cannot be satisfactorily resolved, then ETSI has to change the standard, which
`in some extreme cases could even include the need to start again with the development of that
`standard.
`
`
`NOTE 1:
`
`Definitions for "Timeliness" or "Timely" cannot be agreed because such definitions
`would constitute a "change to the Policy".
`
`NOTE 2:
`
`The following description of Intentional Delay has been noted:
`
`
`
`
`
`"Intentional Delay" has arisen when it can be demonstrated that an ETSI Member
`has deliberately withheld IPR disclosures significantly beyond what would be
`expected from normal considerations of "Timeliness".
`
`This description of "Intentional Delay" should be interpreted in a way that is
`consistent with the current ETSI IPR Policy. In complying with the requirements of
`timeliness under Clause 4.1 of the IPR Policy, Members are recommended to
`make IPR disclosures at the earliest possible time following their becoming aware
`of IPRs which are, or are likely to become, Essential.
`
`NOTE 3:
`
`"Intentional Delay", where proven, should be treated as a breach of the IPR Policy
`(Clause 14 of the ETSI IPR Policy) and can be sanctioned by the General
`Assembly.
`
`2.1
`
`Members Duties
`
`2.1.1
`
`Responding to Calls for IPRs performed in Technical Body meetings
`
`Members participating in Technical Bodies should respond at the earliest possible time to the Call for
`IPRs performed by Technical Body Chairmen at the beginning of each meeting, based on the working
`knowledge of their participants.
`
`Furthermore, the call for IPRs acts as a reminder of the Member's obligations under the IPR Policy
`and is performed to foster the disclosure of Essential IPRs in a timely fashion.
`
`Members having IPR portfolios should improve their internal IPR co-ordination processes to ensure,
`as far as possible, that their participants in Technical Bodies are aware of any alleged-essential IPR
`the company may have (related to the on-going work on a particular ETSI Standard or Technical
`Specification), that they understand their obligations, and that they know how to discharge them.
`
`Members are encouraged to make general IPR undertakings/licensing declarations that they will make
`licenses available for all their IPRs under FRAND terms and conditions related to a specific
`standardization area and then, as soon as feasible, provide (or refine) detailed disclosures. This
`process reduces the risk of the standards making process being blocked due to IPR constraints.
`
`2.1.2
`
`Disclosure and licensing of patents from a PATENT FAMILY
`
`The deemed fulfilment in Clause 4.3 of the IPR Policy of the obligations pursuant to Clause 4.1 in
`respect of all existing and future members of a PATENT FAMILY is only applicable to the extent that
`the IPR owner has the right to make the IPR undertaking/licensing declaration pursuant to Clause 6.1
`
`

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`of the ETSI IPR Policy as to members of the PATENT FAMILY at the date of the IPR information
`statement and licensing declaration.
`
`For the purpose of the disclosure made under Clause 4, the patent owner may consider any part of an
`IPR document, in particular the description, the claims and the drawings.
`
`2.1.3
`
`Use the ETSI IPR Licensing Declaration forms
`
`The ETSI IPR Licensing Declaration forms consist of the (i) the IPR information statement and
`licensing declaration form, including its annexes, and (ii) the General IPR licensing declaration form:
`
`
`The IPR information statement and licensing declaration shall be submitted with the IPR
`information statement annex and, where applicable, together with the IPR licensing
`declaration annex to identify the specific IPRs which are applicable.
`
`•
`
`
`
` •
`
`The General IPR licensing declaration shall be used to give an undertaking to grant licenses
`under any IPR that are or become essential in respect of the identified STANDARD(S),
`TECHNICAL SPECIFICATION(S), or ETSI Project(s). It is submitted without the IPR
`information statement annex but, in accordance with Clause 4.1 of the ETSI IPR Policy,
`members should provide updates in a timely fashion via the IPR information statement and
`licensing declaration and the IPR information statement annex.
`
`
`Use of the General IPR licensing declaration does not take away the obligation for members to
`declare essential patents to ETSI as stated in 2.1.1.
`
`The ETSI IPR Licensing Declaration forms can be found at Annex 6 of the ETSI Rules of Procedure
`and online at:
`
`
`http://www.etsi.org/WebSite/document/Legal/IPRforms.doc
`
`
`These forms, once completed and duly signed should be returned to the ETSI Director-General.
`
`Any questions related to the completion of the forms should be addressed to the ETSI Legal Affairs
`Director (legal@etsi.org).
`
`2.1.4
`
`Update and complete the ETSI IPR Information Statement form
`
`Members are not obliged to inform ETSI of any updates to their essential IPRs. Nevertheless,
`Members are encouraged to update and complete their information statements in line with the forms
`(see Annex 6 of the ETSI Rules of Procedure). A minimum of information should be provided, which
`allows verifying the essentiality or the potential essentiality of an IPR.
`
`2.1.5
`
`Copyrights in ETSI Deliverables
`
`As stated in Clause 9.1 of the IPR Policy, the ownership of the copyright in STANDARDS and
`TECHNICAL SPECIFICATIONS documentation and reports created by ETSI or any of its
`COMMITTEES (the "ETSI Deliverables") shall vest in ETSI. ETSI Deliverables are considered as
`"collective work", which shall mean a work created at the initiative of a legal person (i.e. ETSI) who
`edits it, publishes it and discloses it under his direction and name and in which the personal
`contributions of the various authors who participated in its production are merged in the overall work
`for which they were conceived, without it being possible to attribute to each author a separate right in
`the work as created. Accordingly, such collective work copyrights belong to ETSI.
`
`Hence, Members should be aware that once a technical proposal has been included into ETSI
`Deliverables the copyright in these ETSI Deliverables is owned by ETSI. However, the copyright in the
`individual contribution remains with the contributor.
`
`Further, contributions which are not intended to be a part of the collective work as defined above
`should be duly acknowledged by ETSI in accordance with Clause 9.1 of the IPR Policy and subject to
`the applicable provisions of this Guide, in particular Clauses 2.3.5, 2.4.6 and 2.5.
`
`
`

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`2.2
`
`Members do NOT have a duty to:
`
`•
`
`conduct IPR searches (see Clause 4.2 of the IPR Policy).
`
`• disclose within the Technical Body the commercial terms for licenses for which they have
`undertaken to grant licenses under FRAND terms and conditions. Any such commercial
`terms are a matter for discussion between the IPR holder and the potential licensee, outside
`of ETSI (see section 4.1 of this Guide).
`
`Technical Body Chairmen's duties
`
`
`
`
`2.3
`
`Chairmen represent the membership while having the authority to represent the Institute in their
`Technical Body. Chairmen have an important role in respect of both, the identification and disclosure
`of essential IPRs. They have a duty to remind the Members of their statutory obligations to submit
`IPR disclosures.
`
`In addition to the actions aiming at the identification of IPRs, the Chairmen also need to take the
`following actions, which ensure that the disclosure of essential IPRs is properly carried out:
`
`
`•
`
`to record in the report of the meeting that an IPR call has been made and to record any
`responses;
`
`
`
`•
`
`to inform the Secretariat of the existence of any essential IPRs identified.
`
`
`Also, Chairmen shall not allow any discussion on commercial issues in the Technical Body, in
`particular but not limited to discussions on details of specific licensing terms and conditions.
`
`Finally, the Chairman should take care that the ETSI Guidelines for antitrust compliance are strictly
`observed.
`
`Throughout the standardization process the Chairmen must take the actions as laid down in the
`following Sections of this Guide, which facilitate the identification of Essential IPRs.
`
`2.3.1
`
`Define scope statements for work items
`
`It is vital that Chairmen ensure that the scope statements for all work items in the ETSI work
`programme are properly defined. This will ensure that if a search for patents is required (under Clause
` 6.3 of the Policy) or chosen to be performed by a Member, the task can be carried out in the most
`effective manner.
`
`In order that the scope statement of an ETSI work item can be used for IPR purposes, it should
`contain the following:
`
`
`• a broad statement concerning the technical field of this work;
`• a description of broad system concepts;
`identification of any standard on which the work item is likely to be based;
`•
`• a list of features which the standard will define, or on which the standard will place limitations;
`• a technical description of each feature listed, in broad terms; and,
`• a list of any criteria which the standard must satisfy.
`
`
`2.3.2
`
`Make call for IPRs in Technical Bodies meetings
`
`Every Technical Body and working group meeting shall start with a "Call for IPRs" (either in a written
`form – as part of the meeting's agenda - or in oral form) performed by the Chairman. This Call for IPRs
`acts as a reminder of the Member's obligations under the ETSI IPR Policy and is performed to foster
`the disclosure of Essential IPRs in a timely fashion.
`
`An example of this "Call for IPRs" may be found below in Clause 2.3.3. Please note that during the
`Operational Co-ordination Group meetings (OCG) Chairmen will be reminded to perform that call for
`IPRs.
`
`
`

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`IPR
`to make general
`to encourage Members
`invited
`Technical Body Chairmen are also
`undertakings/licensing declarations that they will make licenses available for all their IPRs under
`FRAND terms and conditions related to a specific standardization area and then, as soon as feasible,
`provide (or refine) detailed disclosures.
`
`2.3.3
`
`When and How?
`
`A formal call for IPR disclosures shall be made by the Chairman at the beginning of each meeting.
`
`The formal call for IPR disclosures needs to be made by the Chairman orally or in writing according to
`the example given below. Members need to be reminded that the forms for the notification of essential
`IPRs and licensing declaration are available on-line and attached in Annex 6 of the ETSI Rules of
`Procedure.
`
`Example of a formal call for IPRs
`
`
`
`The attention of the members of this Technical Body is drawn to the fact that ETSI
`Members shall use reasonable endeavours under Clause 4.1 of the ETSI IPR Policy,
`Annex 6 of the Rules of Procedure, to inform ETSI of Essential IPRs in a timely fashion.
`This section covers the obligation to notify its own IPRs but also other companies' IPRs.
`
`The members take note that they are hereby invited:
`
`to investigate in their company whether their company does own IPRs which are, or
`are likely to become Essential in respect of the work of the Technical Body,
`
`
`
` •
`
`
`
` •
`
`to notify to the Chairman or to the ETSI Director-General all potential IPRs that their
`company may own, by means of the IPR Information Statement and the Licensing
`Declaration forms that they can obtain from the ETSI Technical Officer or
`http://www.etsi.org/WebSite/document/Legal/IPRforms.doc.
`
`
`Members are encouraged to make general IPR undertakings/declarations that they will
`make licenses available for all their IPRs under FRAND terms and conditions related to a
`specific standardization area and then, as soon as feasible, provide (or refine) detailed
`disclosures.
`
`
`During the meeting a short reminder call for IPR disclosures should be made:
`
`
`• on formal submission of a technical solution;
`• on completion of the first stable draft of the standard;
`• on working group approval of a draft standard;
`• on TB approval of a draft standard.
`
`
`E.g., this may consist of the following sentence "May I remind Members of their obligations to use
`reasonable endeavours to disclose any Essential IPR [related to this issue] in a timely fashion".
`
`The Technical Body Chairmen should note and should make their attendees aware that disclosure of
`Essential or potentially Essential IPRs should be made at the earliest possible stage within the above
`list.
`
`Knowing who has contributed to the development of a standard may help identify IPRs Essential to
`that standard.
`
`If it becomes apparent that an IPR declaration/licensing undertaking is unlikely to be provided, the
`Technical Body Chairman should inform the Legal Advisor in the Secretariat, who will take the
`necessary action.
`
`Ultimately, it may be necessary for the Secretariat to invoke Clause 8.1 of the Policy, which could
`require all work on the standard to stop. In any case, the party owning the IPR is allowed three months
`
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`consideration time after the Technical Body has examined the matter and the Director-General has
`invited the IPR owner to reconsider its refusal to grant a license. Chairmen should use their judgment
`(in consultation with the Secretariat) as to whether or not the Technical Body should suspend work on
`the standard until the matter has been resolved.
`
`2.3.4
`
`Record and report information on IPRs
`
`Technical Body Chairmen must be particularly careful to record in the report of each meeting that a
`reminder was issued and include details of any responses that were made. If there were no
`responses, then this fact should also be recorded.
`
`Whenever a Chairman becomes aware of the existence of an Essential or potentially Essential IPR he
`must immediately inform the Legal Advisor of the ETSI Secretariat.
`
`2.3.5
`
`Copyrights in ETSI Deliverables
`
`Chairmen shall ensure that all technical proposals adopted by their Technical Body are recorded in
`the minutes of the meeting, together with any restrictions on their use, and shall report them to the
`Secretariat. The Secretariat will inform Chairmen if copyright licenses/assignments are required. If so,
`then they must be obtained before publication of the document. The Secretariat will determine, with
`the assistance of the Chairman, which third party copyrights, if any, have to be acknowledged.
`
`2.3.6
`
`Confidential information
`
`It may happen that Chairmen or Technical Bodies are offered confidential information. There are
`certain precautions which must be observed and Chairmen are strongly urged to contact the
`Secretariat before proceeding.
`
`Clause 10 of the Policy states that information disclosed to ETSI's Technical Bodies is to be regarded
`as non-confidential, unless all of the following criteria are satisfied:
`
`
`•
`•
`•
`
`the information is in written or other tangible form; and
`the information is identified in writing as confidential at the time it is submitted; and
`the information is first submitted to the Technical Body Chairman and accepted by him as
`confidential.
`
`
`Where a Chairman becomes aware that confidential information has been disclosed in breach of a
`confidential disclosure agreement to which ETSI is a party, he must immediately inform the
`Secretariat.
`
`2.4
`
`ETSI Secretariat Duties
`
`The Secretariat, and especially the Legal Advisor, have a general duty to assist the Chairmen in IPR
`matters. In addition to this, the Secretariat is responsible for the actions below:
`
`2.4.1
`
`Information on Essential IPRs in ETSI Deliverables
`
`The ETSI Secretariat will ensure that an appropriate reminder of the duty to disclose the identity of
`Essential IPRs is included in all published ETSI Deliverables in the form of a standard text.
`
`Specifically, the Secretariat shall ensure that the following marking appears in ETSI Deliverables prior
`to Publication, Member vote, Public Enquiry or National Vote:
`
`
`

`

`Case 6:14-cv-00982-KNM Document 185-2 Filed 01/14/16 Page 11 of 21 PageID #: 2490
`
`Page 57
`ETSI Guide on IPRs, 30 November 2011
`
`Intellectual Property Rights
`IPRs essential or potentially essential to the present document may have been declared
`to ETSI. The information pertaining to these essential IPRs, if any, is publicly available for
`ETSI members and non-members, and can be found in SR 000 314: "Intellectual
`Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
`respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates
`are available on the ETSI Web server (SR 000 314).
`
`Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been
`carried out by ETSI. No guarantee can be given as to the existence of other IPRs not
`referenced in SR 000 314 (or the updates on the ETSI Web server) which are, or may be,
`or may become, essential to the present document.
`
`
`2.4.2
`
`Initiate a procedure of Clause 8 when no licensing declaration can be obtained
`
`Where the IPR undertaking/licensing declaration as provided in Clause 6 of the ETSI IPR Policy
`cannot be obtained because of the refusal by the essential IPR owner, the ETSI Secretariat is obliged
`to initiate the procedure set out in Clause 8 of the ETSI IPR Policy. For the avoidance of doubt with
`regard to PATENT FAMILIES, the ETSI Secretariat is obliged to initiate a procedure of Clause 8 of the
`ETSI IPR Policy in every case where the IPR owner refuses to give the IPR undertaking/licensing
`declaration as provided in Clause 6 of the ETSI IPR Policy for at least one member of a PATENT
`FAMILY regardless of the fact that the IPR owner might have given such IPR undertaking/licensing
`declaration for other members of the same PATENT FAMILY.
`
`2.4.3
`
`Non response by an IPR owner
`
`for
`to a request
`IPR owner
`from an
`there has been no response
`In situation where
`undertaking/licensing declaration within the three months specified in Clause 6.1 of the IPR Policy or
`the response is not sufficiently defined the steps listed in Clause 8 of the IPR Policy should be applied.
`
`2.4.4
`
`Redrafting of ETSI Deliverables
`
`Published Standards or Technical Specifications should not be redrafted because a change on the
`essentiality of an IPR arises unless the required undertaking/licensing declaration has not been
`provided within the three month period foreseen under Clause 6.1 of the IPR Policy, or has been
`refused. Any IPR changes should be entered into the ETSI IPR Database by the Secretariat, showing
`the date of the entry.
`
`2.4.5
`
`Disclose copyright identified in ETSI documentation
`
`The copyright of ETSI documentation, including that produced in its Technical Bodies, is owned by
`ETSI. The Secretariat shall ensure that the following marking appears in ETSI Deliverables prior to
`Publication, Member vote, Public Enquiry or National Vote:
`
`
`© European Telecommunications Standards Institute yyyy.
`All rights reserved.
`
`No part may be reproduced except as authorized by written permission. For any
`copyright consideration contact: legal@etsi.org.
`
`
`This marking shall also appear in document templates provided to the Technical Organization by the
`Secretariat.
`
`2.4.6
`
`Acknowledgement of third parties' copyrights
`
`Due acknowledgement of copyrights owned by third parties, which are identifiable in ETSI
`documentation, must be made in the f