`
`
`BY ELECTRONIC FILING
`
`
`
`July 31, 2020
`
`
`The Honorable Lisa R. Barton
`Secretary to the Commission
`U.S. International Trade Commission
`500 E Street, S.W., Room 112
`Washington, D.C. 20436
`
`767 Fifth Avenue
`New York, NY 10153-0119
`+1 212 310 8000 tel
`+1 212 310 8007 fax
`
`Anish R. Desai
`+1 (212) 310-8730
`anish.desai@weil.com
`
`Re: Certain Variable Speed Wind Turbine Generators and Components Thereof;
`Inv. No. 337-TA-______
`
`Dear Secretary Barton:
`
`In accordance with the Commission’s Temporary Change to the Filing Procedures dated March 16, 2020
`(“Temporary Procedures”), Complainant General Electric Company (“Complainant”) is submitting via
`EDIS the following documents in support of Complainant’s request that the Commission commence an
`investigation pursuant to Section 337 of the Tariff Act of 1930, as amended. Pursuant to the
`Commission’s Rules of Practice and Procedure, a request for confidential treatment for Confidential
`Exhibits 13C-15C, 35C-40C, 42C-50C, 53C-54C, 58C, and 74C-75C, and the Public Interest Statement,
`is also included with this submission. Accordingly, GE submits the following:
`
`
`One (1) electronic copy of Complainant’s Non-Confidential Verified Complaint pursuant to
`Commission Rule 210.8(a)(1)(i);
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`One (1) electronic copy of Complainant’s Confidential Verified Complaint pursuant to
`Commission Rules 201.6(c) and 210.8(a)(1)(ii);
`
`A Non-Confidential Statement of Public Interest, pursuant to Commission Rule 210.8(b);
`
`A Confidential Statement of Public Interest, pursuant to Commission Rule 210.8(b);
`
`One (1) electronic copy of the public exhibits to the Verified Complaint, pursuant to
`Commission Rule 210.8(a)(1)(i);
`
`One (1) electronic copy of the confidential exhibits to the Verified Complaint pursuant to
`Commission Rules 201.6(c) and 210.8(a)(1)(ii);
`
`

`

`The Honorable Lisa R. Barton
`July 31, 2020
`Page 2
`
`
`7.
`
`8.
`
`9.
`
`10.
`
`11.
`
`One (1) electronic copy of the certified versions of United States Patent Nos. 6,921,985 (“the
`’985 Patent”), 7,629,705 (“the ’705 Patent) listed as Exhibits 1 and 4 in the Complaint,
`pursuant to Commission Rules 210.8(a)(1)(i) and 210.12(a)(9)(i);
`
`One (1) electronic copy of the certified assignment for the ’985 patent and ’705 patent listed
`as Exhibits 2 and 5 in the Complaint, pursuant to Commission Rules 210.8(a)(1)(i) and
`210.12(a)(9)(ii);
`
`One (1) electronic copy of the certified prosecution history for the ’985 patent and ’705
`patent listed as Appendices A and E in the Verified Complaint;
`
`One (1) electronic copy of the cited references identified in the prosecution history of the
`’985 patent and ’705 listed as Appendices B and F in the Complaint, pursuant to Commission
`Rules 210.8(1)(i) and 210.12(c)(2);
`
`One (1) electronic copy of Appendix C, ’985 patent Reexamination history No. 95/000,580,
`Appendix D, ’985 patent Reexamination History No. 95/000,580 cited references, Appendix
`G, ’705 patent Reexamination History No. 95/000,633, Appendix H, ’705 patent
`Reexamination History No. 95/000,633 cited references, Appendix I, ’705 patent
`Reexamination History No. 90/012,880, Appendix J, ’705 patent Reexamination History No.
`90/012,880 cited references, Appendix K, ’705 patent Reexamination History No.
`90/012,587 Reexamination History, and Appendix L, ’705 patent Reexamination History No.
`90/012,587 cited references;
`
`12.
`
`One (1) electronic copy of a letter of certification, pursuant to Commission Rules 201.6(b)
`and 210.5(d), requesting confidential treatment of information appearing in Confidential
`Exhibits 13C-15C, 35C-40C, 42C-50C, 53C-54C, 58C, and 74C-75C to the Verified
`Complaint;
`
`13.
`
`One (1) electronic copy of the Certification of Anish R. Deasi.
`
`Please note that Complainant is unable to submit the certified copies of the Asserted Patent, Asserted
`Patent Prosecution History, Asserted Patent Assignments, and Appendices G, I, and K along with the
`Complaint due to the Commission’s restrictions on in-person filings in response to COVID-19.
`Complainant will submit the certified hardcopies when the Commission is in full operation or provides
`alternative instructions regarding their submission.
`
`Complainant confirms it will serve copies of the non-confidential version of the Complaint and all
`associated exhibits and appendices upon the institution of this investigation on the proposed
`Respondents consistent with 19 C.F.R. part 201 (including 19 C.F.R. § 201.16) and the Temporary
`Procedures.
`
`
`

`

`The Honorable Lisa R. Barton
`July 31, 2020
`Page 3
`
`
`Please feel free to contact me if you have any questions regarding this submission. Thank you for your
`time and attention to this matter.
`
`
`Respectfully submitted,
`
`
`
`Anish R. Desai
`
`Counsel for Complainant General Electric Company
`
`
`
`

`

`
`
`
`
`
`
`
`July 31, 2020
`
`
`767 Fifth Avenue
`New York, NY 10153-0119
`+1 212 310 8000 tel
`+1 212 310 8007 fax
`
`Anish R. Desai
`+1 (212) 310-8730
`anish.desai@weil.com
`
`FILED VIA EDIS
`
`The Honorable Lisa R. Barton
`Secretary
`U.S. International Trade Commission
`500 E Street SW, Room 112A
`Washington, DC 20436
`
`Re: Certain Variable Speed Wind Turbine Generators and Components Thereof
`
`Dear Secretary Barton:
`
`Pursuant to Commission Rule 201.6, Complainant General Electric Company (hereinafter
`“Complainant”) respectfully requests confidential treatment of certain confidential business information
`contained in Confidential Exhibits 13C-15C, 35C-40C, 42C-50C, 53C-54C, 58C, and 74C-75C filed
`herewith. The information in these exhibits consists of proprietary commercial information, including
`confidential and proprietary financial data regarding Complainant's domestic investments in plant and
`equipment and labor and capital related to domestic articles protected by Complainant’s Asserted
`Patents, confidential information about the design and operation of the domestic articles, and
`confidential information regarding licensing the Asserted Patents.
`
`The proprietary information described herein qualifies as confidential business information under
`Commission Rule 201.6 because substantially identical information is not available to the public,
`because the disclosure of this information would cause substantial competitive harm to Complainant and
`third parties, and because the disclosure of this information would likely impede the Commission's
`efforts and ability to obtain similar information in the future.
`
`Thank you for your attention. Please contact me with any questions regarding this request for
`confidential treatment.
`
`
`
`
`
`

`

`Respectfully submitted,
`
`
` /
`Anish R. Desai
`Weil, Gotshal & Manges LLP
`767 5th Avenue
`New York, NY 10153
`Telephone: (212) 310-8000
`Email: anish.desai@weil.com
`
`Counsel for Complainant General Electric
`Company
`
`
`
`The Honorable Lisa R. Barton
`July 31, 2020
`Page 2
`
`
`
`
`
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`
`
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`
`
`
`

`

`PUBLIC VERSION
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`WASHINGTON, D.C.
`
`In the Matter of
`
`CERTAIN VARIABLE SPEED WIND
`TURBINE GENERATORS AND
`COMPONENTS THEREOF
`
`Investigation No. 337-TA-___
`
`COMPLAINANT’S STATEMENT ON THE PUBLIC INTEREST
`
`Pursuant to U.S. International Trade Commission Rule § 210.8(b), Complainant General
`
`Electric Company (“GE”) submits this Statement on the Public Interest with respect to the
`
`remedial orders it seeks against proposed respondents Siemens Gamesa Renewable Energy Inc.,
`
`Siemens Gamesa Renewable Energy S/A, and Gamesa Electric, S.A.U. (collectively “Siemens
`
`Gamesa” or “Respondents”). Discussed further below, exclusion of certain variable speed wind
`
`turbine generators and components thereof that infringe GE’s U.S. Patent Nos. 6,921,985 (“the
`
`’985 patent”) and 7,629,705 (“the ’705 patent”) will not adversely impact the public health,
`
`safety, or welfare conditions in the United States, competitive conditions in the United States
`
`economy, the production of like or directly competitive articles in the United States, or United
`
`States consumers.
`
`Since its entry into the wind turbine market in 2002, GE has invested more than $2.5
`
`billion in developing next-generation wind turbine technology and is a leading supplier of wind
`
`turbines in the United States. GE’s continued success in this industry depends, in part, on its
`
`ability to protect its technology through enforcement of its patent rights, including the ’985
`
`patent and the ’705 patent. The Commission recognizes that “the public interest favors the
`
`protection of U.S. intellectual property rights.” Certain Electrical Connectors and Products
`
`

`

`Containing Same, 337-TA-374, Comm’n Op. at 19 (May 3, 1996). Here, the potential damage to
`
`GE’s intellectual property rights outweighs any adverse impact on the public interest, especially
`
`in view of GE’s and its licensees’ capacity to replace the volume of variable speed wind turbine
`
`generators and components thereof that are excluded by the requested remedial orders. Should
`
`the Commission find a violation of Section 337, issuance of the requested orders would promote
`
`the public interest.
`
`I.
`
`How the Articles Potentially Subject to the Requested Remedial Orders Are
`Used in the United States
`
`The articles subject to the requested remedial orders are variable speed wind turbine
`
`generators and components thereof, which are used for renewable energy production. The
`
`products are imported into, sold for importation into, and/or sold after importation in the United
`
`States by or on behalf of Siemens Gamesa. The articles subject to the requested remedial orders
`
`allow a wind turbine generator to remain online during a low-voltage event and connected to the
`
`power grid during and subsequent to a zero-voltage event, mitigating against damage and
`
`shutdown risks.
`
`II.
`
`Identification of any Public Health, Safety, or Welfare Concerns in the
`United States Relating to the Requested Remedial Orders
`
`The issuance of the requested remedial orders would not adversely affect the public
`
`health, safety, or welfare in the United States. For example, in 2019, GE’s market share of new
`
`U.S. wind turbine installations amounted to approximately 45%, and
`
`
`
`
`
`. Exhibit 59 at 3. In 2019, Siemens Gamesa had a market share of 16%
`
`of new installations. Id. With multiple suppliers of directly competitive goods in the United
`
`States, issuing the requested remedial orders does not raise any concerns as to the public health,
`
`safety, or welfare in the United States if the requested relief were granted. Issuance of the
`
`
`
`
`2
`
`

`

`
`
`requested orders would also promote the public welfare given the Commission’s strong interest
`
`in the enforcement of patents. See Certain Baseband Processor Chips & Chipsets, Transmitter &
`
`Receiver (Radio) Chips, Power Control Chips, & Prods. Containing Same, Including Cellular
`
`Telephone Handsets, Inv. No. 337-TA-543, Comm’n Op., 2007 ITC LEXIS 621, at *105 (Jun.
`
`19, 2007) (reversed on other grounds). This strong interest is underscored by the significance of
`
`the ’985 patent’s and ’705 patent’s technologies to the development of the domestic wind turbine
`
`generator industry. Enforcement of these patents, therefore, is critical to the public welfare.
`
`III.
`
`Identification of Like or Directly Competitive Articles that GE, Its Licensees,
`or Third Parties Make Which Could Replace the Subject Articles
`
`There are like or directly competitive products that could replace the articles subject to
`
`the requested remedial orders. For example, GE and its licensees supply the United States with
`
`wind turbine generators and components thereof that provide renewable energy production.
`
`These products directly compete with the articles subject to the requested remedial orders and, as
`
`discussed above, constitute a large share of the domestic wind turbine market.
`
`IV. Whether GE or Its Licensees Have the Capacity to Replace the Volume of
`Articles Subject to the Requested Remedial Orders in a Commercially
`Reasonable Time in the United States
`
`GE and its licensees have the capacity to replace the volume of articles subject to the
`
`requested remedial orders in a commercially reasonable time in the United States. For example,
`
`in 2019, GE’s market share of new U.S. wind turbine installations amounted to approximately
`
`45%, and
`
`
`
`. Exhibit 59 at 3. In 2019,
`
`Siemens Gamesa had a market share of 16% of new installations. Id. If the Commission were to
`
`issue the requested remedial orders, the suppliers in the market not subject to the orders,
`
`including GE and its licensees, have the capacity to replace the excluded articles. Additionally,
`
`
`
`
`3
`
`

`

`GE is presently unaware of any manufacturing constraints in the industry that would impede the
`
`supply of replacement products.
`
`V.
`
`The Requested Remedial Orders Will Not Adversely Impact U.S. Consumers
`
`The requested exclusion order will not adversely impact consumers in the United States.
`
`As explained above, consumers would not be deprived of similar products and there would be no
`
`shortage of competing goods because there are multiple suppliers in the market and GE and its
`
`licensees can replace the articles subject to exclpublicusion. Furthermore, GE and its licensees
`
`offer comparable overall quality and features that are available to consumers in the United
`
`States. Indeed, in the United States, over 25,000 GE wind turbines are installed onshore with the
`
`capacity to power the equivalent of 11 million homes. Ex. 7. Consumers also stand to benefit
`
`from removing infringing articles from the marketplace. Accordingly, the requested remedial
`
`orders favor the strong public interest in protecting GE’s intellectual property rights.
`
`
`Dated: July 31, 2020
`
`
`
`
`
`
`
`Respectfully submitted,
`
`
`
`David J. Lender
`Anish R. Desai
`Sudip Kundu
`Ian Moore
`WEIL GOTSHAL & MANGES LLP
`767 5th Avenue
`New York, NY 10153
`Telephone: (212) 310-8000
`
`Stephanie Adamakos
`WEIL GOTSHAL & MANGES LLP
`2001 M Street #601
`Washington, DC 20036
`Telephone: (202) 682-7000
`
`Counsel for Complainant General
`Electric Company
`
`4
`
`

`

`
`
`
`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`WASHINGTON, D.C.
`
`IN THE MATTER OF
`
`CERTAIN VARIABLE SPEED WIND
`TURBINE GENERATORS AND
`COMPONENTS THEREOF
`
`Investigation No. 337-TA-___
`
`
`
`CERTIFICATION
`
`I, Anish R. Desai, counsel for General Electric Company (“Complainant”), declare as follows:
`
`
`1.
`
`I am duly authorized by Complainant to execute this certification.
`
`2.
`
`3.
`
`I have reviewed Confidential Exhibits 13C-15C, 35C-40C, 42C-50C, 53C-54C, 58C,
`and 74C-75C to Complainant's Verified Complaint, for which Complainant seeks
`confidential treatment.
`
`To the best of my knowledge, information, and belief, founded after a reasonable
`inquiry, substantially-identical information to that contained in the exhibits is not
`available to the public.
`
`I declare under penalty of perjury that the foregoing is true and correct.
`
`Executed this 31st day of July, 2020.
`
`
`
` /
`Anish R. Desai
`Weil, Gotshal & Manges LLP
`767 5th Avenue
`New York, NY 10153
`Telephone: (212) 310-8000
`
`Counsel for Complainant General Electric
`Company
`
`
`
`
`
`
`
`
`

`

`PUBLIC VERSION
`
`UNITED STATES INTERNATIONAL T RADE COMMISSION
`
`WASHINGTON, D.C.
`
`IN THE MATIER OF
`
`CERTAIN VARIABLE SPEED WIND
`TURBINE GENERATORS AND
`
`COMPONENTS THEREOF
`
`
`
`Investigation No. 337-TA-_
`
`COMPLAINT UNDER SECTION 337 OF THE
`TARIFF ACT OF 1930, AS AMENDED
`
`COMPLAINANT:
`
`PROPOSED RESPONDENTS:
`
`GENERAL ELECTRIC COMP ANY
`5 Necco Street
`
`
`Boston, Massachusetts 02210
`
`Telephone: (617) 443-3000
`
`SIEMENS GAMESA RENEW ABLE ENERGY INC.
`
`3500 Quadrangle Boulevard
`
`Orlando, FL 32817
`
`SIEMENS GAMESA RENEW ABLE ENERGY A/S
`
`Bornpvej 16
`
`7330 Brande, Denmark
`
`GAMESA ELECTRIC, S.A.U.
`
`
`Parque Tecnol6gico de Bizkaia
`
`Building 206
`
`48170 Zamudio, BI, Spain
`
`COUNSEL FOR COMPLAINANT:
`
`David J. Lender
`Anish R. Desai
`Sudip Kundu
`Ian Moore
`WEIL GOTSHAL & MANGES LLP
`767 5th Avenue
`New York, NY 10153
`
`Telephone: (212) 310-8000
`
`Stephanie Adamakos
`
`WEIL GOTSHAL & MANGES LLP
`
`2001 M Street #601
`
`Washington, DC 20036
`
`Telephone: (202) 682-7000
`
`

`

`TABLE OF CONTENTS
`
`I.
`
`II.
`
`INTRODUCTION ................................................................................................................. 1
`
`COMPLAINANT .................................................................................................................. 2
`
`III.
`
`PROPOSED RESPONDENTS .............................................................................................. 4
`
`A.
`
`B.
`
`C.
`
`Siemens Gamesa Renewable Energy Inc. f/k/a Siemens Wind Power Inc................ 4
`
`Siemens Gamesa Renewable Energy A/S f/k/a Siemens Wind Power A/S .............. 4
`
`Gamesa Electric, S.A.U. ............................................................................................ 4
`
`THE PRODUCTS AT ISSUE ............................................................................................... 5
`
`V.
`
`THE ASSERTED PATENTS ................................................................................................ 6
`
`A.
`
`The ’985 Patent .......................................................................................................... 6
`
`1.
`
`2.
`
`3.
`
`4.
`
`Identification and Ownership of the ’985 Patent ........................................... 6
`
`Foreign Counterparts to the ’985 Patent ........................................................ 7
`
`Licensees Under the ’985 Patent.................................................................... 7
`
`Non-Technical Description of the ’985 Patent .............................................. 8
`
`B.
`
`The ’705 Patent ........................................................................................................ 10
`
`1.
`
`2.
`
`3.
`
`4.
`
`Identification and Ownership of the ’705 Patent ......................................... 10
`
`Foreign Counterparts to the ’705 Patent ...................................................... 11
`
`Licensees Under the Asserted Patent ........................................................... 12
`
`Non—Technical Description of the ’705 Patent ............................................ 12
`
`VI.
`
`UNLAWFUL AND UNFAIR ACTS OF RESPONDENTS’ PATENT
`
`INFRINGEMENT................................................................................................................ 13
`
`A.
`
`’985 Patent Infringement ....................................................................................... 13
`
`1.
`
`2.
`
`Direct Infringement ...................................................................................... 13
`
`Indirect Infringement ................................................................................. 14
`
`B.
`
`’705 Patent Infringement ....................................................................................... 15
`
`

`

`1.
`
`2.
`
`Direct Infringement ...................................................................................... 15
`
`Indirect Infringement ................................................................................. 16
`
`SPECIFIC INSTANCES OF IMPORTATION AND SALE .............................................. 17
`
`CLASSIFICATION OF THE INFRINGING PRODUCTS UNDER THE
`
`HARMONIZED TARIFF SCHEDULE .............................................................................. 20
`
`THE DOMESTIC INDUSTRY RELATING TO THE ASSERTED PATENTS ............... 20
`
`A.
`
`B.
`
`Technical Prong ....................................................................................................... 22
`
`Economic Prong ....................................................................................................... 22
`
`1.
`
`2.
`
`3.
`
`Significant Investment in Plant and Equipment........................................... 22
`
`Significant Employment of Labor and Capital ............................................ 23
`
`Substantial Investment in Exploitation Through Engineering and Research
`& Development ............................................................................................ 24
`
`RELATED LITIGATION AND PATENT OFFICE PROCEEDINGS ............................... 24
`
`A.
`
`B.
`
`The ’985 Patent ....................................................................................................... 24
`
`The ’705 Patent ....................................................................................................... 27
`
`C. - ...............................................................................................................28
`
`RELIEF REQUESTED ........................................................................................................ 31
`
`iii
`
`

`

`FJSHIBIJLLISI
`
`.
`Append“ G
`
`Appendix H US. Patent No. 7,629,705 Reexamination Cited References (No. 95/000,633)
`
`US. Patent No. 7,629,705 Certified Ex Partes Reexamination History (No.
`
`Appendix J
`
`US. Patent No. 7,629,705 Reexamination Cited References (No. 90/012,880)
`
`Appendix K
`
`US. Patent No. 7,629,705 Certified Ex Partes Reexamination History (No.
`90/012,587)
`
`Appe
`
`US. Patent No. 7,629,705 Reexamination Cited References (No. 90/012,587)
`
`US. Patent No. 7,629,705 Certified Inter Partes Reexamination History (No.
`95/000,633)
`
`90/012,880) Appendix I
`
`Exhibit 4
`
`Certified Copy of US. Patent No. 7,629,705
`
`A. Kover, For The Record: GE Onshore Wind Turbines in North
`
`American Can Now Power the Equivalent of 1 1 Million US. Homes (May
`2 l , 201 8)
`
`iv
`
`