Office of Unfair Import Investigations
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`October 16,2017
`
`Dr. Lakshmi Arunachalam
`222 Stanford Ave.
`Menlo Park, CA 94025
`Tel: 650-690-0995
`
`Re:
`
`Complaint of Dr. Lakshmi Arunachalam Concerning Certain loT Devices and
`Components Thereof (Io'T, the Internet of Things - Web Applications Displayed
`on a Web Browser, (Dkt. No. 337-TA-3263)
`
`Dear Dr. Arunachalam:
`
`("OUll") with
`I am writing on behalf of the Office of Unfair Import Investigations
`respect to the Complaint
`that was filed with the Commission with an official date of receipt f
`October 3, 2017. OUll reviews all complaints filed with the Commission for their compliance
`See 19 U.S.C. § 1337; 19 C.F.R. Part 210.
`with the statutory and regulatory requirements.
`During the pre-institution period of a complaint, which is often 30 days from the date a
`is received, but which can be extended beyond 30 days (see 19 C.F.R. § 210.10), OUll
`complaint
`often asks parties that have filed a complaint
`for additional
`information and supplementation.
`We are also available to answer questions about the pre-institution process and regulatory
`requirements that apply to complaints that have been filed.
`
`Based upon our review thus far, we have identified at least the following areas, which are
`discussed below, where the Complaint does not appear to comply with the Commission's
`rules:
`
`(1) The Commission rules require that a complaint describe "specific instances of alleged
`unfair importations."
`19 C.F.R. § 210.12(a)(3). For 29 of the 30 proposed respondents,
`the Complaint does not identify any specific instances of alleged unfair importations. By
`way of example only, the Complaint does not identify any specific instance of a product
`
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`imported, sold for importation or sold after importation into the United States by Hertz
`Global Holdings,
`Inc. Please provide the required information.
`
`With respect to proposed respondent Apple, Inc., the specific instance of
`importation identified in the Complaint
`is the purchase of an iPhone 7 by the complainant
`in Inv. No. 337·TA·I06S.
`To the extent you have additional evidence of specific
`instances of importation, please provide it.
`
`include "a reference to the specific claims
`(2) The Commission rules require that a complaint
`in each patent that allegedly cover the article imported or sold by each named
`[respondent]." 19 C.F.R. § 210. 12(a)(9)(vii). For 29 of the 30 proposed respondents the
`Complaint does not identify an article that is imported or sold by each proposed
`respondent, and thus also does not identify the particular patent claims that allegedly
`cover such an article. Please provide the required information.
`
`(3) The Commission rules state in part that a complaint should include "[a] showing that
`each [respondent]
`is importing or selling the article covered by ...
`the above specific
`claims of each involved U.S. patent. When practicable a complainant shall [include] a
`chart that applies each asserted independent claim of each involved U.S. patent to a
`representative involved article of each named [respondent]."
`19 C.F.R. §
`210. 12(a)(9)(viii). For 29 of the 30 proposed respondents identified,
`the Complaint and
`the single claim chart do not include the required showing. Please provide additional
`information identifying products imported into the United States by each proposed
`respondent
`that allegedly infringe the asserted independent claims of the '340 patent.
`
`With respect to proposed respondent Apple, Inc., the article that is compared to
`the asserted independent claims of the '340 patent is not the same article on which the
`Complaint
`relies for evidence of a specific instance of importation (the iPhone 7
`purchased by the complainant
`in Inv. No. 337-TA-I065).
`Please provide additional
`information showing that the allegedly imported product allegedly infringes the asserted
`independent claims of the '340 patent.
`
`include "[a] showing that an industry in
`(4) The Commission rules require that a complaint
`the United States, relating to the patent exists. When practicable [include] a chart that
`applies an exemplary claim of each involved U.S. patent to a representative involved
`domestic article." 19 C.F.R. § 210.12(a)(9)(ix). The Complaint does not identify a
`representative involved domestic article with any particularity. The Complaint also does
`not compare any representative involved domestic article to any claim of the '340 patent.
`Please identify the particular domestic articles, and please provide the requisite
`identifying the particular domestic industry articles, and please also show that they
`practice at least one claim of the '340 patent by including,
`in particular, a claim chart.
`
`the
`With respect to the economic prong of the domestic industry requirement,
`Commission rules state that relevant
`information in a complaint
`includes, but is not
`limited to, significant
`investments in plant and equipment, or labor and capital; or
`substantial
`investment
`in the exploitation of the subject patent including engineering,
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`

`

`- (C). The
`19 C.F.R. §§ 210. 12(a)(6)(i)(A)
`research and development or licensing.
`Complaint and exhibits do not appear to quantify the investments made in plant and
`equipment, or labor and capital, related to the domestic industry articles, or investments
`in the exploitation of the '340 patent. Please provide additional details concerning the
`investments made in plant and equipment, and/or labor and capital, or investments in the
`exploitation of the '340 patent.
`
`(5) The Commission rules require "[t]he identification of the ownership of each involved
`patent and a certified copy of each assignment
`(a legible copy will suffice for each
`required copy ofthe Complaint)."
`19 C.F.R. § 210.12(a)(9)(ii). While you have attached
`a printout from the U.S. Patent and Trademark Office website, and while we understand
`you have ordered copies of the assignment
`records for the '340 patent, we do not yet have
`the assignments themselves. Please provide copies of the assignments, and certified
`copies of the assignments as soon as they are available.
`
`(6) The Commission rules require that a complaint provide public versions of confidential
`exhibits. 19 C.F.R. § 210.4(f)(7)(i). There do not appear to be public versions of
`Confidential Exhibits 1C, 2C, 3C, 4C or 5C. Please provide public versions of all
`confidential exhibits.
`
`(7) With respect to any allegations in the Complaint of "unfair methods of competition and
`unfair acts in the importation of articles (other than articles provided for in subparagraphs
`(B), (C), (D), and (E)) ...
`" under 19 U.S.C. § 1337(a)(1)(A),
`the Complaint
`(including
`the exhibits and appendices) does not comply with the applicable statutory requirements
`or Commission rules. See, e.g., 19 C.F.R. §§ 210.12(a)(6)(iii),
`(8).
`
`the Complaint
`During the pre-institution period you have the opportunity to supplement
`(and exhibits) with additional
`information in order to comply with the Commission rules. You
`can also file an amended complaint
`to address any deficiencies. Please correct the above-
`identified deficiencies by the close of business October 23,2017.
`If you are unable to meet this
`deadline, please submit a letter to the Secretary of the Commission (Lisa Barton) stating the date
`by which these deficiencies will be corrected and request postponement of the decision on
`whether to institute an investigation. We recommend that any request for postponement
`extend
`to a date that is two weeks after the date on which you expect these deficiencies to be corrected
`(e.g., if you expect to be able to file any additional
`information by October 31, 2017 correcting
`deficiencies, your request for postponement of the Commission vote on whether to institute
`would be November 14,2017).
`
`Please be advised that the Commission's determination to institute an investigation based
`on the allegations in the Complaint may be impacted by your response(s) and supplementation
`addressing the requested information.
`
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`'
`
`.
`
`j /
`
`.
`Sincerely,
`~IU(~f)l--I~
`Margarei?Macdonal/~
`Director
`Office of Unfair Import Investigations
`u.S.
`International Trade Commission
`Tel: (202) 205-2561
`
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