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`_____________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`_____________
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`LSI CORPORATION and AVAGO TECHNOLOGIES U.S., INC.,
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`Petitioners,
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`v.
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`REGENTS OF THE UNIVERSITY OF MINNESOTA,
`
`Patent Owner.
`
`_____________
`
`Case No. IPR2017-01068
`
`Patent No. 5,859,601
`
`_____________
`
`PROTECTIVE ORDER
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`1
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`LSI Corp. Exhibit 1037
`Page 1
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`The following Protective Order will govern the filing and treatment of
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`confidential information in the proceeding:
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`Protective Order
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`This protective order governs the treatment and filing of confidential
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`information, including documents and testimony.
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`1.
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`As used in this Protective Order, these terms have the following
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`meanings:
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`(a)
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`“Party”: any Party to this action, including all of its officers, directors,
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`employees, consultants, retained experts and consultants, and Outside
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`Counsel (and their support staff).
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`(b)
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`“Material”: all information, documents, items and things produced,
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`served or otherwise provided in this action (whether paper, electronic,
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`tangible, or otherwise) by the Parties or by non-parties including, but not
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`limited to, deposition testimony, transcripts and videotapes, and deposition
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`exhibits.
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`(c)
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`“Producing Party”: a Party or non-party that produces Material in this
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`action.
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`(d)
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`“Receiving Party”: a Party that receives Material from a Producing
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`Party.
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`(e)
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`“Designating Party”: a Party or non-party that designates Material as
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`2
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`LSI Corp. Exhibit 1037
`Page 2
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`“Confidential Information” or “Confidential -- Attorneys’ Eyes Only
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`Information.”
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`(f)
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`“Confidential Information”: Material the Designating Party believes
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`in good faith is not generally known to others, and which the Designating
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`Party (i) would not normally reveal to third parties except in confidence or
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`has undertaken with others to maintain in confidence; (ii) believes in good
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`faith is protected by a right to privacy under federal or state law or any other
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`applicable privilege or right related to confidentiality or privacy; or (iii)
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`believes in good faith to constitute or to contain trade secrets or other
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`confidential research, development, or commercial information. Confidential
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`Information shall include all Material referring or relating to the foregoing,
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`including but not limited to copies, summaries, and abstracts of the
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`foregoing, and shall be designated as such in the manner described in
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`Paragraph 3.
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`(g)
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`“Confidential -- Attorneys’ Eyes Only Information”: Material the
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`Designating Party believes in good faith is not generally known to others
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`and has significant value such that unrestricted disclosure to others would
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`create a substantial risk of serious injury, and which the Designating Party
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`(i) would not normally reveal to third parties except in confidence or has
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`undertaken with others to maintain in confidence; (ii) believes in good faith
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`3
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`LSI Corp. Exhibit 1037
`Page 3
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`is protected by a right to privacy under federal or state law or any other
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`applicable privilege or right related to confidentiality or privacy; or (iii)
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`believes in good faith constitutes proprietary financial, technical or
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`commercially sensitive competitive information that the Producing Party
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`maintains as highly confidential in its business. “Confidential -- Attorneys’
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`Eyes Only Information,” shall include all Material referring or relating to the
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`foregoing, including but not limited to copies, summaries, and abstracts of
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`the foregoing, and shall be designated as such in the manner described in
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`Paragraph 4.
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`(h)
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`“Designated Material”: Material that is designated “Confidential
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`Information” or “Confidential -- Attorneys’ Eyes Only Information.”
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`(i)
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`“Outside Counsel”: attorneys (including litigation and clerical support
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`staff) at the firm that is counsel of record for a Party and who are not
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`employees, directors, or officers of a Party or a Party’s parents, affiliates, or
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`subsidiaries.
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`(j)
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`“Outside Consultant”: a person with specialized knowledge or
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`experience in a matter pertinent to this action who has been retained by a
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`Party or its Outside Counsel to serve as an expert witness or as a consultant
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`in this action and who is not: (i) a past, current, or anticipated employee of a
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`Party or of a Party’s competitor; or (ii) a consultant involved in product
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`4
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`LSI Corp. Exhibit 1037
`Page 4
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`and/or process design or development for a Party or for a Party’s competitor.
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`(k)
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`“Professional Vendors”: persons or entities that provide litigation
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`support services (e.g., photocopying, videotaping, translating, preparing
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`exhibits or demonstrations, organizing or processing data) and their
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`employees and subcontractors. Court reporters and videographers are
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`included. Professional Vendors do not include consultants who fall within
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`the definition of Outside Consultant.
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`(l)
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`“Written Assurance”: an executed document in the form attached as
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`Exhibit A.
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`2.
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`Designated Material shall be clearly marked “CONFIDENTIAL
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`INFORMATION” or “CONFIDENTIAL - ATTORNEYS’ EYES ONLY
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`INFORMATION.”
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`3.
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`Access to information marked “CONFIDENTIAL INFORMATION”
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`may be disclosed to the Receiving Party only to the following individuals
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`provided that such individuals are informed of the terms of this Protective Order:
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`(a) two (2) employees of the Receiving Party who are required in good faith to
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`provide assistance in the conduct of this litigation, including any settlement
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`discussions, and who are identified as such in writing to counsel for the
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`5
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`LSI Corp. Exhibit 1037
`Page 5
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`Designating Party in advance of the disclosure; (b) two (2) in-house counsel who
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`are identified by the Receiving Party to the Producing Party prior to disclosure;
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`(c) Outside Counsel; (d) Outside Consultants; and (e) Professional Vendors.
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`4.
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`Access to information marked “CONFIDENTIAL - ATTORNEYS’
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`EYES ONLY INFORMATION” may be disclosed by the Receiving Party only to
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`the following individuals provided that such individuals are informed of the terms
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`of this Protective Order: (a) Outside Counsel; (b) Outside Consultants; and (c)
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`Professional Vendors.
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`5.
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`Support Personnel. Administrative assistants, clerical staff, court
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`reporters and other support personnel of the foregoing persons who are reasonably
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`necessary to assist those persons in the proceeding shall not be required to sign the
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`Written Assurance, but shall be informed of the terms and requirements of the
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`Protective Order by the person they are supporting who receives Designated
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`Material.
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`6.
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`The Office. Employees and representatives of the United States Patent
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`and Trademark Office who have a need for access to Designated Material shall
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`have such access without the requirement to sign the Written Assurance. Such
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`employees and representatives shall include the Director, members of the Board
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`6
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`LSI Corp. Exhibit 1037
`Page 6
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`and their clerical staff, other support personnel, court reporters, and other persons
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`acting on behalf of the Office.
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`7.
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`Persons receiving Designated Material shall use reasonable efforts to
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`maintain the confidentiality of the information, including:
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`(A)Maintaining such information in a secure location to which persons
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`not authorized to receive the information shall not have access;
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`(B)Otherwise using reasonable efforts to maintain the confidentiality of
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`Designated Material, which efforts shall be no less rigorous than those the
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`recipient uses to maintain the confidentiality of confidential information
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`not received from the Disclosing Party;
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`(C)Ensuring that support personnel of the recipient who have access to
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`Designated Material understand and abide by the obligation to maintain
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`the confidentiality of Designated Material; and
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`(D)Limiting the copying of Designated Material to a reasonable number of
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`copies needed for conduct of the proceeding and maintaining a record of
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`the locations of such copies.
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`8.
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`Persons receiving Designated Material shall use the following
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`procedures to maintain the confidentiality of the Designated Material:
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`7
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`LSI Corp. Exhibit 1037
`Page 7
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`(A) Documents and Information Filed With the Board.
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`(i)
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`A party may file documents or information with the Board along with
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`a Motion to Seal. The Motion to Seal should provide a non-confidential
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`description of the nature of the Designated Material that is under seal, and
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`set forth the reasons why the information is confidential and should not be
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`made available to the public. A party may challenge the confidentiality of
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`the Designated Material by opposing the Motion to Seal. The submission
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`shall be treated as confidential and remain under seal, unless the Board
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`determines that the documents or information do not to qualify for
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`confidential treatment. The information shall remain under seal unless the
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`Board determines that some or all of the information does not qualify for
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`confidential treatment.
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`(ii) Where confidentiality is alleged as to some but not all of the
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`information submitted to the Board, the submitting party shall file
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`confidential and non-confidential versions of its submission, together with a
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`Motion to Seal the confidential version setting forth the reasons why the
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`information redacted from the non-confidential version is confidential and
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`should not be made available to the public. A party may challenge the
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`confidentiality of the information by opposing the Motion to Seal. The non-
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`confidential version of the submission shall clearly indicate the locations of
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`8
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`LSI Corp. Exhibit 1037
`Page 8
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`information that has been redacted. The confidential version of the
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`submission shall be filed under seal. The redacted information shall remain
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`under seal unless the Board determines that some or all of the redacted
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`information does not qualify for confidential treatment.
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`(B) Documents and Information Exchanged Among the Parties.
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`Designated Material (including deposition transcripts) that is disclosed to
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`another party during discovery or other proceedings before the Board shall
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`be clearly marked as Designated Material under this Protective Order and
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`shall be produced in a manner that maintains its confidentiality.
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`9. Within 60 days after the final disposition of this action, including the
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`exhaustion of all appeals and motions, each party receiving Designated Material
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`must return, or certify the destruction of, all copies of the Designated Material to
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`the Producing Party, unless otherwise agreed to in writing by the Parties.
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`9
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`LSI Corp. Exhibit 1037
`Page 9
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`EXHIBIT A
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`_____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_____________
`
`LSI CORPORATION and AVAGO TECHNOLOGIES U.S., INC.,
`
`Petitioners,
`
`v.
`
`REGENTS OF THE UNIVERSITY OF MINNESOTA,
`
`Patent Owner.
`
`_____________
`
`Case No. IPR2017-01068
`
`Patent No. 5,859,601
`
`_____________
`
`WRITTEN ASSURANCE
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`10
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`LSI Corp. Exhibit 1037
`Page 10
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`I
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`, affirm that I have
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`read the Protective Order; that I will abide by its terms; that I will use the
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`Designated Material only in connection with this proceeding and for no other
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`purpose; that I will only allow access to support staff who are reasonably necessary
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`to assist me in this proceeding; that prior to any disclosure to such support staff I
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`informed or will inform them of the requirements of the Protective Order; that I am
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`personally responsible for the requirements of the terms of the Protective Order
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`and I agree to submit to the jurisdiction of the Office and the United States District
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`Court for the Eastern District of Virginia for purposes of enforcing the terms of the
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`Protective Order and providing remedies for its breach.
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`[Signature]
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`11
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`LSI Corp. Exhibit 1037
`Page 11
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